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Armidale Regional Landfill Construction Quality Assurance Plan Revision E – 16-Nov-2016 Armidale Regional Landfill Construction Quality Assurance Plan Client: Armidale Dumaresq Council ABN: 63 781 014 253 Prepared by AECOM Australia Pty Ltd Level 21, 420 George Street, Sydney NSW 2000, PO Box Q410, QVB Post Office NSW 1230, Australia T +61 2 8934 0000 F +61 2 8934 0001 www.aecom.com ABN 20 093 846 925 16-Nov-2016 Job No.: ARLF-LEMP-RP-0011-CQAP AECOM in Australia and New Zealand is certified to ISO9001, ISO14001 AS/NZS4801 and OHSAS18001. © AECOM Australia Pty Ltd (AECOM). All rights reserved. AECOM has prepared this document for the sole use of the Client and for a specific purpose, each as expressly stated in the document. No other party should rely on this document without the prior written consent of AECOM. AECOM undertakes no duty, nor accepts any responsibility, to any third party who may rely upon or use this document. This document has been prepared based on the Client's description of its requirements and AECOM's experience, having regard to assumptions that AECOM can reasonably be expected to make in accordance with sound professional principles. AECOM may also have relied upon information provided by the Client and other third parties to prepare this document, some of which may not have been verified. Subject to the above conditions, this document may be transmitted, reproduced or disseminated only in its entirety. Quality Information Document Armidale Regional Landfill Ref ARLF-LEMP-RP-0011-CQAP Date 16-Nov-2016 Prepared by Andrew Kielniacz Reviewed by Michael Borman / Rowan Cossins (Revised elements) Revision History \| Rev \| Revision Date \| Details \| \| \|---\|---\|---\|---\| \| \| \| \| Name/Position \| \| A \| 01-May-2015 \| Draft for Review \| Alex Frolich Project Manager \| \| B \| 11-May-2015 \| Client Reviewed and Amended \| Mike Brooks ADC \| \| C \| 25-Sep-2015 \| For Final review \| Duncan Price Project Manager \| \| D \| 20-Oct-2015 \| Final For EPA \| Duncan Price Project Manager \| \| E \| 16-Nov-2016 \| Tender Revised \| Alex Frolich Project Manager \| Table of Contents 1.0 Introduction 1.1 Project Background Armidale Dumaresq Council (ADS) has obtained approval for the construction and operation of a new regional landfill facility to service the Armidale, Uralla, Walcha and Guyra Local Government Areas (LGA). The landfill facility is located on Waterfall Way, approximately 12km east of Armidale. The Planning Assessment Commission, as delegate for the NSW Minister for Planning and Infrastructure, granted approval for the project under Section 75J of the Environmental Planning and Assessment Act 1979, subject to conditions, on 4 July 2012 (Approval 06_0220). The project involves the construction and operation of a landfill comprising five cells, each cell with a maximum volume of 211,000m³. The work under this contract comprise the construction of the initial Cell 1 plus associated infrastructure; including the Leachate Pond, Sedimentation Basin and Dry Basin, sized for all five cells. AECOM has been engaged by Council to prepare a Construction Quality Assurance Plan (CQAP) to define the construction quality assurance requirements and procedures necessary to demonstrate compliance with the Contract Documents. This plan forms part of the project's Construction Environmental Management Plan (CEMP) as shown in Figure 1. Figure 1 Environmental Management Structure 1.2 Purpose The purpose of this CQAP is to define, for the Works, the construction quality assurance requirements and procedures necessary to demonstrate compliance with the Contract Documents. The CQAP must be read in conjunction with the Contract Documents. The CQAP addresses the following requirements: - Describes the roles, responsibilities and qualifications/experience of the parties involved in delivering construction quality assurance. - Sets out the proposed testing, inspection and verification procedures to demonstrate that materials and constructed features at the landfill comply with the approved designs and specifications. - Specifies the frequency of testing, test methods, laboratories, accreditations, applicable specifications and quality standards, data evaluation, acceptance and rejection criteria and remedial measures to be taken in the event of failure. 1.3 Scope of Work The scope of work to be undertaken under the Contract includes the following: - Site establishment. - Topsoil stripping and stockpiling. - Site clearing and grubbing. - Excavation (and temporary stockpile) and re-profiling of existing landfill surface to achieve the landfill base liner and storage basin subgrade levels. - Subgrade preparation works. - Construction of a low permeability landfill base liner comprising clay fill and high-density polyethylene (HDPE) layers. - Construction of a landfill leachate collection system comprising of slotted HDPE pipework, drainage gravel and geotextile layers. - Construction of a Leachate Storage Pond using embankment fill materials with a low permeability base liner comprising clay fill and HDPE liner layers. - Installation of leachate gravity and rising mains from the landfill to the Leachate Pond. - Construction of a Sedimentation Basin and Dry Basin using embankment fill materials. - Construction of basin inlet channels, overflow spillways and outlet dissipation structures. - Construction of clean and dirty water drainage channels with rock rip-rap and shotcrete lining where required. - Construction of landfill perimeter and access roads. - Topsoiling and vegetation of drainage channels and embankment batters, as required. - Site clean-up and restoration works. 2.0 Roles and Responsibilities 2.1 Responsible Parties Principal Armidale Dumaresq Council (ADC) Superintendent (ADC): …………………………………………………………………………………………….. Phone: ………………………..………… E-mail: ……………………………………………….. Design Engineer AECOM Contact: …………………………………………………………………………………………….. Phone: ………………………..………… E-mail: ……………………………………………….. Site Superintendent / Super i n ten d ent ’ s Representative (ADC) Contact: …………………………………………………………………………………………….. Phone: ………………………..………… E-mail: ……………………………………………….. CQA Engineer ……………………………………………………………………………………………………….. Contact: …………………………………………………………………………………………….. Phone: ………………………..………… E-mail: ……………………………………………….. Contractor ……………………………………………………………………………………………………….. Contractor's Site Representative: …………………………………………………………………………………………….. Phone: ………………………..………… E-mail: ……………………………………………….. Geotechnical Testing Authority ……………………………………………………………………………………………………….. Contact: …………………………………………………………………………………………….. Phone: ………………………..………… E-mail: ……………………………………………….. Regulatory Authority NSW Environment Protection Authority Contact: …………………………………………………………………………………………….. Phone: ………………………..………… E-mail: ……………………………………………….. 2.2 Definitions Approval Authority Contract Documents Construction Quality Control (CQC) Construction Quality Assurance (CQA) Contractor CQA Engineer Design Engineer Geotechnical Testing Authority (GTA) Leak Detection Consultant (LDC) Principal Regulatory Authority Minister for Planning and Infrastructure. All Contract related drawings, specifications and plans including approved design modifications, relevant standards, licences and permits and Contract. Quality control activities and testing undertaken by the Contractor to ensure that the Works meet the specification. All activities and testing undertaken by or for the CQA Engineer to assure the Principal that the Contractor is constructing the Works in accordance with the specification. Engaged by Armidale Dumaresq Council to undertake the construction of the landfill cell. Suitably qualified professional responsible for observing and monitoring completion of the construction quality assurance for the Works. AECOM Suitably qualified firm, engaged by the Contractor, responsible for conducting all CQC testing required by the Technical Specification and the CAQP. Suitably qualified firm, engaged by the CQA Engineer to test for leakage of the completed impermeable liners. Armidale Dumaresq Council. Authority responsible for licensing the Works. Superintendent Person named in the contract to exercise the functions of the Superintendent under the contract and his or her appointed representatives. 2.3 CQA Responsibilities The roles and responsibilities for key personnel necessary for the implementation of the CQAP are defined below: 2.3.1 Principal The Principal shall ensure suitably qualified personnel are engaged for the Superintendence and CQA Engineer roles during the construction period. 2.3.2 Design Engineer At the request of the Principal, the Design Engineer will undertake periodic on-site inspections of critical design elements during construction of the Works to ensure that the Works are constructed in accordance with the design documentation and intent. Following each inspection, the Design Engineer shall prepare an inspection report to the Site Superintendent, outlining any recommended remedial works or additional testing to be undertaken. The Design Engineer shall not instruct or issue directions to the Contractor. 2.3.3 Superintendent The Superintendent is appointed by the Principal to administer the contract terms and conditions under the Contract including all CQC/CQA responsibilities. 2.3.4 Site Superintendent The Site Superintendent (or Superintendent's Representative) is appointed by the Superintendent to manage the day-to-day Superintendence roles and responsibilities on site including all CQC/CQA functions under the Contract. All coordination, reporting and issues related to non-compliance shall be directed through the Site Superintendent. At any stage throughout the Works, the Site Superintendent also may arrange for independent testing or surveying to be carried out. If that testing reveals that any of the Works are found to be not compliant with the Contract, the Site Superintendent will instruct the Contractor to undertake rectification of the non-compliant items and conduct retesting in accordance with the Contract. 2.3.5 CQA Engineer The Principal shall engage an independent Construction Quality Assurance (CQA) Engineer to verify and report on all CQA matters. The CQA Engineer will conduct additional CQA compliance monitoring, observation, testing and documentation as required on behalf of the Principal. The CQA Engineer shall be a professionally qualified civil or geotechnical engineer and shall have at least 5 years of experience in landfill design and construction, and be currently practising competently in this field. The CQA Engineer or an accredited Monitor (refer to Section 2.3.6) should be present at the site during the construction of the landfill and leachate pond impermeable barriers, and should be present when all samples are taken for the testing of construction materials. The CQA Engineer shall be certified to AS/NZS ISO 9001 – 2000. The CQA Engineer shall be responsible for assessing the compliance of the completed Works with the Contract Documents. This shall involve a range of activities that are described in this CQAP. Generally, the tasks will include: - Review the Contract Documents, including any addendums and the CQAP. - Review and recommend rejection or approval of site-specific documentation including Contractor submittals, work as executed surveys, manufacturers' information, installer's information and referenced standards. The Site Superintendent shall make the final decision on approval or disapproval of submittals. - Verify construction is performed in accordance with the Contract Documents. - Attend required meetings. - Coordinate CQA Monitor(s) to observe CQC activities. - Educate CQA Monitor(s) on site specific CQA/CQC requirements and procedures. - Appoint and direct a Leak Detection Consultant (see Section 4.4.2). - Witness, or arrange to have witnessed, all material sampling and testing undertaken by the Contractor. - Verify calibrations of CQC testing equipment are correctly performed and recorded. - Verify that CQC tests are properly performed and recorded and the results meet specified requirements. - Review the qualifications of any subcontractors or personnel employed on the site after commencement of the Works to verify conformance with the Contract Documents. - Review warranty submittals to verify compliance with the specified warranty requirements. - Verify that the Contractor is following the approved CQCP. - Observe the Contractor's performance of the Works and review of the Contractor's quality control documentation against the requirements of the Contract Documents. - Procuring any additional independent CQA compliance testing and documentation required to ensure conformance with the Contract. - Providing timely notification to the Site Superintendent of the conformance and non-conformance of works that are subject to third-party quality assurance. - Arrange for the inspection of Witness Points important for CQA. - Advice the Site Superintendent on the release of Hold Points as required. The Site Superintendent shall make the final decision on the release of Hold Points. - Report any unapproved deviations from the CQAP to the Site Superintendent. - Note any activities that could result in damage to installed Works. - Prepare and maintain required CQA documentation. - Review as-executed drawings at each stage of completed works. - Prepare the Construction Quality Assurance Report in accordance with Section 5.0. The CQA Engineer is to work with the Site Superintendent to determine whether sufficient evidence has been provided to adequately document that the Works comply with the requirements of the Contract Documents. The CQA Engineer shall not issue directions to the Contractor. 2.3.6 CQA Monitor The CQA Engineer will train and instruct the Site Superintendent and/or another person designated by the Principal, to act as CQA Monitor(s) on behalf of the CQA Engineer to provide a basis for concluding that the Works conform with the Contract Documents. The CQA Monitor shall be assigned to every major construction activity related to the construction of the Works and be on-site during the relevant activities. 2.3.7 Contractor The Contractor shall arrange and perform all inspection and CQC testing of the completed works in accordance with the minimum requirements set out in the Technical Specification and the CQAP. Copies of all test results shall be sent to the Site Superintendent within 24 hours of becoming available to the Contractor. The minimum testing frequencies shall be as nominated within the various parts of the Technical Specification. The Contractor shall provide the CQA Engineer with reasonable access to the site at all times and shall cooperate with the CQA Engineer. The Contractor shall provide samples to the CQA Engineer (where required) to enable the CQA Engineer to fulfil its obligations under the CQAP and as may be reasonably requested by the Site Superintendent. The Contractor may engage sub-contractors to perform specialist trade packages in accordance with the Contract (e.g. Geosynthetic Installation Sub-Contractor). 2.3.8 Geotechnical Testing Authority The Geotechnical Testing Authority is a firm independent from the Contractor, appointed by the Contractor and approved by the Site Superintendent and CQA Engineer. The GTA shall be responsible for conducting all testing as outlined in in the Technical Specification and the CQAP, or as otherwise directed by the Site Superintendent. Testing shall be in accordance with AS3798-2007 Level 1 Sampling and Testing. The GTA shall be responsible for providing all CQC test results as outlined in in the Specification and the CQAP. The GTA shall be accredited by the National Association of Testing Authorities (NATA) for the tests contained within the specification and other tests as required by the Site Superintendent. 3.0 General CQAP Requirements 3.1 General The completed Works shall conform in all respects with the requirements of the Drawings and Technical Specification. The CQAP will be used by the Principal to check that the Works are undertaken in a manner that demonstrates compliance with the Contract Documents. General CQAP requirements as specified in the Technical Specification for the Works are outlined below. 3.2 Meetings and Communication To guarantee the quality of the Works, and to ensure a final product that meets all relevant specifications, clear and open channels of communication are essential. The Site Superintendent shall co-ordinate communications for the project, initiating the project inception and construction progress meetings. The Site Superintendent shall document all meetings and minutes of those meetings shall be distributed to all parties. The Site Superintendent shall regularly liaise with parties involved in the project to ensure that communications are maintained. Construction and design issues shall be reviewed on an as-needed basis and shall be resolved and documented by the Site Superintendent. 3.2.1 Project Inception Meeting A project inception meeting shall be held prior to the commencement of the Works. Representatives from the Principal, Site Superintendent, CQA Engineer, Contractor, Design Engineer and any other attendees nominated by the Site Superintendent shall attend the meeting. The project inception meeting shall be used to reach alignment on the scope, purpose and required outcomes from performance of the works. The agenda of the project inception meeting will be nominated by the Site Superintendent and should include: - Overview of the project, with a focus on method and schedule. - Design intent. - Review of the Construction Program. - Review any appropriate modifications to the CQA requirements. - Review the responsibilities of all parties. - Review of the lines of authority and communication; - Review of any revisions or amendments to the design. - Contractor queries on design documentation. - Constructability issues. - Safety hazard exposure during performance of the Works. - Mechanisms for approvals of completed works. The project inception meeting shall be conducted at a suitable location to be determined by the Principal. The meeting shall be minuted by the Site Superintendent and the minutes shall be copied to all parties. 3.2.2 Environmental Awareness Induction Before a person is permitted to commence work or visit the site, including contractors, they will be given a site induction, which includes to safety, environment, quality and community content relevant to the site and the construction activities. The induction will ensure that all workers and others are aware of their environmental obligations and required mitigation measures within the landfill site. The induction will be delivered by the Contractor's representative, or delegate, and will include: - General site awareness, including site access, hours of work, and any relevant Council policies/rules. - Familiarisation with the requirements of the CEMP. - Environmental emergency response training and incident management and reporting process. - Health and safety measures (including the specific Safety Plan provided by the contractor). - Familiarisation with site environmental issues and their controls (for example heritage and ecology) as identified in the CEMP. In particular: - Measures pertaining to the Biodiversity Offset Area and key threatened species known to occur on the site (i.e. Little Eagle); - Avoidance of GL ISO2 Aboriginal heritage site; - Noise minimisation techniques; - Sediment and erosion control measures; and - Environmental incident reporting protocols. 3.2.3 Progress Meetings Regular on-site progress meeting shall be held for the duration of the Works. Attendees will include the Site Superintendent, CQA Engineer, the Contractor, and any other personnel deemed essential. The purpose of these meetings is to discuss progress, planned activities for the next period, issues requiring resolution, and any revisions to the Works. The CQA Engineer shall report any CQA issues and deficiencies noted during the previous period. The Progress Meeting will consider: - Current progress against programme - Scheduled activities for the next period - Quality of installations to date - Issues requiring resolution - Revisions or amendments to the work or programme. If any matter remains unresolved at the end of this meeting, the Site Superintendent shall be responsible for the resolution of the matter and the communication of the decision to the appropriate parties. The Site Superintendent shall minute the progress meetings and shall provide each a copy of the minutes to the Principal and the Contractor within 7 days of each meeting. The Site Superintendent may direct additional progress meetings to be undertaken, as necessary to provide direction to the Contractor in respect of its performance of the Works in accordance with the construction program. 3.2.4 Special Meetings The Site Superintendent may direct additional site meetings to be conducted as required to discuss major problems or deficiencies and to formulate comprehensive solutions. 3.3 Hold and Witness Points 3.3.1 General The Contractor shall observe Hold Points and Witness Points identified in the Technical Specification. The definitions of Hold Points and Witness Points are provided in the table below. Table 1 Definition and Application of Hold Points and Witness Points \| \| Type \| Definition and application \| \|---\|---\|---\| \| Hold Point \| \| \| \| Witness Point \| \| \| The Contractor shall not proceed with any of the works affected subsequent to any hold point prior to receiving the written direction of the Site Superintendent to proceed. The Contractor shall provide all documentation required to demonstrate that the works subject to the hold point have been undertaken in accordance with the Contract. Where not stated otherwise, the Contractor shall notify the Site Superintendent not less than 2 days prior to undertaking any works that follow a witness point. The Contractor may undertake works subject to a witness point, whether or not the works have been witnessed by the Site Superintendent, provided that the notification period has elapsed. 3.4 Design Engineer's Requirements The Design Engineer will make on-site inspections of critical design elements as part of their regular monthly meeting. The Principal may require the Design Engineer to be on site during the following activities if their specialist advice is needed. - Landfill cell subgrade construction - Compacted clay liner construction - Installation of HDPE geomembrane liner - Installation of leachate collection and conveyance system - Leachate Pond, Sedimentation Basin and Dry Basin construction - Completed works. 3.5 Regulatory Authority Requirements The Regulatory Authority shall also be provided with the opportunity to observe key elements of the Works during construction, as listed above. 3.6 Independent CQA Conformance Testing 3.6.1 General The Site Superintendent may direct the CQA Engineer to conduct additional independent CQA monitoring, observation, testing and documentation on behalf of the Principal. The Contractor shall cooperate fully with the Site Superintendent, CQA Engineer and all QA representatives during this process and shall assure, at all times, safe access to the Works for the purpose of monitoring, observation and CQA implementation. If that testing reveals that any Works are found to be not compliant with the Contract, the Contractor shall undertake rectification of the non-compliant items and conduct retesting in accordance with the Contract. 3.6.2 CQA Conformance Sampling CQA conformance samples shall be collected at locations designated by the CQA Engineer. The CQA Engineer shall collect CQA conformance samples and ensure they are collected, cut, labelled, and packaged in accordance with the Contract Documents and/or CQA Plan. CQA Conformance Testing. Except for field tests, all CQA conformance testing shall be undertaken by authorities accredited by the National Association of Testing Authorities (NATA) to test in the relevant field. CQA testing to be performed is outlined in Section 4.0 below. 3.6.3 CQA Conformance Results The CQA Engineer shall verify the following when reviewing CQA conformance test results: - Borrow soils used for CQA conformance testing are identical to the materials used for full-scale construction; - The correct conformance tests have been performed and specified test procedures have been used; and - Test results meet the requirements of the Contract Documents. The CQA Engineer shall immediately notify the Site Superintendent of problems with CQA conformance testing procedures or non-compliance of conformance test results. 3.6.4 Non-Conformance and Corrective Action Procedures All non-conformances that arise from CQA compliance testing shall be duly noted and appropriately recorded by the CQA Engineer, in the form of a non-conformance report, and made available to the Site Superintendent within 24 hours. Where a non-conformance occurs, the non-conformance report is to include the following information: - The location of the non-conformance; - The time of the non-conformance; - The time that the CQA Consultant was made aware of non-conformance; - The suspected cause of the non-conformance; and - A description of the resulting impacts of the non-conformance. The Site Superintendent, in consultation with the CQA Engineer, shall prepare a corrective action plan to address the non-conformance. The corrective action plan shall address the following: - The nature of the non-conformance and its level of effect on the project; - Determination if the non-conformance is an isolated incident or a recurring problem; - The nature of corrective action to be applied to rectify that specific non-conformance (e.g. recompaction and testing); - How amendments to procedures to prevent future occurrences of the non-conformance will be implemented. 3.7 Contractor's CQC Documentation and Reporting 3.7.1 General When the Works are completed, the following CQC documentation must be provided by the Contractor: - "Work as Executed" surveys and drawings in accordance with the Technical Specification. - Construction Verification Report prepared by the Contractor/GTA including all material test certificates and results in accordance with Section 3.7.2. - A hand-marked copy of the Drawings and Technical Specification, which clearly identifies all changes to the scope and/or details of the works, as required to accurately reflecting the asconstructed status of the completed works. - Site inspections and construction records for all compacted fill. - Photos taken of all critical work areas and phases during the construction works. 3.7.2 Construction Verification Report At the completion of the works, the Contractor shall provide a Construction Verification Report (based on CQC results from the GTA) for all aspects relating to the geotechnical and material parameters and testing required in the CQAP. The Construction Verification Report shall include the following: - Details of the works and monitoring devices installed, including surveys, work as-executed drawings and an updated site plan showing the location of the Works. - Records from the GTA giving details of the works progress, the rate of liner or capping deployment, and any remedial actions that were taken. - A plan of geomembrane panel deployment, showing locations of defects, repairs and tests photographs of all aspects and stages of the construction. - Results of the leak detection testing. - Details and results of all material testing, including data and certifications provided by manufacturers of supplied materials. - Details of all non-conformance reports and associated sign-off of corrective action by the CQA Engineer/Site Superintendent and the Contractor. 3.8 CQA Documentation and Reporting The CQA Engineer shall provide the following documentation to the Principal and the Site Superintendent in relation to its quality assurance activities: - Records of its attendance on site, the Contractor's activities on the day(s) of attendance and the weather conditions. - Weekly reports, or otherwise at a frequency agreed with the Site Superintendent, that detail the following: - The rate of clay liner placement; - The area of the lining system deployed; - The joins and seams completed (including the relevant inspection and testing); - Conformance and/or non-conformance of the Contractor's activities with the Technical Specification. - A report detailing any non-conformance, as soon as the CQA Engineer becomes aware of a nonconformance or possible non-conformance with the Technical Specification, whether through its review of the Contractor's inspection and testing or its own. - Weekly reports detailing the conformance and/or non-conformance of the Contractor's work methods and/or completed works and any requirement for corrective action by the Contractor. - NATA accreditation certificates for all tests performed. - A CQA Report that summaries all of the above reporting and incorporates all documentation compiled by the CQA Engineer in the performance of its activities. 4.0 Construction Quality Assurance Requirements Quality assurance measures must be implemented to verify that critical features of the landfill are constructed according to the Drawings and Technical Specification (refer Appendix A). The CQA Engineer shall observe the Contractor's performance of all critical works, undertake third-party review of the Contractor's construction quality control and shall perform independent laboratory testing of materials and workmanship in accordance with the CQAP. The specific CQA requirements for the following key construction works associated with the landfill liner system, leachate storage pond and stormwater drainage/management works are outlined in this plan: - General earthworks; - Compacted clay liner; - Geomembrane liner; - Leachate gravel drainage layer; and - Geotextile layers. 4.1 General Earthworks The CQA Engineer shall verify the CQA requirements described below for general earthworks construction: Weather Conditions - Verify that earthworks do not occur during periods of excessive rain, freezing temperatures, or if other detrimental weather conditions exist. Excavation - Monitor the areas to being excavated to determine whether the material being extracted conforms to the requirements of the specification and is as forecast by previous geotechnical investigations. - Obtain advice from a geotechnical engineer and/or the Design Engineer if conditions vary substantially from those anticipated to occur. Subgrade Preparation During subgrade preparations verify the following: - The subgrade is smooth, free of voids, and composed of satisfactory materials. - The subgrade is compacted and proof rolled as specified. - The subgrade surface is scarified as specified prior to placement of the first lift of fill. Materials - Check CQC borrow test results to verify that the borrow material is uniform and matches the required properties given in the Technical Specification (refer Appendix A) and based on the Geotechnical Report and Maps (refer Appendix B). - Advise the Site Superintendent about the need to do additional borrow source assessment testing if the properties of a borrow source appear to have changed significantly. Filling During filling works, verify the following: - Slippage of filling and compaction equipment is not occurring on batter. - Loose and compacted lifts are no greater than the specified maximum allowable thickness. - Fill contains no large clods or other prohibited material. - The moisture of the fill is managed during placement to ensure the required moisture content level is achieved. Construction Testing Verify the following during testing of the in-place fill: - Observe the Contractor's placement method for conformance with the Technical Specification. - Confirm that the Contractor's inspection and testing of the compacted clay layer conforms to the testing frequency required by the Technical Specification. - CQC moisture content and density tests are performed at the specified frequency in accordance with the Technical Specification. - Additional CQC tests are taken where test results are not in compliance with the Contract Documents or the fill is visibly suspect. - The Contractor performs corrective action as a result of failed tests in compliance with the Contract Documents and submits documentation describing the measures taken. - The Contractor uses nuclear gauges in the direct transmission mode in conjunction with laboratory testing to measure density. Protection - Ensure the Contractor removes puddles and excess moisture from the fill surface prior to placement of additional fill. - Inspect areas of erosion after each rainfall event. - Inspect areas for damage due to freezing and/or desiccation. Repairs - Ensure the Contractor repairs damaged areas and re-establishes grades. - If a fill layer does not conform to the Contract Documents, assist the Site Superintendent in defining the extent of the area requiring repair. This shall be done through the use of additional testing and visual inspection. - After repairs have been made, ensure sufficient CQC retests are performed to verify that the repaired areas are now conforming. 4.2 Compacted Clay Layer In addition to the CQA inspection requirements described in Section 4.1 of this CQA Plan, the CQA Engineer shall verify the following during compacted clay layer works: - Witness the clay liner field trials undertaken by the Contractor prior to the works to assess the performance of the proposed clay liner material under compactive effort and to establish relationships between dry density, moisture content and hydraulic conductivity. - Confirm the construction is in accordance with the clay liner field trial results. - Procure independent CQA compliance testing for compacted clay liner in accordance with the test methods and conformance criteria and minimum test frequency provided in the table below. Table 2 Minimum CQA Testing and Frequency of Clay Fill Liner Compaction \| Material \| Test \| \| Minimum Test Frequency \| \| \|---\|---\|---\|---\|---\| \| \| \| \| Pre Construction \| During Construction \| \| \| \| \| (Compliance) \| \| \| \| \| \| At Source \| At Site \| \| Clay Fill Liner \| Remoulded Permeability AS1289 6.7.1 \| 1 per 5 CQC tests \| \| N/A \| \| \| Liquid Limit AS1289 3.1.1 \| 1 per 5 CQC tests \| \| N/A \| \| \| Plasticity Index AS1289 3.2.1 \| 1 per 5 CQC tests \| \| N/A \| \| \| Particle Size Distribution AS1289 3.6.1 and AS1289 3.6.3 \| 1 per 5 CQC tests \| \| N/A \| \| \| Emerson Class AS12220.127.116.11 \| 1 per 5 CQC tests \| \| N/A \| \| \| Standard Compaction Test AS 1218.104.22.168 AS 1222.214.171.124 or AS 12126.96.36.199 \| N/A \| \| 1 per 5 CQC tests \| \| \| Moisture Content AS 12188.8.131.52 or AS 12184.108.40.206 \| N/A \| \| 1 per 5 CQC tests \| \| \| In-situ Permeability (Undisturbed) AS1289 6.7.3 \| NA \| \| 1 per 10 CQC tests \| - Ensure no further material is placed on the Clay Liner surface until proof rolled and approved by the Site Superintendent. - Ensure the finished surface is free of any stones, defects or imperfections that may puncture or damage to the overlying layers other objects which could puncture or damage the geomembrane layer. - Ensure the compacted fill layer does not dry out after compaction and cause shrinkage cracks in the compacted clay. Should any desiccation cracking occur it shall be repaired prior to additional fill placement. Clay liners that will exposed for more than 7 days before placement of overlying materials should be covered to prevent them from drying out. 4.3 Geosynthetic Clay Liner 4.3.1 General The CQA Engineer shall undertake the CQA requirements described below for GCL installation: - Witness the entire works required for installation of the GCL. - Ensure the Contractor does not deploy the GCL during wet conditions, including during fog, or when there is excessive ground moisture like heavy dew or when high winds or other adverse climatic conditions exist. - Review the manufacturer's quality assurance documentation and test certificates for conformance with the Technical Specification and report any discrepancies. - Observe the packaging and identification of the GCL and the Contractor's methods for transport, handling and onsite storage of the materials for conformance with the Technical Specification. - Review the Contractor's method for panel nomenclature and roll traceability and confirm that panel and roll numbers are properly recorded in the Contractor's documentation. - Observe the Contractors roll storage methodology and ensure the Contractor is protecting the rolls from weather exposure during storage. - Confirm that the surface preparation for GCL installation is performed in accordance with the Technical Specification. - Observe the Contractor's GCL installation for conformance with the Technical Specification and confirm that the installation proceeds in accordance with the Contractor's GCL layout plan. - Observe the Contractor's overlap methods for conformance with the Technical Specification, including the use of bentonite paste. - Review the Contractor's installation records and confirm the accuracy of those records in relation to the completed work. - Observe the Contractor's repair of non-conforming work, defects and damage for conformance with the Technical Specification. The CQA Engineer shall undertake CQA testing and inspections on the GCL material delivered to the site and during installation at the maximum test frequency specified in the table below. Table 3 Minimum CQA Testing and Frequency of GCL \| Physical Property \| Test Method \| \| Minimum Test Frequency \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| Pre-Construction \| \| Delivered \| \| \| \| \| (Compliance) \| \| (CQA Conformance) \| \| Strip Tensile Strength (roll direction) \| ASTM D6768 \| 1 test per 10,000 m2 \| \| N/A \| \| \| CBR Elongation (both directions) \| AS3706.4 \| \| \| \| \| \| Permeability \| ASTM D5887 \| \| \| \| \| \| Swell Index \| ASTM D5890 \| \| \| \| \| \| Peel Strength \| ASTM D6496 \| \| \| \| \| \| Total Mass per Unit Area \| \| \| \| \| \| \| Visual inspection of GCL \| Tears, punctures, abrasions, indentations, thin spots,, or other faults in the material \| N/A \| \| Every roll \| \| 4.4 Geomembrane Liner 4.4.1 General The CQA Engineer shall undertake the CQA requirements described below for geomembrane installation: - Witness the entire works required for installation of the geomembrane. - Ensure the Contractor does not deploy geomembrane during wet conditions, including during fog, or when there is excessive ground moisture like heavy dew or when high winds or other adverse climatic conditions exist. - Review the manufacturer's quality assurance documentation and test certificates for conformance with the Technical Specification and report any discrepancies. - Observe the packaging and identification of the geomembrane and the Contractor's methods for transport, handling and onsite storage of the materials for conformance with the Technical Specification. - Review the Contractor's method for panel nomenclature and roll traceability and confirm that panel and roll numbers are properly recorded in the Contractor's documentation. - Confirm that the surface preparation for geomembrane installation is performed in accordance with the Technical Specification. - Observe the Contractor's geomembrane installation for conformance with the Technical Specification and confirm that the installation proceeds in accordance with the Contractor's geomembrane layout plan. - Observe the Contractor's field seaming methods for conformance with the Technical Specification. - Observe the Contractor's non-destructive testing of geomembrane field seams and identify conformance or non-conformance of each field seam with the Technical Specification. - Confirm that the Contractor's destructive testing of the geomembrane conforms to the Technical Specification in respect of the testing frequency and results. - Undertake destructive testing of geomembrane field seam samples provided by the Contractor to identify conformance or non-conformance with the Technical Specification. The test methods, conformance criteria and minimum testing frequency shall be in accordance with the table below. - Review the Contractor's installation records and confirm the accuracy of those records in relation to the completed work. - Observe the Contractor's repair of non-conforming work, defects and damage for conformance with the Technical Specification. The CQA Engineer shall undertake CQA testing and inspections on the geomembrane material delivered to the site and during installation at the minimum test frequency specified in the table below. Table 4 Minimum CQA Testing and Frequency of Geomembrane Liner \| Physical Property \| Test Method \| \| Minimum Test Frequency \| \| \|---\|---\|---\|---\|---\| \| \| \| \| Pre Construction \| During Construction \| \| \| \| \| (Compliance) \| \| \| Thickness \| ASTM D 5994 \| 1 test per roll \| \| N/A \| \| Density \| ASTM D 792 \| \| \| \| \| Carbon Black Content (range) \| ASTM D 1603 \| \| \| \| \| Carbon Black Dispersion (rating) \| ASTM D 5596 \| \| \| \| \| Tensile Properties (each direction): Strength at Yield Strength at Break Yield Elongation Break Elongation \| ASTM D 638 (50 mm/min) \| \| \| \| \| Tear Resistance \| ASTM D 1004 \| \| \| \| \| Physical Property \| Test Method \| \| Minimum Test Frequency \| \|---\|---\|---\|---\| \| \| \| \| Pre Construction \| \| \| \| \| (Compliance) \| \| Stress Crack Resistance \| ASTM D 5397 \| 1 test per 10,000m2, or resin type or manufacturing run. Note – Due to lead time OIT test samples from actual production batch to be supplied by manufacturer to Contractor and submitted to an independent NATA accredited laboratory for testing and the test results forwarded to the CQA Engineer. \| \| \| Oxidative Induction Time (OIT) \| ASTM D 5397, ASTM D 3895, ASTM D 5885 \| \| \| \| Start-up Test Weld - Welding equipment \| \| N/A \| \| \| Start-up Test Weld - Weld conditions \| \| N/A \| \| \| Destructive weld testing – on-site, hand tensiometer in peel and shear \| ASTM D 6392 \| N/A \| \| \| Destructive weld testing – off-site – weld seam strength in peel and shear \| ASTM D 6392 \| N/A \| \| \| Non-destructive weld testing \| Air pressure test – ASTM D 5820 Vacuum box rest – ASTM D 5641 \| N/A \| \| \| Physical Property \| Test Method \| Minimum Test Frequency \| \|---\|---\|---\| \| \| \| Pre Construction \| \| \| \| (Compliance) \| 4.4.2 Geomembrane Leak Location Survey The Leak Detection Consultant (LDC) shall carry out a Geomembrane Leak Location Survey (GLLS) in accordance with ASTM D7007 / ASTM D6747 after the leachate drainage layer has been placed on the new landfill cell. The Contractor will provide attendance on the LDC and will be responsible for preparing the site for survey. This will entail the following: - Providing the LDC with drawings that show: - All layers constituting the lining system and details of all liner penetrations - Plan of the survey area - Peripheral details, including welds to adjacent lining systems - Structures and obstructions above the liner - Electrical equipment above the geomembrane. - Install any necessary electrodes. - Coordinate with the LDC to provide a survey area lined that is electrically isolated from the surrounding ground (i.e. the cover soil is not tied into the ground surface outside of the cover area). Isolation can be accomplished by open trenching or installation of a non-conductive insulator such as the liner materials. - Provide the leak detection consultant with the liner installation schedule. - Provide a water truck and driver, and wet the survey area prior to and during the dipole survey to ensure that there is adequate moisture in the material(s) covering the geomembrane for the dipole leak detection testing. To detect a leak, moisture must exist in the leak and be in contact with moisture in the materials above and below the liner. Therefore, the material(s) covering the geomembrane must be moistened with water prior to conducting the leak detection survey. In order to achieve uniform moisture distribution, the Contractor shall add water as the investigation progresses on and within cover layer(s). A water truck must be available at all times as it may be necessary to wet the surface just in advance of the survey, as deemed necessary by the leak detection consultant. - The calibration process requires clearing a hole down to the surface of the geomembrane to place the artificial leaks. The Contractor is to provide hand labour to excavate the cover down to the geomembrane. Rehydrate the gravel as it is backfilled over the artificial leaks. The Contractor is also responsible for backfilling the calibration hole, and uncovering and retrieving the artificial leak apparatus, and backfilling the hole appropriately, including patching any intervening geotextiles. - Several calibration exercises may be required, and the Contractor must be prepared to assist with each survey. - The Contractor shall uncover and expose any leaks detected by the LDC for repair by the installer in accordance with the Technical Specifications. - The LDC is responsible for calibrating all equipment utilised to achieve optimum data quality and sensitivity for the site conditions. - All work shall be performed in accordance with current industry and ASTM standards. - Manual measurements shall be made to verify leak signals after data analysis and to pinpoint the leak positions on top of the Leachate Drainage Layer for excavation while the survey personnel are on site. The Contractor shall hand excavate possible leak locations to expose the liner. - Additional manual measurements may be made to guide the Contractor's personnel while they excavate the leak. - After the identification and excavation of a leak, the soil around the leak location shall be tested while the leak is uncovered and cleaned to check for adjacent leaks. - Leak locations shall be logged, visibly marked, and reported for repair. - The LDC shall report the general results of the survey to the Site Superintendent, Contractor and CQA Engineer during the daily progress of the field work. - Prior to the demobilisation of the survey personnel from the site, the LDC shall submit a list of locations of the leaks detected to the Site Superintendent, Contractor and CQA Engineer. - The LDC shall submit a letter report documenting the field work and results of the surveys to the Site Superintendent, Contractor and CQA Engineer within 14 days after completion of the field work. 4.5 Leachate Gravel Drainage Layer The CQA Engineer shall undertake the CQA requirements described below for the leachate gravel drainage layer construction: - Have witnessed the placement of the drainage layer material. - Review the Contractor's quality assurance documentation and test certificates for conformance with the Technical Specification and report any discrepancies. - Observe the Contractor's placement method for conformance with the Technical Specification. 4.6 Geotextile Layers The CQA Engineer shall undertake the CQA requirements described below for the separation and protection geotextile installation: - Witness or have witnessed the placement of the geotextile layers. - Review the manufacturer's quality assurance documentation and test certificates provided by the Contractor for conformance with the Technical Specification and report any discrepancies. - Observe the packaging and identification of the geomembrane and the Contractor's methods for transport, handling and onsite storage of the materials for conformance with the Technical Specification. - Confirm that the surface preparation for geotextile installation is performed in accordance with the Technical Specification. - Observe the Contractor's geotextile installation for conformance with the Technical Specification. - Observe the Contractor's field joining methods for conformance with the Technical Specification. - Observe the Contractor's repair of non-conforming work, defects and damage for conformance with the Technical Specification. - Ensure the Contractor has adequate loading placed over the entire completed filter geotextile surface following installation to prevent uplift by wind, until landfill waste is placed within the landfill cell. The CQA Engineer shall undertake CQA testing and inspections on the Separation and Protection Geotextile material shipped to the site and during installation at the minimum test frequency specified in the table below. Table 5 Minimum CQA Testing and Frequency of Separation Geotextile \| \| \| \| Pre Construction \| During \| \|---\|---\|---\|---\|---\| \| \| \| \| (Compliance) \| Construction \| \| Trapezoidal Tear \| AS 3706.3 \| 1 test per 10,000m2 \| \| \| \| CBR Burst Strength \| AS 3706.4 \| 1 test per 10,000m2 \| \| \| \| Grab Tensile Strength \| AS 3706.2 \| 1 test per 10,000m2 \| \| \| \| Flow Rate (separation geotextile) \| AS 3706.9 \| 1 test per 10,000m2 \| \| \| \| Ultraviolet Stability \| AS 3706.11 \| 1 test per 10,000m2 \| \| \| Table 6 Minimum CQA Testing and Frequency of Protection Geotextile \| Property \| Test Method \| \| \| \| \|---\|---\|---\|---\|---\| \| \| \| \| Pre Construction \| During \| \| \| \| \| (Compliance) \| Construction \| \| Thickness \| AS 3706.1, AS 2001-2.15 \| 1 test per 2,500m2 \| \| \| \| Mass per unit area \| AS 3706.1, AS 2001-2.13 \| 1 test per 2,500m2 \| \| \| \| Trapezoidal Tear \| AS 3706.3 \| 1 test per 5,000m2 \| \| \| \| CBR Burst Strength \| AS 3706.4 \| 1 test per 5,000m2 \| \| \| \| Grab Tensile Strength \| AS 3706.2 \| 1 test per 5,000m2 \| \| \| \| Visual inspection of geotextile \| Colour, thickness, tears, holes, punctures, needle- punching, presence of needles or broken needles, and other faults in the material. \| N/A \| \| \| \| Thickness of geotextile \| On-site \| N/A \| \| \| 5.0 Construction Quality Assurance Report Following practical completion of the construction works, a CQA Report shall be prepared by the CQA Engineer in consultation with the Site Superintendent, giving details of the construction activities and the quality assurance measures that were implemented, utilising records prepared during construction. The report shall be retained as a permanent record of construction. The report is to provide details of the Works' construction and the quality assurance measures that were followed. The CQA Report is to be submitted by the Principal to the Regulatory Authority for approval before it can issue a permit to dispose of waste within the constructed landfill cell. The CQA Report shall contain the following key documentation: - A copy of the Contractor's Construction Verification Report in accordance with Section 3.7.2. - Diary records by the CQA Engineer giving details of the works progress, the rate of liner deployment, and any remedial actions that were undertaken. - Detailed photographs of all aspects and stages of the construction with the site designation, the date taken, the location, and a description of the activity covered by the photograph. - Details and results of all material testing, including data and certifications provided by manufacturers of supplied materials, any independent CQA testing and details of any Design Engineer/Regulatory inspections. - Confirmation that the CQAP was followed. - An account of all variations from the approved design, specifications and CQAP. - A declaration by the CQA Engineer that there is sufficient information to demonstrate that the landfill elements observed by the CQA Engineer were constructed in accordance with the approved contract documents, designs and specifications. AECOM Armidale Regional Landfill A Appendix A Technical Specification Revision E – 16-Nov-2016 AECOM Armidale Regional Landfill B-A Appendix B Geotechnical Assessment and Maps Revision E – 16-Nov-2016
To Our Clients and Friends Memorandum friedfrank.com Maintaining Privilege In Internal Investigations Into Criminal Conduct: SFO v ENRC Executive Summary On 5 September 2018, the English Court of Appeal handed down its judgment in the Serious Fraud Office ("SFO") v Eurasian Natural Resources Corporation Limited ("ENRC") case overturning the controversial first instance decision of Mrs. Justice Andrews concerning the application of legal professional privilege to communications produced during the course of internal investigations. 1 The first instance decision had raised concern that documents created during the course of internal investigations into potential criminal conduct (including bribery and corruption) may not be covered by litigation privilege if they were created prior to a prosecutor having decided that there was sufficient evidence to charge. The Court of Appeal has now overturned that decision, meaning that such documents may be protected by litigation privilege regardless as to whether a prosecutor has decided to pursue criminal proceedings. In order for litigation privilege to apply, the beneficiary will need to demonstrate that there was a reasonable prospect of a criminal prosecution, that legal advisers had been engaged to deal with that situation and that the documents were created for the dominant purpose of heading off, avoiding or settling the contemplated proceedings. In arriving at its decision, the Court of Appeal commented that "[i]t is…obviously in the public interest that companies should be prepared to investigate allegations […] prior to going to a prosecutor such as the SFO, without losing the benefit of legal professional privilege for the work product and consequences of their investigation. Were they to do so, the temptation might well be not to investigate at all, for fear of being forced to reveal what had been uncovered […]". 2 Background In December 2010, ENRC received allegations of fraud, bribery and corruption in connection with its Kazak-based operations from a whistle-blower. In response, ENRC instructed external legal counsel to investigate and report on the veracity of those allegations. The investigation included interviewing 80 employees, instructing forensic accountants to analyse the relevant accounting records and reviewing approximately 500,000 electronic documents and 89 binders of hard copy documents. During the course of the investigation, ENRC contacted the SFO to discuss the ongoing investigation and the potential to self-report. Following media reports, the SFO wrote to ENRC in August 2011 requesting that ENRC consider carefully the SFO's Self-Reporting Guidelines, but noted that the SFO was "not 1 [2017] EWHC 1017 (QB). 2 [2018] EWCA Civ 2006, 116. carrying out a criminal investigation into ENRC at [that] stage". In 2013, the relationship between ENRC and the SFO broke down and the SFO commenced a criminal investigation. As part of that investigation, the SFO requested that ENRC disclose various documents prepared during the course of ENRC's own internal investigation. ENRC refused to provide those documents, arguing that they were protected by legal professional privilege. Under English law, legal professional privilege is split into two types: advice privilege and litigation privilege. Advice privilege applies to confidential communications between a client and its lawyers (acting in their professional capacity) in connection with the provision of legal advice. Litigation privilege applies to communications between clients and their lawyers and third parties if the dominant purpose of that communication is in connection with existing or reasonably contemplated adversarial litigation. ENRC claimed that the following four categories of documents were privileged and, therefore, protected from disclosure: (i) 80 notes of interview between external legal counsel and employees, former employees, third parties and officers of ENRC; (ii) materials generated by a forensic accounting firm for the purposes of carrying out a review of the books and records of certain subsidiaries of ENRC; (iii) documents containing factual evidence presented to ENRC's Nomination and Corporate Governance Committee; and (iv) 17 documents referred to in a letter to external legal counsel, of which four e-mail communications were between a Swiss-qualified lawyer acting as ENRC's Head of Mergers and Acquisitions and a senior ENRC executive. First Instance Decision The SFO disagreed with ENRC's assertion of privilege and issued a Part 8 Claim in the High Court seeking a declaration that they were not documents that ENRC "would be entitled to refuse to disclose or produce on grounds of legal professional privilege". 3 The Part 8 claim came before Mrs. Justice Andrews and raised a number of issues with respect to the application of legal professional privilege. With respect to litigation privilege, the High Court was required to decide: (i) whether the dominant purpose for ENRC conducting the investigation was the contemplation of anticipated litigation; and (ii) whether the SFO's criminal investigation constituted an "adversarial litigation" to which litigation privilege could apply. Based upon the evidence before her, Mrs. Justice Andrews held that ENRC had failed to establish that there was a real likelihood (as opposed to a mere possibility) of litigation at the time that the relevant documents were produced and, as a result, litigation privilege could not apply. In this regard, the judge held that "[w]hilst […] an SFO investigation was imminent […] [s]uch an investigation is not adversarial litigation…". 4 In the judge's view, the relevant "adversarial litigation" was the subsequent criminal proceedings that might result from the then contemplated SFO investigation. However, the judge noted that, unlike civil proceedings, in order for criminal proceedings to be commenced, a prosecutor must first be "satisfied that there is a sufficient evidential basis for prosecution and the public interest test is also met". 5 In these circumstances, the judge held that "there is no evidence that [ENRC] was ever aware that it had any such problem, or of anything more tangible than a fear that one might emerge". 6 As a result, 3 [2017] EWHC 1017 (QB), 5. 4 [2017] EWHC 1017 (QB), 151. 5 [2017] EWHC 1017 (QB), 160. 6 [2017] EWHC 1017 (QB),161. the judge concluded that she was "not persuaded that taking legal advice in relation to the conduct of future contemplated criminal litigation was even a subsidiary purpose of the creation of those documents, let alone the dominant purpose". 7 With respect to advice privilege, the judge cited the Three Rivers (No. 5) 8 decision and explained that advice privilege only applies to communications between "the lawyer and those individuals who are authorised to obtain legal advice on that entity's behalf". 9 Accordingly, the judge held that, as none of the persons interviewed were authorised to seek or receive legal advice by ENRC, they did not constitute the "client", and communications were, therefore, not protected from disclosure to the SFO by advice privilege. Similarly, the judge held that that communications between the Head of Mergers and Acquisitions and ENRC executives could not have amounted to legal advice as, despite the fact that the relevant individual was a qualified lawyer, he was acting as a "man of business" and not as a lawyer. Court of Appeal Decision ENRC appealed the High Court decision on the basis that Mrs. Justice Andrews was wrong to conclude that criminal proceedings against ENRC were not reasonably in contemplation at the relevant time, and to hold that the relevant documents were not brought into existence for the dominant purpose of resisting contemplated criminal proceedings. ENRC also requested the Court of Appeal to provide further guidance and clarification of its previous decision in Three Rivers (No. 5) with respect to the scope of advice privilege and, in particular, the definition of "client". The Court of Appeal considered first whether the first instance judge was correct in her decision that criminal legal proceedings had not been reasonably contemplated by ENRC at any point prior to the creation of the documents. In this respect, the Court of Appeal held that the judge had wrongly concluded that "a criminal prosecution was not reasonably in prospect once the SFO had written its letter of 10 th August 2011", 10 and that the distinction she sought to draw as to when civil and criminal proceedings could be in reasonable contemplation was "illusory". 11 On the basis of the evidence submitted by ENRC, the Court of Appeal held that ENRC had established that, throughout the investigation, ENRC had anticipated that the SFO could at any point investigate, and that that investigation could lead to a criminal prosecution. The Court of Appeal noted that the sub-text of discussions between ENRC and the SFO "was the possibility, if not the likelihood, of prosecution if the self-reporting process did not result in a civil settlement". 12 However, the Court of Appeal went on to provide a general caution that not "every SFO manifestation of concern would properly be regarded as adversarial litigation, but when the SFO specifically makes clear to the company the prospect of its criminal prosecution (over and above the general principles set out in the Guidelines), and legal advisers are engaged to deal with that situation […] there is a clear ground for contending that criminal prosecution is in reasonable contemplation". 13 7 [2017] EWHC 1017 (QB), 164. 8 Three Rivers DC v Bank of England (No 5) [2003] QB 1556. 9 [2017] EWHC 1017 (QB), 70. 10 [2018] EWCA Civ 2006, 91. 11 [2018] EWCA Civ 2006, 99. 12 [2018] EWCA Civ 2006, 93. 13 [2018] EWCA Civ 2006, 96. Having decided that criminal proceedings were in reasonable contemplation, the Court of Appeal then needed to consider whether the documents were produced for the dominant purpose of resisting those proceedings. In this regard, the Court of Appeal held that "legal advice given so as to head off, avoid or even settle reasonably contemplated proceedings is as much protected by litigation privilege as advice given for the purpose of resisting or defending such contemplated proceedings." 14 The Court of Appeal then had to decide whether ENRC's dominant purpose in commencing the internal investigation was "to investigate the facts to see what had happened and deal with compliance and governance or to defend those proceedings". 15 The Court of Appeal held that "[a]lthough a reputable company will wish to ensure high ethical standards in the conduct of its business for its own sake, it is undeniable that the 'stick' used to enforce appropriate standards is the criminal law and, in some measure, the civil law also. Thus, where there is a clear threat of a criminal investigation, even at one remove from the specific risks posed by the SFO should it start an investigation, the reason for the investigation of whistle-blower allegations must be brought into the zone where the dominant purpose may be to prevent or deal with litigation". 16 Based upon the above findings, the Court of Appeal held that all interviews undertaken by external legal counsel, together with the books and records review, were covered by litigation privilege. The only documents to which litigation privilege did not apply were the two e-mails between the Head of Mergers and Acquisitions and the ENRC executives. Having decided that the relevant documents were covered by litigation privilege, it was not necessary for the Court of Appeal to provide any further clarification of its decision in Three Rivers (No. 5). However, as the Law Society had been permitted to intervene in the case, the Court of Appeal provided certain observations obiter dicta. First, the Court of Appeal noted that Three Rivers (No. 5) decided that "communications between an employee of a corporation and the corporation's lawyers could not attract legal advice privilege unless that employee was tasked with seeking and receiving such advice on behalf of the client". 17 The Court of Appeal went on to explain that a decision of the Supreme Court was required in order to depart from that determination, however, if it "had been open to us to depart from Three Rivers (No. 5), we would have been in favour of doing so". 18 The decision of the Court of Appeal reasserts the principles of lawyer-client confidentiality and gives some comfort to corporations that their internal investigations will be protected. It will allow corporations to continue to react responsibly and sensibly to allegations such as those relevant in this case, without fear of the SFO or similar regulatory bodies privileged internal communications. It does, however, raise additional questions surrounding the appropriateness of the current interpretation of the "client" in the sphere of large corporations and whether English law should reconsider its position to align itself with international standards. It has been reported that the SFO may seek leave to appeal to the Supreme Court and there may, therefore, be further updates on this area of the law in the near future. * * * 14 [2018] EWCA Civ 2006, 102. 15 [2018] EWCA Civ 2006, 108. 16 [2018] EWCA Civ 20018, 109. 17 [2018] EWCA Civ 2006, 123. 18 [2018] EWCA Civ 2006, 124 and 130. Authors: James Kitching Leigh Mallon Rebecca Harris This memorandum is not intended to provide legal advice, and no legal or business decision should be based on its contents. If you have any questions about the contents of this memorandum, please call your regular Fried Frank contact or an attorney listed below: Contacts: London New York Washington, DC London Frankfurt friedfrank.com
Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement. ASIAN CITRUS HOLDINGS LIMITED 亞洲果業控股有限公司* (Incorporated in Bermuda with limited liability) (Stock Code: 73) ANNOUNCEMENT OF THE ANNUAL RESULTS FOR THE YEAR ENDED 30 JUNE 2020 The board (the "Board") of directors (the "Directors") of Asian Citrus Holdings Limited (the "Company") announces the audited consolidated results of the Company and its subsidiaries (collectively, the "Group") for the year ended 30 June 2020 together with its comparative figures for the year ended 30 June 2019. RESULTS OF OPERATIONS # Net operating profit/(loss) refers to profit/(loss) for the year excluding gain on disposal of subsidiaries. – 1 – A16 4(i) A16 4(ii) CHAIRMAN'S STATEMENT On behalf of the Board, I am pleased to present the latest development, progress and annual results of the Group for the year ended 30 June 2020 to the shareholders of the Company. REVIEW The financial year of 2019/20 was a challenge for the Group. The world's economy was at a risk of global recession caused by increasing geopolitical tension, particularly trade disputes, between the People's Republic of China ("China" or the "PRC") and the United States of America, a global health crisis due to the COVID-19 pandemic and the unprecedented collapse in oil price. In the "Global Economic Prospects" issued by the World Bank Group in June 2020, GDP in China is expected to grow at a rate of 1.0% in 2020 which is significantly lower compared with previous years. With the persevering effort of the Directors and senior management of the Company, significant progress had been made during the year ended 30 June 2020. With a view to resuming trading in the shares of the Company (the "Shares") as soon as possible, the Company has been demonstrating to The Stock Exchange of Hong Kong Limited ("HKEx") that it has a sufficient level of operations or assets of sufficient value to warrant the continued listing of the Shares in compliance with Rule 13.24 of the Rules Governing the Listing of Securities on the HKEx (the "Listing Rules"). In March 2020, the Company received the Listing Review Committee's decision which stated that, among other things, the Company should be allowed additional time until 30 September 2020 to demonstrate to the satisfaction of the Listing Division that it meets the requirements of Rule 13.24 of the Listing Rules which came into effect on 1 October 2019. Details of these matters are disclosed in the "Management Discussion and Analysis" section under the sub-section headed "Other Significant Events" in this announcement. For the Group's operations, a total revenue of RMB451.8 million was recorded for the year ended 30 June 2020, representing a significant increase of approximately 7.6 times as compared to the total revenue of RMB52.8 million for the year ended 30 June 2019. The operating results has turned around from a net operating loss of RMB38.9 million for the year ended 30 June 2019 to a net operating profit of RMB24.8 million for the year ended 30 June 2020. In addition to the stringent cost control on cultivation and other administrative expenses, the Group continued to develop its Plantation Business on the cultivation of a variety of fruits as well as to expand its Fruit Distribution Business on the distribution of a variety of premium fruits under its own brand "Royalstar 新雅奇". The Company strives to enhance the revenue and the shareholder value of the Company in the foreseeable future. – 2 – PROSPECT The Group continues to closely monitor the reform of its Plantation Business through the implementation of different measures to improve its processes, such as cost control and productivity management, and through the diversified fruit projects. The Company considers that the Plantation Business will continue to perform steadily in accordance with its business plans. The Group also continues to receive recurring orders from various customers and cooperate with its suppliers seamlessly for its Fruit Distribution Business. It is expected that the scale of the Fruit Distribution Business and market penetration of the high-quality fruits under the Group's own brand "Royalstar 新雅奇" will continue to grow organically at a steady pace. Despite the uncertainty surrounding the economic outlook and recovery speed of domestic economy in China, the Company considers that the impact on the market demand for fruits is not significant. The Group will remain conservative with a prudent attitude towards market changes caused by the COVID-19 pandemic in the coming year. Nevertheless, the Directors will take timely measures to mitigate any possible impact of economic downturn faced by the Group and will formulate necessary strategies or immediate measures and take further actions to enhance the long-term profitability and sustainability of the Group. APPRECIATION On behalf of the Board, I would like to express our sincerest gratitude to our valued shareholders, customers and business partners for your persistent support and trust in the Company. I would also like to express our deepest thankfulness to our strong management team and staff for their enduring dedication to the Group during the past years. We look forward to creating a prosperous future of the Group from the financial year of 2020/21 onwards. Ng Ong Nee Chairman 31 August 2020 – 3 – A16, 45(4) A16, 45(5) MANAGEMENT DISCUSSION AND ANALYSIS BUSINESS REVIEW During the year ended 30 June 2020, the principal business activities of the Group include the Plantation Business and the Fruit Distribution Business (as defined below). The Plantation Business is principally engaged in the planting, cultivation and sales of agricultural produce in the PRC market (the "Plantation Business"). Currently, the agricultural produces, mainly oranges, are planted and cultivated by the Group at the Hepu Plantation located in Guangxi, the PRC (the "Hepu Plantation") and subsequently wholesaled to certain distributors in the PRC. The Fruit Distribution Business is principally engaged in the distribution of various high-quality fruits in the PRC (the "Fruit Distribution Business"). The Group selects and provides technical and professional advisory services to quality suppliers for improvement in cultivation yield. Driven by the demand of the customers for different types of fruit, the Group sources various types of fruit from those quality suppliers. The Group then subsequently distributes the fruits to the customers after the necessary processing for the fruits (e.g. grading, cleaning, waxing, packing and labelling) under the Group's own brand "Royalstar 新雅奇" at a premium price. The Group has continued to procure additional new customers across different cities in the PRC for further expansion of its Fruit Distribution Business as well as to secure additional supply agreements for enhancement of the variety of its fruits offered to customers. The recognition of the Company's own brand "Royalstar 新雅奇" and the strengthened relationships with the Group's suppliers and customers together attribute to the growth in the scale of operation and market penetration of the Group's businesses. FINANCIAL REVIEW Revenue The Group recorded total revenue of RMB451.8 million (2019: RMB52.8 million) for the year ended 30 June 2020. The Group's operations can be divided into two segments, namely (i) Plantation Business; and (ii) Fruit Distribution Business. Below is an analysis of the revenue by segment. – 4 – A16, 45(3)(a) A16, 32(6) For the year ended 30 June 2020, the Group recorded revenue of approximately RMB50.4 million (2019: RMB35.5 million) from the Plantation Business as the harvest seasons of both winter and summer oranges in the Hepu Plantation have been completed. The increase in revenue was mainly attributable to (i) the increase in both production volume and sales volume for oranges as a result of improved cultivation precaution and fruit collection management at the Hepu Plantation; and (ii) the increase in average selling price of oranges during the harvest seasons in 2020 as a result of more premium-grade oranges being sold at a higher price, limited supply of oranges in the market caused by poor weather, and the increased demand for fruits in light of COVID-19 in 2020. For the year ended 30 June 2020, the Group recorded revenue of approximately RMB401.4 million (2019: RMB17.3 million) from the Fruit Distribution Business, representing a growth rate of almost 22.2 times. The significant increase in revenue was mainly attributable to the increase in customer base and transaction volume as well as having more premium fruits in the product mix for the year ended 30 June 2020. Other income For the year ended 30 June 2020, the Group recorded other income in the amount of approximately RMB7.6 million (2019: RMB8.6 million), which were mainly generated from various business cooperation agreements with independent farmers and government subsidy received under the Employment Support Scheme from The Government of the Hong Kong Special Administrative Region. The drop in other income in comparison with last year was mainly attributable to the nationwide restriction of operations following the outbreak of COVID-19. Realised gain arising from change in fair value of biological assets less costs to sell For the year ended 30 June 2020, realised gain arising from change in fair value of the biological assets less costs to sell, which represented the net increase in fair value of the oranges when the Group's oranges became mature and were harvested, amounting to approximately RMB31.6 million (2019: RMB10.7 million) was recognised. Staff costs For the year ended 30 June 2020, staff costs of the Group amounted to approximately RMB12.7 million (2019: RMB14.6 million). The decrease in staff costs by approximately 13.0% was mainly attributable to the reduction of the total number of staff after the disposal of certain then subsidiaries of the Group in the PRC in the second quarter of 2019 (i.e. during the financial year ended 30 June 2019). Distribution and other operating expenses For the year ended 30 June 2020, the distribution and other operating expenses of the Group amounted to approximately RMB4.1 million (2019: RMB2.0 million), which comprised direct harvest and processing-related expenses, service charges for import fruits agent and transportation expenses. These expenses increased significantly by approximately 105.0% due to the increase in transaction volume of the Fruit Distribution Business especially on the service charges for import fruits agent and transportation expenses. – 5 – General and other administrative expenses For the year ended 30 June 2020, the general and other administrative expenses of the Group amounted to approximately RMB21.7 million (2019: RMB31.8 million), which comprised primarily of office administration expenses, legal and professional fees, plantation security charges, auditors' remuneration, impairment losses recognised in respect of trade and other receivables, etc. These expenses decreased by approximately 31.8% mainly due to the disposal of certain then subsidiaries of the Group in the PRC in the second quarter of 2019 (i.e. during the financial year ended 30 June 2019) and the stringent cost control measures implemented by the Group. Income tax expense For the year ended 30 June 2020, income tax expense of the Group amounted to approximately RMB8.3 million (2019: Nil) which comprised the enterprise income tax charge payable by the Group under the Fruit Distribution Business on the profit earned in the PRC. Profit from operation For the year ended 30 June 2020, profit from operation of the Group was approximately RMB24.8 million (2019: loss from operation of the Group was approximately RMB38.9 million, after excluding the gain on disposal of subsidiaries of RMB580.5 million from profit for the year of RMB541.6 million), representing a significant increase by approximately 163.8% as compared to last year, which was mainly due to (i) the significant increase in revenue generated by the Group; and (ii) the decrease in staff costs and general and other administrative expenses as explained in the paragraphs above. Profit attributable to shareholders for the year For the year ended 30 June 2020, profit attributable to shareholders of the Company was approximately RMB24.8 million (2019: RMB541.6 million). The substantial change in profit attributable to shareholders of the Company was due to the absence of gain arising from the disposals of subsidiaries of the Group recognised in the year ended 30 June 2019. DIVIDEND The Board did not recommend the payment of final dividend for the year ended 30 June 2020 (2019: Nil). CAPITAL As at 30 June 2020, the total number of issued shares of the Company was 1,249,637,884 (30 June 2019: 1,249,637,884). – 6 – A16 32(6) LIQUIDITY AND FINANCE RESOURCES Liquidity As at 30 June 2020, the Group did not have liabilities in respect of any debt instruments nor any bank borrowings. The net cash position of the Group was approximately RMB31.5 million as at 30 June 2020 (2019: RMB18.3 million). As at 30 June 2020, the current ratio and quick ratio were 2.80 and 2.73 respectively (2019: 2.60 and 2.13 respectively). Funding and treasury policy During the year ended 30 June 2020, the Group had sufficient funds for its operation and would continue to adopt stringent cost control and conservative treasury policies in running the businesses. Charge on assets None of the Group's assets were pledged as at 30 June 2020. Capital commitments As at 30 June 2020, the Group had capital commitments of approximately RMB70,000 (2019: Nil), mainly in relation to the acquisition of property, plant and equipment in the Hepu Plantation. FOREIGN EXCHANGE RISK The Group is exposed to foreign currency risk primarily through its cash and cash equivalents being denominated in a currency other than the functional currency of the operation to which they related. The currencies giving rise to this risk are primarily Hong Kong dollars. The Group has relatively limited transactions denominated in foreign currencies, hence its exposure to exchange rate fluctuation is currently minimal and the Group does not need to use any derivative contracts to hedge against its exposure to foreign exchange risk. Management manages the foreign exchange risk by closely monitoring the movement of the currency exchange rate from time to time. EMPLOYEES OF THE GROUP The Group has adopted a competitive remuneration package since it aims to attract, retain and motivate high calibre individuals. Remuneration packages are performance-linked such that business performance, market practices and competitive market conditions are all taken into consideration in determining remuneration. Remuneration packages, which are reviewed at least annually, include salaries/wages and other employee benefits, such as accommodation, discretionary bonuses, mandatory provident fund contributions and share options. As at 30 June 2020, the Group had 36 (2019: 40) permanent employees. – 7 – A16, 32(1) A16, 32(2) A16, 32(8) A16, 32(11) A16, 32(7) CONTINGENT LIABILITIES The Group did not have any contingent liabilities as at 30 June 2020 (2019: Nil). OTHER SIGNIFICANT EVENTS (1) Suspension of Trading on the HKEx Trading in the Shares on the Main Board of the HKEx has been suspended since 9:00 a.m. (Hong Kong time) on Thursday, 29 September 2016. (2) Resumption Conditions As stated in the Company's announcements dated 27 January 2017 and 6 September 2018, the HKEx has notified the Company that the following conditions would apply before the making of any request by the Company for the resumption of trading of the Shares (the "Resumption Conditions"): A. publish all outstanding financial results under the Listing Rules and address any audit qualifications; B. clarify, address and take appropriate actions on the allegations; C. demonstrate the Company's compliance with Rule 13.24 of the Listing Rules; and D. inform the market of all material information for the shareholders and the investors to appraise the Company's position. (3) Fulfillment of the Resumption Conditions On 9 September 2019, the Company received a letter from the Listing Department stating that it was satisfied that the Company had fulfilled the first and second Resumption Conditions, namely: A. publish all outstanding financial results under the Listing Rules and address any audit qualifications; and B. clarify, address and take appropriate actions on the allegations. However, the Listing Department was not satisfied that the Company has fulfilled the third Resumption Condition, namely, demonstrate the Company's compliance with Rule 13.24 of the Listing Rules. – 8 – A16, 32(12) A16, 45(3)(b) (4) Listing Committee's decision on Cancellation of Listing On 13 September 2019, the Company received a letter (the "Letter") from the HKEx stating that the Listing Committee of the HKEx (the "Listing Committee") decided to cancel the Company's listing under Rule 6.01A of the Listing Rules (the "LC Decision"). (5) Review by the Listing Review Committee (the "LRC") and the Decision thereof After requesting for a written reason for the LC Decision, and receiving the same from the HKEx, the Company sought a request for review of the LC Decision by the LRC (the "LRC Review"). The review hearing of the LRC Review was held on 2 March 2020 (the "Review Hearing"). On 27 March 2020, the Company received the Listing Review Committee's decision in respect of the Review Hearing (the "LRC Decision"). The LRC Decision stated that the Listing Review Committee decided to overturn the Listing Committee's decision to cancel the Company's listing and that the Listing Review Committee considered that the Company should be allowed additional time until 30 September 2020 to demonstrate to the satisfaction of the Listing Division that it meets the requirement of Rule 13.24 of the Listing Rules which came into effect on 1 October 2019. The LRC Decision also stated, among other things, that trading of the Company's securities should remain suspended unless and until the Company demonstrates to the satisfaction of the Listing Division and/or the Listing Committee that it meets the requirements of Rule 13.24 and other relevant provisions of the Listing Rules by 30 September 2020. (6) Continued Suspension of Trading of Shares The Board hereby reminds the shareholders and potential investors of the Company that as at the date of this announcement, trading in the Shares on the HKEx remains suspended. – 9 – CONSOLIDATED STATEMENT OF PROFIT OR LOSS For the year ended 30 June 2020 CONSOLIDATED STATEMENT OF PROFIT OR LOSS AND OTHER COMPREHENSIVE INCOME For the year ended 30 June 2020 ) CONSOLIDATED STATEMENT OF FINANCIAL POSITION As at 30 June 2020 NOTES For the year ended 30 June 2020 1. GENERAL INFORMATION The Company was incorporated in Bermuda on 4 June 2003 as an exempted company with limited liability under the Companies Act of Bermuda and its shares are listed on the Main Board of the HKEx. The address of the Company's registered office is Clarendon House, 2 Church Street, Hamilton, HM11, Bermuda. The principal place of business of the Company is located at 1/F., Ching Cheong Industrial Building, 1-7 Kwai Cheong Road, Kwai Chung, New Territories, Hong Kong. The principal activity of the Company is investment holding. The principal activities of the subsidiaries of the Company are planting, cultivation and sale of agricultural produce and distribution of fruits. The Company's functional currency is Hong Kong dollar ("HKD"). However, the consolidated financial statements are presented in Renminbi ("RMB"), as the Directors consider that RMB is the functional currency of the primary economic environment in which most of the Group's transactions are denominated and settled in and this presentation is more useful for its current and potential investors. The consolidated financial statements are presented in the nearest thousands of RMB ("RMB'000"), unless otherwise stated. 2. BASIS OF PREPARATION The consolidated financial statements as at and for the year ended 30 June 2020 comprise the Company and its subsidiaries (collectively, the "Group"). Except as described below, the consolidated financial statements of the Group have been prepared in accordance with International Financial Reporting Standards ("IFRSs") issued by the International Accounting Standards Board (the "IASB"), and the disclosure requirements of the Hong Kong Companies Ordinance (Cap. 622). Prior years' consolidated financial statements As disclosed in the consolidated financial statements of the Group for the previous years, during the audit process in respect of the audit of the consolidated financial statements of the Group for the year ended 30 June 2016, HLB Hodgson Impey Cheng Limited, the auditors of the Company, (the "Auditors") reported to the Company that it had received written correspondences which appeared to be sent by a person named Chen Deqiang* (陳德強) ("Chen Deqiang"), who was a finance manager of certain PRC subsidiaries of the Company at the relevant time and asserted in the correspondences that he was acting on behalf of Man Guifu* (滿桂富) ("Man Guifu"), who was (1) a minority shareholder, director and general manager of Beihai Perfuming Garden Juice Co., Ltd.* (北海市果香園果汁有限公司) ("Beihai Perfuming Garden"), a PRC subsidiary of the Company; and (2) holder of positions in some other PRC subsidiaries of the Company at the relevant time. In the correspondences, it was indicated to the Auditors that certain amounts or balances in the internal records of certain customers and suppliers did not correspond to the internal records of Hepu Perfuming Garden Food Co., Ltd.* (合浦果香園食品有限公司) for the year ended 30 June 2016 ("Chen Deqiang's Allegation"). Further details of these matters were disclosed in the Company's announcement dated 29 September 2016. Thereafter, at the request of a man who claimed to be Man Guifu's representative, the Auditors had arranged to meet Man Guifu in the office of the Auditors' legal adviser (the "Meeting"). A man who claimed to be Man Guifu attended the Meeting and asserted to the Auditors that there were inaccuracies in the books and records of certain subsidiaries of the Company and provided to the Auditors documents purporting to be copies of bank statements for the period from 1 January 2016 to 30 June 2016 of Lucky Team Biotech Development (Hepu) Limited* (利添生物科技發展（合浦）有限公司) ("Lucky Team Hepu"), a PRC subsidiary of the Company ("Man Guifu's Allegation"). In June 2017, the Company was made aware of service of proceedings from a court in the PRC whereby Man Guifu had commenced legal proceedings against Chance Lead Holdings Limited ("Chance Lead"), a subsidiary of the Company and the immediate holding company of Beihai Perfuming Garden, alleging that he had the right to require Chance Lead to transfer 46.14% equity interests in Beihai Perfuming Garden to him pursuant to certain contractual arrangements alleged to have been executed by Chance Lead, Man Guifu and the previous shareholders of Beihai Perfuming Garden in February 2010 (the "Arrangements"). Furthermore, the Company was made aware of a court order in the PRC requiring Tianyang Perfuming Garden Food Industrial Co. Ltd.* (田陽果香園食品工業有限公司) ("Tianyang Perfuming Garden"), a PRC subsidiary of the Company, to repay a loan of RMB17 million and the interest in arrears. Based on the court documents received, the Directors substantiated the allegations to be that Tianyang Perfuming Garden had allegedly entered into a loan facility agreement with a person called Xue Zhen* (薛珍) ("Xue Zhen") on 1 June 2016 in respect of a loan which amounted to RMB17 million with interest rate of 6% per annum. It was alleged that such loan and the interests were due for repayment. It was further alleged that Tianyang Perfuming Garden had also pledged two pieces of land to Xue Zhen as security for the loan but such pledge had not been registered with the PRC authorities (the "Tianyang Perfuming Garden Proceeding") (hereinafter, the Arrangements, the Tianyang Perfuming Garden Proceeding, Chen Deqiang's Allegation and Man Guifu's Allegation are collectively referred to as the "Allegations"). The Board had, after becoming aware of the legal proceedings, made enquiries with Tianyang Perfuming Garden in connection with information related to this loan, but Tianyang Perfuming Garden (of which, to the Company's knowledge, the senior management included Huang Xin, Pang Yi, Man Guifu and Wang Jia Yi) did not respond or cooperate. The Company had also instructed its PRC legal advisers to attend the office of Tianyang Perfuming Garden to exercise its shareholders' right and make enquiries. Nevertheless the management of Tianyang Perfuming Garden refused to cooperate. Further details of these matters were disclosed in the Company's announcement dated 30 June 2017. As a result of Chen Deqiang's Allegation and Man Guifu's Allegation, the Group's consolidated financial statements for the year ended 30 June 2016 were not available for publication by 30 September 2016, being the time by which the Company was obliged to make such publication under the Listing Rules and Alternative Investment Market ("AIM") Rules for Companies governing the admission to and operation of AIM published by the London Stock Exchange. Consequently, the shares of the Company were suspended from trading on the HKEx and the AIM with effect from 29 September 2016 (Hong Kong time) and 28 September 2016 (UK time) respectively. As disclosed in the Company's announcement dated 27 March 2017, the London Stock Exchange would cancel the admission of AIM securities where these securities had been suspended from trading for 6 months and as such the Company's shares would be cancelled from trading on AIM with effect from 29 March 2017, being the date that is 6 months from the date when the shares were initially suspended. The Directors have initiated and tried to establish communications with Man Guifu and Chen Deqiang as well as other senior management of the Company's subsidiaries established in the PRC (except for Guangzhou Asian Citrus Investment Consulting Co., Ltd.* (廣州市亞機果投資諮詢有限公司), Guangxi Hepu Guanhua Agriculture Co., Ltd.* (廣西合浦冠華農業有限公司) (the "Agriculture Company") and Shenzhen First Class Fruits Company Limited (深圳市冠華水果商城有限公司)) (the "PRC Subsidiaries") with a view to clarify details in connection with the Allegations. The Group had initiated formal legal procedures to change the relevant senior management members of the PRC Subsidiaries. After taking legal advice from a PRC lawyer, the Group considered that the implementation of such changes might take a prolonged time and cause undue delay. Up to the dates of approval of the previously issued consolidated financial statements of the Group for the years ended 30 June 2016, 2017 and 2018, (i) the Group had not yet received any of the requested information from Man Guifu and Chen Deqiang in respect of the Allegations which were required for the proper finalisation of the consolidated financial statements of the Group; and (ii) the relevant legal procedures to change the senior management members of the PRC subsidiaries were still pending. Further details of these matters were disclosed in the Company's announcements dated 8 November 2016, 8 December 2016, 6 January 2017, 27 January 2017, 27 February 2017, 15 March 2017, 27 March 2017, 30 June 2017 and 29 September 2017. The Board believed that the occurrences of the Allegations and the inability of the management of the Company to gain access to the complete books and records of the PRC subsidiaries of the Company or to obtain explanations and information from the management of the PRC subsidiaries (hereinafter, together with the incidents relating to the Allegations, are collectively referred to as the "Incidents") had adversely affected the normal operations of the Group and were against the interests of the shareholders of the Company. As disclosed in note 28 to the consolidated financial statements of the Group for the year ended 30 June 2019 (the "2019 Financial Statements"), on 9 May 2019 and 3 June 2019 (the "Disposal Dates"), the Group completed the disposal of the entire equity interests in BPG Food & Beverage Co., Ltd. and its subsidiaries (the "BPG Group") and Newasia Global Limited and its subsidiaries (the "Newasia Group") respectively. Given the circumstances that the Directors have not been able to have access to complete books and records of the PRC subsidiaries (the "Disposed PRC Subsidiaries"), which were subsidiaries held under the BPG Group and the Newasia Group, and in the absence of Man Guifu, Chen Deqiang and the management of the Disposed PRC Subsidiaries to explain and validate the true state of affairs and financial performances of the Disposed PRC Subsidiaries up to and as at the Disposal Dates, the Directors considered it would be extremely difficult and time consuming to ascertain the true and correct financial position and profit or loss of the BPG Group and the Newasia Group as of the Disposal Dates and for the period from 1 July 2018 to the Disposal Dates respectively or to obtain sufficient documentary information to satisfy themselves regarding the true and fair presentation of the transactions of these groups of companies during the period from 1 July 2018 to the Disposal Dates and of the various account balances of these groups of companies as at the Disposal Dates respectively. As at the date of approval of the 2019 Financial Statements, the Directors were satisfied that the Group had used its best efforts, to the extent commercially practicable, to attempt to obtain the accounting records of the Disposed PRC Subsidiaries for the past years and up to their respective Disposal Dates, applying the best estimates and judgement based on the information of the BPG Group and the Newasia Group that were available to the Group. In the opinion of the Board, any reconstruction of the correct accounting records would be impracticable as it would be necessary to verify the information with external and independent sources and such sources might not be available or might be unreliable due to their connections with the management of the Disposed PRC Subsidiaries or those responsible for the financial information within and outside of the BPG Group and the Newasia Group. The Board had determined that the Group would continue with not consolidating the financial statements of the PRC Subsidiaries except for Lucky Team Hepu (hereinafter also referred to as the "Deconsolidated Subsidiaries"). As disclosed in the consolidated financial statements of the Group for the year ended 30 June 2016, the Deconsolidated Subsidiaries had been de-consolidated with effect from 1 July 2015. As such, the results, assets and liabilities of the Deconsolidated Subsidiaries had not been included into the consolidated financial statements of the Group since 1 July 2015. The deconsolidation of the Deconsolidated Subsidiaries had resulted in a loss of approximately RMB3,935,432,000, which was determined based on the carrying amounts of the assets and liabilities of the Deconsolidated Subsidiaries brought forward as at 1 July 2015. This loss had been recognised in the consolidated statement of profit or loss of the Group for the year ended 30 June 2016 and presented as "loss arising from the Incidents". In the case of Lucky Team Hepu, the Group's control over this subsidiary was resumed on 28 September 2017 (the "Resumed Date") and its financial statements were re-consolidated into the Group since then. As disclosed in note 29 to the 2019 Financial Statements, upon the Group resumed recording the assets and liabilities of Lucky Team Hepu on the Resumed Date, the resulting loss of approximately RMB231,718,000 was recognised in the Group's consolidated statement of profit or loss for the year ended 30 June 2018. The Group had commenced restructuring of Lucky Team Hepu including, but not limited to, transfer all the key operating assets held by Lucky Team Hepu (i.e. buildings, farmland structures, machineries and equipment and any other fundamental facilities for the plantation and biological assets (i.e. citrus trees)) to the Agriculture Company. The asset transfer agreements were signed and completed in December 2018 and April 2019 respectively. Furthermore, as mentioned above, the Group had disposed of the BPG Group and the Newasia Group respectively during the year ended 30 June 2019, which the Group had recognised a "gain on disposal of subsidiaries" amounting to approximately RMB580,529,000. Details of the disposal of the BPG Group and the Newasia Group are disclosed in note 28 to the 2019 Financial Statements. Accordingly, the opening balances as at 1 July 2018 and comparative information for the year ended 30 June 2019 presented or disclosed in the consolidated financial statements as comparatives are based on the 2019 Financial Statements, which the Auditors have expressed a disclaimer of opinion in their auditors' report dated 30 August 2019. The comparative information may not be comparable with the figures presented or disclosed in respect of the current financial year. 3. APPLICATION OF NEW AND AMENDMENTS TO INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRSs") (a) New and amendments to IFRSs that are mandatorily effective for the current year In the current year, the Group has applied, for the first time, the following new and amendments to IFRSs issued by the IASB, which are set out as follows: IAS 19 (Amendments) Plan Amendment, Curtailment or Settlement IAS 28 (Amendments) Long-term Interests in Associates and Joint Ventures IFRS (Amendments) Annual Improvements to IFRSs 2015-2017 Cycle IFRS 9 (Amendments) Prepayment Features with Negative Compensation IFRS 16 Leases IFRIC–Int 23 Uncertainty over Income Tax Treatments Except as described below, the application of the above new and amendments to IFRSs in the current year has had no material impact on the Group's financial performance and financial positions for the current and prior years and/or disclosures set out in these consolidated financial statements. IFRS 16 Leases The Group has applied IFRS 16 for the first time in the current year. IFRS 16 superseded IAS 17 Leases, and the related interpretations. Definition of a lease The Group has elected the practical expedient to apply IFRS 16 to contracts that were previously identified as leases applying IAS 17 and IFRIC-Int 4 Determining whether an Arrangement contains a Lease and not apply this standard to contracts that were not previously identified as containing a lease. Therefore, the Group has not reassessed contracts which already existed prior to the date of initial application. For contracts entered into or modified on or after 1 July 2019, the Group applies the definition of a lease in accordance with the requirements set out in IFRS 16 in assessing whether a contract contains a lease. As a lessee The Group has applied IFRS 16 retrospectively with the cumulative effect recognised at the date of initial application, 1 July 2019. As at 1 July 2019, the Group recognised additional lease liabilities and right-of-use assets at amounts equal to the related lease liabilities by applying IFRS 16.C8(b)(ii) transition. Any difference at the date of initial application is recognised in the opening retained profits and comparative information has not been restated. When applying the modified retrospective approach under IFRS 16 at transition, the Group applied the following practical expedients to leases previously classified as operating leases under IAS 17, on lease-by-lease basis, to the extent relevant to the respective lease contracts: (i) relied on the assessment of whether leases are onerous by applying IAS 37 Provisions, Contingent Liabilities and Contingent Assets as an alternative of impairment review; (ii) elected not to recognise right-of-use assets and lease liabilities for leases with lease term ends within 12 months of the date of initial application; (iii) excluded initial direct costs from measuring the right-of-use assets at the date of initial application; (iv) applied a single discount rate to a portfolio of leases with similar remaining terms for similar class of underlying assets in similar economic environment; and (v) used hindsight based on facts and circumstances as at date of initial application in determining the lease term for the Group's leases with extension and termination options. When recognising the lease liabilities for leases previously classified as operating leases, the Group has applied incremental borrowing rates of the relevant group entities at the date of initial application. The weighted average incremental borrowing rate applied is approximately 4%. The carrying amount of right-of-use assets as at 1 July 2019 comprises the following: The right-of-use assets in relation to leases previously classified as operating leases have been recognised at an amount equal to the amount recognised for the remaining lease liabilities relating to that lease recognised in the consolidated statement of financial position at 1 July 2019. The following adjustments were made to the amounts recognised in the consolidated statement of financial position as at 1 July 2019. Line items that were not affected by the changes have not been included. ) For the purposes of reporting cash flows from operating activities under indirect method for the year ended 30 June 2020, movements in working capital have been computed based on opening consolidated statement of financial position as at 1 July 2019 as disclosed above. (b) New and amendments to IFRSs in issue but not yet effective The Group has not early applied the following new and amendments to IFRSs that have been issued but are not yet effective: IFRS 17 Insurance Contracts 1 IFRS 16 (Amendments) COVID-19-Related Rent Concession 6 IFRS 3 (Amendments) Reference to the Conceptual Framework 5 IFRS 3 (Amendments) Definition of a Business 2 IFRS 10 and IAS 28 Sale or Contribution of Assets between an Investor and its Associate or Joint Venture 3 IAS 1 and IAS 8 (Amendments) Definition of Material 4 IAS 16 (Amendments) Property, Plant and Equipment Proceeds before Intended Use 5 IAS 37 (Amendments) Onerous Contracts – Cost of Fulfilling a Contract 5 IFRS 9, IAS 39 and IFRS 7 (Amendments) Interest Rate Benchmark Reform 4 IFRS (Amendments) Annual Improvements to IFRSs 2018-2020 5 1 Effective for annual periods beginning on or after 1 January 2021. 2 Effective for business combinations and asset acquisitions for which the acquisition date is on or after the beginning of the first annual period beginning on or after 1 January 2020. 3 Effective for annual periods beginning on or after a date to be determined. 4 Effective for annual periods beginning on or after 1 January 2020. 5 Effective for annual periods beginning on or after 1 January 2022. 6 Effective for annual periods beginning on or after 1 June 2020. In addition to the above new and amendments to IFRSs, a revised Conceptual Framework for Financial Reporting was issued in 2018. Its consequential amendments, the Amendments to References to the Conceptual Framework in IFRS Standards, will be effective for annual periods beginning on or after 1 July 2020. The Directors anticipate that the application of all new and amendments to IFRSs will have no material impact on the consolidated financial statements in the foreseeable future. 4. SEGMENT INFORMATION For management purpose, the Group's operating businesses are structured and managed separately according to the nature of their operations and the products and services they provide. Each of the Group's operating segments represents a strategic business unit that offers products and services which are subject to risks and returns that are different from those of the other operating segments. Particulars of the Group's reportable and operating segments are summarised as follows: Plantation Business – Planting, cultivation and sale of agricultural produce Fruit Distribution Business – Distribution of various fruits Segment results, assets and liabilities The following is an analysis of the Group's revenue and results by reportable operating segments: Segment results represent the profit/(loss) after taxation from each segment without allocation of certain other income, gain on disposal of subsidiaries, certain depreciation of property, plant and equipment and right-of-use assets, central administration costs and directors' emoluments. This is the measure reported to the chief operating decision maker for the purpose of resource allocation and assessment of segment performance. There were no inter-segment revenue in both years. All assets and liabilities are allocated to the reportable segments other than those that are for central administrative purposes, including certain property, plant and equipment, right-of-use assets, certain deposits and other receivables, certain cash and cash equivalents, certain trade and other payables and lease liabilities. Other Segment Information Amounts included in the measurement of segment profit or loss or segment assets: Geographical information Since over 90% of the Group's revenue and operating profit were generated in the PRC for both years and over 90% of the Group's non-current assets were located in the PRC, no geographical segment information in accordance with IFRS 8 Operating Segments is presented. Information about major customers Revenue from customers of the year contributing over 10% of the total sales of the Group are as follows: 1 Revenue generated from Customer A, Customer E and Customer F are attributable to Fruit Distribution Business. 2 Revenue generated from Customer B are attributable to both Plantation Business and Fruit Distribution Business. 3 Revenue generated from Customer C and Customer D are attributable to Plantation Business. 4 The corresponding revenue did not contribute over 10% of the total revenue of the Group for the corresponding year. No other customer contributed 10% or more to the Group's total revenue for both years. 5. REVENUE Disaggregation of revenue from contracts with customers Note: (i) Management income was derived from the Group's provision of management services on cultivation under the cooperation agreements with individual farmers. (ii) During the year ended 30 June 2020, the Group recognised government grant of approximately RMB147,000 which related to Employee Support Scheme provided by the Hong Kong government. 7. PROFIT BEFORE TAX Profit before tax is stated after charging/(crediting) the following: 8. INCOME TAX EXPENSE Income tax expense in the consolidated statement of profit or loss represents: (i) Pursuant to the rules and regulations of Bermuda and the British Virgin Islands, the Group is not subject to any income tax in the respective tax jurisdictions. (ii) On 21 March 2018, the Hong Kong Legislative Council passed The Inland Revenue (Amendment) (No. 7) Bill 2017 (the "Bill") which introduced the two-tiered profits tax rates regime. The Bill was signed into law on 28 March 2018 and was gazetted on the following day. Under the two-tiered profits tax rates regime, the first HKD2 million of profits of the qualifying group entity will be taxed at 8.25%, and profits above HKD2 million will be taxed at 16.5%. The profits of group entities not qualifying for the two-tiered profits tax rates regime will continue to be taxed at a flat rate of 16.5%. The Directors considered the amount involved upon implementation of the two-tiered profits tax rates regime as insignificant to the consolidated financial statements. Hong Kong profits tax is calculated at 16.5% of the estimated assessable profits for both years. No provision for taxation in Hong Kong has been made as the Group has no assessable profits for the purpose of Hong Kong profits tax for both years. (iii) The Group determined its provision for PRC enterprise income tax based on the respective applicable rates on the estimated assessable income of the Group's subsidiaries in the PRC as determined in accordance with the relevant income tax laws, rules and regulations of the PRC. According to the PRC tax laws, its rules and regulations, enterprises that engage in certain qualifying agricultural business are eligible for certain tax benefits, including full enterprise income tax exemption on profits derived from such business. The Agriculture Company in the PRC engaged in qualifying agricultural business is entitled to full exemption of enterprise income tax. The applicable enterprise income tax rate of the other operating entities in the PRC was 25%. (iv) PRC withholding income tax According to the new Corporate Income Tax Law of the PRC, starting from 1 January 2008, a withholding tax of 10% will be levied on the immediate holding companies outside the PRC when their PRC subsidiaries declare dividend out of profits earned after 1 January 2008. A lower 5% withholding tax rate may be applied when the immediate holding companies of the PRC subsidiaries are established in Hong Kong according to the tax treaty arrangements between the PRC and Hong Kong. 9. EARNINGS PER SHARE The calculation of the earnings per share is based on the following data: The computation of diluted earnings per share does not assume the exercise of the Company's share options because the exercise price of those share options was higher than the average market price for shares for the year ended 30 June 2019. Diluted earnings per share were the same as basic earnings per share for the year ended 30 June 2020 as there were no potential ordinary shares in issue. 10. DIVIDENDS No dividend has been paid, declared or proposed by the Company during the year ended 30 June 2020 (2019: Nil). 11. TRADE AND OTHER RECEIVABLES The following is an ageing analysis of trade receivables, presented based on the invoice dates, which approximate the respective revenue recognition dates and net of allowance for credit losses: 2020 2019 RMB'000 12,285 – – Less than 3 months 3 to 6 months 6 to 12 months RMB'000 1,592 207 9 12,285 1,808 Trade receivables from sales of goods are normally due for settlement within 30 to 90 days from the date of billing. The Group does not hold any collateral over these balances. 12. TRADE AND OTHER PAYABLES Note: (i) As at 30 June 2020, other payables and accruals mainly represent the outstanding legal and professional fees of approximately RMB7,919,000 (2019: RMB4,123,000). The average credit period granted by suppliers was 30 days. The balances of other payables and accruals are expected to be settled within one year or are repayable on demand. The ageing analysis of trade payables by invoice date is as follows: OTHER INFORMATION PURCHASE, SALE OR REDEMPTION OF THE COMPANY'S LISTED SECURITIES The Company did not redeem any of its listed securities, nor did the Company or any of its subsidiaries purchase or sell any of such listed securities during the year ended 30 June 2020. CORPORATE GOVERNANCE PRACTICES The Company's corporate governance practices are based on the principles and code provisions (the "Code Provisions") set out in the Corporate Governance Code (the "CG Code") contained in Appendix 14 to the Listing Rules. During the year ended 30 June 2020, the Company has complied with the Code Provisions of the CG Code, except for the following deviations: Code Provision A.2.1 Mr. Ng Ong Nee, the Chief Executive Officer of the Company, was appointed as Chairman of the Board of the Company on 4 August 2015. Since then, the roles of Chairman and Chief Executive Officer have been performed by the same individual, Mr. Ng Ong Nee, and were not separated. The Board believes that vesting the roles of both Chairman and Chief Executive Officer in the same person enables more effective and efficient overall strategic planning for the Group. The Board meets regularly to consider issues related to corporate matters affecting the operations of the Group and considers that the balance of power and authority for such arrangement will not be impaired and is adequately ensured by the current Board which comprises experienced and high caliber individuals with sufficient number thereof being Independent Non-executive Directors ("INEDs"). Code Provision A.5.1 The Company does not have a nomination committee. The Directors do not consider that, given the size of the workforce of the Group and current stage of its development, it is necessary to have a nomination committee. However, this will be kept under regular review by the Board together with the plans for orderly succession to the Board and its structure, size and composition. The Board has adopted a nomination policy which sets out the relevant appointment criteria and, in case of the INEDs, the independence requirements set out in the Listing Rules. Nomination of new Director(s) will normally be made by the Executive Directors and is subject to the Board's approval. External consultants may be engaged, if necessary, to access a wider range of potential candidate(s). Code Provision A.6.7 INEDs and other non-executive Directors should attend general meetings of the Company and develop a balanced understanding of the views of the shareholders. Although the INEDs and the Non-executive Director were unable to attend the annual general meeting (the "AGM") of the Company in 2019, the senior management of the Company had reported all special enquiries from the shareholders and acted as the communication bridge between the shareholders and the INEDs as well as the Non-executive Director so that they could be aware of and understand the view of the shareholders accordingly. Code Provision E.1.2 The Chairman of the Board should attend the AGM of the Company. Although the Chairman of the Company was unable to attend the AGM of the Company in 2019 due to other business engagements, he had nominated the Deputy Chief Executive Officer as his alternate to attend and chair the AGM and to provide response in respect of any information required by the shareholders of the Company. DIRECTORS' SECURITIES TRANSACTIONS The Company has adopted the Model Code for Securities Transactions by Directors of Listed Issuers (the "Model Code") as set out in Appendix 10 to the Listing Rules as its own code of conduct for dealings in its securities. Following a specific enquiry made to all Directors by the Company, each of them has confirmed that he had fully complied with the required standard as set out in the Model Code throughout the year ended 30 June 2020. EXTRACT OF INDEPENDENT AUDITORS' REPORT ON THE GROUP'S CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2020 The Company's auditors have issued a qualified opinion on the Group's consolidated financial statements for the year ended 30 June 2020, an extract of the auditors' report is as follow: "Qualified Opinion In our opinion, except for the possible effects on the corresponding figures of the matters described in the "Basis for Qualified Opinion" section of our report, the consolidated financial statements give a true and fair view of the consolidated financial position of the Group as at 30 June 2020, and of its consolidated financial performance and its consolidated cash flows for the year then ended in accordance with IFRSs issued by the International Accounting Standards Board and have been properly prepared in compliance with the disclosure requirements of the Hong Kong Companies Ordinance. Basis for Qualified Opinion Corresponding figures We expressed a disclaimer of opinion in our auditors' report dated 30 August 2019 on the consolidated financial statements of the Group for the financial year ended 30 June 2019 (the "2019 Financial Statements"). The matters which led us to disclaim our opinion on the 2019 Financial Statements were in relation to the allegations (the "Allegations") which are described in detail in note 2 to the consolidated financial statements, in relation to which we have not been able to obtain sufficient appropriate audit evidence to enable us to assess the effects of the matters to which they relate. There were no alternative audit procedures that we could perform to obtain sufficient and appropriate evidence as to the causes and effects of the alleged discrepancies and other matters which were the subject matters of the Allegations, and their implications and impacts on the elements presented in the consolidated financial statements of the Group for the year ended 30 June 2019. Any adjustments found to be required in respect of these matters might have consequential significant effects on the profit, other comprehensive loss and amounts presented as cash flows from operating activities, and related elements and disclosures in the consolidated financial statements, for the year ended 30 June 2019. Details of these matters which led to our disclaimer of opinion on the 2019 Financial Statements are set out in the sub-sections headed "(a) Authenticity of accounting records and deconsolidation of all subsidiaries (except for Guangzhou Asian Citrus Investment Consulting Co., Ltd.* (廣州市亞機果投資諮詢有限公司), Guangxi Hepu Guanhua Agriculture Co., Ltd.* (廣西合浦農業冠華有限公司) and Shenzhen First Class Fruits Company Limited (深圳巿冠華水果商城有限公司)) of the Company incorporated in the People's Republic of China (the "PRC")"; "(b) Opening balances and comparative information"; "(c) Compliance with IFRSs and applicable laws and regulations"; "(d) Gain on disposal of subsidiaries"; "(e) Amounts due to the Deconsolidated Subsidiaries"; "(f) Amounts due from the Deconsolidated Subsidiaries"; "(g) Interests in subsidiaries and amount due to the Deconsolidated Subsidiaries"; "(h) Share options reserve"; "(i) Contingent liabilities and commitments"; and "(j) Related party transactions" in the "Basis for Disclaimer of Opinion" section of our auditors' report on the 2019 Financial Statements. As disclosed in notes 2 and 28 to the consolidated financial statements and in the Company's announcements dated 9 May 2019 and 3 June 2019 respectively, the Group completed the disposal of the (i) entire issued share capital interests in BPG Food & Beverage Holdings Ltd. and its subsidiaries (the "BPG Group") (the "First Disposal") and (ii) entire issued share capital of Newasia Global Limited and its subsidiaries (the "Newasia Group") (the "Last Disposal"). The gain on disposal of the subsidiaries of approximately RMB580,529,000 was included in the consolidated statement of profit or loss for the year ended 30 June 2019. Due to lack of access to complete books and records of the BPG Group and the Newasia Group for the relevant periods up until the respective dates to which the First Disposal and the Last Disposal took effect and the inability to complete the works to reconstruct the relevant books and records of the subsidiaries in these groups, the board of directors of the Company (the "Directors") was unable to ascertain the existence, rights and obligations, completeness and recording accuracy of the assets and liabilities, as well as other account balances, of the BPG Group and the Newasia Group as at and for the periods up until the respective dates of the First Disposal and the Last Disposal. Furthermore, the balances of the assets and liabilities of the BPG Group and the Newasia Group, as well as other account balances including the cumulative translation adjustments related to these groups of companies, as recognised by the Group on the respective relevant dates were taken into account in the determination of the gain on disposal of these subsidiaries and hence of the financial performance and amounts presented as cash flows from operating activities of the Group for the year ended 30 June 2019, as disclosed in note 28 to the consolidated financial statements. We have been unable to carry out alternative audit procedures to obtain sufficient appropriate audit evidence to satisfy ourselves as to whether the carrying amounts of the assets and liabilities of the BPG Group and the Newasia Group at the relevant dates which were derecognised by the Group as disclosed in note 28 to the consolidated financial statements contained material misstatements and hence whether any adjustments to the net liabilities of the BPG Group and Newasia Group disposed of, represented by the net carrying amount of the assets and liabilities of the BPG Group and the Newasia Group as at the relevant dates, and the balances of foreign currency translation loss reserves in relation to the BPG Group and Newasia Group as at the disposal dates of RMB15,187,000 and RMB15,686,000 respectively which were reclassified to consolidated profit or loss upon the disposals, all of which entered into the determination of the gain on disposal of subsidiaries of approximately RMB580,529,000 which was recognised in the consolidated statement of profit or loss of the Group for the year ended 30 June 2019. Therefore, we were unable to satisfy ourselves as to whether the carrying amounts of the assets and liabilities of the BPG Group and the Newasia Group derecognised on the disposal dates and the balances of foreign currency translation loss reserves reclassified to profit or loss on the disposal dates, as disclosed in note 28 to the consolidated financial statements, as well as the resulting gain on disposal of the subsidiaries and the financial performance and cash flows of these groups of companies which were recognised in consolidated profit or loss and cash flows of the Group for the financial year ended 30 June 2019, were free from material misstatements. Our audit opinion on the 2019 Financial Statements was modified accordingly in respect of the matters referred to above. Our opinion on the current year's consolidated financial statements is also modified because of the possible effects of these matters on the comparability of the current year's figures and the corresponding figures. We conducted our audit in accordance with Hong Kong Standards on Auditing ("HKSAs") issued by the Hong Kong Institute of Certified Public Accountants (the "HKICPA"). Our responsibilities under those standards are further described in the "Auditors' Responsibilities for the Audit of the Consolidated Financial Statements" section of our report. We are independent of the Group in accordance with the HKICPA's Code of Ethics for Professional Accountants (the "Code"), and we have fulfilled our other ethical responsibilities in accordance with the Code. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our qualified opinion." – 30 – A16, 45(7) REVIEW OF THE ANNUAL RESULTS BY AUDIT COMMITTEE The audit committee of the Board (the "Audit Committee") comprises three INEDs, Mr. Chung Koon Yan, Dr. Lui Ming Wah, PhD, SBS, JP and Mr. Yang Zhen Han; Mr. Chung Koon Yan is the chairman of the Audit Committee. The establishment of the Audit Committee is in compliance with Rule 3.21 of the Listing Rules. The Audit Committee has the primary responsibility for reviewing the effectiveness of the Company's financial control, internal control and risk management systems and ensuring that the financial performance of the Company is properly measured and reported on, receiving and reviewing reports from management and the external auditors relating to the annual financial statements, and monitoring the accounting, internal control and risk management systems in use throughout the Group for the year ended 30 June 2020. The Audit Committee has reviewed with the management regarding the accounting principles and practices adopted by the Group and has also discussed the internal control and financial reporting matters, including the review of the Group's audited consolidated financial statements and annual results for the year ended 30 June 2020. Based on the review, the Audit Committee is aware that (i) the disclaimer of opinions on the Group's 2019 Financial Statements had been removed; and (ii) the only qualified opinion on the corresponding figures included in the Group's consolidated financial statements for the year ended 30 June 2020 is in line with the expected timeline of addressing the disclaimer of opinions. PUBLICATION OF ANNUAL REPORT The annual report of the Company will be published on the respective websites of the Company (www.asian-citrus.com) under the investor relations section and the HKEx (www.hkex.com.hk). By Order of the Board Asian Citrus Holdings Limited Ng Ong Nee Chairman Hong Kong, 31 August 2020 As at the date of this announcement, the Board comprises two executive Directors, namely Mr. Ng Ong Nee (Chairman and Chief Executive Officer) and Mr. Ng Hoi Yue (Deputy Chief Executive Officer); a non-executive Director, namely Mr. He Xiaohong; and three independent non-executive Directors, namely Mr. Chung Koon Yan, Dr. Lui Ming Wah, PhD, SBS, JP and Mr. Yang Zhen Han. * For identification purposes only
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NOT FOR PUBLICATION UNTIL RELEASED BY THE SUBCOMMITTEE ON READINESS UNITED STATES HOUSE OF REPRESENTATIVES DEPARTMENT OF THE AIR FORCE UNITED STATES AIR FORCE PRESENTATION TO THE ARMED SERVICES SUBCOMMITTEE ON READINESS UNITED STATES HOUSE OF REPRESENTATIVES SUBJECT: The Fiscal Year 2023 U.S. Air Force Budget Request for Readiness STATEMENT OF: General David W. Allvin Vice Chief of Staff of the Air Force 11 July 2022 NOT FOR PUBLICATION UNTIL RELEASED BY THE HOUSE ARMED SERVICES SUBCOMMITTEE ON READINESS INTRODUCTION Chairman Garamendi, Ranking Member Waltz, and distinguished members of this committee, on behalf of the Secretary of the Air Force, the Honorable Frank R. Kendall III, and the Chief of Staff of the Air Force, General Charles Q. Brown, Jr., thank you for another opportunity to testify on Air Force readiness. For over seven decades, our Air Force has been an indispensable contributor to our national security. We exist to defend the homeland, rapidly deploy combat power globally, and fight as part of a joint, ally, and partner team. With the inherent attributes of speed, range, agility, and lethality, along with responsibility for two-thirds of the nuclear triad, we provide unique options for our nation's leaders. We remain the world's premier responder in times of conflict, crisis, and contingency. Our mission—to "Fly, Fight, & Win…Airpower Anytime, Anywhere" –is underwritten by our readiness, today and in the future. With the strong support of this Congress, we have made tangible strides on initiatives to restore and strengthen readiness. However, the progress has also shown these strides are insufficient to meet the ever-changing and complex security environment we face. A sound and purposeful readiness strategy with steady and sufficient resources will prevent erosion of our enduring advantage and continue to move us forward with regard to current and future challenges. In FY22, we are deliberately accelerating readiness efforts to field the forces we need to fight and win against our pacing challenge. The FY23 President's Budget builds on last year's collaborative efforts to restore U.S. military readiness and construct the combat forces necessary to deter and win any war while protecting our vital interests. We will continue advancing force modernization to meet these threats and retiring less relevant systems to reallocate additional resources. As our Air Force balances and ensures its readiness for today and tomorrow, four factors stand out among many that influence our ability to do so. The first factor is our aging fleet of aircraft. Our average aircraft are 30 years old, with 44% of those well past their expected service life. The second factor is the high utilization rate of our aging fleet in support of high-demand joint force missions. Third is the pace at which China is advancing its capabilities. In many areas significant to national security, China is progressing faster than we are, thereby eliminating the technology and capability gap we have historically enjoyed. Their rapid advancement of capabilities is making the relevance of our aging fleet diminish even faster. Fourth, due to inflation, the complexity and sophistication of our systems, and the unpredictability of costs, we face a perpetually daunting challenge to our readiness. The cumulative effects of these four factors provide the undercurrent for enhancing our state of readiness, operational agility, and long-term strategic readiness investments. CURRENT READINESS Aircrew Manning The national pilot shortage we discussed last year continues to challenge our Air Force. We briefed that at the end of FY20, the Air Force was 1,925 manned pilots short of the 21,000 required to meet global requirements—a decrease from FY19. FY21 continued the positive trend of reducing pilot vacancies to 1,650. While we believe some of the improved retention in FY20 and FY21 was due to a reduction in airline hiring during the pandemic, initial estimates suggest airlines are seeking 9,000 new pilots in 2022. This is predicted to negatively impact our pilot and aircrew retention rates for FY23. To improve retention, we have also initiated several monetary and non-monetary incentive programs to address quality of life and quality of service concerns for our aircrew. Monetarily, we continue with the Aviator Bonus, Aviator Incentive Pay, Special Duty Pay, and Critical Skills Pay. These include long and short-term contracts, with the former offering more money upfront for a longer commitment. We continue to focus on non-monetary programs as well because we understand we may recruit the individual, but we retain the families. We have continued with spouse licensure initiatives, which support and reimburse spouses obtaining new licenses or certifications to work in their current professions while moving to a new state. We secured contractor administrative support at the squadron level to reduce non-flying duties for Airmen (965 contractors support 229 operational squadrons). Additionally, we have reduced the number of 365-day deployments by 29% (from 330 to 231), increased assignment transparency, and removed Below-the-Zone promotions to provide additional time for Airmen to develop professionally, while increasing the Service's ability to recognize emerging talent and potential. We appreciate this committee's sustained support for these vital retention programs. Along with aircrew retention, we are investing in pilot production. In FY21, Undergraduate Pilot Training (UPT) programs produced 1,381 pilots—118 more than the year prior, but still 119 pilots short of the 1,500 goal. Low instructor pilot manning in key locations exacerbates the inability to meet pilot production quotas. To fulfill our goal of recruiting and training 1,500 pilots, we have implemented numerous programs to accomplish this increase through non-traditional means. These initiatives include Pilot Training Next, which integrates various technologies to produce pilots in an accelerated manner through biometrics, advanced analytics, human performance, and advanced learning strategies. UPT 2.5 modernizes pilot training to improve the quality and readiness of graduates for the challenges of 5th-generation aviation. UPT 2.5 is operational at Vance, Columbus, and Laughlin Air Force Bases with full capabilities projected by November 2022. Rotary-Only Undergraduate Helicopter Training departs from the traditional paradigm of requiring initial fixed-wing training before proceeding to rotary wing training, and the initial results show meaningful savings with no impact on quality. Accelerated Paths to Wings allows student pilots to remain in a single airframe, reducing pilot training timelines by five months. As of April of this year, Accelerated Path to Wings has graduated 30 pilots with 26 in training. Additional programs include the Civil Paths to Wings program, which provides qualified pilot candidates credit for civilian flight training and experience. Civilian Simulator Instructor hiring aims to increase training environment manning, freeing up military instructor pilots for operational units. Finally, the Remote Simulator Instructor program will maximize the ability to facilitate remote learning from preferred locations to attract and retain top talent. Collectively, these programs continue to mature and yield results. We will continue to monitor, assess, and improve to ensure we are getting the maximum production in quantity and quality that our current resources enable. Flying Hour Program (FHP) The FHP continues to be a valuable metric of aircrew readiness. In FY21, the Air Force executed 1.16 million (93%) of planned flight hours. While we met a high percentage, several factors continue to challenge our ability to fly programmed hours. For example, 9% of our maintenance positions are currently unfunded, approximately 50% of our aircraft maintenance personnel have less than six years of experience, and there is a 20% fighter pilot shortage. Additionally, unforeseen events such as natural disasters, fleet groundings, or the pandemic, also influence our ability to satisfy our FHP requirements. Each year, we execute a study that refines our database to help forecast reasonable FHP levels. The FY23 budget corrects the forecasted FHP levels based on the FY22 and FY21 studies. Despite the challenges with executing FHP, we continue to search for innovative ways to generate aircraft and quality aircrew training. These include Weapon System Sustainment programs and virtual training environments to complement real-world training and to replicate complex scenarios. Weapon System Sustainment (WSS) The Air Force maintains substantial investments in capabilities within the WSS portfolio. WSS spans 109 weapon systems from the oldest B-52 to emerging cyber systems. The WSS portfolio has grown as a result of sustaining old aircraft beyond design life, fielding new weapon systems with increased technical complexity, increasing operational requirements in Contract Logistics Support platforms, and navigating above inflation increases in labor and material costs. We have launched an exhaustive study of the Air Force WSS to find the best measures to control cost growth and maximize return on investment in terms of the sustainment dollars we spend. In FY23, the United States Air Force WSS funding request grew to $16.6 billion, representing an increase of $1 billion over FY22. Despite that growth, the FY23 budget funds 85% of all WSS requirements, maintaining what was enacted in FY22, but at a lower level than previous years: FY21 (86%), FY20 (87%), FY19 (89%), FY18 (92%), or FY17 (93%). This gradual but continuous decrease in the percentage of sustainment funding makes it necessary for the Air Force to prioritize weapon systems that are most relevant for deterring and defeating a peer adversary in a future conflict. Moreover, underfunding WSS means less capacity for an aging fleet, which drives us to limit our FHP. The Air Force's overall objective is to ensure a balance between modernization, recapitalization, and readiness in support of the National Defense Strategy. ENHANCED OPERATIONAL READINESS AND AGILITY Air Force's Force Generation (AFFORGEN) Model Over the past two years, the Air Force has introduced a new AFFORGEN model in coordination with the Office of the Secretary of Defense and the Joint Staff. The new model realigns forces within four categories: available to commit, reset, prepare, and ready. With China identified as our pacing challenge, we anticipate our forces will operate in complex, disconnected, and decentralized environments. These situations will require robust preparation and training. AFFORGEN allows the Air Force to generate its forces, build readiness, and modernize to meet peer adversaries in future fights. The model expands the traditional 1:2 deploy-to-dwell rotational model to a 1:3 model, thereby creating sustainable capacity that satisfies the requirements of the National Defense Strategy. FY22 Global Force Management decisions laid the groundwork for implementing AFFORGEN in FY23. AFFORGEN provides discipline to the process, ensuring we have sufficient time to train against the highest end threat, avoid over-utilization of the force (crews and platforms), and provide clarity to the Joint Force as to what the Air Force can provide to the fight. Dynamic Force Employment (DFE) DFE effectively utilizes airpower for strategic effect allowing us to assure our allies and partners while affording our forces time to recover and build combat readiness. Last year, we briefed that FY20 represented the first use of DFE in a proactive readiness-building role supporting USNORTHCOM. In FY21, the Air Force accomplished six rapid execution events in USINDOPACOM, USCENTCOM, USEUCOM, and USSOUTHCOM. We expect FY23 to mirror FY22 in the number of execution events, but differ in timing and location. DFE is integrated into the AFFORGEN model to provide sustainable readiness today and tomorrow, building an appropriate force offering to the nation. These DFEs allow the Air Force to maximize the Service's agility and support the broader objective of the Department of Defense. While strategically impactful, DFE capacity is finite, and the Air Force will need to balance the use of DFE with the need for long-term readiness planning. Agile Combat Employment (ACE) ACE is the Air Force's innovative concept for dispersing and fighting in contested environments. Through ACE, the Air Force is transitioning from an extensive, centralized, unhardened infrastructure to smaller, dispersed, resilient, and adaptive basing that includes active and passive defenses. The concept complicates the adversary's wartime calculus and denies them the lucrative targeting opportunities that known, fixed, and unprotected locations provide. As discussed last year, sustainable ACE combat operations have been validated through multiple exercises across the Pacific and European theaters. The Air Force continues to finetune doctrine, test tactical employment concepts, define strategic requirements, as well as establish the organization and training for the Multi-Capable Airmen initiative—the foundation of the teaming approach necessary for small footprint operations. In FY23, we are requesting $482 million towards the implementation of ACE. Specifically, the budget designates $95 million for investments like advanced maintenance training, military deception, and counterintelligence capabilities. STRATEGIC READINESS INVESTMENTS Nuclear Modernization Readiness both today and tomorrow are inextricably linked. Ensuring viable options in a changing strategic environment is a commitment our Service holds sacred. We understand in order to follow through on our promise to our nation we must provide a robust readiness portfolio fully integrated with our nuclear operations. The FY23 President's Budget funds nuclear modernization at $7.9 billion, which enables a long-term course correction and a modernization of the nuclear enterprise that continues to deter well past its design life. We will use this funding to continue enhancing the Nuclear Command, Control, and Communications (NC3) systems and to transition from the aged Minuteman III to the LGM-35A Sentinel weapons system, previously referred to as Ground Based Strategic Deterrent (GBSD). We will progress in developing the nuclear-capable B-21 bomber; a foundational, strategic-level capability that is part of our long-range strike family-ofsystems. These systems, along with others, provide the flexible and responsive nuclear capabilities needed to deter modern threats. Operational Test and Training Infrastructure (OTTI) The Air Force uses a number of physical training ranges to sharpen the combat effectiveness of aircrews; however, the current operational training infrastructure does not deliver the high-end training capability the Air Force and the joint force need. The Air Force is improving select ranges based on the Threat Matrix Framework to address this shortfall. The FY23 President's Budget will allow us to continue the FY22 plan to modernize the Nevada Test and Training Range as well as the Joint Pacific Alaska Range Complex and emulate a peer or near-peer adversary environment by FY30. In addition, we plan to upgrade six primary test ranges and maximize operational airspace for 5th-generation tests and training, while maintaining a flexibility to accommodate military, public, and environmental concerns. The planned improvements include high-fidelity threat emitters, jammers, and improved targets, as part of an integrated system that allows ranges to function as realistic and reactive adversaries. To meet the National Defense Strategy priorities, the Air Force requires additional investment in synthetic virtual, or synthetic, training capabilities. For example, the Air Force Common Synthetic Training Environment (CSTE) concept will enable aircrew and other operators to train and maintain readiness against our near-peer adversaries using a robust, dependable, and cost-effective synthetic training capability. CSTE also helps us overcome real planes live-fly training limitations such as range size constraints restricting our ability to replicate threats and allowing adversaries to observe our training. While we will always leverage the opportunities for synthetic training, we believe that some airmanship can only be gained in the air, and we will continue to refine the balance. Installation and Infrastructure Resilience Protecting our Airmen, civilians, contractors, families, and resources is paramount. We are addressing the dynamic threat environment through various initiatives starting with integrated base defense (IBD). IBD encompasses a three-layer defense network comprised of: air base air defense, cyber defense, and ground defense that form a multi-domain architecture so Airmen can detect, evaluate, and act on threats. The FY23 budget request includes over $1.3 billion in funding to enhance base resiliency. This includes funds to enhance rapid runway repair capacity, capability development to build a solid foundation for modern battle management command and control for air base defense, further development of promising technological solutions for missile defense, and further development and fielding of scalable counter-small unmanned aerial system (drone) capability for our commanders in the field. The request also includes various MILCON projects that are critical to improving Air Force infrastructure resiliency within the Indo-Pacific and European theaters. These projects will increase our runway and ramp space at key airfields and create storage for war reserve material, which contribute to making our forward bases harder targets for our potential adversaries. Second, over the past several years, we have seen first-hand the risks and impacts that extreme and unpredictable weather conditions can pose to our installations, operations, readiness, and Airmen. As a result, the Department of the Air Force is developing a comprehensive Climate Action Plan that explains our climate priorities and actionable goals. To help address these challenges, the Air Force is leveraging data and analytics to make climate-informed decisions. We will continue to incorporate climate considerations into our guidance, plans, policies, and infrastructure development to ensure we promote resiliency while reducing our energy footprint. Lastly, our Service is committed to modernizing its organic industrial base (OIB), focusing on depot resources and technology. Between FY18 and FY21, through working capital funds, MILCON, and procurement appropriations, the Air Force invested nearly $1.5 billion in depot infrastructure and equipment. The FY22 budget supports an estimated $605 million, and in FY23, the President's Budget projects $642.7 million. While adhering to statutory mandates, we are leveraging new technologies such as advanced manufacturing, information technology infrastructure, and process improvement initiatives to create secure and intelligent depots. Combined with numerous other initiatives, our Air Force takes a multi-faceted approach to installation and infrastructure resilience to eliminate potential vulnerabilities. CONCLUSION As our Air Force celebrates its 75th anniversary, our Airmen are confronted with unprecedented strategic uncertainty and a pace of change that demands responsiveness—our Airmen are answering that call. Their devotion to duty, resilience in the face of adversity, collective enthusiasm, and innovative spirit deserve our admiration and our unwavering support. Our Service members will provide the intellect and energy we require to overcome any challenge—at home or abroad. Our continued responsibility is to make sure those members are ready to meet that future. Modernization is readiness—tomorrow's readiness. We are clear-eyed about the tension between the resources needed to maintain our readiness today against existing threats and the resources required to meet the advancing threats of tomorrow. We must leave an Air Force our successors can prevail with well into the future. This tension has required our Service to make tough choices and we will continue doing so; however, these tough choices are not limited to just the Air Force. We will work collectively across the Department of Defense and look forward to the continued partnership with this committee and this Congress to accurately assess the impact of our decisions and to deliberately assume and mitigate risks accordingly. On behalf of the 689,000 Total Force Airmen, civilians, and families, thank you for helping us advance the momentum and resources to get our forces optimized and ready.
The quantitative determination of Perphenazine in tablets by the spectrophotometric method as its sulfoxide obtained with diperoxyazelaic acid Mykola Blazheyevskiy a , Myhailo Kucher b , Oleh Shpychak a* a National University of Pharmacy, 53, Pushkinska str., Kharkiv, 61002, Ukraine b Danylo Galytsky Lviv National Medical University, Pekarska str., Lviv, 79010 69 email@example.com Keywords: Perphenazine Dihydrochloride, Perphenazine sulfoxide, indirect spectrophotometry The oxidative derivatization method using diperoxyazelaic acid for the indirect spectrophotometric determination of Perphenazine dihydrochloride is presented. Diperoxyazelaic acid is introduced as a derivatizing agent for Perphenazine, yielding sulfoxides. This reaction product was successfully employed for the spectrophotometric determination of Perphenazine dihydrochloride. The UV spectroscopic detection of sulfoxide has been proven to be the more robust and selective. The method developed allowed determination of Perphenazine dihydrochloride in the concentration range of 1–40 µg/mL. The limits of quantification (LOQ=10S) is 3.3 µg·ml-1. A new spectrophotometric method has been developed, and the possibility of the quantitative determination of Perphenazine dihydrochloride in Perphenazine Tablets has been demonstrated. The present method is precise, accurate and other inactive excipients of the drug do not interfere. RSD = 2.00%; δ=( -µ) 100%/µ = – 0.85 %). ________________________________________________________________________________ Introduction Perphenazine (PER), 2-[4-[3-(2chlorophenothiazin- 10- yl) propyl] piperazin1- yl] ethanol, chemically belongs to the piperazinyl phenothiazine family of drugs with the chemical formula – C21H26CIN3OS (Fig. 1). Because of its neuroleptic and antidepressive effects it is often prescribed for the treatment of mental illnesses, such as schizophrenia and schizoaffective psychosis in order to decrease restlessness, aggressiveness and impulsive behavior. It is also found to be effective in the treatment of Parkinson's disease [1]. It is available as oral tablets containing 2 mg, 4 mg, 8 mg, and 16 mg of perphenazine. Perphenazine hydrochloride, as well as other 2,10-substituted phenothiazine derivatives, possesses some interesting chemical properties. It is very susceptible to oxidation by many oxidizing agents, such as H2O2, Cr2O7 2- , VO 3- , Ce 4+ , Fe 3+ , [Fe(CN)6] 3- , Au 3+ , chloramine T, etc. [2]. The oxidation reaction of Perphenazine proceeds in two steps. The ﬁrst step is the loss of one electron giving a violet semiquinone free radical cation. In the second step of reaction, the free radical cation loses another electron giving the colorless Perphenazine sulfoxide (Ph-SO). The described process can be presented as follows (see Scheme in Figure 2.) [3]. Thus, the final oxidation product is Phenothiazine S-oxide. The monitoring of Perphenazine is important for quality assurance in pharmaceutical industry and for obtaining the optimum therapeutic concentrations in the body fluids to minimize the risk of toxicity. Therefore, it is important to develop simple and sensitive methods for the determination of this drug. A wide variety of analytical procedures are available for the determination of perphenazine in pharmaceutical preparations and biological samples, such as HPLC [4,5], mass spectrometry [6], spectrophotometry [7,8], electrochemistry [9-11], electrophoresis [12] fluorescence [13] and chemiluminescence [14]. The official method for the assay of Perphenazine in tablets described by the British Pharmacopoeia (BPh) [15] is a spectrophotometric method, in which the ultraviolet absorption spectra of the second derivative of the following solutions are recorded in the range from 210 to 290 nm, and the amplitude is measured from the peak at 265 nm to the trough at 255 nm. The C21H26N3OS content was calculated using the declared C21H26N3OS content in BPCRS perphenazine. In return, for the assay of perphenazine injection, syrup and tablets Perphenazine the United States Pharmacopoeia (USP) [16] recommends applying the procedure with the acid-alcohol solution and Palladium chloride solution with the subsequent measurement of the optical density at a wavelength of about 480 nm. The content is found by the standard method. One of the promising areas in improving the selectivity and sensitivity of the determination of phenothiazine derivatives is an approach based on their determination in the form of a functional derivative - S-oxidation product produced from the analytical reagent using a peroxide derivative of organic acid. Chemical conversion covers only the functional group of the active substance molecules, and therefore, the selectivity of the active substance determination is achieved [17,18]. We have offered to perform the Perphenazine assay by using indirect spectrophotometry in the form of the corresponding sulfoxide produced with diperoxyazelaic acid as an analytical oxidizing reagent. The scheme of Perphenazine oxidation with diperoxy azelaic acid in the acidic medium is given in Figure 3. Experimental part Material and methods Reagents Diperoxyazelaic acid. Diperoxyazelaic acid was prepared by acylation of hydrogen peroxide with azelaic acid in the concentrated sulfuric acid according to the Swern method [18]. Potassium iodide solution. Dissolve 10 g of potassium iodide in fresh boiled and cooled water, and dilute the solution to the volume of 100 mL. The solution should be colorless. 0.1 mol L-1 sodium thiosulfate standard solution was prepared using the titer fixanal ampoule. The hydrochloric acid solutions: c(НСl) =2 mol L -1 ; 0.4 mol L -1 and 0.2 mol L -1 . The determination of Perphenazine was made using commercial tablets available in Russia: "Ethaperazine" (Perphenazine) filmcoated tablets, 10 mg, No. 50, by "Tatchempharmpreparaty" JSC (Kazan, Russia), batch number 10218. According to Data Sheet No. 458, the drug content was 0.0092 g per tablet (tolerances of no less than 0.0085 g per tablet and no more than 0.0115 g per tablet, i.e. 85-115%). The dose of Perphenazine in a pharmaceutical preparation, was 10 mg/tablet. Thus, ten tablets were powdered and a suitable quantity of the sample was accurately weighed and dissolved in 0.4 mol L -1 of hydrochloric acid solution. The solubility was increased by using an ultrasonic bath. Preparation of 0.0085 mol L -1 diperoxyazelaic acid. Weigh 0.2 g of diperoxy azelaic acid powder and dissolve in 100 mL of 50% ethanol. The content is determined by iodometric titration. The standard solution (0.1 mg ml-1) of perphenazine dihydrochloride (Sigma, St. Louis, Missouri, USA) was prepared by dissolving a weighed amount of the drug (containing 10.0 mg of the Perphenazine base, С21Н26СlN3OS) in 100.0 mL of 0.4 mol L -1 hydrochloric acid solution at +20°С. It was stored in a refrigerator and protected from light. All chemicals used were of the analytical reagent grade, and double-distilled water was used throughout the experiment. Apparatus Registration of spectra of Perphenazine hydrochloride solutions and products of its oxidation, as well as measurement of absorbance of solutions, was performed in a 1 cm quartz cuvette on an Evolution 60S UVVisible Thermo-Scientific Spectrophotometer (USA) against a solution without the Phenothiazine derivative analyzed or doubledistilled water (compensation solution). The рН of the solution was measured by the electrometric method using an "Ionmeter I130" potentiometer with an ESL-43-07 glass electrode. A 10 ml class 2 microburette was used to measure the volume of the titrant solution. Procedure Preparation of the calibration curve Using a pipette sample 2.00; 5.00; 10.00; 15.00 and 20.00 mL of Perphenazine standard solution and transfer to 50 mL flasks, then sequentially add 10 mL of 2 mol L -1 hydrochloric acid solution and 1.0 mL of 0.0085 mol L -1 diperoxy azelaic acid solution to each flask, and dilute to the volume with double distilled water capped and thoroughly mixed by upturning the flask 710 times. The absorbance was measured at 342 nm using double distilled water as a compensation solution. Procedure for Pharmaceutical Preparation Determination of the Perphenazine content in Ethaperazine film-coated tablets, 10 mg. Powder 20 tablets and accurately weigh approximately 0.31 g of the sample and mix with 50 mL of 0.4 mol L -1 hydrochloric acid solution and thoroughly shake for 30 min, filter through a glass microfiber paper filter, rinse the residue carefully on the filter (3 times by 10 mL) with the recommended solution, and once the filtrates are combined, transfer the solution to a 100 mL flask. Dilute the solution volumes with the recommended solvent and thoroughly stir up. Using a pipette sample 20 mL of the Perphenazine solution obtained and transfer to 50 mL flasks, then sequentially add 10 mL of 2 mol L -1 hydrochloric acid solution and 1.0 mL of 0.0085 mol L -1 diperoxy azelaic acid solution, and dilute to the volume with double distilled water capped and thoroughly mixed by upturning the flask 7-10 times. The absorbance was measured at 342 nm using double distilled water as a compensation solution. The similar procedure was performed with the standard solution (SS) according to instructions to the method starting with "…sample 20 mL of the Perphenazine solution obtained…". The content of Perphenazine dihydrochloride expressed as the Perphenazine base (С21Н26СlN3OS) (Х) per mg in the tablet is calculated according to the following formula: Х=(Cst×Ax×100× )/(A ×m) where Ах is the absorbance of the test solution; A is the absorption in the experiment with the SS; Сst is the drug content in the SS, mg mL -1 ; m is the weighed mass of the tablet powder, g; 100 is the flask volume for pharmaceutical or standard solution preparation; is the average mass of a tablet, g. Results and discussion Figure 4 shows the UV-spectrum of Perphenazine (lower curve) and its S-oxidation product – the corresponding sulfoxide (upper curve). At 342 nm, the molar absorptivity was 5.45·10 3 L·mol -1 ·cm -1 . LOD(3S) =0.6 µg mL -1 ; LOQ(10S)=1.9 µg mL -1 . Figure 6. The dependence of absorption on the Perphenazine concentration Various quantities of interfering compounds that were possible during production were added to a fixed amount of perphenazine dihydrochloride (10 mg) studied, and the recommended procedure for the spectrophotometric determination was followed (Table 1). Other compounds, such as ascorbic acid, microcrystalline cellulose, polyethylene glycol and potassium hydrogen sulfite did not show any interference as well. The data obtained showed a prospect of the possibility of using the method developed for the analysis of the tablet form of the drug. Table 2 shows the results of the analysis of Perphenazine in film-coated tablets (10 mg) obtained by the spectrophotometric method proposed. It has been proven that the method developed allows accurately determining Perphenazine in a dosage form. Table 1. The quantitative assessment of tolerable amounts of the possible interference \| Possible interfering Inactive Excipients of the drug \| The amount without interferinga (mg) \| \|---\|---\| \| Excipients : Lactose monohydrate Potato starch Corn starch Calcium stearate Magnesium stearate \| 125.0 13.5 13.5 1.5 1.5 \| \| Shell Excipients: Sucrose Magnesium hydroxy carbonate Povidone Colloidal silicon dioxide Tropeolin O Yellow quinoline Indigo carmine Titanium dioxide Bee wax \| 93 50 2 3.3 0.01 0.13 0.01 1.5 0.22 \| a The value is mg of the drug excipient with respect to 10 mg of perphenazine, which does not cause absorption changes by more than +0.005. The RSD does not exceed ± 2 %. The results are in good agreement with the analysis of Perphenazine tablets according to the Specification. The determination of Perphenazine in the form of the corresponding sulfoxide obtained with the use of diperoxyazelaic acid as an analytical reagent is quite selective, as well as faster and less laborious and cheaper compared to the methods based on the formation of phenothiazine free radicals [3] or the complex with Palladium salt [16], respectively. The official method of analysis of Perphenazine tablets recommended by the British Pharmacopoeia (BPh), in our opinion, is also relatively difficult to implement and takes a lot of time. Table 2. The results of the assay for Perphenazine filmcoated tablets, 10 mg \| Taken \| Found \| Metrological characteristics Р=0.95 \| \|---\|---\|---\| \| \| mg per tablet \| \| Notes: * The calculation is made using the µ analysis specification data, δ = ( x -µ) 100%/µ Conclusions On the example of the determination of Perphenazine in a dosage form using diperoxyazelaic acid as an oxidizing agent the method for the indirect spectrophotometric determination of phenothiazine derivatives with piperazine rings in side chains in ition 10 has been proposed. The linear dependence of the absorbance was observed in the concentration FRENCH-UKRAINIAN JOURNAL OF CHEMISTRY (2019, VOLUME 07, ISSUE 02) range of 40 µg mL -1 of Perphenazine (А=0.0134 С, r=0.999) where С – the concentration in µg mL-1. At 342 nm, the molar absorptivity was 5.45·10 3 L·mol-1·cm -1 . LOD(3S) =1.1 µg mL -1 ; LOQ(10S)=3.3 µg mL -1 . The assay of Perphenazine in the form of the corresponding sulfoxide obtained with the use of diperoxyazelaic acid as an analytical reagent is quite selective, as well as faster and less laborious and cheaper compared to methods based on the formation of phenothiazine free cation-radicals or the complex with Palladium salt, respectively. References [1] Hartung B, Sampson S, Leucht S, Hartung B, Sampson S, Leucht S. Cochrane Database of Systematic Reviews Perphenazine for schizophrenia (Review). Perphenazine for schizophrenia. Cochrane Database of Systematic Reviews 2015;3:1-447. Art. No.: CD003443. Published by John Wiley & Sons, Ltd. DOI: 10.1002/14651858. CD003443.pub3 [2] Puzanowska-Tarasiewicz H, Kuźmicka L, Karpińska J, Mielech-Lukasiewicz K. Efficient oxidizing agents for determination of 2,10-disubstituted phenothiazines. Anal. Sci. 2005; 21(10): 1149-1153. DOI: 10.2116/analsci.21.1149 [3] Wang, R.-Y., & Lu, Y.-T. Kinetic spectrophotometric method for determination of perphenazine based on monitoring the oxidation intermediate by applying a stopped-flow technique. Spectrochimica Acta Part A: Molecular and Biomolecular Spectroscopy. 2005, 61(5), 791–797. doi:10.1016/j.saa.2004.05.026 [4] Ling Wang, Yan-Yu Xiao, Ming-Lei Chen, Fan Zeng, Li Zong. Pharmacokinetics of orally disintegrating tablets of perphenazine/hydroxypropyl-cyclodextrin inclusion complex in rabbits. Pharmazie 2013; 68(10):800–804. DOI: 10.1691/ph.2013.2244 [5] Saar E, Gerostamoulos D, Drummer OH, Beyer J. Identification and quantification of 30 antipsychotics in blood using LC-MS/MS. J. Mass Spectrom 2010, 45(8):915–925. DOI: 10.1002/jms.1783. [6] Turunen E, Lehtonen M, Järvinen T, Jarho P. Development and validation of a gas chromatographic-mass spectrometric method for quantitative determination of perphenazine in rabbit plasma after sublingual administration. J Chromatogr B Analyt Technol Biomed Life Sci 2008, 872(1-2):5157. DOI:10.1016/j.jchromb.2008.07.010 [7] Patel, D., & Patel, V. Simultaneous estimation of Amitriptyline Hydrochloride and Perphenazine by Absorption Ratio (Q-analysis) UV Spectrophotometric method in combined tablet dosage form. Int J Pharm Sci Res, 2010; 1: 133-137. DOI: http://dx.doi.org/10.13040/IJPSR.0975- 8232.1(12).133-37 [8] Li Guo, Yan Zhang, Quanmin Li. Spectrophotometric determination of perphenazine with the detection system of potassium ferricyanide–Fe(III) in pharmaceutical and serum samples. Spectrochimica Acta Part A: Molecular and Biomolecular Spectroscopy 2009, 74(2):307-311. https://doi.org/10.1016/j.saa.2009.06.012 [9] Heli H, Sattarahmady N, Zare SN. Electrooxidation and determination of perphenazine on a graphene oxide nanosheet-modified electrode. RSC Advances 2015, 27:21005-21011. DOI:10.1039/C5RA01405K [10] Fasihi F, Farjami F, Shafiee GH. Highly sensitive determination of perphenazine on a carbon nanocomposite ionic liquid electrode. RSC Advances 2015, 115:95087-95095. doi: 10.1039/C5RA14639A [11] Cosofret Vasile V. Pharmaceutical Applications of Membrane Sensors/ by Vasile V. Cosofret and Richard P. Buck. CRC Press, 2018:443. ISBN 9781351075497 - CAT# KE61215 [12] Tu YY. Hsieh MM, Chang SY. Sensitive detection of piperazinyl phenothiazine drugs by fieldamplified sample stacking in capillary electrophoresis with dispersive liquid–liquid microextraction. Electrophoresis 2015, 36(21-22):2828-2836. doi:10.1002/elps.201500260. [13] Stolman A. Progress in Chemical Toxicology Vol. 5 / Ed. Abraham Stolman. Elsevier, 2013:406. ISBN: 9781483219233 [14] Rezaei B, Mokhtari A. Sensitive determination of perphenazine in pharmaceuticals and human serum by flow injection chemiluminescence method using [Ru(phen)3] 2+- Ce(IV) system and a chemometrical optimization approach. J. Braz. Chem. Soc. 2011, 22(1) http://dx.doi.org/10.1590/S010350532011000100006 [15] The British Pharmacopoeia Commission Secretariat of the Medicines and Healthcare Products Regulatory Agency (MHRA) The British Pharmacopoeia 2019. London, United Kingdom: TSO (The Stationery Office); 1 January 2019; Available from https://www.tsoshop.co.uk/Medical/MHRA/British- Pharmacopoeia-2019/ [16] The United States Pharmacopeia, Thirty-Ninth Revision, and The National Formulary, Thirty-Fourth Edition. The United States Pharmacopeial Convention 12601 Twinbrook Parkway, Rockville, MD 20852 [17] Shlusar, O. E., & Blazheevski, M. Y.. Spectrophotometric determination of perphenazine as it's sulphoxide obtained by peroxomonosulphate. Farmatsevtychnyi Zhurnal, 2012; 4: 71-75 (Ukrainian). Retrieved from https://pharmj.org.ua/index.php/journal/article/view/5 01 [18] Blazheyevskiy M.Ye. Application of derivatization by means of peroxy acid oxidation and perhydrolysis reactions in pharmaceutical analysis : Monograph – Lviv: Ivan Franko National University of Lviv, 2017:106.
1 How well do people understand the climate impact of individual actions? Seth Wynes 1 , Jiaying Zhao 2 , Simon D. Donner 1 Corresponding author: firstname.lastname@example.org, Phone: (514) 779-1123, Fax: (604) 822 6150 University of British Columbia, The Department of Geography, Vancouver Campus, 1984 West Mall, Vancouver, BC, V6T 1Z2, Canada 2University of British Columbia, Department of Psychology & Institute for Resources, Environment and Sustainability, Vancouver, BC, CAN V6T 1Z4 Keywords: Carbon numeracy \| Decision making \| Climate change mitigation \| pro-environmental behaviours \| air travel \| meat consumption Abstract Misunderstandings in the relative efficacy of pro-environmental behaviours may have important consequences for climate mitigation efforts. In this study, we evaluate the ability to perceive the carbon footprint associated with individual actions, known as "carbon numeracy", in 965 members of the North American public using ranking and tradeoff questions. The questions are designed to independently assess the role of knowledge, ability to do tradeoffs, and basic numeracy skills in determining carbon numeracy. We report multiple lines of evidence suggesting that people underestimate greenhouse gas emissions associated with air travel, and to a lesser extent, meat consumption. They are also largely incapable of making tradeoffs between different actions (e.g. the number of hamburgers that would be equivalent to a trans-Atlantic flight in terms of climate impact). Concern for climate change, political orientation and education were not significant predictors of accuracy in making tradeoffs, but basic numeracy was linked with increased accuracy. The results suggest that further education may be necessary to improve carbon numeracy by providing the public with a basic hierarchy of actions according to carbon reduction efficacy. Consumers seeking to balance their carbon budgets may benefit from external aids (e.g. carbon labels associated with actions) to guide emission-related decision making. 1. Introduction People exhibit greater willingness and intentions to perform pro-environmental behaviours that they believe are more effective in combating climate change (De Boer et al., 2016; Truelove and Parks, 2012). It is therefore important that members of the public can distinguish between actions that are low- or high-impact for mitigating climate change. The most effective actions for reducing an individual's greenhouse gas emissions have been ranked (Gardner and Stern, 2008; Ivanova et al., 2020; Lacroix, 2018; Wynes and Nicholas, 2017), though important questions still remain: Do people understand these rankings? Can they make tradeoffs between different actions? Attempts to improve carbon numeracy are common: Educational curricula instruct students to investigate their own carbon footprints (Wynes and Nicholas, 2019), and researchers communicate the impact of specific actions as components of lowcarbon lifestyle interventions (Cornelius et al., 2014). Despite this growing engagement, the "carbon numeracy" of the public is not well understood. We define carbon numeracy as the ability to correctly understand and manage one's own carbon footprint (or budget). The concept is derived from the ability to manage similar budgets as part of dayto-day living. For example, people manage their bank accounts to balance income and expenses. Many also count calories, using dietary labels to balance their caloric intake against the energy demands of exercise. A person with basic literacy is likely able to identify the most consequential ways they can save money or calories. Someone with greater literacy could also rank different products according to their costs, in the case of financial literacy, and an individual with strong literacy would be able to make tradeoffs between decisions (e.g., skipping X cups of coffee would result in enough savings to purchase a new phone). Those same skills can be applied to management of a personal carbon footprint (e.g., switching to an electric vehicle will reduce emissions more than hang drying laundry). 3 Past research investigating carbon numeracy has been limited in scale or focused within related domains like energy use or diet. For instance, people have systematic biases against efficiency changes when estimating the impact of behaviours involving household energy use (Attari et al., 2010). Consumers are able to order foods according to relative climate impact, but are unaware of the magnitude of the differences in climate impact between food products (Shi et al., 2016). Consumers tend to underestimate the environmental impact of meat products (Camilleri et al., 2019; Kause et al., 2019; Lazzarini et al., 2016) or car travel (Grinstein et al., 2018). Because of these biases, improved carbon numeracy is believed to be key for individuals to make sustainable choices (Grinstein et al., 2018; Shi et al., 2016). However, little research has examined carbon numeracy across different domains. Poor carbon numeracy could come from a lack of knowledge, but the translation of knowledge into action is complicated by many factors. These include reliance on "gut feelings" or heuristics (Turrentine and Kurani, 2007) or "moral licensing" (Gifford, 2011) where individuals engaged in pro-environmental behaviours show willingness to forego other pro-environmental behaviours (Truelove et al., 2014). Poor carbon numeracy can also come from limited numeracy skills. For example, people make substantial errors when estimating climate impacts in absolute quantities, as measured in Watts per household activity (Attari et al., 2010) or kilograms of CO2 per liter of gasoline (Grinstein et al., 2018). While people are likely to err in estimating the absolute impact of an action, they may still be able to make relative comparisons, like ranking different actions or performing tradeoffs (e.g. "I can do more of X because I already perform Y", or "I will put more effort into X behavior because it is more important than behaviours Y and Z"). Evidence suggests that some people engage in a type of tradeoff thinking (referred to as "compensatory beliefs") where they try to balance previous car use by restricting driving in the future, or they realize that certain actions have high climate impacts that are impossible to compensate for with other smaller actions (Hope et al., 2018). One study of compensatory beliefs across 4 seven nations found, for instance, that a cross-national average of 47.6% of respondents believe that a few simple actions to protect the environment is sufficient, while 39.5% agreed that the environmental impact of flying on holiday can be compensated for by reduced car usage (Capstick et al., 2019). A UK study (N=770) on compensatory beliefs found 15.6% of participants agreed that not using a dishwasher can compensate for taking longer showers, 12.2% agreed that composting food can make up for buying imported food, and 3.6% agreed that flying abroad can be made up for by not eating meat (Kaklamanou et al., 2015). The authors suspected that their survey methodology may lead to conservative levels of agreement, suggesting that compensatory thinking is neither very widespread nor so negligible that it should be ignored by those designing education programs or behavioural interventions. Even individuals who do not actively engage in compensatory thinking but who are still conscious of the impact of their decisions could benefit from greater carbon numeracy. For example, some studies of "food miles" have found that shifting diets can have a greater impact on one's carbon footprint than buying local food (Weber and Matthews, 2008). One UK study found that driving more than 7 km to a local farm shop for vegetables results in higher greenhouse gas reductions than vegetables being delivered by a long-distance, mass distribution system (Coley et al., 2009). In that hypothetical case, an implicit tradeoff is made, but emissions are not reduced because the individual prioritized a low-impact action (purchasing local food) over a high-impact action (driving a personal vehicle). Understanding public carbon numeracy and its components, such as the ability to perform tradeoffs, is therefore important to education and outreach surrounding pro-environmental behaviours. To assess carbon numeracy, we surveyed members of the North American public through an online survey tool distributed on Amazon Mechanical Turk, as well as undergraduate students at a major North American university. Participants were asked to rank various climate-related behaviours and then to perform tradeoffs between them (comparing air travel with diet, for instance). Results were similar between the two samples (e.g. demographic variables were not significant predictors of tradeoff accuracy) so we combined them in the analysis (separate analyses are available in Online Resource 1). The results provide insight into the factors that predict higher carbon numeracy and the limits of what can be expected even from engaged individuals. 2. Methods A pilot study with 178 participants was conducted at the University of British Columbia in January 2017 (see Online Resource 2 for methods and results). Following analysis of the pilot results, we revised and expanded the survey and conducted pre-test surveys in spring of 2017, with edits made iteratively following the suggestions of 22 participants. Ethics approval was granted by the UBC Behavioural Research Ethics Board. Surveys were then conducted on the Qualtrics survey platform with North American participants recruited from Amazon Mechanical Turk in June of 2017. Additional surveys were conducted in the 2017-18 academic year (from September 2017 to March 2018) in seven undergraduate classes at the University of British Columbia. A total of 675 students were in attendance at these classes, but participation was optional; 414 of the student surveys were sufficiently complete to be included in data analysis (a completion rate of 61%). Participants in both groups who failed to answer an attention check question were redirected to the completion message and excluded from the results. The responses of participants were removed from the sample where it was clear that answers were not provided in good faith (for instance, rating every single action as low impact). We also removed participants from the results when they finished the survey in less than five minutes. In total the responses of 55 Mturk participants and 42 UBC students who completed the survey were removed from the data for these reasons. 2.1 Survey design There were five parts to the survey (see Online Resource 3 for the full survey). First, participants were asked an open-ended question concerning the most effective action they could take to reduce greenhouse gases that contribute to climate change. Second, the participants were asked to categorize 15 actions as low (<1% of a person's carbon footprint), medium (1-5%) or high impact (>5%), following designations from Wynes and Nicholas (2017). Thirteen of the fifteen actions were chosen to represent a range of high-, medium- and low-impact actions. These included "Switch from an SUV to public transit for one year" (high-impact), "Wash your laundry in cold water for one year" (medium-impact) and "Don't litter for one year" (low-impact). Two civic actions were also included to gauge whether participants viewed collective/civic actions as more effective than consumer behaviours ("Vote for a political party that is proposing a carbon tax" and "Vote in favour of a nuclear power plant"). Third, participants were asked to perform four trade-off questions, such as a tradeoff between two household energy saving actions: "Hang drying clothing instead of using a dryer saves electricity, which reduces greenhouse gas emissions. If someone chooses to hang dry one load of laundry, how long can they leave an LED light bulb switched on and still produce the same amount of greenhouse gases as if they had used the dryer? Please give your best guess." The other three tradeoffs were: a year of eating a vegetarian diet versus the amount of time needed to compensate for the same emissions by purchasing food without packaging, kilometers driving a hybrid vehicle compared to 100 kilometers of driving a conventional vehicle, and the quantity of hamburgers needed to equal an economy class ticket on a trans-Atlantic flight. The tradeoff questions were selected to represent a spectrum of compensatory beliefs; one was between very similar products (a comparison between personal vehicles), two are within the same domain (one comparison within diet and one within household energy) and one crosses domains (diet and transportation). We included cross-domain comparisons because climate change is inherently a cross-domain problem: actions in different domains (e.g., travel, energy, diet) are quantified using the same climate metrics (kgCO2e). Personal carbon footprint analyses and education around individual climate actions implicitly ask people to make cross-domain comparisons. Therefore, the core motivation for these tradeoff questions is to test the ability to compare carbon impacts of different activities. Fourth, participants were asked two sets of control questions to test whether lack of knowledge, lack of numeracy or environmental biases was a barrier in providing correct answers. In the first set, explicit numeric information was provided, e.g. "We have provided more information to this question. Hang drying clothing instead of using a dryer saves electricity, which reduces greenhouse gas emissions. If someone chooses to hang dry their clothes for one load (thereby saving 3400Wh), how long can they leave an LED light bulb switched on (10W per hour) and still produce the same amount of greenhouse gases as if they had used the dryer? Please give your best guess." The second set of control questions removed the climate context since biases in favour of environmentally symbolic actions (e.g., driving a hybrid vehicle) may cause biased estimates of the impacts of those actions even when sufficient mathematical information is provided (Sütterlin and Siegrist, 2014). For example, the corresponding question to the above reads: "A scientist finds a very old tree and calculates that it is 3400 years old. How many decades (1 decade = 10 years) has this tree been alive? Please give your best guess." Participants who answered the non-climate control question correctly but not the first control question were either being misled by their environmental biases or find it more difficult to answer the same mathematical question in a climate context. Lastly, participants were asked about their concern for climate change, about their estimate of the percentage of climate scientists that believe climate change is mostly caused by humans, and a series of demographic questions. The complete survey as well and calculations used to determine an accurate range of estimates can be found in Online Resource 3 and 4. 2.2 Survey analysis Responses to the open-ended question on the most effective action that the participant could take to reduce greenhouse gas emissions that contribute to climate change were coded into 25 categories adapted from Wynes and Nicholas (2017). Based on their approach, we separated out the most effective versions of some actions (e.g. eat a plant-based diet, live car free) from less comprehensive versions of the same action (e.g. eat less meat, drive less/more efficiently/carpool etc.). When respondents provided two or more actions that they saw as being the most effective, we only coded the first action described. Some respondents indicated policies that the government could make on their behalf (e.g. "better regulation from government regarding car use"), which we coded as "Government". Others denied the existence of human caused climate change (coded as "Deny climate change") while still others gave tautological responses such as "reduce carbon footprint", coded here as "reduce GHGs". Because of evidence that attitudes about climate change mitigation vary by political ideology (Hornsey et al., 2016), we also grouped the results by political orientation. Climate concern was measured using a previously tested 4-item scale (α=0.88 in our sample), with the third item reverse-coded (Attari et al., 2010). Numeracy was measured by taking the number of correct responses to the eight control questions: the four questions where participants were provided additional data to answer the estimates correctly, and the four questions where participants were asked to make the exact same calculation process but in an everyday context unrelated to climate change. To compare accuracy across all four tradeoff questions we calculated the absolute log error (Grinstein et al., 2018) for each tradeoff question and then took the average error of the four tradeoff questions. For the purpose of using linear regression to understand which demographic variables predict accuracy, absolute values are preferable to estimation bias because, with estimation bias, overestimation in one category (positive sign) would counteract underestimations in another category (negative sign), causing a participant to incorrectly appear more accurate overall. We also calculated, "estimation bias" which uses the same calculation but without taking the absolute value, to test the direction of bias for each of the four tradeoff questions. A participant overestimating by a factor of 10 would yield an "estimation bias" of 1, while underestimating by a factor of 10 would yield an estimation bias of -1. We ran linear regression analyses with demographic data, numeracy and climate score (concern for climate change) as predictor variables and with average absolute log error as a response variable. To test if the outliers present in the data were affecting the results, we removed the outliers and repeated the analysis, finding no difference in outcomes (predictor variables that were significant remained significant and vice-versa). We used logistic regression with repeated cross validation to determine those variables that were significant predictors of choosing a plant-based diet in the open-ended question. These calculations were performed in R Version 3.5.1. Data is available upon request, as permitted by our Behavioural Research Ethics agreement. Incomplete survey data were handled as follows. In two tradeoff questions participants were asked to provide units. If they provided nonsensical units these were entered as NA values. Also, when performing regression calculations, we preserved the data from responses on the other tradeoff questions by imputing the values for the 39 individuals who failed to make a usable estimate for the vegan tradeoff question and the 125 values for the LED tradeoff question using the k nearest neighbour method (Kowarik and Templ, 2016). This is justifiable since these NA values are unlikely to be completely random. We also performed the regressions using a smaller sample where these individuals were omitted and found no substantial differences in the results (variables that were previously significant predictors remained significant and vice-versa). 2.3 Participant Information 414 students completed the survey. 62% were female, 22% were in their first year, 29% in second year, 27% in third year, 22% in their fourth year or higher. 55% described themselves as liberal (scores of 5-7), 14% as conservative (scores of 1-3) and 31% as moderates. 551 individuals completed the survey on Amazon Mechanical Turk. 53% female, 47 Canadian, with an average age of 37. Median income was $30000-$39000, 91% held high school diplomas or higher and 55% held Bachelor degrees or higher. 57% of the sample described themselves as liberal (scores 5-7), 23% as conservative (scores 1-3) and 20% as moderates. 3. Results Participants were first asked to describe the most effective action they could take to reduce greenhouse gas emissions (Figure 1). The most frequent response type was actions related to reduced driving or "Drive less" (e.g. carpooling, buying a more efficient vehicle etc.). These had more than twice as many responses as using public transit, biking or walking. Very few participants (12 of 965) listed reducing air travel as the most effective action they could take, despite reducing air travel being one of the highest impact actions among wealthier people (Jones and Kammen, 2011). We did not request income data from students, but of the 550 MTurk respondents, 84 reported incomes of >$80,000 and 12 reported incomes >$150,000. Of the 84 participants with incomes above $80,000, only one selected reducing air travel as the most effective action they could take (four said "Recycle", and 39 said "Drive less"). We separated the results by political orientation; no conservatives described voting as the most effective action and few selected eating a plant-based diet or eating less meat (Online Resource 5). Most responses focused on consumer-oriented activities, with less than 5% of responses categorized as one of four types of political action (vote, raise awareness, join an organization, or contact an elected official). [Figure 1 about here] Fig. 1 The 25 most common responses to an open-ended question about the single most effective action the participant could take to reduce greenhouse gases. Color indicates self-reported political orientation. Two individuals with no self-reported political orientation not shown here. Participants then categorized 15 pre-selected actions as high-, medium- or low-impact in terms of reducing greenhouse gas emissions (Figure 2). Switching from driving an SUV to public transit, which is a high-impact action (Wynes and Nicholas, 2017), dominated in terms of the highest average ranking. The same percentage of our sample ranked eating a vegan diet and switching from plastic to canvas bags as high impact, even though eating a vegan diet is roughly 180 times more effective than switching bag types (Wynes and Nicholas, 2017). The distribution of rankings for a trans-Pacific flight was nearly equivalent to that for littering, despite the fact that a trans-Pacific flight would represent a large fraction of most people's annual carbon footprint whereas littering has no effect on greenhouse gas emissions. These findings appear to be robust to the choice of method: in the pilot experiment, when a student sample was asked to rank actions from 1-15 (with 1 being most effective) instead of sorting them into high-, medium- or low-impact, they provided rankings that resulted in similar relative orderings. For example, the action "Switch from an SUV to public transit" was, on average, perceived to be the most effective, while buying non-GMO foods was perceived to be the least effective (Online Resource 2). We further examined individual accuracy by counting the number of times that a participant correctly ranked an action as high-, medium-, or low-impact. Poisson regressions showed that higher ranking accuracy was associated with numeracy and education, but not with age, gender, income, political orientation or concern for the climate. [Figure 2 about here] Fig. 2 Proportion of participants that ranked each of the 15 actions as low (dark blue), medium (medium blue) or high impact (light blue). Each action is also labelled at right for the assessed impact based on past research (Wynes and Nicholas, 2017). Actions assessed as low impact account for less than 1% of an average North American's annual carbon footprint, medium impact account for 1-5% and high impact account for more than 5%. Note that not all percentage values add to 100% due to rounding. After the ranking questions, participants answered four questions, each involving a tradeoff between two actions. For each tradeoff question, participants were asked to estimate how much of one activity would be necessary to achieve the same emissions reductions as the other activity (Table 1). For example, one tradeoff question is how many hamburgers a person would have to give up to offset the emissions from a flight from New York to London (see Online Resource 3 for the questions). Table 1 about here Based on estimation bias calculations, we find that participants underestimated the emissions from a flight compared to the emissions from a hamburger, as well as the emissions from drying laundry compared to use of an LED lightbulb, and they severely underestimated the emissions of a vegetarian diet compared to a diet that avoids food packaging (Figure 3). Participants were most successful at answering the hybrid vehicle question, although even with that question, less than one quarter (22.6%) of the responses were accurate. Only one out of 965 participants correctly answered three questions, and no participant made correct estimates for all four questions. The four tradeoff questions taken together do not constitute a valid measure of the carbon numeracy construct (Cronbach's alpha for the Absolute Errors on the four tradeoff questions was 0.14). [Figure 3 about here] Fig. 3 a) Distance travelled by a hybrid versus 100 miles in a conventional midsize vehicle (absolute emissions=25-32 kgCO2e). b) Hamburgers versus a Trans-Atlantic flight (absolute emissions=477-907 kgCO2e). c) Hours of operating an LED lightbulb versus hang drying one load of laundry (absolute emissions=1.9 kgCO2e). d) Years of eating food without packaging versus one year of vegetarian diet (absolute emissions=1113 kgCO2e). The red area highlights the correct range of answers. Note that some estimates beyond the range of the x-axes are not visible in each graph. We further examined basic numeracy by asking the same trade-off questions but with additional numerical information provided as well as by asking trade-off questions with similar mathematical operations but where the climate context was replaced by a more familiar situation (Table 1). Participants were more accurate in answering these control numeracy questions. For instance, for the hybrid vehicle question, 22.6% of the estimates to the original question were accurate, 46.2% were accurate when given the additional numerical information, and 83.2% were accurate for the same numerical questions with the climate context removed (χ²(2)=720.90, p<.001). Chi-squared tests with Bonferroni correction showed that the pairwise differences between the estimates and the controls for all four tradeoff questions were significant (full analysis available in Online Resource 5). To identify factors determining tradeoff accuracy, we ran hierarchical regressions (Table 2) with the following predictors for the full sample: basic numeracy (the number of correct responses in the control tradeoff questions), rank score (accuracy in ranking the actions as high, moderate, or low-impact), climate score (items measuring concern for climate change), age, gender, and political orientation. We found that only basic numeracy and rank score were significant predictors of tradeoff accuracy (accuracy measured as the absolute value of the estimation bias). Basic numeracy and rank score were weakly correlated (rs=0.10, p=.001). Neither age, gender, income, nor education were predictive of tradeoff accuracy (Online Resource 1). Additionally, there was a weak correlation between concern for climate change and tradeoff accuracy (rs=-0.08, p=.028) as well as between political orientation and tradeoff accuracy (rs=-0.08, p=.022), though this relationship was no longer significant when accounting for basic numeracy in the regression models. Correlation between the accuracy on the four tradeoff questions was low (highest correlation of r=0.10, p=.005 between hybrid and flight tradeoff accuracy). Table 2 about here 4. Discussion Individual climate action is receiving increasing attention in the media and in public education. But motivated individuals will waste time and effort focusing on marginally effective actions if they hold substantial misperceptions about the climate impact of those actions. It is therefore important to understand which actions the public perceives as more effective and whether individuals have the skills that are necessary to estimate and manage their own carbon footprint. These results indicate that the public err substantially in their estimations of the climate impact of individual actions. Below we discuss three key implications of these findings. First, people correctly understand the impacts of personal vehicle use, but underestimate and overestimate the impacts of behaviours like littering and air travel. Second, we show that aspects of carbon numeracy, like tradeoffs, are inherently difficult, and discuss reasons for this difficulty. Last, there are few characteristics that predict increased accuracy in tradeoffs, suggesting a limited suite of options for improving higher-level carbon numeracy. 4.1 Notable underestimations Consistent with previous research (Truelove and Parks, 2012), we find that individuals correctly comprehend the climate impacts of personal vehicle use, but overestimate the impacts of behaviours like littering or using reusable grocery bags. Judgments may be led astray by the availability heuristic in such cases: individuals underestimate the impacts of clothes dryers compared to LED lightbulbs (Attari et al., 2010), perhaps because household lighting is cognitively available. In the case of personal vehicle use, frequent communication from authorities on this topic (Wynes and Nicholas, 2017) may have resulted in the strong connection between cars and greenhouse gas emissions. We find robust evidence that people underestimate the climate impact of air travel. Very few participants (1%) mentioned it in the open-ended question as the most effective action they could take even though flying frequently occupies a large proportion of many people's carbon footprints (such as those with high incomes) (Lacroix, 2018). Participants were more likely to rank recycling or switching from plastic to canvas bags for one year as more effective actions than avoiding one trans-Pacific flight. The evidence from the tradeoff question on air travel is less conclusive. The poor estimation on the air travel and hamburger tradeoff question could have come from participants underestimating the emissions associated with flying, or from overestimating the emissions associated with hamburgers. However, the emissions from meat consumption was shown to be underestimated in two other items (Figure 2 and Figure 3). One possible explanation then is that participants underestimated the climate impact of meat consumption but underestimated the climate impact of the air travel to an even greater extent. Underestimating the emissions of air travel may be especially problematic; in a recent survey of 673 Swedes who had given up or drastically reduced their air travel, individuals frequently credited a realization that flying occupied a large proportion of their "climate budget" as a motivator for reductions (Söderberg and Wormbs, 2019). Policymakers implementing carbon labels on airline tickets might therefore consider using cross-domain comparisons to illustrate the full impact of flying, rather than providing a quantity of emissions without context. Similar labels that reported greenhouse gas quantities in terms of "lightbulb minutes" were tested as carbon labels on soup cans and found to reduce purchases of the beef soup product (Camilleri et al., 2019). Underestimations of air travel and meat consumption are consistent with a lack of focus on these actions in expert communications. For example, driving and recycling are mentioned more frequently in science textbooks and government documents (Wynes and Nicholas, 2017) and were more common as well here in the responses to the open-ended question. Our participants were more educated and more liberal than a representative sample of North Americans so the limitations in their carbon numeracy suggest that the population at large would have even less success at assessing the impact of their behavior on emissions. People overestimated the climate impact of well-known actions like recycling and switching to canvas bags, possibly due to conflation of pro-environmental and pro-climate actions. The findings of the ranking question are somewhat limited. Because the survey required allocating behaviours into low-, moderate-, and high-impact categories, participants may have exhibited "partition dependence", a phenomenon where people tend to allocate equally between categories. The effect persists even when participants are told that the categories are arbitrary but is substantially reduced by expertise (Fox et al., 2005). This effect therefore would not explain 17% of our sample selecting littering as high-impact when it has zero climate impact, but might very well explain why so many individuals ranked a low-impact action like buying local food as moderate impact (40%). The broader finding that some actions (like recycling) are over-estimated, while other actions (like meat consumption and air travel) are underestimated, was confirmed through a different approach not subject to partition bias, where participants in a separate sample (n=178) were asked to rank actions from 1-15, rather than sort actions into low-, medium- and high-impact categories (Online Resource 2). 4.2 Understanding tradeoffs Participants showed less success in making tradeoffs than in ranking different actions. These limitations may be due to a general lack of numeracy (shown in linear regressions), lack of climate knowledge (participants performed 56% better on tradeoff questions once given the requisite starting values), motivated reasoning (Sütterlin and Siegrist, 2014), or the inherent difficulties of the climate context (participants scored 22% better on the non-climate numeracy control questions). There are also inherent limitations to determining one's carbon footprint. Other budgeting activities undertaken by the public, like calories or bank balances, involve values with higher certainty. Even with expert knowledge, there remain large uncertainties in the warming effects of meat production and air travel. Researchers have called for better education of consumers to improve carbon numeracy (Grinstein et al., 2018; Shi et al., 2018), and there is evidence of successful interventions in related fields. For instance, providing simple heuristics about household energy use can lead to better understanding in that domain (Marghetis et al., 2019). Further research into the potential of such heuristics for solving misperceptions of people's own carbon footprints would therefore be beneficial. 4.3 Limitations Our intention with this research was not to define a measurable construct for carbon numeracy - the concept of numeracy by itself is a highly contested topic (Coben et al., 2003). Instead we sought to identify strengths and weaknesses in the public's ability to manage a carbon footprint that would affect their decision making. Still our research provides a first step for others who would seek to define a measurable construct. Because individuals were overwhelmingly ill-equipped to answer tradeoff questions, agreement among the four tradeoff questions was very low. Researchers seeking to identify a robust measurement may benefit by using more straightforward questions, such as ranking the impact of a variety of actions or products, or using tradeoffs that are more intuitive and within domains. Limiting tradeoff questions to those within domain would also have the benefit of being more generalizable, since people are more likely to conceptualize tradeoffs in this way (Hope et al., 2018). Future research that makes use of tradeoff questions could also consider directionality. We intentionally phrased tradeoff questions to avoid anchoring as much as possible, which explains the direction of some tradeoffs (e.g. we asked how many hamburgers are equivalent to one flight instead of how many flights are equivalent to one hamburger). Still, others could explore the robustness of these results by reversing the comparisons, e.g. "What distance could you fly while being responsible for the same emissions as are created from producing a single hamburger?" 4.4 Implications Communicators and policymakers need to understand how members of the public perceive the climate impacts of their decisions. For instance, participants in our study consistently showed an understanding that personal vehicle use is a high-impact activity, and also showed some ability to perform tradeoffs in that domain. Based on this relatively strong understanding of personal vehicles, journalists and politicians may be justified in continuing to compare the magnitude of climate policies to the number of cars taken off the road, rather than making a comparison to other domains where the public routinely over or underestimates emissions. Regarding those individuals who are motivated to monitor their own carbon footprint, our study may have identified an upper bound of potential competence. Unlike in past research where concern for climate change was associated with superior understanding of energy use (Attari et al., 2010), only numeracy and ability to rank actions was found to predict accuracy in tradeoff questions. Climate impacts are perhaps more complicated than personal finances, calories or energy use; they cross domains, involve understanding of not just electrical energy, but also agricultural intensity and fuel efficiency. The only tradeoff that participants managed with relative success (the hybrid vehicle question) was one that already demands day to day numeracy on the topic, is readily available cognitively, and did not involve multiple domains. While education is still necessary to correct larger misperceptions (especially regarding air travel and meat consumption) and to provide the public with a basic hierarchy of action efficacy, consumers who want to maintain a low carbon footprint would be best served by carbon labels in intuitive displays at the point of purchase, or by a price on carbon, because they are likely incapable of successfully balancing their own carbon footprints. Table 1: Accuracy in making the four climate impact tradeoffs Table 2: Hierarchical regression for tradeoff accuracy (average error) on four tradeoff questions Note: 90% confidence intervals in parentheses. p<.1, p<0.05, **p<0.01 †Models 5 and 6 have fewer observations due to the removal of eight participants who selected gender responses other than male or female and two participants who did not select political orientation References Attari SZ, DeKay ML, Davidson CI, Bruine de Bruin W (2010) Public perceptions of energy consumption and savings. 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Journal of the House ________________ Thursday, March 22, 2012 At nine o'clock in the forenoon the Speaker called the House to order. Devotional Exercises Devotional exercises were conducted by Union School students Kid Pan Alley program, Montpelier, VT. Committee Bill Introduced H. 782 Rep. Ancel of Calais, for the committee on Ways and Means, introduced a bill, entitled An act relating to miscellaneous tax changes for 2012 Which was read the first time and, under the rule, placed on the Calendar for notice tomorrow. H. 783 By Reps. Kupersmith of South Burlington, Lenes of Shelburne and Webb of Shelburne, House bill, entitled An act relating to private highway–rail grade crossings; To the committee on Transportation. Senate Bill Referred S. 106 Senate bill, entitled An act relating to miscellaneous changes to municipal government law Was read and referred to the committee on Government Operations. Rep. Leriche of Hardwick in Chair. Joint Resolution Referred to Committee J.R.H. 32 Joint resolution criticizing the March Reader's Digest article "Are You Normal or Nuts?" Offered by: Representatives Donahue of Northfield, Acinapura of Brandon, Andrews of Rutland City, Batchelor of Derby, Bohi of Hartford, Botzow of Pownal, Branagan of Georgia, Browning of Arlington, Clark of Vergennes, Consejo of Sheldon, Copeland-Hanzas of Bradford, Deen of Westminster, Donaghy of Poultney, Edwards of Brattleboro, Fagan of Rutland City, Fisher of Lincoln, Frank of Underhill, French of Randolph, Grad of Moretown, Greshin of Warren, Hooper of Montpelier, Jerman of Essex, Jewett of Ripton, Johnson of South Hero, Koch of Barre Town, Krowinski of Burlington, Leriche of Hardwick, Lewis of Derby, Lippert of Hinesburg, Macaig of Williston, Manwaring of Wilmington, McCullough of Williston, McFaun of Barre Town, Mrowicki of Putney, Munger of South Burlington, Poirier of Barre City, Pugh of South Burlington, Ram of Burlington, Spengler of Colchester, Strong of Albany, Stuart of Brattleboro, Sweaney of Windsor, Till of Jericho, Trieber of Rockingham and Wizowaty of Burlington Whereas, the era when mental disabilities are publicly stigmatized should be history, but unfortunately this unwarranted negativity persists in 2012, and Whereas, the state of Vermont has striven to eliminate the demeaning of mental health care through the enactment of Act 25 of 1997, which mandated mental health and substance abuse insurance coverage parity, and Whereas, in 2011, Act 24 provided for a study to "recommend guidelines for using respectful language when referring to people with disabilities" in Vermont law, and Whereas, Reader's Digest is a broadly distributed popular magazine reporting on many aspects of American society in articles that are designed for a general readership, and Whereas, the March 2012 issue of Reader's Digest includes an article entitled "Are You Normal or Nuts?" employing a descriptive term for persons with mental disabilities that is among the most disparaging in the English language, and Whereas, the disparaging message that this article conveys is exacerbated to an immeasurable degree by the magazine's cover illustration portraying a large peanut over which the article's title is superimposed, and Whereas, this disgraceful graphic illustration also includes in small font the message "Warning: This issue may contain nuts," under which an arrow points at the cover-dominating peanut, and Whereas, in one paragraph, the article uses the word "certifiable," which means certified by a court as requiring involuntary and locked treatment and therefore suggesting that a person with a mental illness always requires involuntary confinement, and Whereas, a symbolically naive illustration in the article depicts a mentally disabled man sleeping and dreaming that he is the comic book character Superman, with an inserted inscription pointing to the sleeper stating "I'M A BIRD, I'M A PLANE," and which, as the only illustration of a person with a mental illness, supports a stigmatized view of mental illness and its treatment, and Whereas, the article was presented as a serious discussion regarding symptoms of mental illness, and Whereas, that a leading national magazine could be so cavalier about a serious health condition that affects millions of Americans should disappoint and sadden Vermonters, and Whereas, according to the World Health Organization, "mental illnesses (including depression, bipolar disorder, and schizophrenia) account for nearly 25% of all disability across major industrialized countries," and Whereas, as stated on the website of the federal Substance Abuse and Mental Health Services Administration (SAMHSA), "words have power to teach . . . to wound . . . to shape the way people think, feel, and act toward others . . . (and) when a stigmatized group of people, such as those with mental illnesses, is struggling for increased understanding and acceptance, attention to the language used in talking and writing about them is particularly important," and Whereas, SAMHSA has recommended "a national campaign to reduce the stigma of seeking care" for mental illness because "stigma impedes people from getting the care they need . . . and is a pervasive barrier to understanding the gravity of mental illnesses," and Whereas, the goals and work of SAMHSA and every mental health advocacy group in our country to remove the stigma associated with seeking care and treatment for mental disabilities has been severely impeded as a result of this cavalierly crafted and thoughtlessly presented Reader's Digest article, now therefore be it Resolved by the Senate and House of Representatives: That the General Assembly strongly criticizes Reader's Digest for the publication in the March 2012 issue of the article "Are You Normal or Nuts?" and requests that the magazine immediately issue a public apology that would be published as soon as possible in a forthcoming issue, and be it further Resolved: That the Secretary of State be directed to send a copy of this resolution to Reader's Digest Association President and Chief Executive Officer Robert E. Guth in New York. Which was read and, in the Speaker's discretion, treated as a bill and referred to the committee on General, Housing and Military Affairs. Joint Concurrent Resolution Adopted S.C.R. 39 Whereas, Robert (Bob) Gannett's presence graced the General Assembly during his four terms in the House of Representatives as the member from Brattleboro (1953–1960) and later for ten terms as the senator from Windham County (1973–1992), and Whereas, when the newly elected Representative Bob Gannett arrived in Montpelier in January 1953, his legal expertise as a respected attorney was acknowledged with his assignment to the Committee on Judiciary, and Whereas, in 1955, Representative Bob Gannett was appointed to the Committee on Appropriations, and his rapid mastery of budgetary minutiae was a prelude to his service as committee chair during the 1957 and 1959 biennia, and Whereas, a keen observer of the parliamentary process, in 1957 he served as Speaker Pro Tempore while presiding over the House's deliberations, and Whereas, near the close of the 1960 Adjourned Session, Representative Bob Gannett's final year in the House of Representatives, his colleagues voted him President of the House of 1959, an organization the members formed for the purpose of holding reunions, and Whereas, in 1972, the voters of Windham County elected Robert Gannett as their new senator, and he became one of the Senate's most esteemed members, and Whereas, in his initial senatorial biennium, Senator Bob Gannett sat on the Finance, General and Military, and Highway Traffic committees, and Whereas, in 1975, he resumed his role as a legislative budget scrutinizer with his appointment as Vice Chair of the Committee on Appropriations, and he subsequently earned the rare distinction of chairing this all-important committee in both the House and the Senate, and Whereas, the Committee on General and Military Affairs also benefited from his astute leadership as vice chair and chair, and while serving as Chair of the Committee on Institutions, Senator Bob Gannett was a strong advocate, as was his late wife Sarah Alden (Aldie) Derby Gannett, of state financial assistance for the establishment of a permanent corridor for the Long Trail, helping to create a legacy that will endure for generations to come, and Whereas, during his senatorial career, his committee assignments also included Senate Government Operations, Senate Transportation, and Joint Fiscal, and his wise parliamentary counsel proved invaluable on both the committees on Senate Rules and Joint Rules, and Whereas, on the morning of Sunday, April 26, 1992, Senator Bob Gannett concluded his long and illustrious legislative service when he offered the final motion of the 1992 Adjourned Session directing that the President of the Senate appoint a committee to inform the Governor that the Senate was ready to adjourn sine die, and Whereas, his wealth of common sense, wise judgment, and concern for the well-being of Vermonters was always drawn upon in his decision-making process, and his service in the General Assembly, as an attorney, and in the community at large epitomized the work of a genuine statesman, now therefore be it Resolved by the Senate and House of Representatives: That the General Assembly honors former Representative and Senator Robert T. Gannett on his 95th birthday and extends to him best wishes on this special occasion, and be it further Was taken up and adopted on the part of the House. Remarks Journalized On motion of Rep. Edwards of Brattleboro, the following remarks by Rep. Deen of Westminster and Koch of Barre Town were ordered printed in the Journal: Remarks of Rep. Deen of Westminster: "Madam Speaker: I had the pleasure of serving with Senator Gannett in the Senate and of course knew him when I shifted to the House. I agree with the comments of the member from Barre Town about Senator Gannett being a consummate gentleman and although I spent years in the Legislature serving with Robert, my comments are about his actions to serve Vermonters when I was not serving in the Legislature myself. During the 70s and 80s I served as the Executive Director of South East Vermont Community Action Agency. In the early 1980s the federal Congress changed the federal law and basically disenfranchised the Community Action Agencies in Vermont. The way out of this seemingly impossible situation was to pass state legislation that recognized the Community Action Agencies as state agencies. This was not an easy task since the CAAs had always been federally funded, ran federal programs and served the most vulnerable people in VT so there was no large constituency for the CAAs. Even though Senator Gannet and I are at different places on the political spectrum he responded to the plight of the CAAs and served as an advocate for passing the necessary state legislation. I would like to thank him for his service to the most vulnerable Vermonters and wish him a happy 95 th birthday." Remarks of Rep. Koch of Barre Town: "Madam Speaker: I would like to add a few words concerning the resolution we just adopted honoring former Representative and former Senator Bob Gannett. There are very few members of this House now who were privileged to serve with Bob Gannett, but those of us who had that privilege know him as the consummate Vermont gentleman. He had a comprehensive knowledge of the workings of Vermont government, and he was always willing to listen to those who had questions or suggestions regarding pending legislation—always in a non-partisan manner. In my view, he sets the ideal of how those of us who work in this building ought to go about serving the people of Vermont. I thank the person who thought to sponsor this resolution. I am happy to have the opportunity to vote in favor of it and to wish Bob Gannett a very happy 95 th birthday, and many more!" Rules Suspended; Action on Bill Postponed H. 775 On motion of Rep. Ralston of Middlebury, the rules were suspended and House bill, entitled An act relating to allowed interest rates for installment loans Appearing on the Calendar for notice, was taken up for immediate consideration. Pending second reading of the bill, on motion of Rep. Ralston of Middlebury, action on the bill was postponed until Wednesday, March, 28, 2012. Bill Read Second Time; Consideration Interrupted by Recess H. 781 Rep. Heath of Westford spoke for the committee on Appropriations. House bill entitled An act relating to making appropriations for the support of government Having appeared on the Calendar one day for notice, was taken up and read the second time and pending the question, Shall the bill be read the third time? Recess At one o'clock and ten minutes in the afternoon, the Speaker declared a recess until two o'clock and ten minutes in the afternoon. At two o'clock and twenty minutes in the afternoon, the Speaker called the House to order. Consideration Resumed; Bill Amended and Third Reading Ordered H. 781 Consideration resumed on House bill entitled An act relating to making appropriations for the support of government; Pending third reading of the bill, Rep. Heath of Westford moved to amend the bill as follows: First: In Sec. D.109(a), by striking out the figure "$20,000,000" and inserting in lieu thereof the figure $21,000,000. Which was agreed to. Pending the question, Shall the bill be read a third time? Rep. Turner of Milton demanded the Yeas and Nays, which demand was sustained by the Constitutional number. The Clerk proceeded to call the roll and the question, Shall the bill be read a third time? was decided in the affirmative. Yeas, 101. Nays, 40. Those who voted in the affirmative are: THURSDAY, MARCH 22, 2012 Corcoran of Bennington Courcelle of Rutland City Dakin of Chester Davis of Washington Deen of Westminster Devereux of Mount Holly Donovan of Burlington Edwards of Brattleboro Ellis of Waterbury Emmons of Springfield Evans of Essex Fisher of Lincoln Frank of Underhill French of Shrewsbury French of Randolph Gilbert of Fairfax Grad of Moretown Greshin of Warren Haas of Rochester Head of South Burlington Heath of Westford Hooper of Montpelier Howrigan of Fairfield Jerman of Essex Jewett of Ripton Johnson of South Hero Kitzmiller of Montpelier Klein of East Montpelier Krebs of South Hero Krowinski of Burlington Kupersmith of South Burlington Lanpher of Vergennes Lenes of Shelburne Leriche of Hardwick Lippert of Hinesburg Lorber of Burlington Macaig of Williston Malcolm of Pawlet Manwaring of Wilmington Marek of Newfane * Martin of Springfield Martin of Wolcott Masland of Thetford McCullough of Williston Miller of Shaftsbury Mook of Bennington Moran of Wardsboro Mrowicki of Putney Munger of South Burlington O'Brien of Richmond Olsen of Jamaica O'Sullivan of Burlington Partridge of Windham Peltz of Woodbury Poirier of Barre City * Potter of Clarendon Pugh of South Burlington Ralston of Middlebury Ram of Burlington Reis of St. Johnsbury Russell of Rutland City Shand of Weathersfield Sharpe of Bristol South of St. Johnsbury Spengler of Colchester Stevens of Waterbury Stevens of Shoreham Stuart of Brattleboro Sweaney of Windsor Taylor of Barre City Till of Jericho Toll of Danville Townsend of Randolph Waite-Simpson of Essex Webb of Shelburne Wilson of Manchester Wizowaty of Burlington Woodward of Johnson Yantachka of Charlotte Young of Glover Zagar of Barnard Those who voted in the negative are: Acinapura of Brandon Batchelor of Derby Bouchard of Colchester Browning of Arlington * Burditt of West Rutland Canfield of Fair Haven Clark of Vergennes Degree of St. Albans City Dickinson of St. Albans Town Donaghy of Poultney Donahue of Northfield Eckhardt of Chittenden Fagan of Rutland City Hebert of Vernon Helm of Fair Haven Hubert of Milton Johnson of Canaan Kilmartin of Newport City Koch of Barre Town Komline of Dorset Larocque of Barnet Lawrence of Lyndon Lewis of Berlin Lewis of Derby Marcotte of Coventry McAllister of Highgate McFaun of Barre Town McNeil of Rutland Town Myers of Essex Pearce of Richford Peaslee of Guildhall Perley of Enosburgh Savage of Swanton Scheuermann of Stowe Shaw of Pittsford Smith of New Haven Strong of Albany Turner of Milton Winters of Williamstown Wright of Burlington Those members absent with leave of the House and not voting are: Crawford of Burke Higley of Lowell Howard of Cambridge Keenan of St. Albans City Morrissey of Bennington Nuovo of Middlebury Pearson of Burlington Trieber of Rockingham Rep. Browning of Arlington explained her vote as follows: "Mr. Speaker: I cannot support a budget and the taxes to support it if that 1) shifts a greater burden onto the property tax and raises that rate and 2) fails to address or adjust or reduce in any way the system of tax expenditures that constitute a 'shadow budget' of over $1 billion." Rep. Marek of Newfane explained his vote as follows: "Mr. Speaker: I joined so many other members in voting to fix our roads and bridges, to replace our destroyed state hospital, to fill the Medicaid gap for vulnerable Vermonters, to increase education funding and reduce property taxes, to sustain our working landscapes and to support other critical programs for our state. However, now that the time has come to actually appropriate the money to let all those good things happen, many of those who joined me in supporting them suddenly are unwilling to join me in paying for them. My constituents won't let me have it both ways. They expect Vermont to pay its bills, just as they do." Rep. Poirier of Barre City explained his vote as follows: "Mr. Speaker: I am very pleased to have voted for this thoughtful and caring budget. The committee, regardless of how they voted, deserve a job well done." Bill Amended, Read Third Time and Passed H. 440 House bill, entitled An act relating to creating an agency and secretary of education and amending the membership and purpose of the state board of education Was taken up and pending third reading of the bill, Rep. Donovan of Burlington moved to amend the bill as follows: First: In Sec. 1, 3 V.S.A. § 2702, in subsection (a), by adding a second sentence to read: "The secretary shall serve at the pleasure of the governor." Second: In Sec. 1, 3 V.S.A. § 2702, in subsection (c), by striking out the word "public" Third: In Sec. 2, 16 V.S.A. § 161, in the fourth sentence, by striking out the words: "public education" and inserting in lieu thereof the words: "ensuring quality education for Vermont students" Fourth: In Sec. 2, 16 V.S.A. § 161, in subdivision (1), in the first sentence, by striking out the following: ", biennially" Which was agreed to. Thereupon, the bill was read the third time and passed. Third Reading; Bill Passed H. 467 House bill, entitled An act relating to limited liability for a landowner who permits a person to enter the owner's land for recreational use Was taken up, read the third time and passed. Bill Read Second Time; Third Reading Ordered H. 777 Rep. Copeland-Hanzas of Bradford spoke for the committee on Health Care. House bill entitled An act relating to licensed midwives and certified nurse midwives Having appeared on the Calendar one day for notice, was taken up and read the second time. Pending the question, Shall the bill be read the third time? Rep. Kilmartin of Newport City demanded the yeas and nays, which demand was sustained by the constitutional number. Pending the call of the roll, Rep. Degree of St. Albans City moved to commit the bill to the committee on Judiciary. Pending the question, Shall the House commit the bill to the committee on Judiciary? Rep. Kilmartin of Newport City demanded the yeas and nays, which demand was sustained by the constitutional number. Thereupon, Rep. Kilmartin of Newport City asked and was granted leave of the House to withdraw his request for a roll call vote. Thereupon, the bill was committed to the committee on Judiciary. Message from the Senate No. 31 A message was received from the Senate by Mr. Marshall, its Assistant Secretary, as follows: Mr. Speaker: I am directed to inform the House that: The Senate has on its part passed Senate bills of the following titles: S. 148. An act relating to expediting development of small and micro hydroelectric projects. S. 201. An act relating to creating full public school choice for high school students . In the passage of which the concurrence of the House is requested. Bill Read Second Time; Third Reading Ordered H. 778 Rep. Koch of Barre Town spoke for the committee on Judiciary. House bill entitled An act relating to structured settlements Having appeared on the Calendar one day for notice, was taken up, read the second time and third reading ordered. Bill Read Second Time; Third Reading Ordered H. 779 Rep. Deen of Westminster spoke for the committee on Fish, Wildlife & Water Resources. House bill entitled An act relating to the water quality of state surface waters Having appeared on the Calendar one day for notice, was taken up, read the second time and third reading ordered. Bill Amended; Third Reading Ordered H. 613 Rep. Buxton of Tunbridge, for the committee on Education, to which had been referred House bill, entitled An act relating to governance of the Community High School of Vermont Reported in favor of its passage when amended by striking all after the enacting clause and inserting in lieu thereof the following: Sec. 1. 28 V.S.A. § 120 is amended to read: § 120. CORRECTIONS DEPARTMENT EDUCATION PROGRAM; INDEPENDENT SCHOOL (a) Authority. An education program is established within the department of corrections for the education of persons who have not completed secondary education and who are committed to the custody of the commissioner of corrections. (b) Applicability of education provisions. The education program shall be approved by the state board of education as an independent school under 16 V.S.A. § 166, shall comply with the school quality standards provided by 16 V.S.A. § 165, and shall be coordinated with adult education, special education, and technical education. (c) Program supervision. The commissioner of corrections shall appoint an education supervisor a director of corrections education, who shall be licensed as an administrator under 16 V.S.A. chapter 51, to supervise the community high school serve as the superintendent of the Community High School of Vermont and coordinate use of other education programs by persons under the supervision of the commissioner. (d) Curriculum. The education program shall offer a minimum course of study, as defined in 16 V.S.A. § 906, and special education programs as required in 16 V.S.A. chapter 101 at each correctional facility and department service center, but is not required to offer a driver training course or a physical educational course. (e) Commissioner of education's designation of special education program. Notwithstanding any law to the contrary, the commissioner of education, in accordance with the provisions of 16 V.S.A. chapter 101, shall designate a program to provide for the special education of eligible persons who are under the custody of the commissioner of corrections. Within the limits of funds made available for this specific purpose, the commissioner of education shall pay the costs of this program in excess of costs defined in subsection (g) of this section. [Repealed.] (f) Reimbursement payments. The provision of 16 V.S.A. § 4012, relating to payment for state-placed students, shall not apply to the corrections education program. (g) [Repealed.] (h) Required participation. All persons under the custody of the commissioner of corrections who are under the age of 23 and have not received a high school diploma shall participate in the an education program unless exempted by the commissioner. Sec. 2. 28 V.S.A. § 121 is amended to read: § 121. COMMUNITY HIGH SCHOOL OF VERMONT BOARD (a) A board is established for the purpose of advising the education supervisor director of corrections education when serving as the superintendent of the Community High School of Vermont, the independent school established in section 120 of this title. The board shall have supervision over policy formation for the independent school Community High School of Vermont, except as otherwise provided, shall recommend school policy to the commissioner of corrections, shall oversee local advisory boards of the school director of corrections education, may create a structure for local advisory boards as it deems appropriate, and shall perform such other duties as requested from time to time by the commissioner of education or of corrections. (b) The board shall consist of nine members, each appointed by the governor for a three-year term subject to the advice and consent of the senate, in such a manner that no more than three terms shall expire annually, as follows: (1) Six representatives from the membership of local advisory boards serving the school sites, not to include more than one member from any advisory board selected to ensure geographic representation throughout the state. (2) Three members-at-large. (c) The board shall appoint a chair and vice chair, each of whom shall serve for one year or until a successor is appointed by the board. (d) The board shall report on its activities annually to the state board of education, the secretary of the agency of human services, and the commissioner of corrections. (e) The board may, with the approval of the commissioner of corrections, appoint the education supervisor of the independent school The commissioner shall consult with the board prior to appointing the director of corrections education. Sec. 3. IMPLEMENTATION Notwithstanding the provisions of Sec. 2, 28 V.S.A. § 121(b)(1), the current members of the board shall serve until the expiration of their respective terms. Sec. 4. EFFECTIVE DATE This act shall take effect on passage. Rep. Mook of Bennington, for the committee on Government Operations, recommended that the bill ought to pass when amended as recommended by the committee on Education. The bill, having appeared on the Calendar one day for notice, was taken up, read the second time, report of the committees on Education and Government Operations agreed to and third reading ordered. Bills Referred to Committee on Ways and Means House bills of the following titles, appearing on the Calendar, affecting the revenue of the state, under the rule, were referred to the Committee on Ways and Means: H. 533 House bill, entitled An act relating to insurance business transfers H. 776 House bill, entitled An act relating to encouraging flexible pathways leading to secondary school completion and career and college readiness Adjournment At five o'clock and fifty minutes in the evening, on motion of Rep. Turner of Milton, the House adjourned until tomorrow at nine o'clock in the forenoon.
Illustrator Smart Guides The most comprehensive way to master Adobe Illustrator CS3. Real World Adobe Illustrator CS4 is the definitive reference to Adobe's industry-standard vector graphics software and is now in 4-color. With an easy, engaging style, author and past Illustrator product manager Mordy Golding takes readers through all of the features of the program, explaining not only how to use the multitude of features but also why and when to use them. This edition has been thoroughly updated for Illustrator CS4 and includes techniques on using the new multiple artboards for quicker Illustrator work across a variety of designs, demonstrations of the new Blob Brush tool and transparency in gradients, overviews of the new cross-product feature support with InDesign, Flash, and Flex (opening up new opportunities for collaborations between developers and designers), and coverage on a whirlwind of other new useful features. Along with tips, sidebars, and expert commentary, there are also numerous 4-color illustrations and screen shots from contributing artists included to offer readers the most complete coverage on this extraordinary application. Designers from all fields--illustrators, animators, package designers, graphic designers, web designers, and more--will find Real World Adobe Illustrator CS4 their one-stop guide to creating powerful designs in Illustrator. The perennial Adobe Creative Suite bestseller—fully updated for Adobe CS5 Featuring eight books in one, this All-in-One For Dummies guide covers the key features and tools that you need to know in order to understand how to use each individual program within the Adobe Creative Suite—InDesign, Illustrator, Photoshop, Acrobat, Dreamweaver, Fireworks, and Flash—to its fullest potential. Within the nearly 1,000 pages, you'll find creative inspiration as well as tips and techniques to sharpen you productivity. Dedicates a minibook to each of the programs within the latest version of Adobe Creative Suite 5—InDesign, Illustrator, Photoshop, Acrobat, Dreamweaver, Fireworks, Flash—as well as a minibook devoted to Creative Suite basics Serves as a one-stop learning opportunity for each product inside the Design Premium Suite Walks you through creating print and web-based marketing or advertising materials or other publications Adobe Creative Suite 5 Design Premium All-in-One For Dummies is a premium resource on all Adobe Creative Suite 5 can do for you. This fully updated edition for Illustrator CS5 covers the essential skills for Illustrator artists, such as drawing geometric and freehand objects; color management; using multiple artboards; applying colors, patterns, and gradients; creating and using brushes; transforming, reshaping, and combining objects; creating and styling type; applying graphic styles and transparency; using the Pen tool; using the live color, paint, trace, and effects features; using symbols; and output. The new and updated Illustrator CS5 features are clearly marked with bright red stars in both the table of contents and main text. Among the many new CS5 features covered in this volume are bristle brushes, drawing modes, arrows, Width tool, Shape Builder tool, and Mini Bridge. Enhancements to such features as path joining, artboards, pixel-perfect drawing, and Art brushes are also covered. Readers can follow the steps in a tutorial fashion, or use the book as a reference guide to individual program features. Many of the key illustrations used in the book are available via Web download for practice. Illustrator CS6 Adobe CS6 Design Tools: Photoshop, Illustrator, and InDesign Illustrated with Online Creative Cloud Updates Graphic Design (Adobe Illustrator CC 2019) Level 2 Illustrator CC Illustrator CS2 for Windows and Macintosh A guide to Adobe Illustrator CS2 covers such topics as creating text, transforming objects, working with layers, creating graphs, working with filters, drawing with symbols, and preparing graphics for the Web. Adobe Illustrator: A Complete Course and Compendium of Features is your guide to building vector graphics, whether Page 4/27 you're creating logos, icons, drawings, typography, or other illustrations—and regardless of their destination: print, web, video, or mobile. First, with a complete Course that includes a set of projects and lessons derived from Adobe Certified Instructor Jason Hoppe, you will learn the procedures needed to use Illustrator effectively and professionally. Dozens of lessons are included that can be applied to any graphics you have in mind. Through these stepby-step lessons, you'll be exposed to all of Illustrator's features in practical contexts and its best practices for optimal workflows. To complete the Course, we'll supply lesson documents and their assets to download. These can even serve as starting points for your own projects. Then, for greater depth of knowledge and subsequent reference, you'll use the Compendium to uncover more of the "how" and "why" of Illustrator. With each topic easy to Page 5/27 access, you can find and explore all of Illustrator's key features and concepts in depth. With cross references between the Course and Compendium, the two parts of the book complement each other perfectly. Best of all, when the lessons in the Course are done, the Compendium will continue to serve for months and years to come. Learn step by step how to: * Draw basic shapes and lines * Build graphics using Illustrator's deep and diverse toolset * Create complex icons using the Pathfinder and Shape Builder * Use color with predictable and harmonic results * Work effectively with type * And much more! Adobe Illustrator is the indispensable vector drawing tool used by digital artists around the world. Illustrator CS4 provides those artists with powerful drawing tools, unparalleled typographic controls, and much more. With a slew of new features and tighter-than-ever integration with the rest of Adobe Creative Suite 4's design, graphics, and publishing tools, Illustrator CS4 promises to make designers' lives a whole lot easier, especially if they have this task-based guide! Now revised and updated, and in 4 COLOR this book uses simple step-by-step instructions, loads of screen shots, and an array of time-saving tips and tricks, serving both as the quickest route to Illustrator CS4 mastery for new users, and a handy reference for more experienced designers. This edition of the Visual QuickStart Guide covers Illustrator CS4's newest features, including Page 7/27 the much anticipated multi art board feature and much more. This is the eBook version of the print title. Access to the online Workshop files and bonus content is available through product registration – see instructions in back pages of your eBook. Need answers quickly? Adobe Illustrator CS6 on Demand provides those answers in a visual step-by-step format. We will show you exactly what to do through lots of full color illustrations and easy-to-follow instructions. Numbered Steps guide you through each task See Also points you to related information in the book Did You Know alerts you to tips and techniques Illustrations with matching steps Tasks are presented on one or two pages Inside the Book • Improve publishing and productivity with the CS6 interface • Browse, organize, and process files using Adobe Bridge • Transform and reshape objects to create a new look • Use Live Paint to create, recolor, and modify images • Use Live Color to create color harmony in a design • Create complex shapes, patterns, and perspective objects • Create text and apply style to display artistic text • Apply appearances and graphic styles for a unique design • Create eye-catching special effects and filters Bonus Online Content Register your book at queondemand.com to gain access to: • Workshops and related files • Keyboard shortcuts Visit the author site: perspection.com Illustrator CS5 for Windows and Macintosh Adobe Illustrator CS5 Revealed Adobe Illustrator CS3 How-Tos Adobe Illustrator 9.0 Adobe Illustrator Creative Cloud Revealed Teaching your students has never been easier than with Adobe Illustrator CS6 Illustrated. This reader-friendly book presents each skill on two facing pages, providing detailed instructions on the left-hand page and large, full-color screenshots on the right page. The visual format helps students intuitively grasp the concepts in the book and apply them to the classroom and workplace environment. Now, stay current with Adobe Illustrator Creative Cloud coverage available online through CengageBrain.com. The online Creative Cloud content updates are for the June 2013 release of Adobe Creative Cloud. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. As one of the few books to cover integration and workflow issues between Photoshop, Illustrator, InDesign, GoLive, Acrobat, and Version Cue, this comprehensive reference is the one book that Creative Suite users need Two well-known and respected authors cover topics such as developing consistent color-managed workflows, moving files among the Creative Suite applications, preparing files for print or the Web, repurposing documents, and using the Creative Suite with Microsoft Office documents More than 1,200 pages are packed with valuable advice and techniques for tackling common everyday issues that designers face when working with programs in the Creative Suite Real World Adobe Illustrator CS5 is the definitive reference to Adobe's industrystandard vector graphics software. With an easy, engaging style, author and past Illustrator product manager Mordy Golding takes readers through all of the features of the program, explaining not only how to use the multitude of features but also why and when to use them. This edition has been thoroughly updated for Illustrator CS5 and includes techniques on using the new perspective tools to draw, move, scale or duplicate objects in perspective. This edition also covers the refinements to Illustrator's drawing tools, such as its Stroke panel and brushes, including the new Bristle Brush for painting, as well as the Shape Builder tool, which makes it easier to merge, break apart, or modify objects. The multiple artboards that were introduced in CS4 are easier to manage in CS5, with a full Artboards panel. Along with tips, sidebars, and expert commentary, there are also numerous 4-color illustrations and screen shots from contributing artists included to offer readers the most complete coverage on this extraordinary application. Designers from all fields--illustrators, animators, package designers, graphic designers, web designers, and more--will find Real World Adobe Illustrator CS5 their one-stop guide to creating powerful designs in Illustrator. Adobe Illustrator CS4 is more than just the world's most popular and powerful illustration tool: As part of the Adobe's Creative Suite 4, it's a key component of an overall design workflow that lets users work seamlessly among all of their graphics applications to create graphically rich content for print, Web, motion graphics, and mobile devices. This info-packed guide lets users get right down to work by focusing on the Illustrator CS4 features they're most likely to use and showcasing each in a standalone tip--complete with a relevant hint or two and a graphic example. In this fashion, readers learn just what they need to know, exploring the program in a way that makes sense to them. Before they know it, users will be using all the new features as well as creating symbols and applying instances and exporting their work to Adobe Flash. Adobe Illustrator CC Classroom in a Book (2014 release) Adobe Illustrator Creative Cloud Revealed, 2nd Edition Adobe Illustrator CS6 Illustrated with Online Creative Cloud Updates Adobe Illustrator Creative Cloud Revealed Update Adobe Illustrator CS6 on Demand Adobe Illustrator CC has the capability to produce artworks with pixel-perfect accuracy. It helps graphic designers and artists create designs faster, as it offers design presets and templates, which are easy to search and access. Adobe Illustrator Creative Cloud Revealed, 2nd Edition encourages students to use both imagery and data to create curated spreads and high impact layouts to make large amounts of information consumable and attractive.The REVEALED Series extends step-by-step software instruction to creative problem-solving for real-world impact with more projects than any other Adobe curriculum. Through our exclusive partnership with National Geographic, students create unique and meaningful projects inspired by National Geographic storytellers with a focus on how design principles create meaningful compositions, layouts, and infographics, all while meeting most recent Adobe Professional Certification requirements. This updated series includes professional examples of photographs, infographics, and visually impactful layouts from National Geographic Magazine. Students will connect concepts with real-world projects with featured interviews National Geographic Explorers, Designers and Creatives for a revered, professional perspective. Flexible for a variety of digital devices, these texts include instruction for ipad users as well as desktop/mac machines. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. Adobe Illustrator CS3 is more than just the world's most popular and powerful illustration tool: As part of the Adobe's Creative Suite 3, it's a key component of an overall design workflow that lets users work seamlessly among all of their graphics applications to create graphically rich content for print, Web, motion graphics, and mobile devices. This info-packed guide lets users get right down to work by focusing on the Illustrator CS3 features they're most likely to use and showcasing each in a stand-alone tip--complete with a relevant hint or two and a graphic example. In this fashion, readers learn just what they need to know, exploring the program in a way that makes sense to them. Before they know it, users will be using the new path eraser tool and making vivid artwork using the new Live Color feature and the updated recolor filters, as well as creating symbols and applying instances and exporting their work to Adobe Flash. Illustrator CS2 for Windows and MacintoshPeachpit Press Adobe Illustrator CC on Demand Visual QuickStart Guide Real World Adobe Illustrator CS4 The Design Collection Revealed: Adobe InDesign CS6, Photoshop CS6 & Illustrator CS6 Illustrator CS3 Bible Many designers and photographers own the entire suite of Adobe creative products, but they manage to learn only one or two of the applications really well. This new addition to the popular Non-Designer's series from best-selling authors Robin Williams and John Tollett includes many individual exercises designed specifically to teach the tools and features in Illustrator CS5.5 that designers (as opposed to illustrators) need to use. Along the way, the book offers many design tips for non-designers. Individual exercises ensure that a reader can jump in at any point and learn a specific tool or technique. In this non-designer's guide to Illustrator techniques, you'll learn: How vector images, as in Illustrator, are different from raster images, as in Photoshop, and when to choose which one How to use Illustrator CS5.5's tools to create and work with lines, shapes, anchor points and control handles, color, etc. How to draw your own shapes and trace others How to enter text and control the design of it How to take advantage of the symbol libraries, clipping masks, variable-width strokes, and much more When and why to rasterize elements of your vector image Packed with vivid illustrations and practical applications, EXPLORING ADOBE ILLUSTRATOR CS6 delivers a design-driven exploration of the Page 14/27 foundation features of the latest version of Adobe Illustrator CS6. Step-bystep tutorials derived from the kind of projects that a graphic designer might typically encounter and profiles of designers and their work in Illustrator are two of the hallmarks of this proven and popular text.The book examines the tools and features of Adobe Illustrator's newest release and shows how to create vector graphics and drawings for both print and the Web with fundamental design elements in mind. Rich pedagogy includes an Exploring On Your Own sidebar that encourages practice beyond the projects and tutorials in the book, and hundreds of new illustrations integrated throughout drives home key design concepts while demonstrating exceptional digital illustration. The Data Files used to complete the projects found in the book are now available online. For access information please refer to the directions available in the preface of the book. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. This is an update to the comprehensive, industrial strength guide to Illustartor 9, packed with timesaving tips and advanced techniques for everyday use. Covers the menus and basic operations of the graphics program, including Page 15/27 how to create and save new files, manipulate views and objects, use selection and copying tools, reshape, and add layers. Adobe Illustrator CS5 Classroom in a Book Adobe Illustrator CS3 Adobe Illustrator CS4 How-Tos The Non-Designer's Illustrator Book Real World Adobe Illustrator CS2 Easy-to-scan guide makes quick work of the most useful features of Adobe Illustrator CS2! The standard Illustrator design-school text is back – thoroughly revised and ready to take on the brand-new world of Illustrator CS2! Learning has never been easier than with ADOBE CS6 DESIGN TOOLS: PHOTOSHOP, ILLUSTRATOR, AND INDESIGN ILLUSTRATED. This readerfriendly book presents each skill on two facing pages, providing detailed instructions on the left-hand page and large, full-color screenshots on the right page. The visual format helps you intuitively grasp the concepts in the book and apply them to the classroom and workplace environment. Now, stay current with Adobe Photoshop, Illustrator, and InDesign Creative Cloud coverage available online through CengageBrain.com. The online Creative Cloud content updates are for the June 2013 release of Adobe Creative Cloud. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. For almost two decades, the best-selling Visual QuickStart Guides by Elaine Weinmann and Peter Lourekas have been the textbooks of choice in classrooms and the go-to tutorial and reference for art and design professionals. This edition includes their trademark features: clear, concise, step-by-step instructions; hundreds of full-color illustrations; screen captures of program features; and supplemental tips and sidebars in every chapter. This fully updated edition for Illustrator CS6 covers the new enhancements and features, including significant upgrades to the interface (including to the Control panel), gradients in strokes, Image Trace, and pattern creation and editing. The new and updated Illustrator CS6 features are clearly marked with bright red stars in both the table of contents and main text. Readers can follow the steps in a tutorial fashion, or use the book as a reference guide to individual program features. Many of the key illustrations used in the book are available via Web download for practice by readers. Straight To The Point - Adobe Illustrator CS2 Straight to the Point : Adobe Illustrator CS2 and Photoshop CS2 Visual QuickStart Guide (2014 release) Real World Adobe Illustrator 10 Adobe Illustrator 10 The fastest, easiest, most comprehensive way to learn Adobe® Illustrator® (2014 release) Classroom in a Book, the best-selling series of hands-on software training workbooks, offers what no other book or training program does—an official training series from Adobe Systems Incorporated, developed with the support of Adobe product experts. Adobe Illustrator Classroom in a Book contains lessons that cover the basics, providing countless tips and techniques to help you become more productive with the program. You can follow the book from start to finish or choose only those lessons that interest you. In addition to teaching the key elements of the Illustrator interface, this completely revised edition covers the new Live rectangle and rounded rectangle functionality, preview a path as you draw with the Pen tool, new workflow for dealing with missing Typekit fonts, anchor point enhancements like repositioning the closing anchor point as you draw, and much more. Purchasing this book gives you access to the downloadable lesson files you need to work through the projects in the book, and to electronic book updates covering new features that Adobe releases for Creative Cloud customers. For access, goto www.peachpit.com/redeem and redeem the unique code provided inside this book. "The Classroom in a Book series is by far the best training material on the market. Everything you need to master the software is included: clear explanations of each lesson, step-by-step instructions, and the project files for the students." Barbara Binder, Adobe Certified Instructor Rocky Mountain Training ADOBE ILLUSTRATOR CS5 REVEALED offers comprehensive coverage in all areas of Adobe Illustrator. Beginning with fundamental concepts and progressing to in-depth exploration of the software's full set of features, these step-by-step lessons offer a guided tour of all the program's great features, including an illustrated tutorial on how to draw with the Pen tool that you won't find in any other book. This new edition features extensive coverage of important and exciting new features, including the debut of the Perspective Grid, the Bristle Brush, two new Drawing Modes, the brand-new Shape Builder tool, and the gorgeous Beautiful Strokes. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. Adobe Illustrator CS4 on Demand What you need, when you need it! Need answers quickly? Adobe Illustrator CS4 on Demand provides those answers in a visual step-bystep format. We will show you exactly what to do through lots of full color illustrations and easy-to-follow instructions. Inside the Book • Improve publishing and productivity with the CS4 interface • Browse, organize, and process files using Adobe Bridge • Transform and reshape objects to create a new look • Use Live Paint to create recolor and modify images • Use Live Color to create color harmony in a design • Create text and apply style to display artistic text • Apply appearances and graphic styles for a unique design • Create eye catching special effects and filters • Export images to EPS, Adobe PDF, Adobe Flash, and Adobe Photoshop • Optimize files f or the web Bonus Online Content Register your book at queondemand.com to gain access to: • Workshops and related files • Keyboard shortcuts Visit the author site: perspection.com The fastest, easiest, most comprehensive way to learn Adobe Illustrator CS4 Adobe Illustrator CS4 Classroom in a Book contains 15 lessons. The book covers the basics of learning Illustrator and provides countless tips and techniques to help you become more productive with the program. You can follow the book from start to finish or choose only those lessons that interest you. Learn how to create artwork for illustrations, logos, stationery, page layouts, posters, and integrate with Adobe Flash® movies, Adobe InDesign® layouts, and more! "The Classroom in a Book series is by far the best training material on the market. Everything you need to master the software is included: clear explanations of each lesson, step-by-step instructions, and the project files for the students." —Barbara Binder, Adobe Certified Instructor, Rocky Mountain Training Classroom in a Book®, the best-selling series of hands-on software training workbooks, helps you learn the features of Adobe software quickly and easily. Classroom in a Book offers what no other book or training program does—an official training series from Adobe Systems Incorporated, developed with the support of Adobe product experts. All of Peachpit's eBooks contain the same content as the print edition. You will find a link in the last few pages of your eBook that directs you to the media files. Helpful tips: If you are able to search the book, search for "Where are the lesson files?" Go to the very last page of the book and scroll backwards. You will need a webenabled device or computer in order to access the media files that accompany this ebook. Entering the URL supplied into a computer with web access will allow you to get to the files. Depending on your device, it is possible that your display settings will cut off part of the URL. To make sure this is not the case, try reducing your font size and turning your device to a landscape view. This should cause the full URL to appear. Special Edition Using Adobe Illustrator 10 Adobe Creative Suite 4 Bible Illustrator CS4 for Windows and Macintosh Adobe Illustrator CS4 on Demand ADOBE ILLUSTRATOR CREATIVE CLOUD REVEALED offers you comprehensive coverage in all areas of Adobe Illustrator. Beginning with fundamental concepts and progressing to in-depth exploration of the software's full set of features, these step-by-step lessons offer you a guided tour of all the program's great features - including an illustrated tutorial on "how to draw with the Pen tool" that you won't find in any other book. This new edition highlights extensive coverage of important and exciting new features, including dramatic improvements to Illustrator's built-in tracing utility and a major upgrade for creating patterns. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. A guide to operating the graphics program covers such topics as working with objects, color, fills, layers, type, and graphics; manipulating artwork; drawing and painting; designing for the web; and applying different graphic styles. This is the only Illustrator reference users will need. Organized by feature so that graphics professionals can easily find the information they need when they need it. Inlcudes fill coverage of new features including using Mac OS X. THE DESIGN COLLECTION REVEALED provides comprehensive step-by-step instruction and in-depth explanation for three of today's most widely used design and layout programs: Adobe InDesign CS6, Adobe Photoshop CS6, and Adobe Illustrator CS6. You will gain practical experience with the software as you work through end-of-chapter learning projects and step-by-step tutorials. An integration chapter demonstrates how to move from one application to the other. Full-color illustrations and a user-friendly design combine to create a robust learning experience. The Data Files used to complete the projects found in the book are now available online. For access information please refer to the directions available in the preface of the book. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. Exploring Adobe Illustrator CS6 The Professional Portfolio Illustrator 10 for Windows and Macintosh Adobe Creative Suite 5 Design Premium All-in-One For Dummies Adobe Illustrator CS4 Classroom in a Book 1. Draw and manipulate simple shapes to create vivid icons for workplace safety signage. 2. Import external objects, create unique artwork to exact specifications, and incorporate text into an Illustrator design by creating a large-format kitchen-planning guide. 3. Master use of the Pen tool -- the most critical tool in the application -- by developing a complete corporate identity package including stationery, envelopes, and business cards. 4. Explore Illustrator's many brush libraries, symbols, and patterns to develop a custom map. 5. Use advanced typography tools such as character styles, paragraph styles, and glyphs, and learn proper methods for combining imagery and complex text elements into a three-panel brochure. 6. Create original artwork using filters, effects, and transparency for retail packaging, an extremely lucrative segment of the graphic design profession. 7. Develop functional web components using Illustrator's ability to generate hot links, industry-standard XHTML, slices, and other elements required for site development. In addition, the project employs highly effective coloring functions through the use of Illustrator's Mesh tool. 8. Generate attentiongrabbing "infographics" to present data from both internal and external sources. In the final project, the student will simulate three-dimensionality both manually, through the use of guides and two-point perspective, as well as with Adobe's built-in Transformation functions. For almost two decades, the best-selling Visual QuickStart Guides by Elaine Weinmann and Peter Lourekas have been the textbooks of choice in classrooms and the go-to tutorial and reference for art and design professionals. This edition includes their trademark features: clear, concise, step-by-step instructions; hundreds of full-color illustrations; screen captures of program features; and supplemental tips and sidebars in every chapter. This fully updated edition for Illustrator CC (2014 release) covers the new enhancements and features, including significant upgrades to the Pencil tool, Swatches panel, Artboard panel, as well as new Live Corners, reshaping methods, and much more. The new and updated Illustrator CC features are clearly marked with bright red stars in both the table of contents and main text. Readers can follow the steps in a tutorial fashion, or use the book as a reference guide to individual program features. Many of the key illustrations used in the book are available via Web download for practice by readers. Showcases the computer graphics program's updated features while demonstrating fundamental and advanced Illustrator concepts and displaying professionally designed projects. Creative professionals seeking the fastest, easiest, most comprehensive way to learn Adobe Illustrator CS5 choose Adobe Illustrator CS5 Classroom in a Book from the Adobe Creative Team at Adobe Press. The 15 project-based lessons in this book show readers step-by-step Page 24/27 the key techniques for working in Illustrator CS5. Readers learn how to create vector artwork for virtually any project and across multiple media: print, websites, interactive projects, and video. In addition to learning the key elements of the Illustrator interface, they'll learn how to integrate their artwork with Adobe Flash movies, Adobe InDesign layouts, and Adobe Flash Catalyst software to add interaction to their designs. This completely revised CS5 edition covers new perspective drawing tools, variable-width watercolor strokes, multiple artboards with video-specific presets, the new realistic Bristle brush and Shape Builder tool, and the ability to maintain consistent raster effects across media. "The Classroom in a Book series is by far the best training material on the market. Everything you need to master the software is included: clear explanations of each lesson, step-by-step instructions, and the project files for the students." —Barbara Binder, Adobe Certified Instructor, Rocky Mountain Training. Classroom in a Book®, the best-selling series of hands-on software training workbooks, helps you learn the features of Adobe software quickly and easily. Classroom in a Book offers what no other book or training program does—an official training series from Adobe Systems Incorporated, developed with the support of Adobe product experts. All of Peachpit's eBooks contain the same content as the print edition. You will find a link in the last few pages of your eBook that directs you to the media files. Helpful tips: If you are able to search the book, search for "Where are the lesson files?" Go to the very last page of the book and scroll backwards. You will need a web-enabled device or computer in order to access the media files that accompany this ebook. Entering the URL supplied into a computer with web access will allow you to get to the files. Depending on your device, it is possible that your display settings will cut off part of the URL. To make sure this is not the case, try reducing your font size and turning your device to a landscape view. This should cause the full URL to appear. Adobe Illustrator Real World Adobe Illustrator CS5 100 Essential Techniques Adobe Illustrator CS2 How-Tos Your Adobe Creative Cloud package includes two components: 1) Online access to Adobe Creative Cloud updates on your CourseMate product, and 2) the CS6 edition of your Adobe book. CourseMate enriches your learning with thorough, chapter-by-chapter summaries of the new Adobe Creative Cloud release. Author-created video introductions cover each chapter's learning objectives, emphasizing their importance for the contemporary design professional. Flashcards, quizzes, and games are also included. Your printed book covers fundamental concepts, starting with the workspace and Copyright : lsamp.coas.howard.edu Where To Download Illustrator Smart Guides proceeding logically and intuitively to more advanced topics. Step-by-step tutorials and user-friendly design result in a resource that is comprehensive, clear, and effective. Contact your Learning Consultant to learn more about how CourseMate can enhance the way you teach and your students learn. The online Creative Cloud content updates are for the June 2013 release of Adobe Creative Cloud. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.
United Nations Environment Programme Distr. LIMITED UNEP/OzL.Pro/ExCom/43/49 18 June 2004 ORIGINAL: ENGLISH EXECUTIVE COMMITTEE OF THE MULTILATERAL FUND FOR THE IMPLEMENTATION OF THE MONTREAL PROTOCOL Forty-third Meeting Geneva, 5-9 July 2004 POTENTIAL IMPLICATIONS OF SUBSEQUENTLY INCREASING THE AMOUNTS APPROVED FOR INSTITUTIONAL STRENGTHENING PROJECTS (DECISION 42/22 (B)) Introduction 1. At its 42 nd Meeting, the Executive Committee considered, inter alia, proposals for renewal of institutional strengthening (IS) projects submitted by UNEP. The countries concerned were in actual or potential non-compliance with the Montreal Protocol because they had failed to report under Article 7 any data in one or more of the reporting categories or years. During the discussion on the proposals, several representatives pointed out that, in some countries, the amounts of money being requested were not sufficient to fund even a half-time national ozone officer. It was also noted that there was a high turnover of ozone officers in some geographic regions/sub-regions, with the incoming ones needing time to master the task. 2. Subsequently, the Executive Committee recommended approval of the proposals for renewal of IS projects, without prejudice to the operation of the Montreal Protocol's mechanisms for non-compliance. The Committee also requested the Secretariat, in consultation with relevant bilateral and implementing agencies, to prepare a document for consideration at its 43 rd Meeting on the potential implications of subsequently increasing the amounts approved for IS projects, paying particular attention to the question of how many similar cases might be involved, indicating the problems faced by ozone units in very-low-volume-consuming (VLVC) countries and the options for ensuring adequate capacity, including increased funding (Decision 42/22(b)). 3. The Secretariat has prepared this document pursuant to Decision 42/22(b) of the Executive Committee. Structure of the paper 4. The paper consists of a desk study based on a range of information available to the Secretariat, including: (a) Relevant decisions taken by the Executive Committee on IS projects; (b) The final report on the 1999 evaluation of IS projects and draft follow-up action plan submitted by the Secretariat to the 30 th Meeting of the Executive Committee (UNEP/OzL.Pro/ExCom/30/06 and Corr.1); and (c) A review of progress reports and plans of action of IS projects submitted by eight VLVC countries, focussing on the funding level approved and the responsibilities of the Ozone Officers in achieving the phase-out of ODSs in their countries. 5. The paper presents an examination of the basis for the funding of IS projects in LVC or VLVC countries and a discussion of "adequate capacity" in relation to allocation of approved funds for salaries. It also indicates the financial implications for the Multilateral Fund of proposals for an increase in the level of institutional support, and indicates options for progressing the issue. 6. The paper takes as its starting point 68 LVC or VLVC countries where the level of funding for their IS projects is below US $50,000 per year (listed in Annex I) The eight countries included in the Pacific Island Country (PIC) strategy are not included since special arrangements were adopted in the PIC strategy. The paper does not consider the issue of across-the-board changes to the level of Multilateral Fund support for IS activities in Article 5 countries. IS history: relevant decisions 7. At its 5 th Meeting, the Executive Committee recognized the need to provide limited funding or assistance from the Fund for IS, since it "might, in exceptional cases, be an essential element in achieving the objectives of the Fund and the Montreal Protocol". The level of such funding was to be decided upon by the Executive Committee on the basis of a recommendation from the Secretariat taking into consideration the amount of controlled substances consumed in that country and the linkage between the IS and implementation of projects. 8. At the 7 th Meeting the Secretariat presented a paper that proposed areas of capital and recurrent expenditure that could qualify for support for IS (UNEP/OzL.Pro/ExCom/7/20). These included basic office equipment (computers, printer, fax, photocopier); recurrent expenditure to cover incentives for skilled staff, and; critical areas of operational costs (communications, travel, recurrent awareness raising). Provision for staff was proposed to be commensurate with the level of consumption. 9. At the same meeting the Executive Committee decided, inter alia, "that requests for IS should be considered as special projects subject to approval by the Executive Committee on the basis of a written request submitted by the interested Party". Furthermore, "requests for IS should be included in the country programme of the Party requesting such assistance. However, the requests for institutional support may be submitted separately as a free-standing project ahead of the country programme where circumstances demand" (UNEP/OzL.Pro/ExCom/7/30, para. 74). 10. Subsequent to the 7 th Meeting, the Executive Committee approved requests for IS submitted by Article 5 countries (both within their country programmes or as stand-alone projects) for a three-year period. 11. Upon submission of the requests for renewal of the first three-year projects, at its 17 th Meeting the Executive Committee "recommended extension of IS activities that have been completed for an interim period of six months pro rata on the basis of the first three-year allocation on the understanding that guidelines for second round IS should be developed by the Secretariat, and an evaluation and monitoring exercise would be carried out by the implementing agencies during the period and that, if necessary, the extensions could be renewed for a further six months pending completion of a full evaluation" (Decision 17/16). 12. At its 19th Meeting, the Executive Committee considered a paper on guidelines for renewal of IS projects prepared by the Secretariat (UNEP/OzL.Pro/ExCom/19/52). In Decision 19/29, the Committee decided: (a) In the case of countries requesting institutional-strengthening projects for the first time, approval would be for three years; (b) Initial renewals would be at the same level of funding as the first approval; would be for two years; and would be conditional upon a report of progress and an articulated plan of future actions, this report to be submitted six months before the end of the three-year approval period; and (c) Any subsequent renewal would also be for two years; and would also be conditional upon a report of progress and an articulated plan of future actions. 13. In the lead up to the operation of the Fund during the compliance period of the Montreal Protocol, at the request of the Executive Committee, the Secretariat prepared a document that addressed the need to review the effectiveness of existing IS arrangements and the functioning of Ozone Units (Decision 27/10). 14. In the context of the report subsequently prepared by the Secretariat on the evaluation of IS projects (UNEP/OzL.Pro/ExCom/30/6 and Corr.1), at its 30 th Meeting the Committee recognized, inter alia, the importance of an adequate mandate and position for ozone units and their full involvement in the planning of actual phase-out actions, bearing in mind their important role in designing and implementing strategies to enable their governments to meet their Montreal Protocol commitments and acknowledging the resources which the Multilateral Fund had assigned and would continue to assign in order to support and train the ozone units. In Decision 30/7(b), the Executive Committee urged all Article 5 countries with IS projects to ensure that: (a) The ozone unit is given a clear mandate and responsibility to carry out the day-to-day work in order to prepare, coordinate and, where relevant, implement the government's activities to meet its commitments under the Montreal Protocol; this also requires access to decision-makers and enforcement agencies; (b) The National Ozone Unit's position, capacities, and continuity of officers, resources and lines of command within the authority in charge of ozone issues are such that the National Ozone Unit can carry out its task satisfactorily; (c) A specified high-level officer or a post within the authority is given overall responsibility for supervising the work of the National Ozone Unit and ensuring that action taken is adequate to meet commitments under the Protocol; (d) Necessary support structures, such as steering committees or advisory groups are established, involving other appropriate authorities, the private sector and non-governmental organizations, etc.; (e) Personnel and financial resources and equipment provided by the Multilateral Fund are fully allocated to the task of eliminating ODS consumption and production and are made available to the National Ozone Unit; (f) Annual work plans for the National Ozone Unit are prepared and integrated in the authorities' internal planning processes; (g) A reliable system to collect and monitor data on ozone depleting substances imports, exports and production is established; and (h) Measures taken and problems encountered are reported to the Secretariat and/or the implementing agency in charge of the IS project when required by the Executive Committee. 15. In the context of the Strategic Planning Framework of the Multilateral Fund, and in order to help countries carry out the new strategic framework agreed, and provide increased support for critical areas such as public awareness, the Executive Committee agreed: (a) To increase the level of funding of IS projects (both new and renewals) by 30 per cent of the historically agreed level. This funding increment should prevail until 2005 when it should again be reviewed (Decision 35/57). The proposal by the Committee also included a clear commitment that this level of IS should prevail for all Article 5 Parties until at least 2010, even if they should phase-out early; (b) In addition to the direct increase in IS funding, UNEP will be provided with US $200,000 per year to support public awareness, and countries will receive enhanced direct support on policy and substantive issues through UNEP's Compliance Assistance Programme; and (c) Countries undertaking national phase-out plans are likely to receive IS funding at an even higher level than that anticipated above to facilitate national project implementation, as explicitly agreed in related phase-out agreements. Evolving role of IS 16. The above decisions were taken in the context of, and to support, the evolution of the role of IS as indicated below. 17. At its 7 th Meeting, the Executive Committee established as the objective of IS provision of the necessary resources to an Article 5 country to facilitate implementation of projects for speedy and effective phase-out of ODSs, as well as to assist liaison with the Executive Committee, the Fund and Ozone Secretariats and the implementing agencies to facilitate, inter alia, the reporting of data. 18. During the grace period, the phase-out of ODSs in the majority of Article 5 countries was associated with conversion of ODS-based manufacturing facilities. While NOUs played an important role in the overall coordination of phase-out activities, ODS reductions were driven by the project-level achievements of the beneficiary enterprises assisted by the bilateral and/or implementing agencies. For lower-consuming Article 5 countries where the majority of the ODSs were CFCs used for servicing refrigeration systems, the Ozone Unit was required to undertake a coordinating role to facilitate implementation of refrigerant recovery and recycling programme and training programmes for refrigeration servicing technicians. 19. In the compliance period, and with the gradual completion of projects in the manufacturing sectors, the requirement for effective interventions by NOUs has increased. Additional phase-out to meet Montreal Protocol commitments had to come from a reduction in the use of CFCs for servicing refrigeration systems (a sector characterized by a large number of small users scattered throughout the countries with a large number of stakeholders). The country-driven approach adopted in strategic planning for the Multilateral Fund ultimately relies on the ozone units and the government concerned. Level of funding for IS projects 20. The decisions of the Executive Committee have not established quantitative guidelines for the level of funding for IS projects or the constituent parts thereof. The Secretariat, in its review of IS proposals, has reached agreement with agencies on common elements of project costs, such as levels of funding for computing or other office equipment, and an understanding of what elements may not be eligible for financial support (such as motor vehicles, rental of office space, furniture). However the level of IS support is influenced significantly by the circumstances prevailing in the country, and the consequent nature and magnitude of the funding request submitted by the relevant agency. Relevant factors include: the amount of ODSs consumed (and produced where applicable) and its sectoral distribution; the size of the country in terms of population and surface area; the size and complexity of the industrial processes using ODS; the number of major cities with major commercial and industrial activities. 21. Since the approval of the first IS project at the 7 th Meeting, the Executive Committee has approved funding for the establishment of Ozone Units in 131 Article 5 countries and disbursed a total amount of US $44,291,954, representing 2.65 per cent of the total funds so far approved. 22. Of the total amount approved for IS, US $16,099,174 is for the establishment of 91 Ozone Units in LVC countries, with a total CFC baseline consumption of 7,775 ODP tonnes and US $28,192,780 for 38 Ozone Units in non-LVC countries, with total CFC baselines of 152,854 ODP tonnes of consumption and 108,541 ODP tonnes of production. 23. In terms of relative funding levels, LVC countries have received IS funding, on average, at the rate of US $2,070 for every ODP tonne of CFC consumption. Non-LVC countries have received funding at the rate of US $110 for every tonne of CFC consumption and production, or US $184 for every ODP tonne of consumption only. Considering that in many cases the consumption of non-LVC countries rose significantly above their baselines before decreasing to meet Montreal Protocol commitments, the actual per-tonne value of IS funding for non-LVCs will have been lower than US $184 per tonne. 24. In addition to financial assistance through the IS project, the Executive Committee has also approved funding for enhancing institutional capabilities through: (a) Regional networks for Ozone Officers: two meetings a year, plus some additional thematic meetings (i.e., meetings for customs officers in the region, workshops for refrigeration technicians on retrofits) organized back-to-back with network meetings; (b) National training programmes for customs officers and refrigeration technicians in the context of sectoral or national phase-out plans (for non-LVC countries) and RMPs (for LVC countries); (c) Funding through sectoral and/or national ODS phase-out plans for management and monitoring by the country, in addition to NOU activities (Decision 35/57); (d) Funding through RMP project proposals for LVC countries for the monitoring of RMP activities (Decision 31/48); (e) Funding of representatives of the Governments of Article 5 countries to attend the meetings of the Executive Committee and the Parties: in many cases, Ozone Officers are assigned as the representative or resource persons of their Governments. Analysis 25. The Secretariat commenced its analysis by examining IS funding in countries with annual funding levels of less than US $50,000 per year. Seventy-six countries receive annual IS funding of up to US $50,000 of which five are non-LVC countries. The range of IS funding for the 71 LVC countries is indicated in the table in Annex I. It can be seen that ten countries receive funding of between US $40,000 and US $50,000 per year and 19 countries receive between US $30,000 and US $40,000. The remaining 42 countries receive less than US $30,000 per year. Of these countries, 17 receive funding of less that US $20,000 per year. 26. As it is now more than two years since the Executive Committee decided to supplement IS funding by 30 percent (at the 35 th Meeting), these funding levels generally include the 30 percent addition. 27. The corresponding ODS consumption baselines for each country considered in the analysis are also indicated in Annex I. While there are increases in median CFC consumption for each range of IS funding, there is not a clear correlation between consumption and IS funding. This occurs because of the range of other factors that influence the funding level indicated in paragraph 20 above. At the country by country level, the deviations from a proportionality between consumption and IS funding become more pronounced. 28. The Secretariat has also reviewed the progress reports on the implementation of IS projects and the plan of action for the renewal of IS projects recently approved for the Governments of the Bahamas, Comoros, Dominica, Guinea, Mauritania, Mongolia, Niger and Saint Kitts and Nevis (all VLVC countries) specifically in relation to the allocation of funding. 29. The review of these specific countries indicates the following: (a) The annual level of IS funding in the renewed projects ranges from US $12,097 (for Comoros) to US $34,667 (for Mongolia); (b) The proportion of IS resources dedicated to personnel funding, ranges from 20 percent to 69 percent. The lowest financial provision is US $8,000 and the highest is US $32,000; (c) The proportion of funding sought for office equipment generally decreases in the renewal requests (because it has already been funded); and (d) The proportion of funding for awareness activities generally increases, but has a wide range, from 8 percent to 48 percent; the lowest provision is US $1,700 and the highest is US $28,000. 30. While the renewal requests indicate proposed funding for salaries, these can include both fulltime positions and short term or support staff. It is not possible to gain from the reports alone an indication of the total annual cost for a single ozone officer, part of which may be met from Government contributions. 31. It has also been reported that in some cases the funding approved for ozone officers' remuneration is above the salaries paid to their immediate-supervisors. In these circumstances, the funding over and above the prevailing salary level may be re-directed to other IS activities. 32. The evaluation of IS projects conducted by the Senior Monitoring and Evaluation Officer and presented to the Executive Committee at its 30 th Meeting indicated in its findings that the extension phases of IS projects "contained 70 percent or more for financing the current cost of ozone unit staff." Compliance 33. Of the 68 LVC countries with current IS project funding of less than US$50,000 per year, a total of twenty countries are, or appear to be, in non-compliance with the control provisions of the Montreal Protocol, fifteen in regard to CFCs and eight in regard to methyl bromide. Bosnia and Herzegovina, Uganda and Saint Kitts and Nevis are, or appear to be, in non-compliance with both sets of control measures. The CFC baselines of the non-compliant or potentially noncompliant countries range from 1.5 to 101 ODP tonnes. Their current annual IS funding levels range from US $13,000 to US $47,667, as indicated in Table 1 below. Table 1 \| Country \| Current annual IS funding \| \|---\|---\| \| 1. Bosnia and Herzegovina – CFC and MB \| 47,667 \| \| 2. Mozambique - MB \| 40,040 \| \| 3. Bolivia – CFC \| 39,433 \| \| 4. Botswana – MB \| 39,087 \| \| 5. Sierra Leone - CFC \| 37,267 \| \| 6. Suriname - CFC \| 36,667 \| \| 7. Albania – CFC \| 32,200 \| \| 8. Guinea-Bissau - CFC \| 30,000 \| \| 9. Qatar – CFC \| 29,662 \| * according to 2003 data submitted to the Fund Secretariat, the country is likely to be in compliance Data reporting 34. Of the 68 countries, a total of 34 have not yet reported to the Fund Secretariat on progress with implementation of their country programmes together with data for the year 2003. The current annual IS funding levels of the countries that have not reported range from US $42,607 to US $12,087 as indicated in Table 2 below. Table 2 \| 1. Liberia \| 42,607 \| 18. Trinidad and Tobago \| 28,600 \| \|---\|---\|---\|---\| \| 2. Mozambique \| 40,040 \| 19. Fiji \| 28,552 \| \| 3. Bolivia \| 39,433 \| 20. Uganda \| 27,957 \| \| 4. Botswana \| 39,087 \| 21. Nepal \| 26,867 \| \| 5. Sierra Leone \| 37,267 \| 22. Ethiopia \| 26,217 \| \| 6. Burkina Faso \| 36,183 \| 23. Chad \| 26,000 \| \| 7. Oman \| 34,233 \| 24. Bahamas \| 21,667 \| \| 8. Myanmar \| 32,933 \| 25. Mauritius \| 21,667 \| \| 9. Zambia \| 32,760 \| 26. Papua New Guinea \| 19,847 \| \| 10. Niger \| 32,413 \| 27. Central African Republic \| 19,760 \| \| 11. Albania \| 32,200 \| 28. Gambia \| 18,287 \| \| 12. Mali \| 30,333 \| 29. Maldives \| 17,875 \| \| 13. Djibouti \| 30,000 \| 30. Seychelles \| 13,823 \| \| 14. Qatar \| 29,662 \| 31. Grenada \| 13,000 \| \| 15. Swaziland \| 29,172 \| 32. Lesotho \| 13,000 \| \| 16. Rwanda \| 28,867 \| 33. Western Samoa \| 13,000 \| 2005 CFC control measure 35. The Secretariat also analysed the situation of the 71 countries in regard to compliance with the 2005 CFC control measure under the Protocol. Twenty-four countries have CFC consumption for 2002 already below the 2005 limit. Conversely, 12 countries have 2002 CFC consumption similar to or greater than their CFC baselines. In each case, there is no direct relationship between the level of IS funding and the situation of the countries concerned. It was also found that on the basis of the inventory of approved projects, the total level of funding for phase-out activities approved for each country cannot be correlated with the situation of the countries in regard to CFC compliance. 36. The above analysis of the circumstances of countries indicates no clear correlation between the level of funding of IS projects and compliance. Financial implications for the Multilateral Fund 37. Without prejudging the Executive Committee's view on supplementing IS funding for some VLVC countries, the implications for the Fund of increasing the level of IS funding can be estimated by considering a series of alternative thresholds which would represent the minimum level of IS funding for any LVC country regardless of its circumstances. That is, all countries with levels of annual IS funding below the relevant threshold would receive additional funding to bring the annual total up to the level of the threshold. Table 4 below indicates the total funding implications of four different minimum threshold funding levels for IS projects in LVC countries. In the four cases illustrated, the minimum ranges from US $20,000 to US $50,000. Table 4 \| Minimum annual IS funding US $ \| Required annual supplementary funding US $ \| Number of countries that would receive supplementary funding \| \|---\|---\|---\| \| 20,000 \| 73,108 \| 17 \| \| 30,000 \| 321,032 \| 43 \| \| 40,000 \| 855,472 \| 62 \| \| 50,000 \| 1,503,422 \| 68 \| Conclusions 38. While higher volume consuming countries have large national ozone offices, there has been an implicit assumption that for VLVC countries the Fund might assist with the provision of funding for one national ozone officer. This assumption has not as yet been discussed with stakeholders. The analysis carried out by the Secretariat of IS project proposals and all other relevant information currently available did not provide any estimate of the range of salary costs of a national ozone officer, with and without additional funding from national governments. To determine such salary costs, further work will be required, possible involving a survey of relevant countries. 39. Noting the financial implications indicated above, the Executive Committee could consider now supplementing the lower ranges of IS annual funding levels and whether to establish a minimum funding threshold. Alternatively the Committee could request further information on the outstanding issues. In particular, if the needs of countries and the role of IS support to meet those needs was to be examined in detail as a basis for considering further supplementing IS funding for VLVC countries, the Committee might wish to consider the requirement for a further evaluation of the effectiveness of IS support. This could be considered in the context of the review of IS funding levels due to be considered in 2005 in accordance with Decision 35/57, and the review of the requirement for further assistance for countries post-2007 also foreshadowed in 2005 under Decision 31/48. Co-ordination 40. Consistent with Decision 42/22, the draft paper was provided to five bilateral partners and the four implementing agencies. Prior to completion of this document, responses had been received from the Government of Germany, the Government of Japan and from UNDP. 41. The Government of Germany indicated its view that: * it favoured considering the establishment of a minimum funding threshold * the current policy should, with the exception of VLVC countries, be continued with no further adjustments necessary at this time * collecting further information on the range of salary costs of NOUs is unnecessary * the efficiency of IS support is a personnel related issue and is not related to the level of funding: a further study of this phenomenon will not yield any correlations and should not be undertaken 42. The Government of Japan provided the following comments: "We understand that the study by the Secretariat pursuant to Decision 42/22(b) should provide the Executive Committee with the financial implications of the possible increase in the resources for Institutional Strengthening taking into account various factors affecting compliance with control measures under the Montreal Protocol such as the capacity of the national ozone units, data collecting capacity and any other problems faced by them. Although the study indicated a range of the financial requirements along with alternative levels of minimum IS funding, the basis for these alternatives still remain unclear. We understand that most of the increase in the IS funding was in the personnel cost (See Para.32 of the draft ExCom/43/49). But we have no evidence that this increase in resources has effectively enhanced the compliance capacity of the LVCs. "We should remind ourselves that the origin of the request by the Executive Committee for this study is to obtain information which will indicate how we can strengthen IS in order to enhance compliance capacity of Article 5 countries. In the course of the study, we may need to identify specific types of problems faced by these countries in achieving compliance before we determine a realistic range of financial requirements. "Such factors may relate to: the lack of availability of accurate data in production and consumption which bring the countries into data non-compliance; state of effective use of IS resources including the use and turn-over of ozone unit staff; effectiveness of coordination by the NOU regarding national consultation among stakeholders, and: increased workload of the NOU in undertaking national phase-out plans and increasing public awareness as well as institutional building for ensuring strategic compliance with the Protocol. Some of these factors were mentioned in the draft (paragraphs 15 (a)to(c)). "We should further identify and investigate such factors through a survey of relevant countries as the Secretariat suggests in paragraph 38 on the understanding that such a survey should not be limited to the salary costs of a national ozone officer, any other "outstanding issues" as mentioned in paragraph 39 of the draft." 43. UNDP suggested that it would be unrealistic to conduct a survey to assess the IS project needs of each country on the basis of national circumstances and that standardised minimum IS funding categories might be assessed using baseline consumption levels. UNDP also indicated its agreement with the views of the Government of Germany concerning personnel related issues. A number of UNDP's detailed comments were incorporated into this document as appropriate. Annex I List of LVC countries with IS projects with an annual funding level below US $50,000 \| Country \| Meeting \| Annual IS funding US $ \| Total IS funding US $ \| Baselines \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| Total \| CFC \| CTC \| Halon \| MB \| TCA \| \| (1) \| (2) \| (3) \| (4) \| (5) \| (6) \| (7) \| (8) \| (9) \| (10) \| \| Comoros \| 23 \| 12,047 \| 271,426 \| 2.5 \| 2.5 \| - \| - \| - \| - \| \| Dominica \| 26 \| 13,000 \| 102,000 \| 1.5 \| 1.5 \| - \| - \| - \| - \| \| Saint Kitts and Nevis \| 21 \| 13,000 \| 219,800 \| 4.0 \| 3.7 \| - \| - \| 0.3 \| - \| \| Western Samoa \| 22 \| 13,000 \| 212,586 \| 4.5 \| 4.5 \| - \| - \| - \| - \| \| Lesotho \| 20 \| 13,000 \| 278,391 \| 5.4 \| 5.1 \| - \| 0.2 \| 0.1 \| - \| \| Grenada \| 30 \| 13,000 \| 192,100 \| 6.0 \| 6.0 \| \| - \| - \| \| \| St. Vincent/Grenadines \| 25 \| 13,130 \| 148,430 \| 1.8 \| 1.8 \| - \| - \| - \| - \| \| Seychelles \| 13 \| 13,823 \| 198,921 \| 2.8 \| 2.8 \| - \| - \| - \| - \| \| Antigua and Barbuda \| 26 \| 15,600 \| 260,631 \| 11.0 \| 10.7 \| - \| 0.3 \| - \| - \| \| Saint Lucia \| 21 \| 15,851 \| 364,030 \| 8.3 \| 8.3 \| - \| - \| - \| - \| \| Mauritania \| 14 \| 16,845 \| 651,511 \| 15.7 \| 15.7 \| - \| - \| - \| - \| \| Maldives \| 12 \| 17,875 \| 324,654 \| 4.6 \| 4.6 \| - \| - \| - \| - \| \| Gambia \| 19 \| 18,287 \| 466,956 \| 23.8 \| 23.8 \| - \| - \| - \| - \| \| Jamaica \| 29 \| 19,067 \| 1,770,218 \| 103.3 \| 93.2 \| 2.8 \| 1.0 \| 4.9 \| 1.4 \| \| Gabon \| 22 \| 19,760 \| 627,666 \| 10.3 \| 10.3 \| - \| - \| - \| - \| \| Central African Republic \| 18 \| 19,760 \| 477,591 \| 11.3 \| 11.3 \| - \| - \| - \| - \| \| Papua New Guinea \| 19 \| 19,847 \| 665,493 \| 36.6 \| 36.3 \| - \| - \| 0.3 \| - \| \| Mauritius \| 10 \| 21,667 \| 1,015,767 \| 29.3 \| 29.1 \| - \| - \| 0.1 \| 0.1 \| \| Guinea \| 18 \| 21,667 \| 453,779 \| 51.0 \| 42.4 \| - \| 8.6 \| \| - \| \| Benin \| 18 \| 21,667 \| 767,829 \| 63.8 \| 59.9 \| - \| 3.9 \| - \| - \| \| Bahamas \| 19 \| 21,667 \| 626,065 \| 65.0 \| 64.9 \| - \| - \| 0.1 \| - \| \| Nicaragua \| 39 \| 22,000 \| 663,003 \| 83.2 \| 82.8 \| - \| - \| 0.4 \| - \| \| Chad \| 25 \| 26,000 \| 654,488 \| 34.6 \| 34.6 \| - \| - \| - \| - \| \| Ethiopia \| 20 \| 26,217 \| 358,641 \| 51.0 \| 33.8 \| - \| 1.1 \| 15.6 \| 0.5 \| \| Namibia \| 18 \| 26,765 \| 594,562 \| 31.0 \| 21.9 \| - \| 8.3 \| 0.8 \| - \| \| Nepal \| 26 \| 26,867 \| 388,604 \| 29.9 \| 27.0 \| 0.9 \| 2.0 \| - \| - \| \| Congo \| 17 \| 27,265 \| 620,199 \| 18.4 \| 11.9 \| 0.6 \| 5.0 \| 0.9 \| - \| \| Uganda \| 13 \| 27,957 \| 491,191 \| 19.5 \| 12.8 \| 0.4 \| - \| 6.3 \| - \| \| Guyana \| 23 \| 28,167 \| 849,619 \| 54.8 \| 53.2 \| - \| 0.2 \| 1.4 \| - \| \| Fiji \| 12 \| 28,552 \| 429,410 \| 34.1 \| 33.4 \| - \| - \| 0.7 \| - \| \| Mongolia \| 28 \| 28,600 \| 449,970 \| 10.6 \| 10.6 \| - \| - \| - \| - \| \| Lao, PDR \| 34 \| 28,600 \| 585,435 \| 43.3 \| 43.3 \| - \| - \| \| - \| \| Burundi \| 26 \| 28,600 \| 721,786 \| 59.1 \| 59.0 \| - \| - \| - \| 0.1 \| \| Trinidad and Tobago \| 20 \| 28,600 \| 1,040,927 \| 169.0 \| 120.0 \| - \| 46.6 \| 1.7 \| 0.7 \| \| Bahrain \| 20 \| 28,600 \| 994,664 \| 197.7 \| 135.4 \| 0.7 \| 38.9 \| - \| 22.7 \| \| Tanzania \| 20 \| 28,600 \| 1,695,711 \| 254.3 \| 253.9 \| 0.1 \| 0.3 \| - \| - \| \| Honduras \| 20 \| 28,600 \| 2,639,556 \| 591.0 \| 331.6 \| - \| - \| 259.4 \| - \| \| Paraguay \| 21 \| 28,730 \| 1,482,831 \| 212.1 \| 210.6 \| 0.6 \| - \| 0.9 \| - \| \| Rwanda \| 36 \| 28,867 \| 395,358 \| 30.4 \| 30.4 \| - \| - \| - \| - \| UNEP/OzL.Pro/ExCom/43/49 Annex I \| Country \| Meeting \| Annual IS funding US $ \| Total IS funding US $ \| Baselines \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| Total \| CFC \| CTC \| Halon \| MB \| TCA \| \| (1) \| (2) \| (3) \| (4) \| (5) \| (6) \| (7) \| (8) \| (9) \| (10) \| \| El Salvador \| 22 \| 28,990 \| 1,385,347 \| 308.7 \| 306.6 \| - \| 0.7 \| 1.4 \| - \| \| Swaziland \| 15 \| 29,172 \| 387,007 \| 25.2 \| 24.6 \| - \| - \| 0.6 \| - \| \| Qatar \| 27 \| 29,662 \| 662,949 \| 112.1 \| 101.4 \| - \| 10.7 \| - \| - \| \| Djibouti \| 37 \| 30,000 \| 433,763 \| 21.0 \| 21.0 \| \| - \| - \| \| \| Georgia \| 23 \| 30,333 \| 846,972 \| 36.2 \| 22.5 \| - \| - \| 13.7 \| - \| \| Togo \| 23 \| 30,333 \| 618,167 \| 39.8 \| 39.8 \| - \| - \| - \| - \| \| Madagascar \| 29 \| 30,333 \| 264,900 \| 50.5 \| 47.9 \| - \| - \| 2.6 \| - \| \| Mali \| 24 \| 30,333 \| 614,760 \| 108.1 \| 108.1 \| - \| - \| \| - \| \| Albania \| 38 \| 32,200 \| 495,793 \| 43.9 \| 40.8 \| 3.1 \| - \| - \| - \| \| Niger \| 15 \| 32,413 \| 630,847 \| 32.0 \| 32.0 \| - \| - \| - \| - \| \| Zambia \| 9 \| 32,760 \| 580,175 \| 57.5 \| 27.4 \| 0.7 \| - \| 29.3 \| 0.1 \| \| Myanmar \| 29 \| 32,933 \| 176,000 \| 57.7 \| 54.3 \| - \| - \| 3.4 \| - \| \| Malawi \| 12 \| 33,367 \| 2,844,150 \| 170.4 \| 57.7 \| - \| - \| 112.7 \| - \| \| Oman \| 32 \| 34,233 \| 719,021 \| 263.2 \| 248.4 \| 0.1 \| 13.7 \| 1.0 \| - \| \| Moldova \| 25 \| 34,667 \| 620,730 \| 80.7 \| 73.3 \| - \| 0.4 \| 7.0 \| - \| \| Brunei Darussalam \| 26 \| 34,667 \| 175,000 \| 78.2 \| 78.2 \| - \| - \| - \| - \| \| Burkina Faso \| 11 \| 36,183 \| 791,577 \| 41.6 \| 36.3 \| - \| 5.3 \| - \| - \| \| Suriname \| 41 \| 36,667 \| 319,000 \| 41.3 \| 41.3 \| - \| - \| - \| - \| \| Sierra Leone \| 36 \| 37,267 \| 590,163 \| 99.8 \| 78.6 \| 2.6 \| 16.0 \| 2.6 \| - \| \| Belize \| 29 \| 38,350 \| 401,825 \| 24.4 \| 24.4 \| - \| - \| - \| - \| \| Botswana \| 13 \| 39,087 \| 474,181 \| 12.1 \| 6.8 \| - \| 5.2 \| 0.1 \| - \| \| Bolivia \| 18 \| 39,433 \| 1,757,025 \| 76.6 \| 75.7 \| 0.3 \| - \| 0.6 \| - \| \| Mozambique \| 15 \| 40,040 \| 703,904 \| 22.5 \| 18.2 \| - \| 0.9 \| 3.4 \| - \| \| Liberia \| 41 \| 42,607 \| 614,383 \| 75.8 \| 56.1 \| 0.2 \| 19.5 \| - \| - \| \| Cambodia \| 36 \| 43,333 \| 1,102,500 \| 94.7 \| 94.2 \| - \| - \| - \| 0.5 \| \| Croatia \| 20 \| 43,853 \| 2,134,045 \| 269.0 \| 219.3 \| 3.9 \| 30.1 \| 15.7 \| - \| \| Kyrgyzstan \| 37 \| 44,550 \| 995,377 \| 87.0 \| 72.8 \| - \| - \| 14.2 \| - \| \| Bosnia and Herzegovina \| 27 \| 47,667 \| 2,257,166 \| 33.3 \| 24.2 \| - \| 4.1 \| 3.5 \| 1.5 \| \| Haiti \| 38 \| 50,000 \| 481,956 \| 170.7 \| 169.0 \| - \| 1.5 \| - \| 0.2 \| \| Yemen \| 25 \| 52,000 \| 3,342,487 \| 353.8 \| 349.1 \| - \| 2.8 \| 1.1 \| 0.8 \| \| Cote D'Ivoire \| 13 \| 53,218 \| 2,137,620 \| 302.3 \| 294.2 \| - \| - \| 8.1 \| - \| \| Barbados \| 15 \| 58,933 \| 541,137 \| 21.6 \| 21.5 \| - \| - \| 0.1 \| - \| (1) Article 5 country. (2) Meeting at which the first IS project was approved by the Executive Committee. (3) Annual level of funds approved for IS, including the increased provided under Decision 35/57. (4) Total level of funding so far approved by the Executive Committee. (5) Sum of all ODS baselines for compliance. (6-10) Baselines for compliance. ----
Package 'GPCERF' January 22, 2023 TitleGaussian Processes for Estimating Causal Exposure Response ``` Curves Version 0.2.0 Maintainer Naeem Khoshnevis <firstname.lastname@example.org> Description Provides a non-parametric Bayesian framework based on Gaussian process priors for estimating causal effects of a continuous exposure and detecting change points in the causal exposure response curves using observational data. Ren, B., Wu, X., Braun, D., Pillai, N., & Dominici, F.(2021). ``Bayesian modeling for exposure response curve via gaussian processes: Causal effects of exposure to air pollution on health outcomes.'' arXiv preprint <arXiv:2105.03454>. License GPL (>= 3) Language en-US URL https://github.com/NSAPH-Software/GPCERF BugReports https://github.com/NSAPH-Software/GPCERF/issues Copyright Harvard University Imports parallel, xgboost, stats, MASS, spatstat.geom, logger, Rcpp, RcppArmadillo, ggplot2, rlang, Rfast, SuperLearner Encoding UTF-8 RoxygenNote 7.2.1 Depends R (>= 3.5.0) Suggests rmarkdown, knitr, testthat (>= 3.0.0) Conﬁg/testthat/edition 3 VignetteBuilder knitr LinkingTo RcppArmadillo, Rcpp NeedsCompilation yes Author Naeem Khoshnevis [aut, cre] (<https://orcid.org/0000-0003-4315-1426>, HUIT), Boyu Ren [aut] (<https://orcid.org/0000-0002-5300-1184>, McLean Hospital), Tanujit Dey [ctb] (<https://orcid.org/0000-0001-5559-211X>, HMS), Danielle Braun [aut] (<https://orcid.org/0000-0002-5177-8598>, HSPH) ``` Repository CRAN Date/Publication 2023-01-22 08:30:02 UTC R topics documented: Index 16 The 'GPCERF' package. Description Provides a non-parametric Bayesian framework based on Gaussian process priors for estimating causal effects of a continuous exposure and detecting change points in the causal exposure response curves using observational data. Author(s) Naeem Khoshnevis Boyu Ren Danielle Braun References Ren, B., Wu, X., Braun, D., Pillai, N. and Dominici, F., 2021. Bayesian modeling for exposure response curve via gaussian processes: Causal effects of exposure to air pollution on health outcomes. arXiv preprint arXiv:2105.03454. ``` Detect change-point in full GP ``` Description Calculates the posterior mean of the difference between left- and right-derivatives at an exposure level for the detection of change points. Usage ``` A scalar of exposure level of interest. A vector of observed exposure levels of all samples. A vector of observed outcome values of all samples. A data.frame of GPS vectors. • Column 1: GPS • Column 2: Prediction of exposure for covariate of each data sample (e_gps_pred). • Column 3: Standard deviation of e_gps (e_gps_std) A vector of hyper-parameters in the GP model. The covariance function. ``` ``` Arguments The partial derivative of the covariance function. ``` Value A numeric value of the posterior mean of the difference between two one-sided derivatives. Calculate right minus left derivatives for change-point detection in nnGP Description Calculates the posterior mean of the difference between left- and right-derivatives at an exposure level for the detection of change points. nnGP approximation is used. Usage Arguments A scalar of exposure level of interest. A vector of observed exposure levels of all samples. A data.frame of GPS vectors. * Column 1: GPS values. * Column 2: Prediction of exposure for covariate of each data sample (e_gps_pred). * Column 3: Standard deviation of e_gps (e_gps_std). A vector of observed outcome values. A vector of hyper-parameters in the GP model. The number of nearest neighbors on one side (see also expand). Value A numeric value of the posterior mean of the difference between two one-sided derivatives. Examples Compute weighted correlation Description Computes weighted correlation of the observational data based on weights achieved by Gaussian Process. Usage Arguments A vector of exposure values for the observed data. A data.frame of observational confounders. A vector of weights for each observation data. Value A vector of covariate balance. Examples Estimate the conditional exposure response function using Gaussian process Description Estimates the conditional exposure response function (cerf) using Gaussian Process (gp). The function tune the best match (the lowest covariate balance) for the provided set of hyperparameters. Usage Arguments ``` A data.frame of observation data. • Column 1: Outcome (Y) • Column 2: Exposure or treatment (w) • Column 3~m: Confounders (C) ``` A vector of exposure level to compute CERF. A data.frame of GPS vectors. * Column 1: GPS * Column 2: Prediction of exposure for covariate of each data sample (e_gps_pred). * Column 3: Standard deviation of e_gps (e_gps_std) A list of parameters that is required to run the process. These parameters include: * alpha: A scaling factor for the GPS value. * beta: A scaling factor for the exposure value. * g_sigma: A scaling factor for kernel function (gamma/sigma). * tune_app: A tuning approach. Available approaches: – all: try all combinations of hyperparameters. alpha, beta, and g_sigma can be a vector of parameters. An integer value that represents the number of threads to be used by internal packages. A kernel function. A default value is a Gaussian Kernel. Value A cerf_gp object that includes the following values: * w, the vector of exposure levels. * pst_mean, Computed mean for the w vector. * pst_sd, Computed credible interval for the w vector. Estimate the conditional exposure response function using nearest neighbor Gaussian process Description Estimates the conditional exposure response function (cerf) using the nearest neighbor (nn) Gaussian Process (gp). The function tune the best match (the lowest covariate balance) for the provided set of hyperparameters. Usage Arguments A data.frame of observation data. * Column 1: Outcome (Y) * Column 2: Exposure or treatment (w) * Column 3~m: Confounders (C) A vector of exposure level to compute CERF. A data.frame of GPS vectors. * Column 1: GPS * Column 2: Prediction of exposure for covariate of each data sample (e_gps_pred). * Column 3: Standard deviation of e_gps (e_gps_std) A list of parameters that is required to run the process. These parameters include: * alpha: A scaling factor for the GPS value. * beta: A scaling factor for the exposure value. * g_sigma: A scaling factor for kernel function (gamma/sigma). * tune_app: A tuning approach. Available approaches: – all: try all combinations of hyperparameters. * expand: Scaling factor to determine the total number of nearest neighbors. The total is 2 * expand * n_neighbour. * n_neighbor: Number of nearest neighbors on one side. * block_size: Number of samples included in a computation block. Mainly used to balance the speed and memory requirement. Larger block_size is faster, but requires more memory. alpha, beta, and g_sigma can be a vector of parameters. A formula to indicate the design matrix of the model for GPS. A kernel function. A default value is a Gaussian Kernel. An integer value that represents the number of threads to be used by internal packages. Value A cerf_nngp object that includes the following values: * w, the vector of exposure levels. * pst_mean, the computed mean for the w vector. * pst_sd, the computed credible interval for the w vector. ``` Generate synthetic data for GPCERF package ``` Description Generates synthetic data set based on different GPS models and covariates. Usage Arguments Value A data frame of the synthetic data. Outcome is labeled as Y, exposure as w, and covariates cf1-6. Examples Get logger settings Description Returns current logger settings. Usage Value Returns a list that includes logger_ﬁle_path and logger_level. Examples Extend generic plot functions for cerf_gp class Description A wrapper function to extend generic plot functions for cerf_gp class. Usage Arguments A cerf_gp object. Additional arguments passed to customize the plot. Value Returns a ggplot2 object, invisibly. This function is called for side effects. Extend generic plot functions for cerf_nngp class Description A wrapper function to extend generic plot functions for cerf_nngp class. Usage Arguments A cerf_nngp object. Additional arguments passed to customize the plot. Value Returns a ggplot2 object, invisibly. This function is called for side effects. Extend print function for cerf_gp object Description Extend print function for cerf_gp object Usage Arguments A cerf_gp object. Additional arguments passed to customize the results. Value No return value. This function is called for side effects. Extend print function for cerf_nngp object Description Extend print function for cerf_nngp object Usage Arguments A cerf_nngp object. Additional arguments passed to customize the results. Value No return value. This function is called for side effects. Set logger settings Description Updates logger settings, including log level and location of the ﬁle. Usage Arguments A path (including ﬁle name) to log the messages. (Default: GPCERF.log) The log level. Available levels include: * TRACE * DEBUG * INFO (Default) * SUCCESS * WARN * ERROR * FATAL Value No return value. This function is called for side effects. print summary of cerf_gp object Description ``` print summary of cerf_gp object ``` Usage Arguments A cerf_gp object. Additional arguments passed to customize the results. Value Returns summary of data ``` print summary of cerf_nngp object ``` Description print summary of cerf_nngp object Usage Arguments A cerf_nngp object. Additional arguments passed to customize the results. Value Returns summary of data. Train a model for generalized propensity score Description Estimates the conditional mean and sd of exposure level as a function of covariates. Usage Arguments A covariate matrix containing all covariates. Each row is a data sample and each column is a covariate. A vector of observed exposure levels. A vector of SuperLearner's package libraries. Logical, if TRUE, probabilities p are given as log(p). Value A data.frame that includes: * a vector of estimated GPS at the observed exposure levels; * a vector of estimated conditional means of exposure levels when the covariates are ﬁxed at the observed values; * estimated standard deviation of exposure levels Index ``` compute_rl_deriv_gp, 3 compute_rl_deriv_nn, 4 compute_w_corr, 5 estimate_cerf_gp, 6 estimate_cerf_nngp, 8 generate_synthetic_data, 10 get_logger, 10 GPCERF (GPCERF-package), 2 GPCERF-package, 2 plot.cerf_gp, 11 plot.cerf_nngp, 11 print.cerf_gp, 12 print.cerf_nngp, 12 set_logger, 13 summary.cerf_gp, 14 summary.cerf_nngp, 14 train_gps, 15 ```
Electronic Publishing Guide to Best Practices for Canadian Publishers Version 1.0 Introduction Welcome to the National Library of Canada's Best Practices Manual for online publishing. In Canada as elsewhere, the nascent field of electronic publishing is confusing and fraught with unanswered questions. What sort of electronic texts are publishers producing? What formats and protocols are they using? Where and how are they distributing their electronic publications once they have created them? What is the market for electronic publications? Are electronic documents being 'deposited' with NLC as traditional print publications have been? The purpose of this document is to provide publishers with an introduction to the pros and cons of various approaches to electronic publishing. Through the use of hyperlinks, it highlights examples of some of the most creative and efficient uses of new media technology for publishing, and points to sites maintained by organizations that provide resources for online publishers. As a 'living' electronic document, this manual will respond to the issue of constant change in the field of electronic publishing through regular adaptation and iteration. NLC welcomes your input; if you have specific suggestions for this document, or would like to inform NLC of your own electronic publishing practices, you can contact the Library's staff. PART ONE: Surveying the Universe of Electronic Publishing Part One: Surveying the Universe of Electronic Publishing Who Wrote This Manual? This manual was produced by the National Library of Canada, in conjunction with several members of The Commons Group and in consultation with a reference group composed of members of the Canadian academic and publishing communities. The project grew of out the NLC's January 2000 Consultation on Online Publications, a day-long conference whose objective was to provide an informal forum for identifying the key issues that the National Library must address when collecting and providing access to Canadian online publications. Who Should Use This Manual? This manual was written for writers and publishers who are relatively new to the realm of electronic publishing, and want to educate themselves about the options that are available to them before they proceed. Though publishers of all sorts will find parts of this document useful, those parties who are already producing print materials and wish to translate their publications into robust electronic versions suitable for a wide variety of applications (including archiving and long-term storage) stand to gain the most use from these pages. Part Two of the manual, 'Entering the Universe of Electronic Publishing', provides brief but detailed descriptions of the most common formats for electronic publications, along with links to more detailed resources, and the Web sites of publishers who are already utilizing these formats. Part Three, 'The NLC and Electronic Publications', describes the NLC's mandate for collecting electronic publications, and outlines the various programs that the Library has instituted to facilitate the production, cataloguing and archiving of electronic publications in Canada. Part Three also provides links, email addresses and contact information for those wishing to learn more about these programs, or to reach Library staff directly. The Universe of Electronic Publications: What's Out There? The short answer to 'What's out there?' in the world of electronic publishing is 'Everything.' If something can be published in print, it's also being published online, somewhere. What's more, many kinds of publishing that aren't possible on paper or other types of physical media, such as animation, interactive applications and 3-dimensional games, are also happening concurrently. A few of the many different kinds of online publishing that currently exist appear on the following diagram. There are many ways to conceptualize such a list; this diagram presents a grid that ranges from commercial to non-commercial forms on one axis, and from proprietary formats to standard formats along the other. Outside of all four quadrants lies the realm of 'Things we don't know about yet', which will probably remain the major category of electronic publications as long as the current rate of innovation continues. This manual currently deals with a relatively small segment of the online publishing universe, specifically, the portions that are most analogous to traditional print publications. While the NLC is actively interested in collecting all forms of electronic publications, its current electronic collection consists primarily of texts produced by print-based writers and publishers who have begun expanding their activities into the digital realm. In the coming years, the NLC hopes to strengthen its relationships with the producers of digital-only materials, as these materials constitute the majority of what is published electronically. As these relationships grow, the contents of this manual will also grow. Pros and Cons of Electronic Publishing Motivations for publishing online are varied and complex. Before 1994, the Internet was in essence a 'free' medium, characterized by an open sharing of information, without regard to the commercial possibilities of digital publication. The development of the graphical Web browser, combined with the steady increase in access speed, produced a much wider interest in the medium, expanding the user base far beyond the original circle of academics and hobbyists. The first commercial web sites and 'dot.com' companies appeared not long afterward, though many lacked (and still lack) viable business models for making money online. In the late 1990s, the most common approach was 'Let's just get online now and we'll figure the money stuff out later'. Since the spring 2001 downturn in technology stocks, the level of interest among commercial enterprises for all things digital has become substantially cooler, and many companies have retreated to a more conservative position, either scaling back or cancelling their online ventures entirely. For many print publishers thinking about expanding into digital publishing, the current 'wait and see' atmosphere comes as something of a relief. Selling books is a difficult business at the best of times; adding the expense of producing simultaneous digital editions without the presence of any clear solutions for the problems surrounding rights and licensing and secure distribution of digital publications is prohibitive for many publishers. On the other hand, some publishers have found that capitalizing on the general aura of excitement surrounding new technology by producing digital publications on a limited scale has boosted the sale of their print titles. For other types of publishers, though, commercial success isn't an issue. Many individual writers, small magazines, specialized small presses, non-profit organizations and government departments have found the digital realm to be ideally suited for their purposes. Digital publications can be produced and circulated relatively inexpensively, and can reach a readership far wider than small-scale print publications. And beyond the selfish notion of 'publicity', many publishers see the process of creating broader access to texts of all sorts as a public good. Here are some of the serious arguments for why electronic publishing isn't such a great idea: - Rights Management and Control: it's virtually impossible to keep someone from copying an electronic publication if they have their mind set on doing so. Further, there are no effective national or international systems for managing rights and licensing issues around electronic publications, though some companies, such as ContentGuard, have made significant advances with XrML (Extensible Rights Markup Language). - Startup Costs: outlay for the training, hardware and software necessary to publish electronically can be considerable. - Competing Standards: There are currently a multitude of competing incompatible formats and delivery systems for electronic publications; some even require specialized (and expensive) hardware to access them. - Vague Market: it's unclear who will buy electronic publications, and how they will buy them. The current downturn in the fortunes of the technology marketplace has created an atmosphere of fear, uncertainty and doubt around electronic publications, and many companies have decided to take a 'wait and see' approach to the question of whether or not to expand online. On the other hand, there are many good reasons for extending traditional publishing activities into the electronic universe: - Portability: once a document is in electronic form, it is easy to repurpose it for any imaginable format (Braille, print-on-demand, Web content, etc.) - Renewal: legacy material such as out-of-print books can take on a whole new life if recreated as electronic publications. - Enhancement: electronic documents have characteristics not found in print documents, such as animation and hyperlinking. It's also far cheaper to produce full-colour electronic documents than it is to produce full-colour print documents. - Ubiquity: if placed online, electronic documents have a potential audience far greater than any print document. - Publicity: because of the excitement surrounding electronic publishing, electronic documents make effective advertising for your company and your other products. While each business has to make such decisions for themselves, it's clear that electronic publishing in some form is an inevitability. There are definite benefits to be reaped from approaching electronic publishing with a pragmatic, carefully organized approach. This document is designed to help anyone interested in electronic publishing locate all of the resources they need to begin to publish online in an informed, risk-free manner. Part Two: Entering the Universe of Electronic Publishing Designing an Appropriate Structure for Your Document Presentation-Based Design When most people use the term 'design', they have presentation-based design in mind. Presentation-based design proceeds from the assumption that documents are fixed and stable, whether in print or on screen, and will be viewed through exactly the same types of display devices by all readers. Unfortunately, these assumptions are rarely true in electronic publishing, especially in networked environments such as the Internet, where readers look at documents through a wide variety of display devices, ranging from 21" full-colour monitors to one-inch monochrome LCD cellular phone screens, and can reconfigure fonts, background and foreground colours, etc. at will. Proprietary formats such as PDFs and CD-ROM based publications in Macromedia Director or similar environments provide a certain amount of stability, but cannot eliminate all of the unknown factors in electronic publication design. Such formats are most useful when presentation is the paramount concern, but an overt reliance on presentation-based criteria and proprietary formatting will drastically limit the accessibility and usability of any electronic publication. Structural or 'Semantic-Based' Design Semantic-based design proceeds from the perspective that the structure of an electronic publication should follow from the meaning of the information it contains, rather than from its intended appearance on the page or onscreen. This document (along with many other Web pages) is an example of information presented semantically. Markup languages such as HTML and XML are ideal environments for semanticbased design, because they identify the internal elements of a document's structure, regardless of the appearance of those elements. This means that it is not only possible to search semanticbased documents more efficiently (for all subheadings of a particular type, say), but also that it's possible to use style sheets or other types of scripting to adapt semantic-based documents for many different kinds of display environments. It's also possible to add new types of information to existing documents with relative ease. Jakob Nielsen of Nielsen Norman Group is a world-renowned expert on the subject of Web usability in general and semantic-based design in particular. His Web site contains much valuable information on the subject, including information about his milestone book, Designing Web Usability: The Practice of Simplicity (Indianapolis: New Riders Publishing, 2000). Usable Web is a collection of links about information architecture, human factors, user interface issues, and usable design specific to the World Wide Web. Microsoft's guidelines for improving Web Site usability and appeal are also worth a look. Existing Best Practices and Standards There are many working definitions of 'best practices', but generally, they are similar to this one, adapted from a definition penned by the Canadian Association of Career Educators and Employers (CACEE): A Best Practice is an optimal process which: - is recognized by peers in similar situations - is applicable to a cross-section of organizations with varying resources and sizes - takes ethical, legal, and moral requirements into consideration Many organizations provide documentation of best practices in their particular fields as a resource for their constituents. For example, The World Wide Web Consortium is a world leader in establishing best practices for the various compatible technologies (specifications, guidelines, software, and tools) that lead the Web toward its potential as a forum for information, commerce, communication, and collective understanding. NLC will strive to make this manual play a similar role for electronic publishing in Canada. Best practices frequently involve the use of Standards. The US Federal Glossary of Telecommunication Terms defines 'standard' as follows: - Guideline documentation that reflects agreements on products, practices, or operations by nationally or internationally recognized industrial, professional, trade associations or governmental bodies. This includes formal, approved standards, as contrasted to de facto standards and proprietary standards, which are exceptions to this concept. - An exact value, a physical entity, or an abstract concept, established and defined by authority, custom, or common consent to serve as a reference, model, or rule in measuring quantities or qualities, establishing practices or procedures, or evaluating results. A fixed quantity or quality. In the milieu of electronic publishing, practices and goals vary widely from publisher to publisher, and professional and governmental organizations dealing with new media are relatively new entities. Still, there are a number of standards committees and bodies (such as the W3 Consortium) which set the benchmarks that guarantee that computers can interact. However, because the notion of 'central authority' in the online environment is contentious at best, there are also 'de facto' standards which are defined by custom or common consent rather than authority. Open Standards Open Standards are standards with specifications which are open to the public and can be freely implemented by any developer. Open standards usually develop and are maintained by formal bodies and/or communities of interested parties, such as the Free Software/open source community. Open standards exist in opposition to proprietary standards, which are developed and maintained by commercial companies. Open standards work to ensure that the widest possible group of contemporary readers may access a publication. In a world of multiple hardware and software platforms, it is virtually impossible to guarantee that a given electronic publication will retain its intended look and feel for all viewers, but open standards at least increase the likelihood that a publication can be opened in some form. From a business perspective, open standards also make good sense. They help to ensure that product development and debugging occurs quickly, cheaply and effectively by dispersing these tasks among wide groups of users. Open standards also work to promote customer loyalty, because the use of open standards suggests that a company trusts its clients and is willing to engage in honest conversations with them. Open standards also facilitate the archiving and storage of electronic publications. NLC's collection of electronic publications, for example, emphasizes the acquisition of 'format neutral' publications in order to avoid conversion of electronic documents whenever possible. In fact, when converting electronic documents from proprietary formats to standard formats is deemed necessary for the purpose of long-term preservation, the NLC is prepared to sacrifice a superior presentation format to long-term preservation needs. Publishers that adopt open standards for their publications from the outset can help to ensure that they remain relatively stable for posterity. The Free Software Foundation / Open Source The GNU Project was launched by Richard Stallman in 1984 to develop a completely free Unixlike operating system. With the addition of a kernel created by Linus Torvalds, this system has become known as GNU/Linux. Gnu/Linux is the ultimate open standard -- an entire universe of software applications and document types that are extremely powerful and reliable, and are available to all, for nothing. For more information about GNU/Linux, visit Slashdot, Linux.com, and The Open Source Development Network. There are a number of commonly used open standards for digital publications: JPEG (.jpg) Graphics Characteristics The JPEG (Joint Photographic Experts Group) graphics format is a 24-bit compression method developed specifically for the online display of photographic images. JPEG uses a 'lossy' compression method, which means that it removes information from the source image during the file creation process in order to make the final image smaller for online use. Most software applications that are capable of producing JPEGs also allow the user to specify the level of compression, which allows for smaller files, but with a corresponding loss in image quality. Aside from standard JPEGs, there are also 'progressive' JPEGs, which feature both higher compression rates than standard JPEGs, and support for 'interlacing', which loads the image into a browser in a series of incrementally clearer steps. Applications JPEGs were specifically designed for the display of photographs in an online environment. They work best with complex images that display a range of tones. For line art and other types of simple images, GIFs and PNGs produce smaller images, with no recognizable loss in image quality. Examples The Online Image Archive is an extensive archive of images stored in both the GIF and JPEG formats. Resources The official JPEG homepage leads to links to JPEG's committee members' sites, as well as to other useful sources of information about JPEG. It also provides information about how to join the JPEG committee. The JPEG Image Compression FAQ appears in HTML on this web page. PNG (.png) Graphics Characteristics PNG stands for both 'Portable Network Graphics' and 'PNG Not GIF'. PNG is a lossless compression standard which allows files to be stored at 8-, 24- or 32-bit depth. PNG was designed as a replacement for the GIF file format, and has many advantages over it. Aside from its superior interlacing method (PNGs begin to display after a much smaller proportion of the file has been loaded than GIFs require), PNGs contain information about the operating system under which they were created, which means that computers can use this information to automatically adjust themselves to display the image properly. Like GIFs, PNGs support transparency. Applications Because PNG is a relatively new graphics format, it is not backwards-compatible with older browsers. PNGs also tend to be slightly larger than GIFs. However, unlike GIFs, PNGs don't use the patented LZW compression format, owned by Unisys. If publishers create GIFs using a program containing an unlicensed copy of the LempelZiv-Welch compression algorithm, that may leave them open to a charge of 'contributory infringement' from Unisys. See this article and the Burn All GIFs page for more information. Examples Many pages produces by members of the open source/free software movement feature PNGs. PNGArt features over 50000 royalty-free PNGs available for download. This page at WonderStorm provides information about using PNGs as Web page backgrounds. Resources The W3 Consortium officially endorses the PNG standard, and maintains links to it specifications and other resources, including a page that will test your browser for PNG compatibility. Plain text/ASCII text Characteristics The most basic of open standards for electronic publication is an electronic document without any formatting (i.e. 'plain text'). Virtually all word processors are capable of saving documents in plain text; for example, Microsoft Word provides a 'Text Only' option in its 'File/Save As …' menu (The default Word file format, sometimes called a '.doc' document, is a proprietary format -- see the section on proprietary standards for further explanation). Among PC users, it is customary to append plain text files with the '.txt' extension for easy identification; this practice has continued even into the current era of long filenames. Sometimes people mistakenly refer to plain text as ASCII. The Webopedia provides the following definition for ASCII: Acronym for the American Standard Code for Information Interchange. Pronounced askee, ASCII is a code for representing English characters as numbers, with each letter assigned a number from 0 to 127 … Text files stored in ASCII format are sometimes called ASCII files. Text editors and word processors are usually capable of storing data in ASCII format, although ASCII format is not always the default storage format. (For more information on ASCII, visit Yahoo!'s ASCII Page). In other words, ASCII is a character coding scheme, and ASCII text is text coded using that scheme. Plain text refers specifically to unformatted text and does not make any reference to the coding. When people or institutions request a document in ASCII, what they usually want is plain text. Publishers that find plain text too restrictive may want to consider the other minimal formatting options that word processors provide, such as 'Text Only with Line Breaks', which inserts carriage returns at the end of typed lines, making them easier to read in plain text editing programs such as BBEdit, SimpleText and WordPad. Applications The most frequent use of plain text documents is in the area of software documentation. Plain text is the best option whenever there is uncertainty about the technological capabilities of a publication's intended audience, because virtually any text reader/editor can open plain text documents. Examples Michael Hart began Project Gutenberg in 1971 with the avowed intention of transferring as many public-domain works of literature as possible into plain text datafiles. Many of these files were written before the advent of sophisticated word processors; their existence today is a testament to the archival value of the textfile. HTML Characteristics HMTL, or Hypertext Markup Language, uses a system of tags to describe the structure and layout of a document in a manner that makes it viewable by web browsers and other forms of software. Like its cousin XML, HTML was designed to describe a document's structure, not its appearance (though it has been heavily retrofitted with the use of various plug-ins and supplementary languages to provide greater control over appearance). HTML also makes it possible to connect documents to each other via hyperlinks, an essential characteristic of the online medium. Applications HTML is the formatting or 'markup' language that is used to prepare documents for viewing on the World Wide Web. Increasingly, HTML is also being used as documentation for software distributed on CD-ROM, as its hyperlinks provides an excellent structure for reference materials. Examples Examples of HTML in its varying degrees of complexity lie under every page of the World Wide Web. To view the HTML source of a Web page, select the 'View Source' option from your Web browser's tool bar. HighWire Press is one of the two largest free full-text science archives on earth, featuring over 260 sites, and more than 255,000 free, full-text articles. Coach House Books, a small Canadian literary press, has been publishing HTML editions of its frontlist poetry, fiction, drama and art book titles since 1997. This case study presents a short description of the online publishing practices at Coach House Books. Resources The W3C's home page for HTML provides links to their specifications for HTML, guidelines on how to use HTML to the best effect, and links to related subjects on the W3C site. The W3C also provides a free HTML Validation Service. This web-base device checks HTML documents for conformance to W3C HTML, XHTML and other HTML-related standards. Publishers using cascading style sheets (CSS) to format their HMTL documents will also want to visit W3C's CSS validator. Dave Raggett's HTML TIDY is a free utility for fixing HTML coding mistakes automatically and tidying up sloppy editing. This tool can also help publishers to identify where they need to pay further attention to making HTML pages more accessible to people with disabilities. The HTML Writers Guild is the world's largest international organization of Web authors, with over 123,000 members in more than 150 nations worldwide. Its site provides resources, support, representation, and education for web authors at all skill levels. Webopedia's HTML page provides a wide variety of links to other related resources. XML Characteristics XML, or Extensible Markup Language, is exactly what it sounds like: a highly customizable, robust protocol for carrying the kinds of tasks that HTML performs one huge step forward. In fact, it is a sort of cousin to HTML, since both derive from SGML (the Standard Generalized Markup Language), an international standard created to solve problems in exchanging data between different types of computer systems. Applications XML describes a document's structure, not its appearance. Briefly, it allows a publisher to identify, quantify and define the information in their documents in a manner that makes sense to them and others in their industry, and allows the document to be reshaped for different needs (such as different types of displays) without disturbing its underlying structure. The relevance of XML today stems from the fact that basic HTML simply will not be capable of providing an adequate environment for the next wave of networked digital publishing, where data will have to be displayed in an increasingly varied number of environments, and searched in more sophisticated ways. Examples The XML 101 site provides a number of examples of XML documents of varying complexity, as well as other useful resources, tutorials and links. Resources XML in 10 points provides a Cook's Tour of the language. Answers to Frequently Asked Questions about the Extensible Markup Language can be found here. O'Reilly's XML portal site and The XML Industry Portal go into considerably greater detail than the aforementioned sites, and provide access to discussion forums, resources and relevant recent news stories about XML. For more technologically advanced publishers, The XML Cover Pages is a comprehensive online reference work for XML and SGML. The Open eBook Publication Structure Characteristics The Open eBook Publication Structure is a specification for representing the content of electronic books. It is based on the premise that in order for electronic book technology to achieve widespread success in the marketplace, all electronic reading systems must be able to access a large number and variety of titles, and to present of content with a reasonable degree of fidelity, accuracy, accessibility, and uniformity across various platforms. The specification itself is based on HTML and XML, and is designed to allow publishers and authors to deliver their material in a single format. It describes a set of common, minimal guidelines which strive to reflect existing content format standards. Applications The chief reason for using The Open eBook Publication Structure is to attempt to capture a slice of the emerging eBook market. The more eBooks that exist, the more likely that the reader platforms that support standard formats will become ubiquitous. Companies that distribute eBooks may also offer more in the way of guarantees about tracking electronic documents and managing rights and licensing than most publishers may be able to manage on their own. Examples Netlibrary has a collection of over 3500 free eBooks. Resources The Open eBook Forum (OeBF), an association of hardware and software companies, publishers, authors and users of electronic books, is the primary source of information about this specification. Brown University's Scholarly Technology Group (STG), in conjunction with NuvoMedia, Inc, makers of the Rocket eBook, have developed the Open eBook Validator, a free service that enables authors and publishers to quickly and easily test their publications for conformance with the Open eBook Publication Structure Specification. Proprietary Standards Proprietary standards are privately owned, developed and maintained specifications that have been created by commercial companies. Proprietary standards for electronic publication such as Adobe Acrobat and iPIX usually consist of two components: an authoring tool that exists as a commercial product, and a freely distributed viewing tool, frequently in the form of a plug-in for web browser software. The authoring tool can include hardware as well as software, and is frequently expensive. Users of proprietary authoring tools and client tools are sometimes also expected to pay licensing fees to their creators. What proprietary standards claim to offer potential users is an extension of the capabilities of basic electronic publishing formats. Acrobat (or PDF) documents, for example, retains exact page layout characteristics, including font formatting. other proprietary standards might offer increased document security, 3-dimensional panoramic photography, and so on. Publishers considering the use of proprietary standards should weight the value of added functionality against both the cost of authoring tools and the recognized preference of readers and consumers for open standards. Webopedia notes that 'Increasingly, proprietary architectures are seen as a disadvantage. Consumers prefer open and standardized architectures, which allow them to mix and match products from different manufacturers.' Following are a few of the currently popular proprietary formats: GIF (.gif) Graphics The 8-bit GIF (Graphic Interchange Format), invented by CompuServe in the 1980s, is still the most common graphic format on the Internet. They are small in size, viewable by all graphic Web browsers, and possess useful characteristics, such as the capacity for animation, interlacing and transparency. Because the lossless LZW compression algorithm used by GIFs is proprietary (it is owned by Unisys), some Web site designers have abandoned the use of GIFs in favour of PNGs, but the GIF remains a useful and versatile format. Characteristics GIFs are most appropriate for line graphics or non-photographic images. Because GIFs (like PNGs) support transparency, it is easy to make them fit seamlessly into the environment of a Web page. Like JPEGs, GIFs can also be interlaced and loaded gradually, but this is rarely necessary for smaller images. There are two versions of the GIF format, the GIF87a, which allows for transparency and interlacing, and the GIF89a, which is also capable of being animated. Animated GIFs allow for a certain amount of novelty, but have little practical value, and they can become quite large. When producing an animated GIF, be sure to follow the procedures your software recommends for optimizing the GIF's size. Applications Most of the line-art graphics on Web pages are GIFs. Use them for spot illustrations or basic elements of Web pages such as logos and buttons. Examples Many online repositories, including The Online Image Archive contain extensive collections of GIFs. Resources This article on WebReference provides information on optimizing the size of GIF files. This page, which contains useful information on a number of graphic file formats, provides copies of the GIF87a specification, the GIF89a specification, and an explanation of GIF compression. 'The GIF Controversy: A Software Developer's Perspective' is an article on the issues surrounding the use of LZW compression in GIFs. RTF Characteristics Another option is RTF, or Rich Text Format. RTF is a standard which Microsoft Corporation developed for specifying the internal formatting of documents. In other words, RTF is a kind of minimal word-processor format. At their core, RTF files are ASCII files with hidden commands that provide a computer with formatting information about fonts, margins, and so on. Applications RTF is especially useful for ensuring that some basic formatting remains while also making it possible for people using older hardware and software packages to access documents (backwards compatibility). Documents in manuscript form are often submitted to the designer or printer in RTF versions to ensure compatibility. Examples This case history provides an example of the usefulness of RTF templates for generating reports that can be read on a wide variety of platforms. Resources The RTF specification can be found in Microsoft's MSDN Online Library. For those publishers interested in exploring the possibilities of RTF, this directory contains RTF Tools, software for performing RTF document conversion, as well as copies of the Microsoft RTF Specification documents. Word Documents (.doc) Characteristics Microsoft Word is far and away the most popular word processor in use. The files it produces, sometimes called '.doc' documents, because they are usually appended with the '.doc' extension for easy identification, are proprietary and cannot be opened by all text editors. Applications If a publisher knows that all of the readers of its documents have access to Microsoft Word (for example, on a corporate or government extranet), and is interested in taking advantage of Word's ability to include charts, tables and images, it may consider publishing in a straight .doc format. In any other instance, it's prudent to use RTF or plain text, which also eliminates the possibility of distributing the macro viruses which Word documents occasionally carry. Examples The Association for Progressive Communications (APC) provides all of the documents for their Mission-Driven Business Planning Toolkit in downloadable PDF, Word 97, and RTF versions as well as HTML. See this case study for more information. Resources This site features a free application that allows those PC users who do not have Word to open and view Word documents. It provides access to Word's zoom, outline, and page layout views, As well as headers/footers, footnotes, and annotations. PDF Characteristics PDF ('Portable Document Format') files are created by Adobe's Acrobat technology, which captures formatting information from word processors and desktop publishing programs such as Quark XPress, and embeds it in the digital document in order to ensure that layout remains consistent both on screen and in printed form. Applications PDFs are ideal for the presentation of short documents with complex formatting, such as printable forms. PDFs are increasingly being used for many kinds of documentation, such as hardware and software manuals, and government and professional publications, but literary and arts documents are also starting to appear in PDF versions. Examples Broken Jaw Press, a small Canadian literary press, makes many of its publications available in PDF form, and distributes them through PublishingOnline. This case study provides more information about Broken Jaw's online publication program. Resources Adobe ePaper Solutions provides links to both Adobe's free and retail Acrobat-related software, as well as to tutorials, an online PDF converter and a PDF content server which allows users to package and distribute Adobe PDF eBooks directly from their Web sites. eBooks Central provides news about the parts of the eBook world that relate specifically to Adobe's technology. This page also has resource links and a community forum for those interested in discussing the technology with their peers. Microsoft Reader Characteristics Microsoft reader is a combination of a proprietary format for eBooks (documents with the '.lit' extension) and an accompanying software application. It makes use of ClearType anti-aliasing technology to present type with less eyestrain. Applications Publishers interested in testing the effectiveness of Microsoft's nascent content and rights management technologies may wish to try producing publications in the Reader format. In many respects, this is a competing technology with Adobe's PDF, which already has a considerable lead in the marketplace. Examples Barnes and Noble stocks a wide variety of Microsoft reader eBooks. Resources Microsoft's ReaderTools page provides downloads for both their 'Read in Microsoft Reader' conversion software, and third-party tools that will convert Word documents, HTML or desktop publishing files to Reader format. The site also provides tools for developers, style guides, and information on digital rights management. Macromedia Director and Flash Characteristics Macromedia Flash is a vector-based tool for creating low-bandwidth animations, presentations and other forms of dynamic content. It offers scripting capabilities and server-side connectivity for creating applications, Web interfaces, and training courses. Flash files can be viewed through most browsers equipped with the Macromedia Flash Player plug-in. Macromedia Director Shockwave Studio is a similar but more sophisticated product for the development of 3D entertainment, interactive product demonstrations, online learning applications and other types of interactive media on the Web, CDs, DVDs and corporate intranets. Macromedia's Shockwave Player, which plugs in to most Web browsers, is required to view online content created with Director Shockwave Studio; most Director Shockwave publications on CD-ROM and other types of media are stand-alone and do not require further software to run, though their hardware requirements can be intensive. Applications Though Flash may be used to design interfaces for Web Sites, this severely limits access to such sites. Flash is most appropriate for the presentation of short online animations. Likewise, Director Shockwave Studio is very impressive, but will only function well on multimedia PCs equipped with high-end sound and video cards and fast processors. Its scripting language is very powerful, but also difficult to master; thus, the financial layout for Director Shockwave publications may be quite high. Examples Sites presenting short animated films, such as Camp Chaos and Hahabonk, rely heavily on Flash to present their content. Macromedia's Showcase page details a number of sites that have used their technology to good effect. Resources Macromedia's Web Site provides downloads of their products, as well as links to online galleries, resources, tutorials and discussion forums. eBook Hardware Platforms Characteristics In current usage, the term 'eBook' or 'eBook reader' can refer to either hardware or software. This document has already discussed the some of the types of software eBooks; eBook Hardware Platforms, on the other hand, are small handheld or 'palmtop' computers that are capable of accessing various types of (usually proprietarily formatted) electronic publications. Applications Most eBook readers are still in the developmental stage, and existing models are still primitive, expensive and in limited circulation. Committing to the exclusive production of electronic publications for an eBook reader, especially if a proprietary format is required, is unadvisable at this time. Examples At the time of this writing, the best known eBook reader is the GemStar eBook (formerly Rocket eBook). In January 2000, Gemstar-TV Guide International announced its entry into the electronic book business through the acquisition of NuvoMedia, Inc., makers of the Rocket eBook, and SoftBook Press Inc., makers of the SoftBook Reader. The GemStar eBook Web Site includes information for publishers interested in publishing for their eBook platform, including a contact form. Resources about.com provides a detailed listing of current eBook reader platforms with links to the manufacturers' pages. Those interested in publishing eBooks for various types of handhelds might also want to peruse netread's index of resources and professional organizations. The Association of Electronic Publishers (AEP) is a self-policing organization whose members attempt to assure that high standards of trustworthiness, professionalism and quality are maintained within electronic publishing. Metadata Metadata refers to data that is not the contents of a document, but information about that document. It describes how, when and by whom the information in a given publication was collected, and how the data is formatted. Metadata is essential for being able to effectively navigate and search large collections of documents, whether online or in an offline database. Meta Tags The most common form of metadata in electronic documents is the 'meta' tags in HTML. Meta tags can be used to identify properties of a document (e.g. author, expiration date, keywords) and assign values to those properties. Meta tags also provide search engines with information about how they should classify your page, whether they should ignore it, and so on. This page contains a simple form that will generate meta tags for your Web page and then mail you the results. The Dublin Core The Dublin Core Metadata Initiative is an open forum engaged in the development of interoperable online metadata standards to support a broad range of purposes and business models. DCMI's activities include consensus-driven working groups, global workshops, conferences, standards liaison, and educational efforts to promote widespread acceptance of metadata standards and practices. Their site features a page of tools and templates that are very useful for those organizations interested in working with this popular metadata standard. Accessibility Standards People Using Assistive Technologies The primary goal of the guidelines in this section is to promote accessibility for people using assistive technology. However, following them will make Web content more available to all users, no matter what platform they are using or the conditions in their current environment. Following these guidelines also helps to ensure that overall usability increases, and that people find the information they are seeking rapidly. The W3 Consortium provides guidelines that explain how to make Web content accessible to people with disabilities. The guidelines are intended for all Web content developers (page authors and site designers) and for developers of authoring tools. These guidelines do not discourage content developers from using images, and video, but rather explain how to make multimedia content more accessible to a wide audience. W3C also maintains an entire second site, the Web Accessibility Initiative (WAI) to examine this question. The HTML Writers Guild's Accessible Web Authoring Resources and Education (AWARE) Center intends to act as a central resource for publishers that wish to learn about web accessibility. This page features a comprehensive list of important resources. WebABLE is a leading provider of Web accessibility technology, consulting, and training. The WebABLE! library is a collection of books, press releases, white papers, articles, plans, standards, reference guidelines, and journals that focus on accessibility, assistive and adaptive technology for people with disabilities. They also invite readers to contribute to this library. Access Adobe is a resource designed to help people with visual disabilities work more effectively with Adobe Acrobat software and PDF files. It provides tools to help visually disabled users whose screen reader software is not compatible with the Adobe Acrobat Reader 5.0. These online tools convert Adobe PDF documents into HTML or ASCII text, which can then be read by a number of common screen reading programs that synthesize text as audible speech (these tools may also be of use to general developers who want to convert documents into open formats for other reasons). The site also includes white papers and FAQs in HTML format and links to other useful resources on the Web. In 1988, Microsoft became involved in accessibility issues and since then, has worked hard to improve the accessibility of products as well as create new and better technologies that others can use. This page of guidelines lists news & events, training programs, products and aids, development guidelines. IBM's Accessibility Center provides guidelines, checklists and techniques for a variety of webdevelopment related issues. Bobby is a free service designed to help Web page authors identify and repair significant barriers to access by individuals with disabilities. The online version of Bobby will test one page at a time; for publishers who wish to test entire site as a batch, there is also a downloadable version of Bobby. People Using Older Technology A document or program is backwards compatible if it runs not only on the computer for which it was designed, but also on smaller and older models. Upwards compatibility, on the other hand, refers to documents and software that function not only on the computers for which they were originally designed, but also on newer and more powerful models. Upward compatibility is important because it means that data will continue to function without the need for converting it. Publishers need to keep both kinds of compatibility in mind when planning and releasing new electronic publications. Issues of backwards compatibility can generally be dealt with if publishers adhere to the accessibility and usability guidelines outlined above; upwards compatibility becomes of interest as soon as a publisher starts to consider archiving its publications for posterity. Storage and Backup Digital media is notoriously fragile. Data can disappear from a system due to anything from static electricity to hard disk crashes, and the lifespan of all current forms of digital storage is open to question. In order to prevent the loss of many hours, days, or even years of work, it is crucial for publishers of electronic data to establish regular backup cycles of their publications on stable mass storage media, and probably to engage a second party such as the NLC to provide reliable archiving and storage of such data. Archival Media There are many forms of mass storage media available today: removable media (floppy, zip/jaz disks, superdisks, tape drives, CD-ROMs, CD-RW, DVD etc.) and fixed media types, such as hard disks. Storage Management.org is a 'living appendix' to a book by Jon William Toigo, The Holy Grail of Data Storage Management (Prentice Hall, 1999). The site exists to facilitate the education of technology end users and to provide a vehicle for communicating to the community of vendors the actual requirements and experience of present and prospective storage technology consumers. The PC Technology Guide's storage page features an extensive outline of the construction, operation and interface standards for all major forms of computer storage. The Network Storage Buyers' Guide provides information on storage hardware and software. It features a searchable database of products, links to vendor Web Sites, a library of white papers, press releases, resellers information, product presentations, and more. Version Control In the world of software development, version control refers to the process of tracking the development of a given piece of software. Each stage or version of a program's development is identified by a 'build number'; initial 'beta' versions typically are represented by decimals under the number one. A stable 'alpha' release is usually version 1.0, and represents the first fully functional version of the software. Subsequent releases incorporating new features and improvements are assigned new values according to the same logic. In the last few years, developers of corporate intranets and extranets such as Open Text, makers of LiveLink and B2Bscene, have utilized the notion of version control to describe the process of managing a document's evolution in a collaborative environment. Google's Document management page provides a useful set of links to sites concerned with version control, and to vendors who provide document management products and services. AIIM, The Association for Information and Image Management, is an international organization made up of people in the information management community. It is the meeting place where users, vendors and solution providers come together to solve problems, present ideas, provide solutions and establish relationships. Part Three: The NLC and Electronic Publications The National Library's Mandate for the Collection of Electronic Publications The National Library of Canada's mandate for the collection of publications of all sorts is to gather, preserve and make them accessible to the Canadian public through cataloguing and bibliography. The NLC's recent collection of electronic publications is an outgrowth of its print collections. For pragmatic reasons, the initial focus of the NLC's electronic collection efforts was on federal government publications, which are accessible to the Library at no cost; furthermore, the NLC is expected to collect such material. However, the NLC is also collecting electronic publications from commercial and private Canadian publishers. The NLC's definition of an electronic publication is deliberately wide: any intangible publication that is available through a communications network has been 'published', and therefore needs to be collected. At the moment, this mandate is a moral rather than legal one, though the laws around mandatory legal deposit are currently being rewritten to include electronic publications as well as print publications. To date, the NLC's efforts to collect electronic publications have been characterized by their experimental nature. Everything is subject to change as new opportunities arise, so this is an exciting time both for publishers and for the Library itself. Electronic Deposit and Its Benefits The deposit of electronic publications at the NLC benefits the Library's collection, the Canadian publishing industry and the general population in the following ways: - The NLC's electronic deposit program helps to ensure the long-term survival of electronic texts by providing a secure mirror facility - The Library's cataloguing activities help to guarantee that potential readers will be able to locate texts by providing a central, stable archive - Its promotion activities such as the New Books program help to create a larger audience for electronic publications, albeit a non-paying one In other words, the NLC's electronic deposit program is an important part of a viable business model for electronic publishing, because, although deposit does not contribute to the bottom line, it provides a simple and powerful system of risk management for static Web sites (at this point, the NLC cannot collect database-driven publications, though it can and does take periodic 'snapshots' of some dynamic sites) with little expenditure of resources on the part of publishers. Depositing an electronic publication with NLC guarantees that it will be there whenever the publisher – as well as potential readers -- needs access to it. Given the National Library's mandate to preserve the Canadian published heritage and the aforementioned instability of the online environment, simply acquiring the right to point or link to an electronic publication stored at a publisher's site is not sufficient to ensure the long-term accessibility and preservation of Canadian items. Therefore, the NLC collects an electronic copy of all electronic publication selected for its permanent collections. By acquiring a copy of an electronic publication from the originator as soon as it becomes published, the NLC can assure the preservation of the integrity of a publication as it was originally released. The Library is also able to verify and ensure that the electronic publication is in a form that is readable by standard software and is therefore accessible for current and future generations of readers and researchers. While all networked electronic publications collected by the National Library are in principle accessible to both on-site and off-site users, the National Library recognizes that there may be restrictions on access to some materials from time to time, especially when their salability depends on limited or metered access. Wherever necessary and possible, the NLC will institute restrictions on public access to an electronic publication by storing publications offline for a time period negotiated between the NLC and the publisher. The National Library has made a commitment to provide access to its electronic information resources in a manner that respects all intellectual property rights as required by Canadian law. While central issues around rights management and licensing for electronic publications are far from resolved, the Library is following developments in the field, and is currently examining how to adapt its own practices to meet both the security needs of publishers and the need to archive important Canadian documents for posterity. Who Should be Interested in Electronic Deposit? Any Canadian individual, collective body or corporation that produces and publishes electronic publications of any type should be interested in electronic deposit with NLC. The Professional Publishing Community As the Publishers' Window on the Government of Canada site demonstrates, there is a wide range of existing government services for traditional publishers of all types. Professional publishers of books, music, periodicals and reference materials who have a long-standing relationship with NLC and recognize the benefits of this relationship (for posterity as well as themselves) will also recognize the advantages of depositing their electronic documents in a manner analogous to the way that they've always handled their print documents. But in the new world of electronic publications, many non-traditional 'publishers', such as makers of software, builders of databases, portals and other types of information services can also benefit from government services in general and the NLC's electronic deposit program in particular. Self-Publishers In a digital world, everyone can be a publisher. Much of the stigma traditionally associated with 'self-publishing' is disappearing rapidly as an increasing number of individuals begin to produce professional-quality electronic publications. Through depositing with the NLC, self-publishers can help to assure that their work is assigned the proper identifying numbers, catalogued by the Library and made accessible in definitive form to the widest possible audience. Benefits of Electronic Deposit A Worldwide Audience By placing an electronic document in the NLC's collection, publishers immediately increase the size and range of the audience for their publication by placing it in a hightraffic, centralized but secure location. The NLC site receives hits from all over the world; such traffic can drive readers and potential customers to the publisher's home site in search of further information and/or similar products. Organization and Classification Depositing an electronic publication assures that a fixed identifier number such as an ISBN or ISSN will be attached to it -- a number that will allow customers and readers to locate the publication with ease and coincidence. NLC provides bibliographic access to the networked electronic publications it stores through free access to its AMICUS database and associated products. Backup, Redundancy And Posterity The National Library takes preservation measures to ensure the content, functionality, and presentation of all archived networked electronic publications will remain intact for the long term, and that the publication will be accessible on an ongoing basis. Many businesses and most individuals cannot afford a full-time archivist; for this reason alone, electronic deposit is an incredibly useful service for all electronic publishers, because it ensures that their publications will be tracked, described, and stored in a secure location other than their own premises. The National Library preserves networked electronic publications in standard formats. It will also accept electronic publications in non-standard formats, in some cases (when necessary, feasible, and agreed to by the publisher) converting them to more standard formats. In general, the NLC does not compress the electronic publications in its collections. While the National Library currently handles all of the work related to its electronic publications collection, in the future it may enter into agreements with other institutions to ensure the collection, preservation, and access, of some types of Canadian networked publications. What Sorts of Electronic Texts are Currently in the Library's Collection? The National Library strives to comprehensively collect and archive indefinitely all original networked electronic publications of Canadian origin, published both domestically and abroad. However, the NLC does not necessarily collect every version/edition of all networked electronic publications. Whenever possible, the Library collects, displays, provides access, and stores networked electronic publications in the formats in which the publications were originally published. For pragmatic reasons, the NLC allocates priority to collecting standard format publications, and also ensures that formats collected include those accessible to the perceptually disabled. The current Electronic Collection contains works of literature, nonfiction and memoirs, government publications, periodicals, zines, and a wide variety of other forms. How To Submit An Electronic Publication to the National Library The following formats may be sent through regular mail: - diskette - various CD formats (CD-ROM, CD-RW, etc.) Send all such submissions to the following address: Electronic Publications Acquisitions Section National Library of Canada 395 Wellington Street Ottawa, Ontario K1A 0N4 Telephone: (819) 997-9565 Toll free in Canada: 1-877-896-9481 Fax: (819) 953-8508 e-mail: firstname.lastname@example.org Publishers also may transmit their electronic publications to the Library over the Internet, using the following methods: - e-mail - FTP (contact the NLC at the address given above for specific information on these deposit methods) HTML publications must be easily transferable and operational on the NLC's server. To meet these criteria, all files and sub-directories must be organized under a single directory. Relative URLs (e.g. ../images/flowers.gif, images/flowers.gif, flowers.gif) must be used for hypertext links accessing the publication directly, while absolute URLs (e.g. http://www.nlc-bnc.ca) must be used for hypertext links accessing information outside the publication. For more information on the subject of relative URLs, see this page at Wired magazine's Webmonkey site, an excellent source of tutorials and articles on developing content for the Web. The Electronic Collection resides on a server running a Unix operating system. Unix is a casesensitive language, which means that it recognizes uppercase and lowercase letters as distinctly different entities. Therefore, the files 'flower.gif', 'Flower.gif' and 'FLOWER.GIF' are all seen as different from each other, because of the difference in case. When preparing files for deposit at the NLC, you must always use the same case for file and directory names as you used in the HTML code itself. Also, file and directory names should not have any 'space' characters in their names. For example, use 'afile.txt' instead of 'a file.txt'. For more information on deposit, with the NLC, see Information for Publishers. How To Access An Electronic Publication on the National Library Web Site The online portion of the NLC's electronic collection can be searched through a variety of means: - browsing by title - browsing by subject, using the first three Dewey Decimal numbers - full text search of ASCII, HTML, .txt. .doc, and .wpd files - AMICUS Web, which searches the National Library's catalogue by title, author, subject, ISBN, ISSN, publisher, subject, AMICUS number and much more. Some Common Misconceptions about Electronic Deposit Legal deposit is the National Library's primary mechanism for acquiring publications issued in Canada. At present, it is still being determined whether current legal deposit legislation can be interpreted as covering networked electronic publications or whether amendments to the National Library Act will be required. The main advantage of extending legal deposit to network publishing is that it gives NLC the legal authority to acquire electronic publications for the national collection. The NLC recognizes that there are inherent problems in applying a Canadian law like legal deposit in an international communications medium that does not necessarily recognize jurisdictional borders. For example, what would define a publisher as 'Canadian' or a network site as 'Canadian' given the ease with which networked sites can be mirrored and networked publications can be copied (i.e. many resources at a Canadian site may not be Canadian in origin) and given the volatility of network addresses (i.e. a document hosted at a Canadian site can be easily transferred to non-Canadian sites which are outside the jurisdiction of Canadian laws). The NLC is not merely collecting 'content'. The Library's mandate is to collect 'the thing itself', in whatever format the document circulates in public. Further, the NLC's mandate for accessibility is focused on providing information about publications in Canada. While the actual legislation pertaining to legal deposit does not extend to the providing access to the publication itself, the Library's raison d'être as a national agency is to provide as wide access as possible. Accordingly, in many cases, the NLC has provided free public access to its archive of electronic publications over the Internet. Effects On Copyright Copyright protection in Canada is automatic upon the creation of a given work, regardless of the medium of its creation, and it lasts until fifty years after the creator's death. Depositing an electronic publication with the NLC does not affect copyright one way or the other, but in the event that someone contests your copyright, it may prove useful to have deposited an electronic document with the NLC, because such deposit could help to establish the date at which your document was created. For more information on copyright, visit the Web Site of the Canadian Intellectual Property Office. Lesley Ellen Harris, author of Canadian Copyright Law, maintains Copyrightlaws.com, a Web Site devoted to international copyright law, digital property, media, and other intellectual property issues, which publishers may find useful and informative. Effects on Distribution and Salability Some publishers have found that placing deposited electronic publications in the online section of the NLC's collection actually increases the profile of that publication, and creates sales of both print and digital publications. Publishers who are concerned about the time-sensitivity of their publications may wish to arrange with the NLC to have their electronically deposited publications stored offline for an initial period of negotiable length. Related Services ISBN and ISSN The International Standard Book Number (ISBN) is a system of numerical identification for books, pamphlets, educational kits, microforms, CD-ROM and Braille publications. By assigning a unique ten-digit number to each published title, the system provides that title with its own, unduplicated, internationally recognized 'identity'. Publishers, booksellers, libraries and other participants in the book industry use ISBN to identify publications in order to expedite their handling and retrieval. ISBN ensures that ordering, inventory control and accounting are executed more efficiently. In Canada, ISBNs are assigned by the National Library of Canada, and also, by the Bibliothèque nationale du Québec for francophone publishers in Québec. For more information, see this page, and the Canadian ISBN Publishers' Directory. Further queries may be directed to the appropriate addresses below: Canadian ISBN Agency National Library of Canada 395 Wellington Street Ottawa, Ontario K1A 0N4 Telephone: (819) 994-6872 Toll free number in Canada: 1-877-896-9481 Fax: (819) 997-7517 E-mail: email@example.com To obtain an ISBN electronically, visit the online form. or: ISBN/BNQ Bibliothèque nationale du Québec 2275, rue Holt Montréal, Québec H2G 3H1 Telephone: (514) 873-1100, ext. 319 Toll free number in Québec: 1-800-363-9028, ext. 319 Fax: (514) 873-4310 E-mail: firstname.lastname@example.org Website : http://www2.biblinat.gouv.qc.ca/isbn/accueil.htm The ISSN is a unique code for identifying serial publications, such as periodicals, newspapers, annuals, journals and monographic series. It provides an efficient and economical method of communication between publishers and suppliers. Canadian publishers of serials can obtain ISSN from ISSN Canada, a service of the National Library of Canada. For more information, see this page, or contact: ISSN Canada National Library of Canada 395 Wellington Street Ottawa, Ontario K1A 0N4 Telephone: (819) 994-6895 Toll free number in Canada: 1-877-896-9481 Fax: (819) 997-6209 E-mail: email@example.com To obtain an ISSN electronically, visit the online form. CIP Cataloguing in Publication (CIP) is a voluntary program of cooperation between publishers and libraries. It enables the cataloguing of books BEFORE they are published, and the prompt distribution of this cataloging information to booksellers and libraries. The Canadian CIP Program is coordinated by the National Library of Canada. For more information, see this page, or contact: CIP Coordinator National Library of Canada 395 Wellington Street Ottawa, Ontario K1A 0N4 Telephone: (819) 994-6881 FAX: (819) 997-7517 Internet: firstname.lastname@example.org An online printable version of the CIP application form is also available. The New Books Program The New Books Service is a recent addition to the virtual collections of the National Library of Canada. It is also the latest enhancement to the NLC Cataloguing in Publication (CIP) program. A dynamic New Books web page on the National Library of Canada's site will showcase new print and electronic publications. Each entry will include cover art, a table of contents, sample text, information about the author and illustrator, reviews, and details on awards and author readings, along with authoritative Cataloguing in Publication data prepared by the NLC's expert staff. As the service develops, links will be added from the New Books Collection to the Canadian ISBN Publishers' Directory in order to promote greater awareness of Canadian publishing companies and their products. Book buyers will be able to browse the New Books site for new releases, then follow links from the site to a directory of Canadian bookstores, where they can order the books they have discovered. Eventually, users will even be able to access the Web site of their local library and reserve a copy if it is already held in the collection, or recommend its purchase if it is not. Publishers wishing to participate in the New Books service can submit New Books items as attachments to the NLC's forthcoming online Cataloguing in Publications application form. A browse function will allow the publisher to easily select files from their own computer and send them electronically to NLC staff for development into a New Books record. Through the same interactive process, authenticated bibliographic data will be returned via the Internet to publishers for inclusion in their publications. The New Books system accepts the following file formats: JPG or GIF 72 pixels/inch resolution 648 pixels on the longest side (9 inches at 72 dpi) RGB Colour mode 8 bits/channel PC or Macintosh format File must be named by the 10-digit ISBN, e.g. 12545332.jpg Image should be full front view of cover, no border File size should be less than 200KB For more information about the New Books program, contact NLC staff at the following address: Leacy O'Callaghan-O'Brien National Library of Canada Acquisitions & Bibliographic Services Strategic Initiatives Officer 395 Wellington St. Ottawa, Ontario K1A 0N4 email@example.com (819) 994-6889 Fax ( 819) 953-0291 Case Study: The Association for Progressive Communications (APC) The Association for Progressive Communications (APC) is a global network of nongovernmental organizations (NGOs) whose mission is to empower and support organizations, social movements and individuals in and through the use of information and communication technologies to build strategic communities and initiatives for the purpose of making meaningful contributions to equitable human development, social justice, participatory political processes and environmental sustainability. The APC defends and promotes non-commercial, productive online space for NGOs and collaborates with like-minded organizations to ensure that the information and communication needs of civil society are considered in telecommunications, donor and investment policy. They are committed to freedom of expression and exchange of information on the Internet. To this end, APC members develop Internet products, resources and tools to meet the unique advocacy, collaboration and information publishing and management needs of civil society. One of the APC's most recent initiatives is the Business Planning Toolkit. Developed in response to the growing tension faced by NGOs as they seek to balance sustainable business practice with their missions, this collection brings together the creative ideas, expertise and experiences of APC members and its private sector partners. It includes articles, issue-specific presentations and ready-to-use forms that address the various business planning processes for Mission-Driven organizations. These tools are aimed at helping individuals working in the non-profit ISP business, but may be more broadly applicable to other mission-driven sectors. Since the APC's audience is diverse and global, utilizing many different levels of technology, the production of the Business Planning Toolkit required that the information be presented in highly useable HTML (i.e. no plug-ins, few graphics). In addition, because many of the documents in the Toolkit (such as contracts and various types of templates) have to be editable and printable, the same information is also available in a number of different document formats for downloading, including PDF, Microsoft Word and RTF. The availability of all information in both HTML and print formats allows publishers to locate what they want quickly, browsing online, and then selecting those elements that are most central to the development of their specific organizations. Case Study: Broken Jaw Press Broken Jaw Press was founded in Halifax, Nova Scotia in 1985 by poet/artist Joe Blades. Currently based in Fredericton, New Brunswick, Broken Jaw and its imprints publish poetry, fiction, drama and nonfiction by new and established Canadian authors. In 2001, Broken Jaw is publishing eight new trade paperback books and one reprint, along with approximately twenty Broken Jaw Press eBooks. Broken Jaw's eBooks are published in Adobe Acrobat's PDF format (with version 3.0 compatibility). At the present time, there are approximately 22 BJP eBooks in existence, including several works by award-winning poet Rob McLennan, and Moynan King's acclaimed play Bathory. Publisher Joe Blades enthuses about the merits of publishing small-press literature in PDF format: 'That anyone, anywhere in the world, with a computer online, can receive in less time than it takes to walk or drive crosstown, a poetry book we've published is incredible. It certainly increases the possibilities for a poet's recognition earlier and further afield. Ideally, this might help poets and their generally small-press publishers better become self- sustainable. We now are producing "electronically publish[ed]" books that [small presses] couldn't even imagine, books that we still cannot afford to have offset printed and bound. Full-colour PDF eBooks, while resulting in a larger file size than text-only ebooks, are a pleasure to create and read.' Currently, Broken Jaw's eBooks are retailed through PublishingOnline. Broken Jaw presents the following quotation from the PublishingOnline site as the rationale for their choice of this distribution method: In a step designed to protect the intellectual property of our authors and publishers, we have installed on select titles our own customized version of the Internet's leading Digital Rights Management (DRM) solution, Adobe's PDF Merchant. When fully implemented throughout our site, this software will prevent the unauthorized copying or transfer of all digital books in Adobe's Portable Document Format (PDF) that we offer for download. With the customized installation of PDF Merchant, customers may download a title purchased from PublishingOnline onto three separate computers and may read those titles for as long as those computers are in use. Customers may not, however, copy the books onto CD or other media, nor can they email the eBooks to unauthorized users. If a customer attempts to download the book onto more than three devices, he or she will be prompted to purchase another copy of the book. While this software is currently designed for use only with desktop PCs and laptops, we are committed to providing over time DRM solutions specifically for PDA devices, eBook readers, and ZIP drives. The specter of the 'Napsterization' of the digital publishing industry has long cast a dark shadow over the eBook industry, and by taking this necessary and proactive step, PublishingOnline has ensured that the battles of Internet theft that music distributors have been fighting will not be waged on PublishingOnline's eBook front. 'Poetry' says Blades, 'has always played a key role in the development of the human race. The ever-growing multitude of Web sites, eBooks, e-zines, audio and video streaming, chatrooms and whatever else to come … let poetry continue to chronicle, sing and explore our world.' Case Study: Coach House Books Located on bpNichol lane, in the heart of Toronto's Annex district, and at www.chbooks.com in cyberspace, Coach House Books publishes Canadian poetry, experimental fiction, artists' books and drama, making full use of both the past hundred years of printing technology and tradition and the promise of today's new media. Perpetuating the best aspects of small-press publishing, Coach House authors, artists, editors, typographers, designers and printers work collaboratively to produce some of the country's most innovative, finely crafted print objects. In 1997, Coach House Books was resurrected from the ashes of the defunct Coach House Press by the press's founder, Stan Bevington. Hilary Clark was hired as Managing Editor, and remained in that position until August of 1998. Long-time press members Rick/Simon and Victor Coleman joined as Designer and Editorial Consultant, respectively, and Chris Bolduc was hired as Coach House's first Webmaster. In the fall of the press's second year (1998), Darren WershlerHenry assumed the role of Editor, and Damian Lopes was hired as Web Editor. In the summer of 1999 Coach House added Alana Wilcox to its roster as Managing Editor and then also as Fiction Editor. The press now sees the printed book and web publishing as separate but equal parts of a unique whole. After over four years in existence, Coach House is still the only publisher in Canada - and perhaps the world - to publish its entire frontlist in unexpurgated form on the World Wide Web, as HTML 'books'. While the majority of these books are fairly standard but well-designed HTML documents with images, sound and animation, some employ advanced elements such as CGI scripts, Java and JavaScript, Flash, and so on. The press believes that this dual approach allows it to experiment with technological innovation while keeping a large number of its titles accessible to a wide variety of viewers. Coach House believes that simultaneous physical and virtual publication creates an opportunity for complementary marketing and addresses the increasing dominance of the online universe. In the hopes of establishing an ethical set of precedents in this emerging field, they have taken an aggressive approach to the moral, financial and technical issues that electronic publishing raises, working with both national and local arts groups, as well as authoring and contributing to several articles and opinion pieces on the subject. (See, for example, the press's 'Manifesto for an Electronic Literary Culture in Canada', which also appeared in Quill & Quire magazine). In its first year (1997), Coach House Books published eight full-length books of poetry and fiction, and launched a website that featured 14 full-length electronic books by year's end. In 1998, the www.chbooks.com website was rebuilt completely, and by year-end, featured 33 fulllength works of drama, poetry, and fiction, plus various and sundry other projects. At the time of this writing (summer 2001), the Coach House site features sixty online titles, plus various webspecific projects, including a digital postcard server and the Coach House Cybrarian, a tool that allows readers to browse the site's vast contents thematically (e.g. according to parameters such as 'serious – funny and 'difficult -easy'). Coach House Web Editor Damian Lopes remarks: 'Publishing books online presents options for our publications that would be too costly to produce physically (if they were possible at all), such as full-colour images, sound, animation and streaming video. The National Library of Canada, McGill University, Simon Fraser University and the University of Toronto have all demonstrated their support for the project by archiving it as mirror sites on their own websites; other universities will hopefully follow in the coming years.' Aside from regular distribution channels, all Coach House books are also for sale over the Internet via a simple order form on the press's website. All Internet transactions are handled by Internet Secure, a secure e-commerce server which can process both Visa and Mastercard. Customers uncomfortable with the notion of using their credit card online have the option of filling out an e-mail order form, which notifies the press that the customer wishes to receive a phone call from the press to place an order directly. Coach House also has a toll-free number for direct sales. The Reference Group Andrew Clement Professor Faculty of Information Studies, University of Toronto Rob Lidstone Advertising Manager Literary Press Group of Canada Rowland Lorimer Director Publishing Program, Simon Fraser University Alan MacDonald Senior Advisor to the Director of Information Resources University of Calgary Jocelyn Nadeau Directeur général Centre international pour le développement de l'inforoute en français (CIDIF) Consulted but unable to attend the meeting Guylaine Beaudry Directrice des publications électroniques Presses de l'Université de Montréal David Caron Executive Director Literary Press Group of Canada Ed Carson President, Professional, Trade and Reference Division Pearson Canada Shirley Onn Director University of Calgary Press
Collaboration in Foundational Work Interviewer: Paul Verschure (Convergent Science Network) Jenna Bednar (University of Michigan) Welcome to the Ernst Strüngmann Forum podcasts—a series of discussions designed to explore how people collaborate under real-life settings. Joining us in the series are high-profile experts from diverse areas in society, whose experiences will lend insight to what collaboration is, what it requires, and why it might break down. This series is produced in collaboration with the Convergent Science Network. P. Verschure We are speaking today with Larry Kramer and before we begin, it would be great if you would you give us an idea of your professional trajectory, Larry. L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer Sure. For most of my life, I have been an academic, a law professor. I started at the University of Chicago, then was at the University of Michigan, after which I went to NYU where I became an associate dean. Thereafter, I served as the dean of Stanford Law School from 2004 to 2012 before joining the Hewlett Foundation in September 2012, where I have been ever since. Could you give us a very short sketch of the Hewlett Foundation? It's a large, general-purpose foundation that was started by Bill Hewlett. He and Dave Packard, as you may know, founded the Hewlett Packard Company, and then each of them took most of their personal fortunes and started independent foundations. We've been operating since 1966. They professionalized the foundation in 1977. At that point, they crystallized five core historical programs in environment, education, performing arts, the population (which has evolved into essentially women's rights) and global governance. We also have begun a program in philanthropy and in US democracy. So now we fund across a broad array of things: environment, doing climate and conservation; what we call gender equity and governance, which is women's family planning, reproductive health and women's economic empowerment; as well as various global governance issues related to greater inclusion. We fund the performing arts in the Bay Area and support a variety of things in the education space, cybersecurity, democracy, a new initiative called economy and society, and so on. So our interests are very broad based. We give away around 600 million dollars a year. So maybe as a start, let us ask what is collaboration and what is it good for? Sounds like a song: "Absolutely nothing," except the opposite is true. What I mean (and certainly in philanthropy), there's essentially nothing any of us wants to accomplish that we can accomplish alone except for really small things. If you have ambitions to achieve a goal that's really meaningful in philanthropy, you can't do it by yourself. You have to collaborate with other funders. Of course, the very nature of philanthropy is collaboration with your grantees. You're giving money to organizations to accomplish something and if you do it badly, you tell them what to do, or you just give it to them and pay no attention to what happens after. Really good philanthropy is effectively a partnership with all of the grantees with whom you're working. So could you unpack this a little bit, because now we're looking at two domains where the collaboration takes place: between philanthropic organizations as well as between a single philanthropic organization and its grantees. Also between the grantees. One of the things that we facilitate and encourage with our funding is for the grantees to get to know each other and work together. But let's look at things one at a time. For instance, if you look at your collaboration with your grantees, what are the key features of that makes this successful? I think the key feature is building trust and maintaining a balance so that you're not trying to exercise control in ways that are going to be counterproductive to what you're doing, but can still have input. In a sense, it means that both partners recognize what their J. Bednar L. Kramer P. Verschure respective strengths are. The grantees work on their issues on a daily basis in the field, on the front line, so to speak. And that gives them a perspective on how best to accomplish the goals that we don't have. We understand a little bit because most of our people came from those organizations, but they haven't been there for a while and they're not involved day to day. On the other hand, we're working with dozens of organizations and funders across the whole field, which gives us a perspective that most of our grantees don't have. So it's really finding a way to maximize the respective advantages that each of each of us has, in a context where there's real respect. The challenge then being, of course, letting the fact that we are giving them money not become the main factor in shaping the relationship, because it's all about relationships. Why does trust matter if you've got money? The money is there making things happen. What does trust do to make a difference in the success or failure of one of these granting relationships? It does two things, although maybe it's the same thing from two angles. If they're having difficulties or not necessarily achieving everything they want to achieve, it enables them to be able to come to us and seek our assistance to figure out how to solve that problem. On the flip side, if we're doing things in ways that are counterproductive or unhelpful for them, it enables them to come to us and say, look, this isn't working. If you don't have that kind of trust, if they're worried, for instance, that we're some sort of thin-skinned prima donna who will pull the money if they insult us, then we're not going to be able to work as productively as if they can actually share their challenges and share ours, and vice versa. It goes both ways. Given that your organization has been in this domain for so long, I assume you have procedures or ways to shape or engineer trust. How does that work? If someone applies with whom you're completely unfamiliar, how do you now engineer trust in a new relationship? L. Kramer I don't know that I would use the verb "engineering" to describe this. Trust must be built. P. Verschure I'm provoking you a bit. I'm sorry. L. Kramer It's not a process you can do from outside the relationship. At the end of the day, no matter how long you've been in the field, it's relationship building. People are changing all the time. We have term limits. Our staff are turning over. The grantees, similarly, have people coming and going. So it's all about relationships. Now having said this, there are various techniques that we use that run the gamut. For instance, we don't actually take unsolicited applications for grants. What we do is we articulate a strategy which begins with a clear articulation of the goal we're trying to achieve, of the causal story about how we think our role can help achieve that goal, and then some loose way in which we plan to keep track of whether we're achieving our larger goal. That enables us then to go look for grantees, or if grantees do approach us to be able to say yes or no for some objective reason, like this is a good thing you're doing, but it's not consistent with our strategy. And there's so many organizations out there that we can't even fund all the ones that are consistent with our strategy. That's a piece of it. Then when you are funding with someone, they understand why you're funding them, and you both understand what it is that you're looking for them to contribute to your shared goal. That's also an important piece of it. Then there is the way you give them the money. We tend to have a very strong emphasis on giving people general operating support for multiple years, whenever possible, as opposed to narrowly tied project grants in which we're supervising their budget and making sure like X percent goes to Y, and Z percent goes to B. You build trust by saying: "OK, we agree. Here's the money. Go do it. Let's talk. Let us know if you're having problems. We'll keep in touch with you. You keep in touch with us." This means that money (as the control) has been taken out of the equation as much as possible. J. Bednar L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer How is trust different from a contracting relationship? Well, I guess in some sense, it's not. You can have arms-length contracting in which there is or isn't trust. So that is to say a grant—it's not a formal contract, of course—but it is a bilateral relationship in which there are expectations on each side. So in that sense, it resembles a contract. And then as with any contract, you know, if you have ever renovated a house, you have a contract with your contractor, but it goes a lot better if you and the contractor get along with each other, understand each other, and trust each other, right? So it's not different in the sense that any bilateral relationship with mutually shared goals works better if the parties know and trust each other. What's striking to me sometimes is, how unaware people seem to sometimes be of that fact. And they'll go into a contracting relationship in a way that we never go into any other relationship, like a friendship, or whatever, when they still share those same essential components. You mentioned earlier that one of the steps that helps you and your organization to maintain and build trust with the grantees is to very carefully select with whom you engage. But what about selection bias? You might start to work with a subset of possible grantees that adhere to your basic management principles, as an example. How do you ensure that you still achieve your mission in an even-handed way, despite this strong preselection of your grantees? That's a great question. I think we have at least three different mechanisms to try to assure that we achieve our mission. As I said, we'll have an articulated goal and a story about how we think the work we're going to do with grantees will achieve that goal. But we do require for ourselves some way of measuring whether we're actually making progress. Now we do not do that on a grant-by-grant basis. With each grantee, we'll say to them at the point where we're making the grant: How do you want to measure whether this grant is successful? And then we'll use that. But at the strategy level, we'll have measures that are independent of the individual grantees, but that let us know if we are making progress. I don't care about selection bias, if we're achieving our goal, that's the purpose. But if we're not, that's a signal. A second device involves independent evaluations conducted at least once every five years and often in between: we'll bring in an independent third party to evaluate and assess how we're doing. The third mechanism, and in some ways the most important, we have term limits. So the program staff are turning over and you've got fresh blood coming in all the time that are taking a new look at the strategy, at the substrategies that the grantees are choosing. They're developing new relationships with them. They bring in their own networks and ideas and thoughts, etc. When a new person come ins, it's not as though they wipe the slate clean and start over. No. They're supposed to pick it up and move on from here. We want to put fresh eyes on it and see if there are issues there. All of those kinds of devices overlap to help us avoid used to doing something a particular way. Can you give an example of a project that that really worked out marvelously well, beyond expectation following these rules? Well, so again, these approaches are pervasive across the foundation, so we use them in everything we do. And so, I think I could point to almost anything that we've managed to be successful at. I'll give you a really good example because oftentimes the changes need to be signaled as much by changes in the outside world as by what happens internally. So, for instance, we've been doing western conservation since 1966. Our goal is to preserve biodiversity. We identified essentially a long-term goal of trying to preserve half of the lands west of the Rockies—that's where our geographic focus is—for some kind of conservation. It doesn't have to be full, but some kind of conservation, depending on the particular ecosystem, what's most appropriate. During the Obama administration, we had these amazing opportunities to make gains because the administration was really eager to do all sorts of things. We made a ton of gains, national monuments, lots of conserved land. L. Kramer P. Verschure Then Trump got elected and they just immediately undid everything. And for us, that was a realization that, well, it wasn't an instant realization. We did a lot of talking and thinking, talking to our grantees, the value, all the kind of stuff that I've talked about doing. And the lesson we learned, of course, was that you need to build local support, and the local support has to be across the political board. So you need not just conservationists, you need the support of the farmers, and the ranchers, and the native communities, and so we shifted our work up to begin much more local work, to focus less on federal public lands and as much on private and state lands as ways to achieve our goal, based on what we learned and we've made enormous progress that way. And the idea was that the progress we make will be more enduring that way. When things change in Washington, if the local forces are like, no, we want this, leave it where it is, you're much more likely to have it remain. J. Bednar This is fascinating. Did you then start recruiting some of these local groups to be your grantees? L. Kramer Exactly. Huge shift in the grantee population. J. Bednar What was that relationship like in the beginning, because I'm interested in trust, right? And as you were reaching out to them and you're interested in conservation, and they might not see that immediately as being in their interest. So you have some divergence, or perceived divergence, in interest and not yet an establishment of trust. So how do you build that relationship? So as I say, it's so much the personal. First is the way in which you give the funding and the behaviors that you demonstrate in doing so. What are we asking for by way of what we need to decide whether to fund you? Are we putting you through the ringer for no particularly good reason, or are we asking for things that you can understand why we want them? How are we talking to you? What are we looking to you to tell us, as opposed to us to tell you? We have a kind of implicit rule that you should be listening at least as much as you're talking in any conversation with the grantee. That's actually a formal principle. We have this thing we call seven habits of excellent work with grantees. That's one of them: listening half the time. And then, of course, how do you build the ongoing relationship? What kind of contact you remain? When do you listen? When do you tell? When you tell, how do you tell? It's again, like developing trust in any relationship? It was one of the interesting things, though, that we discovered as we made this move from overwhelmingly supporting these large national organizations, to working much more locally. The local groups had all been starved of funding of course, they had not been getting much attention from funders like us. And they didn't trust each other, because they had all been in competition with each other for the most part, and so as big a part of that process for us, maybe bigger, has been helping build trust among the grantees. We're now trying to get to agree on what kind of conservation they want within their communities. And again, that can be really challenging and has been a big part of the work. So if you build trust with these local communities, you follow a specific procedure? Are there certain things that you feel are absolutely necessary to deploy in a certain order or communicate? L. Kramer No, it's not that scientific. As I said, there's some general principles; listening, trying to give general operating support, trying to make it multiyear, letting them tell us how to think about measuring the success of the grant. But it's not like a checklist. It's really a way of approaching and working. P. Verschure So Larry, if we talk about this relation with the grantees, do you have an example of a complete failure? L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer I'm sure there are, but I'm trying to think of a complete failure of a relationship with grantees as opposed to, we've had many grants that didn't work out. I can think of what would be regarded as a failure. This is collaboration among funders, for example. But I want to go to the funder-funder relationship after this one. First, however, I want to understand this use case of the relationship of the grantees and why would the collaboration break down? What are the reasons of that breakdown? I guess here's what I'd say. And in saying that I can't come up with on off the top of my head, it's not because I don't think there is one. I'm sure there are many, but they don't show up. As I've been told, the way they will show up will be, you've developed a relationship where the grantee feels they can't be honest with you. And so they're not telling you. And then at some point you stop working with them and then they think badly of you. But they don't say that. It's really hard to ferret that out, I think. You know, we get criticized, but very seldom even by our former grantees. And that takes you back to the thing that potentially makes the dynamic so unhealthy, which is their potential desire for funding in the future. I've got, you know, 40, 50 program staff, and I'm sure they don't all follow all of this and work perfectly well with all of their grantees all the time. It's just not possible. And there, as I said, these are mostly interpersonal relationships and, people don't always get along with each other. So there's all sorts of things that I'm sure are showing up that way. But they don't show up in any way that's really obvious, so it's hard for me to identify. But in no way am I suggesting that it doesn't happen, or if it does, it's not making its way up to my office. But do you feel that the dependence between the organization and the grantees, the financial dependence builds a layer of opaqueness in that relationship, that then later pops out actually as a relationship that is not functional, but hidden? What I'd say is that potential layer or that dynamic is the thing you're working to overcome, always. That is the problem. And then it can be exacerbated if there are interpersonal differences, it can be alleviated if you manage it as a partnership well. And then as I say, when you haven't overcome it, it doesn't necessarily show up in an obvious way other than the grantee relationship doesn't work out and the partnership ends, but usually not with somebody sort of sending in a complaint or, telling me that, so-and-so program officer acted really badly. So it's hard for me to identify a grantee relationship that failed that way. That's why I went to funders, not the case with fellow funders, where there's equality built into the nature of the relationship. So, let's move to the relationship with other funders. So how does that work? How do you maintain trust there? The building and maintenance of trust is very similar, I mean, again, it's still just a matter of interpersonal relationships. The dynamic or the problem is different because, so when you think about grantees, the dynamic you're trying to overcome is the one where you and they assume that you have power and they don't. Now I often say, and I actually believe this, it's not really true. We need our grantees as much as they need us, because we can't do anything but give away money and if we have goals to accomplish, if I'm choosing to give it to the organizations that make the most sense for what we're trying to accomplish and if I blow that relationship, I have to go to another grantee who presumably I don't think is as good, right? But nevertheless, the dynamic is really constructive so that that can be overcome. When it comes to fellow funders, of course, that's not the dynamic. Instead, the dynamic is: I don't need you at all. I can just do my own thing. And so what you're really trying to build is some sense of, yeah, but we will accomplish more if we do it together, even if it requires both of us to bend a little, what we might do if we could do it by ourselves. When I got into philanthropy my first year, I wrote an article about collaboration because I was surprised at how difficult it was to collaborate with fellow funders for this reason. And now there's additional complications in the case of funders, which we can go L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer into. But, the article was essentially that we needed to think more about using…in the international relations theory world, there's this notion of specific reciprocity and diffuse reciprocity, and the only collaboration that I saw and still see for the most part in philanthropy was specific collaboration. And it was: we could use a lot more diffuse collaboration, just one hand watching the others doing things for other foundations that don't necessarily line up with my strategy, but I know it'll help them, and I know we'll get something back later on, and then we build the muscle. There is still very, very little of that. And so that's what you're trying to overcome is that sense that I don't need you. I'm happy to work with you if it lines up exactly with what I want to do, but otherwise you do your thing, I'll do mine. But Larry, there is a bit that I'm missing, because in some sense, what you didn't articulate, at least from my understanding, is why would you even talk to each other? Because you immediately stepped in by saying there might be this almost instinctual response; well, I don't need you. But why then talk to each other at all? So what is the driver or the force that still brings funders together to say, no, we have to collaborate. Is it because of optimizing, let's say, resources or is it because of optimizing impact? It's optimizing impact. So as I say, I think all of us have goals that are bigger than what we can actually accomplish by ourselves. But the question is, and there's maybe a little bit of schizophrenia there. The question is, how do I hold that while at the same time saying, but this is how I think it's to be accomplished? And if you're willing to do it that way, I am willing to work with you, but if you want to do it somewhat differently than you do your thing and I'll do mine. And those two things tend to coexist in the funder world. The driver is we can get more done if we do it together, but I think I have the right way to do it. And I'm not willing to bend that to do it your way. But is the risk there the sense of identity and visibility that you don't want to diffuse that? Is that the risk that you try to mitigate? Yes. So this is where you get into some of the additional complexities. When I wrote the article in my second year, I said, this is not about ego, I don't think. OK, I will say, having now been in the field for 10 years, actually, that is definitely a component at the institutional level. We want credits, we believe we have the right way to do things. So there is some of that. But the bigger issue, quite honestly, is within any foundation decision making responsibility is diffused. Typically you've got a program officer, you've got a program director, you've got a CEO, and you've got a board. And all of them have to line up on this in order for it to go forward. But they may have slightly different incentives and understandings about what they want to do. The program officer is like, no, I really want to do it this way. I don't want to give up some of my limited budget in order to do it the way this other foundation wants to do it. So I'm kind of opposed to this even if my CEO and board are in favor. Program director, you know, has a slightly different set of incentives, one keeping the program officer happy, two, keeping the overall program resources lined up, and so on. So you can have slightly different understandings and incentives that all you need is one veto to make it very difficult. So what has been the biggest success of working between funders in your experience? So, I have again my own divided feelings, but on the one hand, it's so difficult and so frustrating, and sometimes it feels so hard and I have projects that I think are so good and I can't get anybody to go along, even when I'm willing to bend some. That's frustrating. On the other hand, if I look across our programs, I realize we're actually collaborating in every single thing that we do. So again, I could give lots of examples, but the easiest and best one, because I think it's the biggest and in some sense, the most important one has been around climate, and we've been at it a long time. It's such an important problem. The collaboration is huge now, but there's a I don't know if you want to hear the story, but it was a long process of learning to collaborate. J. Bednar L. Kramer J. Bednar L. Kramer Can I ask you, because climate is going to be a big…it's probably exactly where to take this. But in choice of partners for collaborating with other institutions, do you find that you tend to work with other granting agencies that share your same goals more closely, or ones where it's easier to build the relationship of trust? Either–or. Because it's so hard to do, for me, the general principle is, let's collaborate wherever we can. So if we share strategies, that's a good potential. If we share tactics, even though we have different strategies, we can cooperate on the tactical level. And so I'll take it where it goes. In general, it's easy when you share both and it's difficult when you don't. But I don't think I can say it's more difficult because at that point, then a lot of other factors enter in on a case-by-case basis, including who the particular funders are. Every funder has a different sort of taste for collaboration or not, and so it gets really hard to say generally. If you really want to do it, though, you can and as I say, the more you share in common at the strategy level, at the tactical level, at the personal level, the easier it gets. That much is the continuum. But it would look, rather than a continuum, it would be more like a sphere where you could be at different places within it. Yeah, I'm just I'm still trying to get a sense of what's necessary, what's sufficient. Is the shared goal really a shared mission? What makes it much easier to form a relationship? Or do you find that when there's just someone who kind of sparks the imagination, because they also have a lot of enthusiasm for just making the world better, that you then find places where you can collaborate? Yeah. So I think the correction I give to the way you're presenting it; is collaboration isn't an on-off switch, it's a continuum. So that's why it's hard, you know…it's not...it depends on the thing. There's so many different ways to collaborate that depending on how all those kinds of factors play out, you may collaborate in different ways, rather than not collaborate or collaborate. And so as I say, I think it's very messy. That's why I think about a field at which…there's multiple dimensions and you may share different pieces of different ones that take you to different forms of collaboration. Let me tell the climate story, because it's a good example because we've gone through all of the different stages. So in some ways, the most powerful collaboration is when you can pool funding. Everybody deposits the money in a shared pool and then somebody just executes a strategy with that funding. And that was the original idea for climate. So in 2007, Hewlett and Packard and McKnight pooled, it was a billion dollars over five years, and created an organization called Climate Works. It was then going to execute a global strategy for literally solving the climate problem. And if you go back and look, it was kind of brilliant strategy. At the time, it looked great. Five years later, we had to switch it up. Why? So first, the world had changed. What had looked like a problem that governments were ready to act on climate but just needed assistance on how to do it in different sectors had become deeply politicized. So now you needed to do a whole lot of advocacy and you needed to understand the different politics in different countries, and the organization wasn't necessarily built for that. But more importantly, the idea was other funders would join in, and not a single other funder was willing to pool their funding. They all wanted to do their own thing, so they started making grants to the organizations that this pool funding had set up. But now they were all being pulled in multiple different directions, with different funders doing project funding and so on. So it's like, OK, let's step back. If no one's willing to pool, what's another way in which we can build the kind of collaboration and cooperation that we need, that will at least move us more forward? And we came up with the idea of a funder table. So the idea with the funder table was rather than pooling the money in Climate Works, the various funders would all meet on a regular basis, share their strategies and find ways to collaborate. The original idea was we'll still develop a single global strategy. Then we'll ask funders, What do you want to fund here? And we'll look at the way it played out. And it's like, well, look, we have twice as much funding here as we need and only half as much over here, so who's willing to shift? Well, that didn't quite work L. Kramer P. Verschure L. Kramer either, because again, it was too hard to come up with a single strategy that everybody agreed on that complex a problem. It was too hard to get people who wanted to fund X to say that nevertheless they would fund Y. So we moved to the next stage, which was just building the relationships among all of the funders and then finding places where you could get two or three or four funders to work together on a particular thing. Then we started expanding it again, bringing other funders into this process. We're now, what, 10 years into this new form of collaboration and the funder table is, now there's a kind of core group, but there's multiple side groups and many different projects that have different groups collaborating together in different ways, and the larger field has now become much more fluid in that way. So that's what I mean. It was a process of adapting and adopting new practices based on where funders were willing to go, to get as much cooperation as we could to move forward. That's a very complex process. Could you sketch the main obstacles you identified? It sounds like you're moving around all sorts of obstacles. What are these main obstacles? The first and biggest obstacle was the fact that funders wanted to make their own grants and keep control over the particular grants. They didn't want to surrender the money to some central pool where other people would be making the grant-by-grant decisions. That was one. Then the second was, as we've talked about, they had different views about what were the best or most important things to do to achieve the shared goal. There was a shared goal, the shared goal was Paris. Or before Paris, it was like, let's keep global warming below two degrees, you know, a rise of two degrees. But at that level of generality, there were so many different paths to take and so much disagreement about what were the best ways to do it. So that was the second. And then the third was, I think different funders had not just different tastes about what to do, but different competencies. Actually, let me step back. On the different ideas about what to do, there were also lots of funders that had—this is where you get into the complex, dispersed decision making within—had limitations on what they could do, put on by their board or by their structures. So you had some funders who were like we are only going to fund in Europe. You know, you'd say to them, well, you know, funding in China is funding in Europe when it comes to climate because the consequences are going to be felt in Europe because of the emissions in China. But it was like, no, we fund in Europe, or we fund wherever, or others were like, we want to do technology. That's all we're going to do is technology. So we had lots of those kinds of limitations that you also had to surmount while trying to bring them into the fold, which then required other funders to be OK, you do technology that means we don't have to and will do this thing over here. But I can't do that unless I know what you're doing and why you're doing it. You know what I mean? So those kinds of limitations played out. And then, of course, then you get to the interpersonal level and just the extent to which people really trust others, believe what they're saying, which, by the way, led to huge benefits in the sense of, climate is a super complex problem. It's really helpful if I am working with another funder who I trust when I'll rely on their data and information about the nature of the problem, or the optimal opportunities that exist to advance it, where I don't have to do that myself every single time because we can all rely on each other. So you get a lot of economies of scale built in that you wouldn't have, even when everybody's still doing their own grants for their own thing. But Larry, the way you describe this challenge. So at times, I guess you might have felt that maybe some of the funders you were also talking with might face some sort of discrepancy between the overall goal to contribute to preventing the dramatic impact of climate change and the identity and objectives of their own organization. And it appears that there's a possible conflict here. Like you cannot say, we only fund in Europe if we face a global problem. Right? You can with a problem like climate because we know we're not going to say we're here because we know none of us, we're not going to solve the whole problem ourselves. So L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer J. Bednar Interview with Larry Kramer what's the chunk where we can help? Well, our chunk is going to be limited to Europe. That's where we're going. I try to see what your view is on this possible discrepancy between the overall commons, the overall goal. Often these philanthropic organizations have very ambitious, altruistic goals, but then the internal needs, if you want, and the internal constraints of the organization itself: it sounds like there's a tension there. So I don't think we experience it that way with climate funders. That is to say what limitations they have are limitations on the piece that they're going to contribute to. Where we do experience some of that is with non-climate funders who nevertheless want to help. So you get I'm a health funder, right? And so but I think climate is really important. So where we can do something that advances our health goals, that also helps with climate, we'll think about it and maybe we'll do that. We'll work on having all hospitals built in ways that are green or, whatever it is. There's all sorts of…when you think about the co-benefits and potential co-benefits that come with other things that may actually contribute to climate. So there, and it's sometimes a little frustrating because you want to go, oh, that's such a marginal contribution, if you really care about climate, you could do so much more if you just fund climate directly, but that's not what they want to do. So that's what I try to understand, the psychology. Because let's look at the counterfactual, I might have a philanthropic organization. I might want to contribute to, let's say, climate, but also see that another philanthropic organization is way more efficient in translating money into impact than I will ever be. So if I'm serious about my overall goals, I should just close down, hand over the money to this other organization and let them do it because I'm much better at it. But this never happens. It never happens. The only example, I can think of is Warren Buffett gave his money to Bill Gates, basically because he though Gates did philanthropy really well. And that's because, again, most people, want to have impact. They want to participate. They want to be involved in doing this themselves. And that's overwhelmingly true. I am aware of one other foundation, which I can't name because they're not a public fund yet, that is now thinking about giving a 150 dollars to the foundation that seems to be having the most impact with that. And that's an interesting scenario. Are there some internal dynamics, possible also psychological aspects, economic aspects, that prevent that from happening, even though it would be completely rational? I'm sure if we sat down and looked at the world and asked who would be the best people to do some work on collaboration, we might find others. But that question doesn't get asked. None of us does, because we're doing the thing we want to do as best as we can do it, and philanthropists are no different than anybody else in that respect. I'm not just giving my money to somebody else to give away because I want to do philanthropy. I want to do it well, but doing it well, to me, isn't not doing it by just giving it to somebody else to do. But there's the interesting difference here because, in our case, as academics, you would say we try to understand something with all our limitations. We try to understand it and we invite the best people we know about to help us. But the philanthropic organization is tying itself to some large, challenging commons that is critical to the human condition. I don't see the difference. You guys aren't just doing this to understand it better yourselves. You're doing it to produce something that will help other people in the world understand it better. And you don't even ask the question whether you're the best people in the world to do that, nor should you, by the way. All I'm saying is it's not particularly different when it comes to philanthropy. The people who do philanthropy want to do something to make the world a better place, but they want to do it. Thank you, Larry, for sticking up for us academics against Paul, trying to say what we're doing is just, you know, dancing on the heads of pins or whatever. So there's a word that L. Kramer J. Bednar L. Kramer J. Bednar L. Kramer hasn't come up, except that it's been implied in so much of what you've been saying over the last 10 or 15 minutes. And that's diversity. And so it came up when you're talking about diverse interests in the funding organization's particular goals. Also, I think a bit in diverse perspectives in the sense of shaping, having to compromise and changing a little bit the goal. I was also wondering about the role that diversity played when you were talking about how diffused decision making is within the organization. So can you talk a little bit about how important diversity is in your sphere for effective collaboration? So let me ask what you mean by diversity? Because there would be, you know, like if you use that word now in most settings, what people hear is you're talking about race, or race and gender. You know, or do you mean it more broadly? No. Thank you for the clarification. Actually, in this sense, in this setting, I'm less interested in identity diversity than I am in cognitive diversity. So diversity of perspectives or…but it could show up in interest experiences or when you were talking earlier about the local grantees, there was probably some identity diversity that showed up. So in other words, identity diversity is a subset of the larger question of diversity, which point I think it's critical, and critical as it would be for anything, at least in getting things going. So there comes a point when you have to make decisions about what to do and then you move forward. But in the first instance when you're trying to figure out what to do, so I think that pluralism is maybe a better way to do it. You need to really speak to a pluralism of different views, ideas, thoughts, approaches, techniques and that can cut along all sorts of dimensions. Identity, one's race, ethnicity, ideological ones, experiential ones, location, geographical, there's tons. You can't do them all because but trying to figure out what are the most appropriate forms that we need to make sure we hear from, that's one. Then in the implementation, you certainly want to have people…again, you want, as you implement, you want to have a diversity of views. Nevertheless, generally aligned about where you're trying to go because you don't want to spend the whole time fighting the original fight over and over again. At a point you make a decision about how to go, but implementation itself poses challenges all the way along. So they are both in terms of your staffing, the grantees you work with, and most importantly, the people you're talking to and hearing from. I think it's really important. I published an essay a few years ago called "I'm listening to people who think we're wrong," and then have tried to build into the foundation a process so that we are on an ongoing basis, always nevertheless, listening to, hearing from, talking to the people who think we're not doing this right, just in case we're missing a trick or two and since all the arguments are constantly evolving. So that's what the outside evaluations are for, you need always to be challenging yourself. So how do you build a culture that sees diversity as a benefit within the organization and then in the broader grantmaking sphere? Rather than seeing it as some constraint that you have to get over? Yeah. So how do you build a culture generally, right? A big part of the answer would be, however you build a culture generally, you do that with this question as well. Which means as the leader of an organization, what am I signaling people? What am I demonstrating in my own conduct and behavior? What am I asking my senior team to demonstrate in their own conduct and behavior? What do we talk about? What do we say are our values and do we live up to them? So that's obviously the biggest piece as it is for any kind of cultural question in any kind of organization. Here, as I say, we've tried to build in some formal practices to ensure that we do it. We were really working on the listening to people who think we're wrong when COVID hit, which really did a number on the ability to do that because it's not done well over Zoom. If you want to bring in people who really think that you're just wrong, you want to have them in a context where there's going to be more conversation, not just the formal session. You're going have lunch together, you're going to talk, you're going to get to interact with people, otherwise it's really hard for people to J. Bednar L. Kramer J. Bednar P. Verschure L. Kramer P. Verschure L. Kramer listen that way. So we try to have various practices when we do that. The Hewlett Foundation prides itself in all of its work, particularly along ideological and what we call identity forms of diversity and really paying attention to that. If you look at our guiding principles, they signal that here's something that's really important to the foundation, and so on. So it's an ongoing process that is done as much between the lines. When I think about our guiding principles, what I try and do is just refer to them, not all of them all the time, but whenever it's a way of just, they're important. You know, each time you talk about one of them, it's signals that they broadly are important and so on. So it's all those kinds of processes that basically, you articulate a value and you live the value is the best way to do it. I just want to say I'm fascinated by these guiding principles and you haven't said very much…it came up a little bit earlier, as in the context of telling us that there's term limits for your employees. But yet Hewlett maintains its mission despite turnover of personnel, maintains collaboration within the organization and across other grant makers and with its grantees. And I have this sense that those guiding principles are crucial. Well, I think so. Some of it was the way we developed them and try and keep them going. So most foundations, I think, have something like our guiding principles. They may not call them guiding principles, core principles, or whatever it is. We had them. They were articulated by the board back at the beginning and then they just sat there and nobody knew anything about them. As we approached our 50th anniversary, I used it as an opportunity: actually, we spent a year engaging the staff, the whole staff in developing and reviewing, reassessing, rearticulating the guiding principles. It was a multiple rounds thing. We did it in various different ways and we did more than just produce a guiding principle. We produced an underlying text that explained the principle and a set of examples in our behavior. And then we review those. As I say, I try to talk about them in between, but we also have a process where every team, once a year is supposed to just read them over and make editorial suggestions. Like that example is a bad one. Here's a new one. This text doesn't quite make sense. Whatever it is… And so it's a way of keeping them alive in people's minds. Different departments have written papers on how the guiding principles apply in their work. And so they are great reference points. Can you get away without them? I think you can. The foundation, as I say, sort of had them but didn't rely on them for its first 50 years in effect, but still ran pretty well. But they're helpful. They're really helpful, I think, in establishing some lodestars. Leave the law professor to introduce the Constitution. But Larry, there's actually another channel of collaboration which is critical to your organization, which is the interaction with financial institutions, because you have to also maintain, in some sense, the endowment on which your foundation runs. So do you see that as indeed a separate domain of collaboration with its own principles? Well, I'm not sure I understand the question. We have a team that manages our endowment. Do you mean, do we collaborate with them? Does the program side collaborate with the investment side or does the investment side collaborate with…? Well, as an organization, you must be deeply involved in all sorts of financial transactions with also external partners, to maintain your endowment. Yeah, of course, it's run by your own team, but this is a complex, collaborative process. It is. And of course, it's much more complex in the last few years because prior to the last few years, nobody paid attention. You ran your endowment. You start to maximize your returns. That was what you did. There had been historically, but now there's, no, you should invest your endowment consistent with mission and you should invest your endowment in ways that itself achieves impact and all sorts of questions like that. And different foundations approach this differently. I would say one of the really remarkable facts about philanthropy at this moment is we (foundations) differ enormously on what we L. Kramer P. Verschure L. Kramer think we should do. I work on climate. Somebody else doesn't. They work on poverty. In the fields we work, we have different views about how best to achieve our goals. We're going to work through advocacy at the national level. We're going to work through movement building at the local level. Nobody inside philanthropy regards those as questions where unless you're doing it my way, there's something deeply wrong with who you are. You're immoral, you're acting badly. And for some reason, as these investment questions have emerged, even though they themselves are also just tactical questions, people tend to layer on a level of moral judgment that they don't apply to any of the other differences between how we work, which is a big puzzle to me. So the question, for instance, whether to divest from fossil fuels, to me is a question of we are trying to keep global warming below two degrees, OK? I can divest. Now unless I'm going to indulge in this, which for us is not true, notion that I can divest and that has no effect on my returns, is just not true. It might be true for some organizations, depending on how they invest, but not for us. Then it is a grant question. Will divesting have more impact than the impact I can have by earning and spending, because that's what matters. And I don't judge anybody else who chooses to divest because they think that's the right thing to do. So that's all a long way of saying that our approach to our endowment is itself tied to our assessment of impact. What do we think will produce, will enable the Hewlett Foundation to have the most impact for the things it's trying to do. So we have very few screens. We screened out tobacco like everybody did a few years ago, but that was a costless screen, to be honest, because there were like three stocks and it was easy for everybody to do. Most of the claims that people are making today require much more significant changes in the way an endowment functions in order to do that. Most of the people claimed that you should do it don't know anything about how endowments work. And so just sort of assume it's like we're picking stocks and we could just pick different stocks and we would earn the same amount of money. That's not remotely the way it works. The questions are complex, and the issue of how to utilize your endowment is a tactical one around impact. It's not a question of collaboration or not. It's just a question of, like the question on which programs to go into, which strategies to pursue and how to pursue them. What I could have imagined is for the collaboration between funders, there would be some sort of discussion around a code of conduct or guidelines of investment. The conversations that exist between funders are on a more specific level. We don't talk about whether we should all make grants or I don't know, do some other kind of… and it's no different on the investment side. There are conversations on the specifics like, you should be investing in clean energy, or not. And there you might want to talk with other funders about how to do it. For us, the one place that comes up is impact investing. So impact investing; clearly, there are for-profit entities that can produce social impact. That's obvious. The question is, does it make sense for us to invest in them? That gets into a much harder set of questions about what our competency is, what we would need to do internally to do that legally, how frequently it would line up with our other goals and so on. So my board decided a few years ago, given the way in which we work, the kind of strategies in which we pursue. We don't see the likelihood of lots of impact investing being worth the amount of internal change we'd have to make. But they said at that time, if you see an opportunity, go get a partner, find somebody who does that kind of work. And I have sometimes done trades. Like if you'll invest in this, I'll do a grant for something that you want to do where we're also in alignment. And so that kind of collaboration takes place. We've done that in lots of different contexts where I can do it that way. You can do it this way. So you do that for us and we'll do this for you. And it actually is both of us achieving our shared goals. So do you see this as one of the critical questions on your radar moving forward. Which question? L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer P. Verschure L. Kramer Impact investing, how you maintain your endowment, the financial commitments you make and how this might compromise credibility relative to your overall mission? Is this a critical question or just one of the many things you have to deal with? I guess I'd say both. It's one of the many things I have to deal with. It's a critical question right now because having paid no attention to it for so many years, there's so much attention at the moment that is coming largely from critics who I think don't really, they haven't taken the time to really understand the complexities. And so you're managing the criticisms that it's not that they have nothing to them, but it's really hard to engage in the conversation because most people aren't willing to take the time to understand the issues well enough to appreciate that, you know what, there are actually different answers to this question, and here's ours, and here's why. So it's critical in that sense, and it's always critical because this is the pool of resources that we have. That's why you have to think this is our source of impact, so we have to be smart and careful about how we use it in both directions. Now last point. That's just one of many critiques of philanthropy that have emerged in the last 10 years, so they're all, both critical and one of the many things you have to manage. And they all share this notion of, they are often presented as this is the way to do philanthropy and for an organization like ours, which has so many different kinds of goals and we're doing so many different things. None of them is the way to do philanthropy, but they all have something from which we can learn and places in which we should use them. And we just have to figure out how and when it makes sense. So, Larry, two questions to finish up. Do you believe in the face of these big challenges you described (e.g., climate) that humanity will be able to deploy sustainable collaboration to really respond in a significant way to these challenges? Depends on which day of the week you asked me that question. I mean, there are definitely days when it's like, we're just sunk. I feel so badly for my daughter. And then there are days when I think, you know what, I think we can get there. To me, the three largest challenges globally that we face in these terms, climate and biodiversity more broadly, because there are sources of diminishing biodiversity, which are not climate related, is one. The future potential and survival of democracy or not, is another. And the general way in which we think about the relationship between government, markets, and society is a third. Almost all the other problems tie into those. And what I think is the question is, not an on-off switch. The question is, will we be able to adapt and adjust the way we have been approaching those three problems well enough? Or how well will we be able to stave off how much disaster, climate being the obvious one. I think we're doing well enough that extinction is not in the offing. But anybody who thinks that we're not still at risk of seeing the collapse of all our government and social structures is deluding themselves, but that doesn't have to happen. But at the very least, the impacts are going to be enormous and impose serious costs on everybody in the future. The question is how far along that continuum are we going to slip, and I would say that for all three. If you could change one thing in humans to improve our ability to collaborate, what would it be? What I think is that the biologically built-in tendency to frame the world in us vs. them terms gets in the way. We have problems now that require global governance, but almost nobody can embrace the idea of global governance. We are so ground into a "we" (whether it's national, local, religious groups) versus "them." From the sociobiological, archaeological, and anthropological people I've talked to, that is kind of ground into our genetic structure. If we didn't have that, we would certainly find it a lot easier to collectively solve what are collective problems. Larry Kramer, thank you very much for this conversation. Thank you. It was really great. Appreciate the time.
Volume 65 Number 3 Florida Historical Quarterly, Volume 65, Number 3 Florida Historical Quarterly Article 3 1986 Black Immigrants: Bahamians in Early Twentieth-Century Miami Raymond A. Mohl Part of theAmerican Studies Commons, and theUnited States History Commons Find similar works at: https://stars.library.ucf.edu/fhq University of Central Florida Libraries http://library.ucf.edu This Article is brought to you for free and open access by STARS. It has been accepted for inclusion in Florida Historical Quarterly by an authorized editor of STARS. For more information, please contact firstname.lastname@example.org. Recommended Citation Mohl, Raymond A. (1986) "Black Immigrants: Bahamians in Early Twentieth-Century Miami," Florida Historical Quarterly: Vol. 65 : No. 3 , Article 3. Available at: https://stars.library.ucf.edu/fhq/vol65/iss3/3 BLACK IMMIGRANTS: BAHAMIANS IN EARLY TWENTIETH-CENTURY MIAMI by RAYMOND A. M OHL M IAMI is generally thought of as a new immigrant city— a city that only recently became the haven of Caribbean and Latin American exiles and refugees. Until the first big wave of Cubans began to arrive in 1959, Miami seemed the quintessential tourist town and retirement haven. From the 1920s through the 1950s, sun and surf, gambling and horse racing, and endless promotional extravaganzas helped to shape Miami's public image. The fact is, however, that Miami has always had a magnetic attraction for peoples of the Caribbean. Indeed, the magnitude and diversity of current immigration to Miami tends to mask the fact that the city had a substantial foreign–born ingredient from its early days in the 1890s. Black immigrants from the Bahamas, in particular, gave immigration to Miami its special character in the early years of the twentieth century. The extent of the Bahamian influx to Florida's new tourist town is revealed in the United States census reports. Miami had only a few hundred people when it was incorporated as a city in 1896. By 1900, the population had increased to 1,681, including a sizable number of black immigrants from the Bahamas. Over the next twenty years, the Bahamian influx helped to swell the population. By 1920, when Miami's population stood at 29,571, the foreign-born made up one-quarter of the total population. More than sixty-five per cent of Miami's foreignborn residents were blacks from the West Indies. Black islanders, almost all from the Bahamas, totaled 4,815. They comprised fifty-two per cent of all Miami's blacks and 16.3 per cent of the city's entire population. By 1920, Miami had a larger Raymond A. Mohl is professor of history and chairman of the department at Florida Atlantic University. Research for this article was supported by grants from the National Endowment for the Humanities, the American Association for State and Local History, and the Florida Atlantic University/ Florida International University Joint Center for Environmental and Urban Problems. [271] Published by STARS, 1986 1 272 F L O R I D A H I S T O R I C A L Q U A R T E R L Y population of black immigrants than any other city in the United States except New York. 1 But a reverse migration had also begun by the midnineteenth century. Unlike the rest of the British West Indies, plantation agriculture was never very successful or profitable in the Bahamas. Only about two per cent of the total Bahamian land area of about 4,000 square miles was considered suitable for crops. Most nineteenth-century Bahamians earned a livelihood from the sea or from subsistence agriculture. By the 1830s, black and white Bahamians were beginning to migrate to the The story of how Miami became a destination for black immigrants from the Bahamas begins early in Florida history. Bahamian blacks had been familiar with Florida's lower east coast, and particularly the Florida Keys, long before the building of Miami. In the early nineteenth century, when Florida was isolated and undeveloped, the area was commonly frequented by Bahamian fishermen, wreckers, and seamen, as well as traders who dealt with the Seminole Indians. According to one Bahamian writer, these early visitors regarded Florida "much as another island of the Bahamas." In fact, many black Bahamians first arrived in the islands from Florida as slaves of the 3,200 British Loyalists who fled after the American Revolution. Still later, in the early nineteenth century, numbers of Seminole Negroes from Florida settled on Andros Island. Through the middle years of the nineteenth century, British officials in the Bahamas made sporadic efforts to recruit black immigrants from the American South. Thus, from an early date Bahamians were knowledgeable about Florida, and many Bahamians immigrated to the islands from there. 2 1. U. S. Bureau of the Census, Thirteenth Census of the United States, 1910, Population, II (Washington, 1913), 332; U. S. Bureau of the Census, Fourteenth Census of the United States, I920, Population, II (Washington, 1922), 760, 795. 2. Quotation from Larry Smith, "Coconut Grove: Bahamian Roots in Florida," Nassau Tribune, October 12, 1977, clipping file, Miami-Dade Public Library, Miami. See also, Gail Saunders, Bahamian Loyalists and Their Slaves (London, 1983), 1-17; Sharon Wells, Forgotten Legacy: Blacks in Nineteenth Century Key West (Key West, 1982), 7-9. The Bahamas Public Records Office (hereinafter cited as Bahamas PRO) in Nassau contains a thick sheaf of correspondence detailing British efforts to recruit black immigrants to the Bahamas from the United States. See Emigration and Immigration File, 1803-1921, Bahamas PRO. https://stars.library.ucf.edu/fhq/vol65/iss3/3 2 Florida Keys, especially Key West, where they worked in fishing, sponging, and turtling. The distance was short, and jobs in Florida paid cash wages. Facing meagre economic prospects at home, free Bahamian blacks found better employment opportunities in Key West. By 1892, according to a recent study of blacks in the city, "8,000 of the 25,000 people in Key West were Bahamians and sponging was their mainstay." A large majority of Key West blacks can trace their ancestry to Bahamian origins. 3 The building up of Miami after 1896 created new opportunities for Bahamian immigrants. Indeed, black Bahamian immigrants were attracted to Miami for the same reasons that European immigrants poured into the industrial cities of the northeast and midwest at the turn of the century. The new and rapidly growing resort center provided opportunities for better jobs and higher wages than they had known in the islands. As one Bahamian historian put it, "wonderful things were going on in Miami, and there was a great demand for labour there . . . . A remarkable building boom was on, and any Bahamian who wanted a job could find it." According to Bahamian population studies, ten to twelve thousand Bahamians left the islands for By the late nineteenth century, a second stream of Bahamian blacks had begun arriving on Florida's lower east coast for seasonal work in the region's emerging agricultural industry. As a result, after about 1890 these newcomers from the Bahamas served as an early migrant labor force in Florida agriculture. Until about 1900, one chronicler of early south Florida has noted, "all of our heavy laborers were Bahamian negroes." The scrubby pine and oolitic limestone topography of south Florida was similar to that of the islands. The Bahamians "knew how to plant" on this land, and they brought in "their own commonly used trees, vegetables, and fruits." Thus, they demonstrated to native American planters the rich agricultural potential of what seemed at first a desolate and forbidding land. 4 3. Wells, Forgotten Legacy, 7, 12-13; Robert C. West and John P. Augelli, Middle America: Its Lands and Peoples (Englewood Cliffs, 1966), 233— 26; Sandra Riley, Homeward Bound: A History of the Bahama Islands to 1850 with a Definitive Study of Abaco in the American Loyalist Plantation Period (Miami, 1983), 228-31. 4. George E. Merrick, "Pre-Flagler Influences on the Lower Florida East Coast," Tequesta 1 (March 1941), 5; Thelma Peters, Biscayne Country, 18701926 (Miami, 1981), 229, 239. Published by STARS, 1986 3 274 F LORIDA H ISTORICAL Q UARTERLY https://stars.library.ucf.edu/fhq/vol65/iss3/3 4 Florida between 1900 and 1920— about one-fifth of the entire population of the Bahamas. 5 The Bahamian immigration to Florida in the early twentieth century represented only one aspect of a larger pattern of Caribbean migration. As geographer Bonham C. Richardson noted in his study, Caribbean Migrants, "West Indians have for generations migrated from and returned to their islands to sustain their local societies. In many smaller Caribbean islands, migration traditions are so pervasive and of such long standing that they are a way of life." Centuries of plantation agriculture in the Caribbean islands resulted in extensive deforestation and consequent soil erosion. These ecological disasters severely affected island agricultural patterns, making it difficult to produce a sufficient food supply and provide full agricultural employment. As a result, migration became a form of economic adaptation, The economic lure of the United States had a powerful influence in the West Indies, as it did in Italy, Greece, and other parts of southern and eastern Europe at the same time. John Wright, a Bahamian immigrant interviewed by Ira De Augustine Reid for his book, The Negro Immigrant, recounted a typical immigrant's story. Agriculture was depressed and job prospects discouraging in the Bahamas, Wright said, and many young Bahamians were sailing west to Florida to make their fortunes. "Miami was a young Magic City where money could be 'shaken from trees'," Wright noted. "Home–returning pilgrims told exaggerated tales of their fame and fortune in the 'promised land'. As convincing evidence to their claims, they dressed flashily and spent American dollars lavishly and prodigally. Those American dollars had a bewitching charm for a country lad who worked for wages ranging from 36 to 50 cents a day. Moreover, the splendid appearance of those boys from the States stood out in striking contrast to us ill-fashionably clad country lads." At age nineteen, and with his parents' permission, Wright arrived in Miami in 1911, along with more than 3,200 other Bahamian immigrants. 6 5. Paul Albury, The Story of the Bahamas (London, 1975), 168-69; Bahamas Government, Demographic Aspects of the Bahamas Population, 1901-1974 (Nassau, 1976), 5. 6. Ira De A. Reid, The Negro Immigrant: His Background, Characteristics and Social Adjustment, 1899-1937 (New York, 1939), 184— 85. Published by STARS, 1986 5 276 F L O R I D A H I S T O R I C A L Q U A R T E R L Y an essential economic strategy that enabled Caribbean people to survive despite their depleted and insufficiently productive lands. 7 The Panama Canal migrations provided, perhaps, the most dramatic early example of the mobility of the Caribbean work force. By the early twentieth century, Caribbean workers were on the move throughout the region. Jamaicans and Barbadians labored on sugar, banana, and coffee plantations in Trinidad, Colombia, Nicaragua, Honduras, Guatemala, and Costa Rica. Haitians cut sugar cane in the Dominican Republic, Cubans rolled cigars in Key West and Tampa, while Cuba itself attracted workers from both Haiti and Jamaica. The opening of oil fields in Venezuela in 1916 drew black workers from Barbados, Trinidad, and Curacao. Puerto Ricans were coming to the United States long before the massive post-World War II migrant waves. Residents of smaller islands in the British Caribbean moved to larger ones in search of employment, while British colonial officials tried to fill changing labor needs by permitting the importation of first Chinese, and later, East Indian indentured workers-a migration pattern that continued intil 1917. The Caribbean, in short, had developed incredibly complex pat- Caribbean migration actually began in a substantial way in the mid-nineteenth century. The destination, at first, was Panama. In the early 1850s, when an American company began building a railroad across the Isthmus, several thousand Jamaicans were recruited for the heavy clearing and construction work. When a French company began work on the Panama Canal in 1881, some 35,000 Jamaican laborers migrated to Panama within three years. That project failed by the end of the decade, but in 1905, the American controlled Isthmian Canal Commission resumed the building project. Over the next decade, about 150,000 West Indians migrated to Panama for canal labor. 8 7. Bonham C. Richardson, Caribbean Migrants: Environment and Human Survival on St. Kitts and Nevis (Knoxville, 1983), xi, 6, 172. 8. Stephen Knox, "The Men Who Dug the Canal," Caribbean and West Indies Chronicle 100 (February/March 1985), 24; Malcolm J. Proudfoot, Population Movements in the Caribbean (Port-of-Spain, Trinidad, 1950), 14-15; Bonham C. Richardson, Panama Money in Barbados, 1900-1920 (Knoxville, 1985), 3; Michael L. Conniff, Black Labor on a White Canal: Panama, 19041981 (Pittsburgh, 1985), 4. https://stars.library.ucf.edu/fhq/vol65/iss3/3 6 Coconut Grove Bahamian in Sunday best, late nineteenth century. terns of "livelihood migration" by the early decades of the twentieth century. 9 The Bahamian migration experience was part of the larger Caribbean labor migration pattern. By the 1890s the islanders' migratory urge had intensified. The governor's official report for 1898 noted that Bahamian laborers were in demand as stevedores and deck hands on steam ships engaged in the fruit and lumber trade to Central America. Ships from United States ports had begun to call at islands in the southern Bahamas, particularly Inagua, Mayaguana, and Long Cay. Signed to labor contracts, the Bahamian workers traveled on these ships to ports in Panama, Nicaragua, and Guatemala, where they unloaded and loaded cargo, and then were dropped off again at their 9. Dawn I. Marshall, "The History of Caribbean Migrations: The Case of the West Indies," Caribbean Review 11 (Winter 1982), 6-9, 52-53; Proudfoot, Population Movements in the Caribbean, 13-17; Richardson, Caribbean Migrants, 8. Published by STARS, 1986 7 278 F L O R I D A H I S T O R I C A L Q U A R T E R L Y home islands as the steamers carried their cargos of bananas, lumber, and other products to Atlantic coastal cities in the United States. In 1899, sixty-nine steamers outbound from American ports called at Inagua, picking up almost 3,000 Bahamians for short-term shipboard and dock work in Central American ports. The new labor pattern, the governor opimistitally reported, "bids fair to become . . . an important source of prosperity by affording excellent remuneration for the unskilled labour which abounds in these Islands, but has hitherto sought in vain for an outlet." 10 Work on the steamers expanded horizons and opened new labor opportunities. Soon Bahamians were working all over Central America. Many worked for the United Fruit Company or the Hamburg-American Line as stevedores in Central American ports. Others worked for railroads in Panama and Mexico, as canal laborers in Panama, or as contract laborers in the lumber trade, on banana and coffee plantations, or clearing land and building roads in Nicaragua, Guatemala, Colombia, British Honduras, and Spanish Honduras. In fact, the American consular agent at Inagua served as well as a labor agent for private United States companies, supplying by 1906 as many as 150 Bahamians a month for contract work in Panama, Mexico, and Nicaragua. 11 Contract labor in Central America had its costs, however. Bahamian workers were often exploited by unscrupulous labor agents and storekeepers. As Bahamas Governor Grey-Wilson noted in 1906 in an official dispatch to the Colonial Office, "the system under which coloured laborers are now shipped under contract from the Southern Islands of the Colony for service in Mexico & Panama is very far from satisfactory." Heavy charges for food and drink put the workers in debt to the company stores; workers were sometimes forced to labor for longer than 10. L. D. Powles, The Land of the Pink Pearl: or Recollections of Life in the Bahamas (London, 1888), 254, 271; Great Britain, Colonial Office, Bahamas: Report for 1898 (London, 1899), 49-50: Great Britain, Colonial Office, Bahamas: Report for 1899 (London, 1900), 47 11. Great Britain, Colonial Office, Bahamas: Report for 1904-05 (London, 1905), 32-33; Great Britain, Colonial Office, Bahamas: Report for 1905-06 (London, 1906), 37; D. D. Sargent to Alvey A. Adee, U. S. State Department, January 26, 1905, Despatches from U. S. Consuls in Nassau, New Providence Island, 1821-1906, Record Group 59, microfilm edition, reel 24, National Archives, Washington, D. C. https://stars.library.ucf.edu/fhq/vol65/iss3/3 8 contracted periods, or were discharged with little or no pay as a result of indebtedness to storekeepers. The abuses of the contract labor system led in 1907 to the passage of legislation in the Bahamas to protect these wandering Caribbean workers. Indeed, a labor migration that appeared to be a positive economic advantage in 1898 had become onerous to British officials in the Bahamas by 1905. The governor addressed the question in his report to the Colonial Office for 1904-1905: "It is questionable whether this movement of population in search of work is of any benefit to the interests of the Colony. . . . These islands are not over-populated, and by the same hard work which the labourers have to give on board ship, and working on the mainland of the Gulf, they could make as much at home with greater ease and less risk." British officials, apparently, prefered to keep the Bahamians on the land and maintain population stability. 12 But it was not to be. Indeed, soon after the turn of the twentieth century, a vast Bahamian migration to Miami began to dwarf the earlier contract labor migration to Panama and Central America. The Bahamian economy was in the midst of a great "squeeze," as new citrus and vegetable production in Florida competed with the output of the Bahamas. Rising American import duties on Bahamian agricultural production made superfluous much of the islands' pineapple, orange, grapefruit, banana, and tomato output. Both the sisal (hemp) and sponging industries fell on hard times, as well. At the same time, new economic opportunity beckoned in Florida with the building up of Miami after the mid-1890s, and the extension of Henry Flagler's Florida East Coast Railroad south from Miami into the Florida Keys after 1905. The introduction of regular steamship service between Miami and Nassau by the early twentieth century made the trip to Florida cheap and convenient for Bahamians. It was a classic case of immigration prompted by economic pushes and pulls— the same kinds of economic forces that lay behind the massive European migration to the United States during that same era. The changing economic pattern had a powerful impact on Bahamian migration trends. 13 12. W. Grey-Wilson to Colonial Office, June 11, 1906, Governor's Despatches, 1904-1912, Bahamas PRO; Bahamas: Report for 1904-05, 32. 13. Bahamas Government, Demographic Aspects of the Bahamas Population, 4-5; Michael Craton, A History of the Bahamas (London, 1962), 246-55; Anthony A. Thompson, An Economic History of the Bahamas (Nassau, 1979), 17-18. Published by STARS, 1986 9 280 F L O R I D A H I S T O R I C A L Q U A R T E R L Y Nat Simpson and Alice Burrows, Bahamian workers at Peacock Inn, Coconut Grove, late nineteenth century. While Bahamians from the southern islands went off to contract labor in Central America, residents of the northern Bahamas tended to be among the first of the islanders attracted to Florida in this period. The governor's report for 1901 noted the decreasing population in Abaco, Bimini, and Harbour Island, and explained that "the decrease is mainly due to emigration to Florida." The trend continued over the next decade, as Bimini, Eleuthera, Harbour Island, Crooked Island, Rum Cay, Long Cay, and Inagua all had population losses ranging from three per cent to twenty-five per cent between 1901 and 1911. 14 By that time, Bahamians from the southern islands had joined the migration stream to Florida. In a 1911 report on Bahamian contract laborers to the British Colonial Office, the 14. Great Britain, Colonial Office, Bahamas: Report for 1901-02 (London, 1902), 32; Bahamas Government, Report on the Census of the Bahama Islands, Taken on the 2nd April, 1911 (Nassau, 1911), 2. https://stars.library.ucf.edu/fhq/vol65/iss3/3 colony's governor, W. Grey-Wilson, noted the beginnings of a shift in the destination of Bahamian migrant workers. An economic downturn in the United States in 1908, Grey-Wilson suggested, "paralyzed" the Central American mahogany industry, while the fruit steamers that had engaged numbers of Bahamian stevedores ceased to call at the southern islands. But new labor opportunities for these workers were opening up in Florida, the governor wrote: "Florida has been offering for free labour very much better terms than have hitherto been obtainable under contract. The draining of the Everglades and the development of the hinterland of Florida is proceeding apace, and I anticipate that the labourers of the Colony will find an adequate outlet in that direction." 15 In Florida, the Bahamian newcomers found jobs in a variety of occupations and activities. The Bahamians were noted for their masonry skills. In particular, they were adept at building with the oolitic limestone common to the Bahamas and south Florida. Thus, Bahamian blacks who came to Miami after its founding in 1896 found work in the burgeoning construction industry. As Flagler pushed his railroad south into the Keys, some of the heavy clearing and grading work was assigned to Bahamians, along with another group of West Indian labor migrants— Cayman Islanders. The Bahamians also worked in local lumber yards and gravel pits, as stevedores on the docks, in the rail yards and terminals in the city, and, more generally, as day laborers in whatever jobs could be found in Miami's growing economy. Most of the Bahamian newcomers were men, but the emergence of Miami as a tourist resort provided special job opportunities for Bahamian women, especially as maids, cooks, and laundry and service workers in the city's new hotels and restaurants. In addition, Bahamians worked as domestic servants and caretakers for wealthy whites with permanent or winter residences in Miami. l6 15. Grey-Wilson to Lewis Harcourt, June 7, 1911, Governor's Despatches, 1904-1912, Bahamas PRO. 16. Merrick, "Pre-Flagler Influences," 5; Carlton J. Corliss, "Building the Overseas Railway to Key West," Tequesta 13 (1953), 16-17; Thelma Peters, Lemon City: Pioneering on Biscayne Bay, 1850-I925 (Miami, 1976), 230; Miami Metropolis, June 12, 1909. On Bahamian women "running away" to Miami, see Amelia Defries, The Fortunate Islands: Being Adventures with the Negro in the Bahamas (London, 1929), 15. Published by STARS, 1986 282 F L O R I D A H I S T O R I C A L Q U A R T E R L Y Agriculture prospered in the Miami area along with tourism. Given the agricultural pattern in the islands, it is not surprising that many Bahamians worked in the local citrus industry, particularly in and around Coconut Grove, a community near Miami where some Bahamians had lived since the 1880s, working primarily at an early hotel called the Peacock Inn. The Bahamian presence in Coconut Grove gave the area's black community "a distinctively island character that is still evident." They also labored in the expanding vegetable farms on Miami's agricultural fringe. Many of the Bahamians came as migrant laborers during harvest season, returning to the islands each summer. This pattern was especially evident during the World War I years, when the federal government sought to boost Florida agricultural production. Indeed, in the years before effective federal regulation of immigration, Bahamian blacks moved easily and at will between south Florida and the islands. 17 Manuscript census schedules for 1900 and 1910 give a more detailed picture of the black Bahamian immigrants in Miami. The McCloud family typified the early Bahamian presence in South Florida. Hiram McCloud, a forty-eight year old Bahamian, had come to the United States in 1878. The census described him as a "common laborer." He was a naturalized United States citizen. He rented his house in Coconut Grove, he could read but not write, and he had been unemployed for two months during the year. His thirty-nine year old wife, Clotilda, also came to the United States in 1878, although she was not yet a citizen. A "washerwoman" who worked continuously throughout the year, Clotilda could read and write. During twenty years of marriage, she had given birth to eight children, although only five were still living in 1900. The oldest child, Curtis McCloud, had been born in Florida in 1881, and was also working as a laborer. Four other children, ranging in age from five to fifteen, had all been born in Florida; two were attending school. 18 17. Arva Moore Parks, "The History of Coconut Grove, Florida, 1821-1925," (master's thesis, University of Miami, 1971), 38-41; Bruce Porter and Marvin Dunn, The Miami Riot of 1980: Crossing the Bounds (Lexington, MA., 1984), 2; Paul S. George, "Criminal Justice in Miami, 1896-1930," (Ph.D. dissertation, Florida State University, 1975), 185; Peters, Biscayne Country, 264; Helen Muir, Miami, U. S. A. (New York, 1963), 11. 18. Manuscript Census Schedules, Dade County, 1900, microfilm edition, reel 167, National Archives. https://stars.library.ucf.edu/fhq/vol65/iss3/3 Black Bahamian community of Coconut Grove, late nineteenth century. The McClouds came to Florida before the establishment of Miami in 1896. Many other Bahamians arrived during the 1890s, typically young, single males who worked as farm laborers or fruit pickers. Few were naturalized American citizens. They lived together in groups of four and five in rented premises, or lodged with Bahamian families. Other occupations listed by the census enumerators for Bahamians included carpenter, fisherman, boatman, blacksmith's helper, deck hand, seamstress, dressmaker, cook, chambermaid, house servant, and "odd jobs." l8 By 1910, the Bahamian community in Miami had increased to well over 1,500. Indeed, a veritable wave of new Bahamian immigrants had arrived in Miami in 1908 and 1909— an early boatlift from the islands that captured the attention of the city's leading newspaper, the Miami Metropolis. According to the paper, more than 1,400 Bahamians arrived in Miami during the 19. Ibid. Published by STARS, 1986 284 F L O R I D A H I S T O R I C A L Q U A R T E R L Y single year after July 1908, many of them temporary farm workers. They came fifty or sixty at a time on small schooners, often "so crowded with people that there was barely standing room on their decks." Apparently, these new arrivals were processed by immigration authorities, for the Metropolis noted that about ten per cent of the Bahamians were sent back to the islands after "failing to meet the requirements of the immigration laws." 20 The new wave of Bahamians worked extensively in citrus groves and vegetable fields. As the census schedules suggest, these workers tended to be young, single men living in boarding houses; most of them had been in Miami less than a decade. Some had already applied for citizenship, perhaps in order to get or retain an agricultural laboring job. Another large segment of the Miami Bahamian community continued to work as common laborers or in the resort town's service economy as maids and porters in hotels, cooks, waiters, and dishwashers in restaurants, servants and housekeepers in private homes, and the like. 21 A typical Bahamian household during this period was that of Albert A.. Taylor, a thirty-eight year old "car cleaner" in a local railroad shop. Taylor entered the United States in 1898, and in 1910 was renting a house at 721 Third Street in Miami's Negro section. Taylor lived with his Bahamian-born wife, two American-born children, a sister (a cook for a white family), a brother (an odd-job laborer), and two cousins (both laborers). Completing this extended Bahamian household were three boarders, two young men who worked as laborers, and a twenty-one year old girl who worked as a maid for a white family. 22 The surge of migration from the Bahamas to Miami intensified between 1910 and 1920. This mass movement of population is reflected in several sets of population statistics. Bahamian census reports, for instance, showed decennial increases in total population ranging from four to twenty-nine per cent between 1851 and 1911. But in the decade after 1911, the Baha- 20. Miami Metropolis, June 12, 1909; Albury, Story of the Bahamas, 168-69; Thelma Peters, Miami 1909: with Excerpts from Fannie Clemon's Diary (Miami, 1984), 24-26. 22. Ibid. 21. Manuscript Census Schedules, Dade County, 1910, microfilm edition, reel 158, National Archives. https://stars.library.ucf.edu/fhq/vol65/iss3/3 mian population decreased by over five per cent, slipping from 55,944 in 1911, to 53,031 in 1921. Most of the missing Bahamians went to south Florida. Indeed, the 1915 census taken by the state of Florida reported 3,743 foreign-born blacks in Dade County, 1,870 in Monroe County, 615 in Palm Beach County, and 490 in Broward County. About eighty-one per cent of all the immigrant blacks in Florida resided in the state's four southeast counties in 1915. And by 1920, over 4,800 immigrant blacks lived in the city of Miami alone; over sixty-eight per cent of these newcomers came to the United States after 1910. 23 Workers from other Caribbean islands were making similar migration decisions during this period. Between 1900 and 1920, West Indian immigration to the United States surged far ahead of the totals for the late nineteenth century. Almost 231,000 West Indians immigrated to the United States between 1901 More detailed, year-by-year migration statistics are reported in the annual reports of the governor of the Bahamas to the British Colonial Office. These records reveal a constant flow of Bahamians to Florida and an equally constant pattern of return migration. While some Bahamians came to Florida permanently, it is clear from these reports that for many other Bahamians temporary or seasonal labor provided the chief attraction. As one observer noted in 1913, "our people go away in October to meet the great demand for labour in Florida for the winter crops of tomatoes and peas and they return after that is over in May." In fact, in some years, such as 1915 or 1917, more Bahamians returned to the islands than left for Florida. Bahamian officials attributed the decline in emigration in 1915 to "decreased rates of wages in Florida." Like European immigrants of the early twentieth century, Bahamians were knowledgeable about American economic conditions and apparently based their migration decisions on the labor market situation in the United States. 24 23. Bahamas Government, Report on the Census of the Bahama Islands Taken on the 24th April, I921 (Nassau, 1921), l-2; W. A. McRae, The Fourth Census of the State of Florida, 1915 (Tallahassee, 1915), 66: U. S. Bureau of the Census, Fourteenth Census of the United States, 1920, Population, II, 795. 24. Walter F. Wilcox, International Migrations, 2 vols. (New York, 1929), I, 515; Great Britain, Colonial Office, Bahamas: Report for 1914-15 (London, 1915), 25; Great Britain, Colonial Office, Bahamas: Report for 1915-16 (London, 1916); Nassau Tribune, December 9, 1913. Published by STARS, 1986 286 F L O R I D A H I S T O R I C A L Q U A R T E R L Y and 1920. During World War I, in particular, Bahamians and other West Indians filled agricultural jobs in an expanding wartime labor market. Between 1916 and 1920, as European immigration declined markedly during the war, West Indian immigrants (including Bahamians) totaled almost five per cent of all immigrants to the United States-a dramatic proportional increase over earlier years. 25 The Bahamian government did little, apparently, but the Nassau Tribune embarked on an extensive campaign in 1913 to check the migration to Florida. The paper published a series of long editorials on "The Exodus to Florida," calling attention to the potentially serious economic consequences of "the continuous drain upon our labour supply." Numerous suggestions were The dimensions of the Bahamian migration to Florida created official concern and tension among the Bahamian commercial elite. The British ambassador to the United States, James Bryce, noted these concerns as early as 1911 in a dispatch to the Foreign Office: "The attraction that Florida has for the labouring classes of the Colony is now very great and the emigration from Nassau to Miami, has now reached such proportions as to cause anxiety to the Government and inconvenience to the sponge outfitters and other employers of labour." Similarly, in a letter to the Nassau Tribune in 1913, "A Planter" complained that the exodus to Florida would leave few workers for the sisal and sponge industries. "In a very short time our lovely islands will soon be depopulated, gone to swell the millions on the great American continent." This correspondent suggested that only greater government support for agriculture in the Bahamas could stem the outward migration. Another observer argued the need for a better distribution of land among the islanders "to anchor them in the Bahamas." "Now is the time to help," one worried employer wrote, "before the great part of the population leave the Colony to go to Florida and elsewhere to earn a livelihood." 26 25. Wilcox, International Migrations, I, 263-87; Richardson, Caribbean Migrants, 3-31. 26. James Bryce to Edward Grey, April 13, 1911, Colonial Office Records, microfilm edition, CO 23/268, Bahamas PRO; Nassau Tribune, November 8, 1913. See also, James Martin Wright, History of the Bahama Islands, with a Special Study of the Abolition of Slavery in the Colony (Baltimore, 1905), 583. https://stars.library.ucf.edu/fhq/vol65/iss3/3 offered, including the promotion of tourism, the renewal of the pineapple industry, and the attraction of foreign capital and new industries to the Bahamas— all of which might create more jobs and keep people in the islands. Land in the Bahamas could be as productive as land in Florida, the Tribune argued, and "if the Bahamian labourer is good for Florida, he should be better for the Bahamas." The paper found it difficult to explain why "men who scorn the idea of field labour here, do it over there in Miami and many other things that they won't do here." 27 But while the Bahamians found economic opportunity in Florida, they also encountered segregation and white racism. The Miami press routinely denigrated the Bahamian newcomers as lazy and shiftless, and generally referred to them as "Nassau niggers." One Bahamian interviewed by Reid in The Negro Immigrant quickly became disenchanted by conditions in Miami: "Arriving in Colored Town, I alighted from the carriage in front of an unpainted, poorly-ventilated rooming house where I paid $2.00 for a week's lodging. Already, I was rapidly becoming disillusioned. How unlike the land where I was born. There colored men were addressed as gentlemen; here, as 'niggers'. There policemen were dressed in immaculate uniforms, carried But the Bahamian labor migrants themselves found that an easy question to answer. As one Bahamian who made the trip to Miami put it in a letter to the Tribune, "there is plenty of guessing as to what may be the cause of this emigration but if your various correspondents would only take a trip to the states they themselves would be a goner." Wages were higher in Florida, this migrant from the islands asserted, and "the half starved labourers here that go there— gets better to eat, to drink, to wear, to sleep, and so he got very little use for his home." Another writer put it differently. For men forced to migrate by poor agricultural conditions in the Bahamas, the discovery "that they could earn money and bring some of it back was an inducement to more timid neighbors, and they too went to Miami." For thousands of Bahamians, the widespread perception of economic opportunity in Florida was too strong to resist. As the Tribune put it in 1913, "most of our people who go are afflicted with a severe attack of travel fever which is epidemic here." 28 27. Nassau Tribune, October 23, November 8, 11, 13, 22, 1913. 28. Ibid., October 23, November 13, 1913. Published by STARS, 1986 288 F L O R I D A H I S T O R I C A L Q U A R T E R L Y no deadly weapon, save a billy; here, shirt-sleeved officers of the law carried pistols, smoked and chewed tobacco on duty. Colored Miami certainly was not the Miami of which I had heard so much. It was a filthy backyard to the Magic City." 29 No issue stirred as much anger and hostility among the Bahamians in Florida as conflict with local police. The Bahamians were unaccustomed to the racial segregation of America's deep South. By nature and practice, Miami historian Paul S. George has written, "these British subjects were less obsequious toward whites than native blacks. Many Bahamian blacks preached racial equality, causing a majority of whites, including the police, to regard them as troublemakers." 31 Not only were the Bahamians discriminated against because of their race, but also because of their foreign citizenship. The Miami newspapers carped at the reluctance of the islanders to seek citizenship. Years later, one Bahamian immigrant who arrived in Coconut Grove in 1911, remarked on his early refusal to become a citizen: "I filled out an alien card every year. I didn't take out no citizenship. I kept thinking I'm not going to stay here because of the way white people treat you." This Bahamian later joined Marcus Garvey's black nationalist Universal Negro Improvement Association as a means of taking a stand against white racism. Not surprisingly, in 1911, Miami Bahamians protested the imposition of a hefty public school fee of $1.50 per month on all black Bahamian students whose parents remained British. 30 Racial confrontations involving white Miami policemen often resulted. As early as 1907, British officials received complaints about police brutality directed toward Bahamians in Miami. In a May 1907 dispatch to the Foreign Office, British Ambassador Bryce reported that a Bahamian had been shot in the back by a Miami policeman "after having been otherwise maltreated by the police, and afterwards died." This shooting came shortly after a similar killing of a black Bahamian in Key West. Bryce urged the Foreign Office to send a letter of protest to the United 29. Miami Metropolis, June 12, 1909; Reid, The Negro Immigrant, 189. 31. George, "Criminal Justice in Miami," 185-86. 30. Miami Metropolis, June 12, 1909; Miami Herald, February 10, 1975; GreyWilson to Harcourt, November 17, 1911, Governor's Despatches, 19041912, Bahamas PRO. https://stars.library.ucf.edu/fhq/vol65/iss3/3 States government, but he was quite candid in his analysis of the situation: "There seems no doubt that the aggressors were whites and the victims blacks and, in such cases, little hope can be entertained of getting justice in certain Southern States." 32 The boom years of the 1920s brought tremendous population growth and urban development to south Florida. Miami more than tripled its population to over 110,000. The Bahamians continued to flow into Florida, too. Officially, Miami's immigrant black population increased by about 1,800 during the 1920s giving the city some 5,512 foreign-born blacks in 1930. The black islanders, according to the census reports, comprised about twenty-two per cent of Miami's total black popu- Police brutality and other forms of racial discrimination led Miami's Bahamians in 1911 to petition Bahamas Governor W. Grey-Wilson for a greater degree of official protection, perhaps with the appointment of a British vice-consul for Florida. As Ambassador Bryce put it in a letter to British Foreign Minister Edward Grey, "the treatment of Bahamians in Florida is not from a British standpoint, altogether satisfactory, and I venture to think that the appointment of a British Vice Consul at Miami would be welcomed by the inhabitants of the Bahamas and would relieve the Governor of a considerable amount of work and anxiety." But when Foreign Minister Grey sought the opinion of the British consul general at New Orleans on such an appointment, he received a rather negative response: "A British vice consul at Miami would have practically nothing else to do but investigate the complaints and grievances of the coloured Bahamians." Not only was Consul General Lewis E. Bernays unsympathetic to the plight of Bahamians in Florida, but he did not think much of Miami either. "The Town of Miami," Bernays wrote, "is situated in the most inaccessible part of Florida and is of no commercial importance whatever." Racial discrimination and police brutality, Bernays seemed to suggest, were insignificant problems, and certainly no self-respecting British diplomat would want to be stationed in a backwater town like Miami. 33 32. !Miami Metropolis, May 8, 1907; Bryce to Grey, June 21, 1907, Colonial Office Records, microfilm edition, CO 23/262, Bahamas PRO. 33. Bryce to Grey, April 13, 1911, Colonial Office Records, microfilm edition, CO 231268, Bahamas PRO; Lewis E. Bernays to Grey, July 11, 19 11, ibid. Published by STARS, 1986 290 lation. As in 1920, only New York City had more immigrant blacks than Miami. 34 There is evidence that during the 1920s large numbers of uncounted Bahamian farm workers were being brought into the south Florida area illegally by large farm operators— at least it would seem that they were by-passing the normal immigration channels. As early as 1921, newspaper reports from Palm Beach County revealed that "the smuggling of negroes from the Bahama Islands has attracted the attention of the immigration department in the past few weeks." By mid-1924, when new immigration quotas went into effect, the Nassau newspapers were suggesting that prohibition-era bootleggers had turned to smuggling people into Florida, with West Palm Beach a favored destination. 37 These aggregate census numbers, however, do not reveal the full extent of the Bahamian migratory urge. In addition to Miami's Bahamian population, many thousands more came to Florida for seasonal work each year. The Miami Herald noted the pattern in 1924: "Negro laborers from Nassau and Bimini have poured into Miami. . . . They worked on the municipal docks, on new Miami buildings or in the tomato fields stretching from Fort Pierce to Florida City, and then after six or seven months returned to their homes in the Bahamas, to come back for work the next year." 35 In fact, during the 1920s Bahamians migrated to Florida at the rate of about 6,000 per year (see Table 1). 36 New federal immigration legislation in 1924 introduced the national--origins quota system and temporarily muddled the situation for Bahamians in Florida. Confusion over the details of the law, and particularly how it might affect the Bahamian labor migrants, created a panic in the south Florida labor market. One Miami labor agent, for instance, suggested that local agriculture would suffer "a serious labor shortage" and that wages would be driven up rapidly as a result. The Miami Herald noted that "since 75 per cent of the labor used in and around 34. U. S. Bureau of the Census, Negroes in the United States, 1920-32 (Washington, 1935), 32-33. 36. Bahamas Government, Bahamas Blue Book, 1919-1930 (Nassau, 19201931). 35. Miami Herald, July 6, 1924. 37. Palm Beach Post, July 29, 1921; Nassau Guardian, August 9, 1924. https://stars.library.ucf.edu/fhq/vol65/iss3/3 Miami comes from the Bahamas, the sudden checking of this stream would injure Miami commerce." Local businessmen believed that the Bahamian immigrants would come under the general quota of Great Britain and be limited to 100 per month. 38 In Nassau, the news of the new immigration law came "like a bomb" to islanders planning to work in Florida. The business community in Nassau was worried, too. Work in Miami and south Florida had provided a sort of safety valve for Bahamians without jobs or prospects in the islands. The remittances sent back by laborers in Florida and the capital brought in by returning migrants helped keep the Bahamian economy afloat at a time when the local commercial elite had failed to invest in economic development. By the early twentieth century, the islands had become heavily reliant on the economic connection with the United States. Bringing the Bahamas and the British West Indies generally under the quota system, the Nassau Guardian asserted, "cannot fail to affect the economic condition of those colonies materially, and it will become more necessary than ever to take effective measures to secure the development of local industries." Ten years earlier, the Nassau papers had complained about the economic consequences of emigration, This was startling news to the Miami business community, which had come to rely on the steady supply of cheap labor from the islands. The Miami Chamber of Commerce and other local organizations led an effort to get the Bahamians excluded from the immigration law's restrictive provisions. Petition drives were organized, seeking particularly the help of Florida senators and congressmen. Amid the confusion, Bahamians crowded the steamers plying between Nassau and Miami, trying to beat the deadline of July 1, 1924, when the immigration law became effective. "Boats in the Miami-Nassau passenger and freight service are laden to their capacity rushing the people into America," the Herald reported, "causing a virtual evacuation of Nassau and the Bahamas." 39 38. Miami Herald, June 24, 28, July 6, 1924; Miami Daily News and Metropolis, July 2, 8, 1924. 39. Miami Herald, June 28, July 6, 1924; Miami Daily News and Metropolis, June 24, 1924. Published by STARS, 1986 LORIDAISTORICALUARTERLY 292 F H Q but now they worried about the economic impact of its termination. 40 Actually, the Bahamian migratory urge intensified in the 1930s, when the numbers of annual emigrants from the islands surpassed 10,000 in most years. In the single year 1937, for instance, almost 14,000 Bahamians left the islands— more than twenty per cent of the total population of the Bahamas. Almost the same number returned to the islands in 1937, suggesting the dual nature of the migratory flow (see Table 1). Many of the islands continued to lose population during the 1930s as well, some substantially so. The Bahamas during this period serve as a classic case of the "livelihood migration" that had typified the Caribbean since the late nineteenth century. 42 As it turned out, however, the 1924 quota law had little impact on the Bahamian migration to Florida. According to the law, British West Indians, including Bahamians, were included under the quota of Great Britain. But since Britain's generous annual quota of 65,000 was never filled, Bahamians found little problem in obtaining permanent entry to the United States. And by the 1920s most of the Bahamians coming to the Miami area were temporary labor migrants, who were able to enter the United States with six-month work permits. Thus, once the initial confusion was sorted out, the pattern of Bahamian movement to and from Florida continued uninterrupted, as the emigration statistics collected for the Bahamas Blue Book demonstrate (see Table 1). Only in 1926 was there any marked decline in Bahamian emigration— a drop in labor migration most likely due to the end of the Florida real estate boom, a severe economic decline, and a disastrous hurricane in September 1926. 41 The number of short-term labor migrants was on the rise through the 1920s and 1930s, but apparently fewer Bahamians 40. Nassau Guardian, July 1, September 16, 1924; Nassau Tribune, June 11, Sentember 20, 1924. 42. Bahamas Government, Bahamas Blue Book, 1930-1940 (Nassau, 19311941); Bahamas Government, Report on the Census of the Bahama Islands Taken on the 25th April, 1943 (Nassau, 1943), 2. 41. Rekd Ueda, "west Indians," in Stephan Thernstrom, ed., Harvard Encyclopedia of American Ethnic Groups (Cambridge, MA., 1980), 1021-22; President's Commission on Immigration and Naturalization, Whom We Shall Welcome (Washington, 1953), 54. https://stars.library.ucf.edu/fhq/vol65/iss3/3 BLACKIMMIGRANTS 293 T A B L E 1 BAHAMIAN MIGRATION , 1919-1940 Source: Bahamas Government, Bahamas Blue Book, 1919-1940 (Nassau, 19201941). were staying permanently in the Miami area. The 1935 Florida state census recorded 5,047 Bahamians in Dade County, down from the Miami total for 1930. And the United States census reported 4,063 foreign-born blacks in Miami in 1940, a decline of about 1,500 since 1930. In fact, as the Miami area became more urbanized, and as agriculture expanded northward into Palm Beach County, the geographical distribution of Bahamian labor migrants followed suit. In 1945, for the first time, the Florida state census recorded more West Indian blacks in Palm Beach County than in Dade County. 43 43. Nathan Mayo, The Sixth Census of the State of Florida, 1935 (Winter Park, 1935), 110; U. S. Bureau of the Census, Sixteenth Census of the United States, 1940, Population, II (Washington, 1943), 142; Nathan Mayo, The Seventh Census of the State of Florida, 1945 (Tallahassee, 1945), 118-19. In 1945, there were 4,609 West Indian blacks in Dade County, 5,957 in Palm Beach County, and 712 in Broward County. Published by STARS, 1986 294 F L O R I D A H I S T O R I C A L Q U A R T E R L Y The Bahamian influx continued into the 1940s. Labor shortages during World War II led to federal recruitment of temporary agricultural laborers from the West Indies, as well as of workers from Mexico, Central America, and Canada. Both the War Food Administration and the War Manpower Commission were involved in this labor recruitment effort. Under this program, some 3,000 to 6,000 Bahamians annually picked fruit and harvested vegetables in Florida. Florida's county agricultural extension agents supervised the recruitment process and distributed the Bahamian workers to farm labor camps as needed. 44 The annual recruitment of Bahamian farm workers continued after the war, as well, at first under a special agreement between the United States and Bahamian governments. This intergovernmental agreement expired in 1947, but private American companies were permitted to negotiate similar agreements for West Indian and Bahamian workers. Under this arrangement, the Florida Vegetable Committee, a growers group, contracted with the Bahamian government for several thousand temporary laborers a year for farm work in Florida. As late as 1951, some 4,500 Bahamians were laboring in Florida fields. As in the past, British officials in the Bahamas believed that "their employment makes a notable contribution towards the economy of the Colony." 45 From the early 1930s fewer Bahamians were coming to south Florida for permanent residence. Yet some islanders continued to drift into Miami with the idea of remaining in the United States. One such Bahamian immigrant, a boy of fifteen, arrived in Miami in 1943. In his autobiography, This Life, Sidney 44. Wilbert E. Moore, "America's Migration Treaties During World War II," Annals of the American Academy of Political and Social Science 262 (March 1949), 34; William S. Bernard, ed., American Immigration Policy: A Reappraisal (New York, 1950), 47-48; International Labour Office, Labour Policies in the West Indies (Geneva, 1952), 117-18; Julia Henderson, "Foreign Labour in the United States during the War," International Labour Review 52 (December 1945), 609-31; Miami Herald, January 24, 1945. 45. U. S. Congress, Senate Subcommittee on Immigration of the Committee on the Judiciary, The West Indies (BWI) Temporary Alien Labor Program: 1943-1947. 95th Cong., 2d sess., 1978, 8; Bahamas Government, Votes of the Honourable Legislative Council of the Bahama Islands, 1946-1947 (Nassau, 1947), 167; Bahamas Government, Votes of the Honourable Legislative Council of the Bahama Islands, 1947-1948 (Nassau, 1948), 141-44; Great Britain, Colonial Office, Report on the Bahamas for the Years 1950 and 1951 (London, 1952), 3. https://stars.library.ucf.edu/fhq/vol65/iss3/3 BLACKIMMIGRANTS 295 Poitier wrote of the torn emotions that must have confronted many Bahamians about to make the trip across the Gulf Stream: "For many days before my departure I had been anxious about leaving. . . . Yet much of me was straining to go and see this Miami— this America— this other part of the world." Poitier was the son of Cat Island tomato farmers, who twice a year packed up a hundred or so boxes of tomatoes and brought them to market in Miami. Actually, Poitier had been born in Miami on one of these economic pilgrimages in 1927. Fifteen years later, with few prospects in Nassau where the family then lived, he journeyed to Miami to make his fortune. He lived first with an older brother and then an uncle, both earlier migrants to Miami. Like most Bahamian newcomers throughout the early twentieth century, Poitier had a succession of service-type jobs— cleaning up in a hotel, parking and washing cars, working in a warehouse or as a delivery boy, and washing dishes in restaurant kitchens. His autobiography reflects the typical Bahamian dismay about white racism in Miami, reports the seemingly ubiquitous police harrassment of Bahamian blacks, but also exudes the essential determination and optimism of the Bahamian immigrants. 46 The Bahamian newcomers brought many of their cultural Poitier's later success as an actor belied his modest Bahamian immigrant origins. Poitier did not remain long in Miami, but most of the islanders who came permanently to the United States tended to stay in Miami or Coconut Grove or Key West. The permanence and stability of their neighborhoods, along with strong links to the islands, contributed to cultural maintenance and a strong sense of nationality. From Miami's earliest days in the late nineteenth century, the Bahamian presence made the city's black population distinctively different from that in most southern cities. The Bahamians had an impact on food ways, cultural patterns, work habits, educational aspirations, musical and artistic activities, and other social characteristics. They had several distinctively Bahamian churches and fraternal organizations, all of which conveyed the sense of a cohesive ethnic community. 47 46. Sidney Poitier, This Life (New York, 1980), 1, 36-52. 47. Bahamas Government, The Bahamian American Connection (Nassau, 1976), 38; Arva Moore Parks, "Yesterday," in Coconut Grove U. S. A. Centennial, 1873-1973 (Miami, 1974); Miami Herald, July 11, 1973. Published by STARS, 1986 296 F L O R I D A H I S T O R I C A L Q U A R T E R L Y traditions with them to the United States. Florida Bahamians, for instance, annually celebrated the anniversary of West Indian slave emancipation. In 1911, Bahamian farm workers in West Palm Beach celebrated the coronation of King George V. Following British and Bahamian traditions, Miami's black immigrants regularly observed Guy Fawkes Day. They paraded through the streets every November, carrying an effigy of Guy Fawkes, the celebration ending with the burning of the Fawkes effigy. These parades ended in the 1930s however. As one Bahamian later remembered, when Miami city officials "found out that this person they were burning in effigy was a white man," they put an end to the celebration. 48 The Bahamian immigration to the United States shared many of the characteristics of the more general European immigration of the early twentieth century, especially in the economic motivations of the newcomers. But there were some obviously distinctive patterns to the Bahamian migration experience. From a very early period, there had been considerable movement back and forth between the islands and south Florida. By the late nineteenth century, the Bahamians were participating in the wider "livelihood migrations" of the other Caribbean islands. The nearness to Florida and the opportunities opening up in Miami by 1900 drew the islanders to the Magic City like a magnet. The flow of agricultural workers back and forth across the Gulf Stream continued up to mid-century, but enough Bahamians came to Miami permanently that they Despite such official efforts to stamp out islander traditions, a definable Bahamian presence continues in Miami to this day— a testimony to the powerful surge of immigration from the islands in the early years of the twentieth century. Coconut Grove, in particular, retains the "indelible imprint" of the Bahamas. As one writer put it recently in the Nassau Tribune, the Grove still has "an atmosphere more akin to a Bahamas settlement than an American neighborhood." An annual Bahamian Goombay Festival in Coconut Grove, complete with a visit from the Royal Bahamas Police Band, reflects local enthusiasm for the celebration of black ethnicity in modern Miami. 49 48. Nassau Tribune, August 14, 1911; Miami Herald, February 1, 1976. 49. Nassau Tribune, October 12, 1977; Miami Times, June 5, 1986; Miami News, June 6, 1986. https://stars.library.ucf.edu/fhq/vol65/iss3/3 were able to build thriving communities with a strong sense of nationality and cultural distinctiveness. In this sense, the Bahamians established a pattern that would be replicated by later waves of newcomers from the Caribbean who found a congenial home in Miami. Published by STARS, 1986
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Media and People with Disabilities: An Analysis from Sociological Perspective ARTI RAI 1 ABSTRACT I would try to point out in this paper how the media depict the issue faced by vulnerable groups in Indian society and what improvements are recorded by the media for disability, and how it has influenced public perceptions towards disabled people or how disabled groups are excluded and discriminated against in India through the media. This analysis is both qualitative and explanatory and is focused on theoretical discussion. The paper is entirely written on the basis of secondary sources. The oppressed community within society, subjugated by a hegemonic social system, is simply understood by people with disabilities. At different times and locations, various words have been used by people with disabilities. In influencing the public view of disability, the representation of disabled persons in the media plays a major role. Perceptions expressed in the media directly impact the way people with disabilities in today's culture are viewed. Keywords: Media, Disability, Exclusion, Discrimination. I. INTRODUCTION The media is a powerful instrument of public opinion formation. In its different types, whether it be newspaper, film, radio, television, internet, magazines, posters, theatre, sculpture, dance, public reports or studies. The media can build or disturb public opinion, form attitudes and catalyse social action. It has the ability, among other things, to initiate processes of the group thought, deflect community interests, allow group forming, and provoke social action (mc Combs,2004). In their distribution of news, evidence and expert commentary, newspapers provide a regular basis for the creation of public opinion. The job of the media is not to tell people what to think, it is aptly said, but to tell people what to think about following this. Disability-related news is simply about what or how much disability media reports, their topics, perspective on services, incidents, challenges, activism, empowerment, or just about anything for the cause of those affected individuals. A part of our culture is people with disabilities. They're just like us. They want to live completely, and they want to be supportive. But they face obstacles to inclusion because of the limitations caused by their state of health, and their 1 Author is a Senior Research Fellow at Department Of Sociology DAV PG Collage, BHU, Varanasi, India. needs are also given low priority. People with disabilities usually compete for the chance to get an education and get a career, suffer abuse and discrimination, and have limited involvement in political and social life. According to the World Bank and the World Health Organization (WHO) (2011), there are more than a billion people living with some type of disability, or around 15 per cent of the world's population. The prevalence of disability raises concerns both on a global scale and in different nations. The World Disability Report (World Bank and WHO, 2011) revealed that globally, the number of people with disabilities is rising. It stems from population ageing and the rise of chronic diseases, as well as from environmental changes, natural disasters, road accidents, wars, diet and drug abuse. There are 2.68 crore people with disabilities in India, according to the 2011 Census (who constitute 2.21 per cent of the total population). Of the total population of disabled people, about 1.50 crore are male, and 1.18 crore are female. This includes people with visual, hearing, voice, and locomotor impairments, mental illness, mental retardation, multiple disabilities, and other disabilities. Disabilities are an umbrella term for the World Health Organisation, including impairments, limits of movement, and constraints on participation. Impairment is a problem in operation or structure of the body; a limitation of behaviour is a challenge experienced by an individual in performing a task or action, whereas a restriction of involvement is a problem encountered by an individual in life circumstances. Thus, disability is not only a health problem. It is a dynamic phenomenon that represents the relationship between the characteristics of the body of an individual and the characteristics of the culture he or she lives in. Disability, with varying definitions for different cultures, is a disputed notion. It can be used to refer to the physical or mental features that certain institutions (the medical model) see as needing to be changed, particularly medicine. It can refer to the constraints imposed by the constraints of a capable society (the social model) on individuals. Or, to refer to the identification of people with disabilities, the word can serve. II. THEORETICAL FRAMEWORK The current paper deals with the principle of labelling & stigma. The collective interests of society are reflected in the mass media. Journalists do not merely report on such data, but they comment on that data in a way that is intended to reflect public opinion. They reflect individuals' collective decisions about what is good and bad, reasonable or immoral, natural and deviant. Mass media can also report on certain categories of individuals branded by the rest of society and can also strengthen the labels they earn. The media itself does not establish labels, but it certainly influences them. One of the theories used in this analysis is the Labelling Theory. The author aimed to analyse the findings through this theory and sought to explain how the press took part in the labelling process of people with disabilities. Mass media can also report on certain categories of individuals labelled by the rest of society and can also reinforce the labels they receive. The media itself does not create labels, but it certainly influences them. The labelling theory, explained by American sociologist Howard Becker, argues that people's actions are judged and "labelled" by others' reactions. In a group, there are certain persons that have greater power to apply labels than others. "In response to all sorts of actions and behaviour, labels are placed on individuals and groups by others." For example, if the presence or actions of certain individuals are perceived as inadmissible or as a deviation from the standard, individuals apply labels to them. Becker argued that all groups of people build laws and attempt to impose them on others at times and under some conditions. These laws define, in their view, what kind of actions and behaviour are "right" and what kind of actions and behaviour are "wrong." Other individuals can see a person who breaks these rules as a special kind of person who cannot be trusted to follow the rules accepted by the community. "He is known to be an "outsider". An individual who has been marked as deviant by other individuals in the community tends to be cut off from involvement in this group, according to Becker. It can be challenging for him to comply with other laws that he has no intention or desire to violate. The theory of labelling confirms that people's rules of conduct are socially constructed since "definitions of deviant behaviour vary over time and place, people have to decide what is deviant." Labelling theory also implies that these laws are not applied equally and fairly because, while they have not violated rules, certain persons may be regarded as criminals. Besides, various groups of individuals may judge multiple items to be deviant. It is also difficult to decide what kinds of behaviour are viewed in our culture as deviant. The majority of vivid examples of deviation are acts that trigger condemnation, such as rape and murder, for example. For the classification of individuals with disabilities, the term of deviant may also be used. Disability is known as a societal standard deviation, and the label is applied to people with disabilities. For those individuals who unexpectedly become disabled may be viewed differently by people they met before their disability. A description of the idea of stigma can be found in the book by Erving Goffman called "Stigma: Notes on the Management of Spoiled Identity" (1963). According to Goffman, stigma is used to refer to a trait of a person that, for example, makes him different from others, making him totally poor, risky, or weak. The person who possesses this attribute can be considered to be corrupted and discounted. The stigma "constitutes a particular discrepancy between virtual and actual social identity," which causes the person to be cut off from society. Virtual social identity is a character that can be falsely attributed to the individual, whereas a real social identity implies the characteristics that he actually possesses. Three distinct forms of stigma exist, according to Goffman. The first type is different physical deformities; the second type is individual character defects, such as weak will, dominant or pathological passions, treacherous and rigid values, and dishonesty; the third type of stigma is race, country, and religious stigma. In a group, there may be different attitudes towards individuals with stigma. Because of the belief of others that they are not quite human, they can be subjected to variations of prejudice or treated with contempt. In certain cases, individuals who are stigmatised may try to correct what they see as the basis for their failure. For example, a physically deformed person performs a plastic procedure, or an eye treatment is done by a blind person. By making a lot of effort to learn various fields of activity, which he finds inaccessible to him because of his shortcoming, the stigmatised person can also try to improve his condition. The lame person who learns to swim, ride and play tennis, for example, or the blind person who knows to ski and climb, maybe the lame person. People with stigma can also experience "sympathetic others" who can communicate their point of view in the world and believe that they are normal individuals. Those referred to by Goffman are people with the same stigma and "wise" individuals who view stigmatised individuals as ordinary individuals, such as medical staff or their families and friends. People who have the same stigma may give advice to individuals or listen to their complaints. They can also appear as "speakers" before different regular and "stigmatised" audiences. They will demonstrate their successes, and how they have heroically coped with adaptation. Due to the common representation of disability as a symbol of failure and dependency, people with various health impairments can be vulnerable to stigmatisation. Physical deformities may be viewed by healthy people as a danger to their own well-being and wellbeing. They may, therefore, attempt to avoid a meeting with a person with a disability. As a consequence, people with disabilities may feel excluded from the group. III. CONCLUSION This segment has shown how the vast majority of disability data in the mass media is overwhelmingly negative. In books, films, on television, and in the news, disabling assumptions that medicalise, patronise, criminalise and dehumanise disabled people abound. They shape the bedrock on which disabled people's behaviours, assumptions and aspirations are based. They are central to the discrimination and abuse that people with disabilities face on a daily basis and make a major contribution to their systemic exclusion from mainstream community life. It is also clear that recent efforts to address the problem and 'normalise' disabled people by certain elements in the media would only partially fix the issue. ***** IV. REFERENCES * Barnes, oliver (2003), discrimination, Disability And Welfare: From Needs To Right In Disabling Barriers- Enabling Environment's, sage publication, New Delhi, p.71-80. * Begab, Michel. J., Richardson, Stephen. A., 1975, The Mentally Retarded and society: A social science perspective, University Park press, Blatimore, p. 442-450. Broskowski, Anthony, Marks Edwards and Budman,Simon, (1981), Linking Health * and Mental Health, Sage Publication, London,p. 103-115. * Dube,s and Sachdev,P.S., (1983), Mental Health Problems of the Socially Disadvantaged, Mcgraw-Hill Publishing Company Ltd, p.51-59. * Gajendragadkar,S.N.(1983), Disabled in india, Somaiya Publication Pvt.Ltd, Mumbai, p.132-152. * Goffman,Erving,(1961), Asylums: Essays on the Social Situations of Mental Patients and other Inmates, Cox and Wayman Ltd, p.119-122. * Gokhale, S.D. (1984), Rehabilation Policies And Programmes, Somaiya Publications, New Delhi, P.211-230. * Gottlieb, Benjamin.H.,1983.Social Support Strategies: Guide Lines for Mental Health Practise, Sage Publication, New Delhi, p.31-37. * Mani, Rama(1988), Physical Handicapped in India, Ashish Publishing House, New Delhi, p.14-16. * Mishra, Kumar Vinod, (2001), Career Opportunities for Disabled, Somaniya publication, New Delhi, p.32-46. * Mohan, Brij, (9173), Social Psychiatry in India- A treatise on the Mentally ill, The Minerva Associates, Calcutta, p.11-44. * Panda, K.C. (1999), Education of Exceptionl Children, Vikas Publishing House, New Delhi, p.112-125. * Young R. William(1997), Disability: Socio economic aspects and proposal for Reform, Canada, p.95-99. *****
Access Free Garmin Nuvi 750 Owners Manual Free Download Pdf Kawasaki ZX750 (Ninja ZX-7 & ZXR750 Fours, '89-'96 Suzuki GSX-R600 and 750 Service and Repair Manual Honda V45/65 Sabre and Magna Owners Workshop Manual Suzuki GSX600, GSX750F & 98-02 BMW 7 Series (E38) Service Manual 08 KAWASAKI TERYX 750 TECHNICAL SERVICE DEALER REPAIR MANUAL SPIRAL BOUND 2008 Suzuki GS550 and GS750 Fours Owners Workshop Manual, No. M363 Ducati 600, 620, 750 & 900 2-valve V-Twins '91 to '05 Clymer Honda 700-1100Cc V-Fours 1982-1988 Honda 4 750 Owners Workshop Manual 1965 Dodge Dart Coronet Technical Service Manual Yamaha FZR600, 750 & 1000 Fours '87 to '96 Kawasaki ZR550 and 750 Zephyr Fours '90 to '97 Suzuki GSX-R600 & GSX-R750 from 2006-2016 Haynes Repair Manual Yamaha FZR600,750 & 1000 Fours 87-96 BMW 7 Series (E32) Service Manual 1988, 1989, 1990, 1991, 1992, 1993 1994 Triumph 650 & 750 Twins Suzuki GT750 (3-cyl) Models, '71-'77 Honda VT750 Shaft Drive Owners Workshop Manual Kawasaki 750 Air-Cooled Fours Owners Workshop Manual John Deere 750 Tractor Technical Service Repair Manual Kawasaki Vulcan 700/750 & 800 '85 to '04 Triumph 650 and 750 2-Valve Twins Owners Workshop Manual, No. 122 Moto-Guzzi 750, 850 and 1000 V-Twins Owners Workshop Manual, No. M339 Yamaha YZF750R, YZF750SP, and YZF1000R Thunderace Service and Repair Manual Ford Model A Instruction Book Operator's, Organizational, Direct Support, General Support, and Depot Maintenance Manual (including Repair Parts Information and Supplemental Maintenance and Repair Parts Instructions) Clymer Vintage British Street Bikes: BSA, Norton, Triumph Repair Manual Kawasaki Vulcan 700 & Vulcan 750 1985-2006 Yamaha XV (Virago) V-Twins 1981 to 2003 Operator's, Organizational, Direct Support, and General Support Maintenance Manual (including Repair Parts Information and Supplemental Operating Maintenance and Repair Parts Instructions) Honda VT750 Shadow Chain Drive 1998-2006 Suzuki Intruder, Marauder, Volusia and Boulevard Haynes Service & Repair Manual Ducati 600, 750 & 900 2-valve V-twins Marine Diesel Basics 1 Kawasaki Z750 & Z1000, '03-'08 The Groom's Instruction Manual Harley-Davidson XL Sportster 2014-2017 The Ultimate Bicycle Owner's Manual WinDASI User Manual Suzuki GSX600, GSX750F & 98-02 Sep 26 2022 With a Haynes manual, you can do it yourself…from simple maintenance to basic repairs. 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Honda VT750 Shadow Chain Drive 1998-2006 Apr 28 2020 VT750C Shadow ACE (1998-2000), VT750DC Shadow Spirit (2001-2006), VT750CD Shadow ACE Deluxe (1998-2003) Ducati 600, 620, 750 & 900 2-valve V-Twins '91 to '05 May 22 2022 With a Haynes manual, you can do it yourself...from simple maintenance to basic repairs. Haynes writes every book based on a complete teardown of the motorcycle. We learn the best ways to do a job and that makes it quicker, easier and cheaper for you. Our books have clear instructions and hundreds of photographs that show each step. 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Suzuki GT750 (3-cyl) Models, '71-'77Jul 12 2021 Models covered: GT 750J, GT 750K, GT 750L, GT 750M, GT 750A, 1971-1976 inclusive Clymer Vintage British Street Bikes: BSA, Norton, Triumph Repair ManualSep 02 2020 Ducati 600, 750 & 900 2-valve V-twins Feb 25 2020 Sftbd., 8 1/4"x 10 3/4", 250 pgs., 600 b&w ill., color wiring diagrams. 1965 Dodge Dart Coronet Technical Service Manual Feb 19 2022 This 1965 Dodge Dart Coronet Technical Service Manual is a high-quality, licensed PRINT reproduction of the service manual authored by Dodge Division and published by Detroit Iron. This OEM factory manual is 8.5 x 11 inches, paperback bound, shrink-wrapped and contains 750 pages of comprehensive mechanical instructions with detailed diagrams, photos and specifications for the mechanical components of your vehicle such as the engine, transmission, suspension, brakes, fuel, exhaust, steering, electrical and drive line. Service / repair manuals were originally written by the automotive manufacturer to be used by their dealership mechanics. The following 1965 Dodge models are covered: Coronet, Dart. This factory written Detroit Iron shop manual is perfect for the restorer or anyone working on one of these vehicles. BMW 7 Series (E32) Service Manual 1988, 1989, 1990, 1991, 1992, 1993 1994 Sep 14 2021 The BMW Repair Manual: 7 Series (E32): 1988-1994 is the only comprehensive, single source of service information, technical specifications, and wiring schematics available specifically for the BMW 7 Series from 1988 to 1994. The aim throughout this manual has been simplicity, clarity and completeness, with practical explanations, step-by-step procedures and accurate specifications. Whether you're a repair professional or a do-it-yourself BMW owner, this manual will help you understand, care for and repair your E32 7 Series. 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Operator's, Organizational, Direct Support, and General Support Maintenance Manual (including Repair Parts Information and Supplemental Operating Maintenance and Repair Parts Instructions) May 30 2020 The Ultimate Bicycle Owner's Manual Sep 21 2019 Everything you need to know to purchase, maintain, and ride a bike for recreation, commuting, competition, travel, and beyond! From the bike world's most beloved and trusted advocate. Eben Weiss, aka Bike Snob NYC, is the voice of cyclists everywhere. Through his popular blog he has been informing, entertaining, and critiquing the bike-riding community since 2007. With his latest book, The Ultimate Bicycle Owner's Manual, Weiss makes his vast experience and practical advice available to bike "newbies" and veterans alike. Chapters cover Obtaining a Bike, Understanding Your Bike, Maintaining Your Bike, Operating Your Bike, Off-Road Riding, Coexisting with Drivers, Competitive Cycling, Bike Travel, Cycling with Kids, and What the Future Holds for Bikes in our Communities. Weiss's humorous, down-to-earth style takes all the mystery and intimidation out of cycling and will inspire even the most hesitant couch potato to get out and ride! Eben Weiss is the blogger behind Bike Snob NYC. He is the author of Bike Snob, Bike Snob Abroad, and The Enlightened Cyclist. He lives in New York City with his family. Suzuki Intruder, Marauder, Volusia and Boulevard Haynes Service & Repair Manual Mar 28 2020 With a Haynes manual, you can do-it-yourself...from simple maintenance to basic repairs. Haynes writes every book based on a complete teardown of the vehicle, where we learn the best ways to do a job and that makes it quicker, easier and cheaper for you. 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The specific models covered by this manual are: VS700/750/800 Intruder, 1985-2004 VZ800 Marauder, 1997-2004 VL800 Volusia, 2001-2004 Boulevard C50, 2005-2019 Boulevard M50, 2005-2019 Boulevard S50, 2005-2019 (Does not include VX800 Marauder models) Yamaha FZR600, 750 & 1000 Fours '87 to '96 Jan 18 2022 Complete coverage for your Yamaha FZR600, 750 and 1000 covering the 600cc for 1989-1996, 750cc for 1987-1988 and 1000cc for 1987-1995: --Routine Maintenance and servicing --Tune-up procedures --Engine, clutch and transmission repair --Cooling system --Fuel and exhaust --Ignition and electrical systems --Brakes, wheels and tires --Steering, suspension and final drive --Frame and bodywork --Wiring diagrams --Reference Section With a Haynes manual, you can do it yourself...from simple maintenance to basic repairs. Haynes writes every book based on a complete teardown of the motorcycle. We learn the best ways to do a job and that makes it quicker, easier and cheaper for you. Our books have clear instructions and hundreds of photographs that show each step. Whether you're a beginner or a pro, you can save big with Haynes! --Step-by-step procedures --Easy-to-follow photos --Complete troubleshooting section --Valuable short cuts --Model history and pre-ride checks in color --Color spark plug diagnosis and wiring diagrams --Tools & workshop tips section in color Marine Diesel Basics 1 Jan 26 2020 Seeing is Understanding. The first VISUAL guide to marine diesel systems on recreational boats. Step-by-step instructions in clear, simple drawings explain how to maintain, winterize and recommission all parts of the system - fuel deck fill - engine - batteries - transmission - stern gland - propeller. Book one of a new series. Canadian author is a sailor and marine mechanic cruising aboard his 36-foot steel-hulled Chevrier sloop. Illustrations: 300+ drawings Pages: 222 pages Published: 2017 Format: softcover Category: Inboards, Gas & Diesel Suzuki GS550 and GS750 Fours Owners Workshop Manual, No. M363 Jun 23 2022 Haynes disassembles every subject vehicle and documents every step with thorough instructions and clear photos. Haynes repair manuals are used by the pros, but written for the do-it-yourselfer. Triumph 650 and 750 2-Valve Twins Owners Workshop Manual, No. 122 Feb 07 2021 Unit construction, 649cc, 747cc. Kawasaki ZR550 and 750 Zephyr Fours '90 to '97 Dec 17 2021 There is a Haynes manual for most popular domestic and import cars, trucks, and motorcycles. By conducting complete tear-downs and rebuilds, the Haynes staff has discovered all the problems owners will find in rebuilding or repairing their vehicle. Documenting the process in hundreds of illustrations and dear step-by-step instructions makes every expert tip easy to follow. 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Suzuki GSX-R600 and 750 Service and Repair Manual Nov 28 2022 GSX-R600K6 599cc 2006 GSX-R600K7 599cc 2007 GSX-R600K8 599cc 2008 GSX-R600K9 599cc 2009 GSX-R750K6 750cc 2006 GSX-R750K7 750cc 2007 GSX-R750K8 750cc 2008 GSX-R750K9 750cc 2009 Honda V45/65 Sabre and Magna Owners Workshop Manual Oct 27 2022 Complete coverage for your Honda V45/65 Sabre and Magna covering Vf700, 750 & 1100 V-Fours from 1982 to 1988: --Routine Maintenance --Tune-up procedures --Engine, clutch and transmission repair --Cooling system --Fuel and exhaust --Emissions control --Ignition and electrical systems --Brakes, wheels and tires --Steering, suspension and final drive --Frame and bodywork --Wiring diagrams John Deere 750 Tractor Technical Service Repair Manual Apr 09 2021 Yamaha XV (Virago) V-Twins 1981 to 2003 Jun 30 2020 Each Haynes Manual is based on a complete teardown and rebuild of the specific vehicle. Features hundreds of "hands-on" photographs taken of Powered by TCPDF (www.tcpdf.org) specific repair procedures in progress. Includes a full chapter on scheduled owner maintenance and devotes a full chapter to emissions systems. Wiring diagrams are featured throughout.' Kawasaki Vulcan 700/750 & 800 '85 to '04 Mar 08 2021 Every Haynes manual is based on a complete teardown and rebuild, contains hundreds of "hands-on" photos tied to step-by-step instructions, and is thorough enough to help anyone from a do-it-your-selfer to a professional. Yamaha FZR600,750 & 1000 Fours 87-96 Oct 15 2021 Haynes offers the best coverage for cars, trucks, vans, SUVs and motorcycles on the market today. Each manual contains easy to follow step-by-step instructions linked to hundreds of photographs and illustrations. 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Kawasaki Vulcan 700 & Vulcan 750 1985-2006 Aug 01 2020 VN700 (U.S.) (1985), VN750 (U.K.) (1985), VN750 (1986-2006) Clymer Honda 700-1100Cc V-Fours 1982-1988Apr 21 2022 Kawasaki ZX750 (Ninja ZX-7 & ZXR750 Fours, '89-'96 Dec 29 2022 Each Haynes manual provides specific and detailed instructions for performing everything from basic maintenance and troubleshooting to a complete overhaul of the machine, in this case the Kawasaki ZX750 (Ninja ZX-7 & ZXR750 Fours, model years 1989 through 1996. Do-it-yourselfers will find this service and repair manual more comprehensive than the factory manual, making it an indispensable part of their tool box. A typical Haynes manual covers: general information; troubleshooting; lubrication and routine maintenance; engine top end; engine lower end; primary drive, clutch and external shift mechanism; transmission and internal shift mechanism; engine management system; electrical system; wheels, tires and drivebelt; front suspension and steering; rear suspension; brakes; body, and color wiring diagrams. An index makes the manual easy to navigate. Ford Model A Instruction Book Nov 04 2020 This book contains information necessary to the proper handling and care of your Ford car. Read it carefully—particularly the instructions on lubrication, the cooling system, care of battery, etc., which are absolutely necessary to economical and satisfactory operation. Your car is a splendid piece of machinery. If properly cared for, it will give you years of satisfactory service at little cost. When repairs are needed, we recommend having the work done by an authorized Ford dealer. They are provided with special service equipment. Furthermore they are interested, more than any one else, in your personal satisfaction with the car. Let experienced mechanics make repairs or adjustments. Your car is too valuable a piece of machinery to place in unskilled hands. Expert workmanship is just as essential in servicing your car as it is in building it. Harley-Davidson XL Sportster 2014-2017 Oct 23 2019 Each Clymer manual provides specific and detailed instructions for performing everything from basic maintenance and troubleshooting to a complete overhaul of the machine. This manual covers the Harley-Davidson XL Sportster built from 2014 to 2017. Do-it-yourselfers will find this service and repair manual more comprehensive than the factory manual, making it an indispensable part of their tool box. Specific models covered include: XL883L SuperLow (2014-2017), XL883N Iron 883 (2014-2017), XL883R Roadster (2014-2015), XL1200C 1200 Custom (2014-2017), XL1200CA Custom Limited A (2014-2016), XL1200CB 1200 Custom Limited B (2014-2017), XL1200CP 1200 Custom (factory custom) (2014-2016), XL1200CX Roadster (2016-2017), XL1200T SuperLow (2014-2017), XL1200V Seventy-Two (2014-2016), and XL1200X Forty-Eight (2014-2017). Kawasaki 750 Air-Cooled Fours Owners Workshop Manual May 10 2021 Haynes disassembles every subject vehicle and documents every step with thorough instructions and clear photos. Haynes repair manuals are used by the pros, but written for the do-it-yourselfer. Kawasaki Z750 & Z1000, '03-'08 Dec 25 2019 Each Haynes manual provides specific and detailed instructions for performing everything from basic maintenance and troubleshooting to a complete overhaul of the machine, in this case the Kawasaki Z750 & Z1000, model years 2003 through 2008. Do-it-yourselfers will find this service and repair manual more comprehensive than the factory manual, making it an indispensable part of their tool box. A typical Haynes manual covers: general information; troubleshooting; lubrication and routine maintenance; engine top end; engine lower end; primary drive, clutch and external shift mechanism; transmission and internal shift mechanism; engine management system; electrical system; wheels, tires and drivebelt; front suspension and steering; rear suspension; brakes; body, and color wiring diagrams. An index makes the manual easy to navigate. 08 KAWASAKI TERYX 750 TECHNICAL SERVICE DEALER REPAIR MANUAL SPIRAL BOUND 2008Jul 24 2022 BMW 7 Series (E38) Service Manual Aug 25 2022 The BMW 7 Series (E38) Service Manual: 1995-2001 is a comprehensive source of service information and technical specifications available for the BMW 7 Series models from 1995 to 2001. Whether you're a professional or a do-it-yourself BMW owner, this manual will help you understand, care for and repair your car. Models, engines and transmissions covered: * 740i, 740iL: M60 4.0 liter, M62 or M62 TU 4.4 liter * 750iL: M73 or M73 TU 5.6 liter Engine management systems (Motronic): * Bosch M3.3 (OBD I) * Bosch M5.2 (OBD II) * Bosch M5.2.1 (OBD II) * Bosch M5.2.1 (OBD II / LEV) * Bosch ME 7.2 (OBD II) Automatic transmissions * A5S 560Z * A5S 440Z Moto-Guzzi 750, 850 and 1000 V-Twins Owners Workshop Manual, No. M339 Jan 06 2021 Haynes disassembles every subject vehicle and documents every step with thorough instructions and clear photos. Haynes repair manuals are used by the pros, but written for the do-it-yourselfer. Access Free Garmin Nuvi 750 Owners Manual Free Download Pdf Access Free pluto.wickedlocal.com on January 30, 2023 Free Download Pdf
Central to the ethics concerns of forensic work are the principles of truth-telling and respect for persons (Appelbaum PS: Ethics and forensic psychiatry: translating principles into practice. J Am Acad Psychiatry Law 36:195–200, 2008). In applying these principles to competency evaluations of individuals suspected of malingering, truth-telling prompts forensic psychiatrists to give honest, supported diagnoses but to also be aware of their own limitations. In commenting on United States v. Greer, 158 F.3d 228 (5th Cir. 1998), Drs. Knoll and Resnick articulated that the assessment of malingering can be difficult, and a label of malingering can be given erroneously (Knoll JL, Resnick PJ: U.S. v. Greer: Longer sentences for malingerers. J Am Acad Psychiatry Law 27: 621–5, 1999). In light of the significant biasing effects that a diagnosis of malingering may have in the court, the principle of truth-telling calls for evaluators to make a diagnosis when confident and the evidence is present, but to not avoid truthfully stating uncertainty. The principle of respect for persons also raises concerns for forensic psychiatrists in competency evaluations. In defining respect for persons, Dr. Appelbaum articulates that forensic psychiatrists should "not engage in deception, exploitation or needless invasion of the privacy" of individuals we evaluate (Appelbaum, p 197). Particularly with the knowledge that forensic reports could be used for unintended reasons, respect for persons calls upon forensic psychiatrists to take consideration of the information contained in reports so as to not exploit or needlessly invade privacy. The principle of respect for persons raises the question of whether evaluees should be warned that information obtained from the competency assessment could be used for purposes aside from a competency determination, with feigned incompetency affecting sentencing being one such example. Such a determination is not without consequences. Defendants may be more reluctant to engage in evaluations, and a chilling effect on the right to request competency hearings could result. How to approach these considerations is for each forensic evaluator to decide but the growing number of cases similar to Nygren suggests forensic psychiatrists should be thoughtful about the accuracy of their assessments, what information to include in a statement of non-confidentiality, and the breadth of information to include in their reports. Competency to Stand Trial of Sovereign Citizens Tetyana V. Bodnar, MD Fellow in Forensic Psychiatry Adrienne M. Saxton, MD Assistant Professor of Psychiatry Department of Psychiatry Case Western Reserve University School of Medicine Cleveland, Ohio Adherence to Sovereign Citizen Movement Is Not Evidence of Incompetence to Stand Trial DOI:10.29158/JAAPL.200088L1-20 Key words: post-trial review; competence to stand trial; sovereign citizen In United States v. DiMartino, 949 F.3d 67 (2d Cir. 2020), the Second Circuit Court of Appeals considered whether the U.S. District Court for the District of Connecticut abused its discretion in denying a posttrial competency hearing to a member of the Sovereign Citizen Movement. Facts of the Case Terry DiMartino had been a successful independent insurance agent since the 1980s. Starting in 1996, he either did not file tax returns or filed erroneous tax returns. When the Internal Revenue Service (IRS) attempted to file liens against his property or to garnish his commissions, Mr. DiMartino tried to hinder the IRS's efforts. For example, he purchased a home through a trust as a means of concealing his ownership of the property. He also sent letters to the IRS in which he stated that the federal government lacked legal or constitutional authority to collect taxes. He threatened IRS agents with legal action. He went so far as to pay his taxes with counterfeit bonds. He was largely successful in his attempts, paying less than 1.5 percent of his $2.4 million income to the IRS between 2004 and 2013. Mr. DiMartino was ultimately charged in 2014 with one count of corruptly endeavoring to obstruct the IRS, two counts of filing false tax returns, and five counts of willful failure to file tax returns. Mr. DiMartino elected to represent himself at trial. At a Faretta hearing (following Faretta v. California, 422 U.S. 806 (1975)), it was determined that Mr. DiMartino knowingly, voluntarily, and intelligently waived his right to counsel, and he was appointed stand-by counsel. During the Faretta hearing, Mr. DiMartino testified that he "was in good health, that his mind was clear, and that he was not under the care of a psychiatrist" (DiMartino, p 70). In the ensuing trial, Mr. DiMartino testified that he did not intend to violate the law. He explained his belief that the IRS and the Department of Justice were private corporations; that he was not subject to the court's jurisdiction; and that the laws that required him to pay `taxes were nonexistent or invalid. Mr. DiMartino's defense was largely based on theories that are espoused by the Sovereign Citizen movement. Mr. DiMartino's involvement with the movement was evident as far back as 2007, when he had been observed at a convention of Sovereign Citizens, seeking advice about avoiding paying taxes. The jury ultimately convicted Mr. DiMartino on all counts. During the presentencing period, Mr. DiMartino retained counsel. The defense counsel submitted a motion seeking the court to order a posttrial competency evaluation accompanied by a report by a psychologist, Dr. Andrew Meisler. This report concluded that Mr. DiMartino had delusional disorder. A Daubert hearing (named after Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993)) was held to determine "whether Dr. Meisler's proffered expert testimony 'rest[ed] on a reliable foundation and [was] relevant to the task at hand'" (DiMartino, p 69, quoting Daubert) and whether there was reasonable cause to have a competency hearing. During this hearing, a courtappointed expert, Dr. Howard Zonana, testified about the proper method to diagnose delusional disorder and about his experience with Sovereign Citizens. The motion for a competency hearing was denied after the court ruled that the defense report by Dr. Meisler was "unreliable" (DiMartino, p 69). Mr. DiMartino's defense appealed the ruling, arguing that the trial court abused its discretion by giving no weight to Dr. Meisler's report and failing to conduct a competency hearing. The defense cited certain " red flag behaviors " that Mr. DiMartino demonstrated during the trial that should have warranted an evaluation of mental competence. These behaviors included Mr. DiMartino ' s refusal to prepare an accurate tax return prior to sentencing, his reported beliefs that tax laws and his prosecution were illegitimate, his countless inaccurate filings with the court and with the IRS, and the multiple statements that he made about his legal theories. Ruling and Reasoning The Second Circuit affirmed the judgment of the district court and ruled that the district court did not abuse discretion in denying a competency hearing. The decision to deny a competency hearing was influenced heavily by the district court assigning no weight to the psychological report proffered by the defense. The district court applied Federal Rule of Evidence 702 (2011) and Daubert to determine the "reliability" of the defense's psychological report. The court determined that the defense's psychological report was not reliable because it was not "based on sufficient facts [and] data" (Fed. R. Evid. 702). In writing the report, Dr. Meisler did not read transcripts from much of Mr. DiMartino's trial and did not obtain collateral information regarding Mr. DiMartino's asserted beliefs about the government. The court found that Dr. Meisler's methods were unreliable because he did not consider Mr. DiMartino's beliefs in the context of the Sovereign Citizen movement. Notably, Dr. Meisler agreed with Dr. Zonana's testimony that one's membership in a subculture is an important factor in determining whether one's beliefs rise to the level of a delusion. Other circuit courts have previously ruled that beliefs aligned with tax-protestor movements are not per se evidence of mental incompetence. Additionally, the district court appropriately relied on its own observations of Mr. DiMartino during the trial in determining whether there was reasonable cause to hold a competency hearing. The government pointed out that in defending himself, Mr. DiMartino demonstrated that he understood the nature and consequences of the proceedings against him. For example, Mr. DiMartino tried to persuade the jury that he lacked mens rea; he tried to appear sympathetic to the jury; and he attempted to have the jury nullify the law that he was charged with breaking. Discussion This case is important to forensic psychiatrists for two reasons. First, it serves as a reminder to use sound and reliable methods in conducting forensic evaluations, which may include seeking collateral information, using standardized and validated assessments, and formulating diagnoses in a reliable manner. According to Daubert, Federal Rule of Evidence 702 should be used as the standard for admitting expert testimony in federal trials. The judge serves as the gatekeeper and may consider factors including whether a theory has been tested, subject to peer review or published in scientific journals, has a known error rate, has general acceptance in the scientific community, and whether standards that govern its operation exist. Second, in conducting forensic assessments, forensic experts should consider the individuals they are evaluating in the context of any relevant subcultural belief systems. A prominent subculture often seen in the U.S. legal system is the Sovereign Citizen movement. Adherents to this movement were estimated to number approximately 300,000 in 2014, but the movement has been gaining popularity, especially among African American and prison populations (Parker, GF: Competence to stand trial evaluations of Sovereign Citizens: a case series and primer of odd political and legal beliefs. J Am Acad Psychiatry Law 42: 338–49, 2014). Although there is not a singular, well-defined belief structure, there are several common themes adopted by adherents. Individuals who adhere to the movement often claim that the existing court system and state and federal governments are corrupt and are designed to deprive people of their individual property rights. Sovereign Citizens often do not seek licenses, pay taxes, or hold a Social Security number. These actions often result in legal actions against them. In court, Sovereign Citizens commonly raise inappropriate objections and file multiple illegitimate motions. They frequently choose to represent themselves and sometimes do not answer questions posed to them by judges, attorneys, or police. Although courts that are unfamiliar with this movement may order psychiatric evaluations of these individuals, adherents to these beliefs are generally not mentally ill and should be considered as espousing a cultural identity. (Although mental illness and subculture ideology can coexist, it is important to not conflate the two.) A Sovereign Citizen's legal views "[do] not evidence confusion on the [defendant ' s] part about the legal proceedings against him, but rather [reflect] firmly held, idiosyncratic political beliefs punctuated with a suspicion of the judiciary " ( United States v. Brown , 669 F.3d 10 (1st Cir. 2012), p 18). Competence to Waive Miranda Rights Selena R. Magalotti, MD Fellow in Forensic Psychiatry Charles W. Luther, MD Assistant Professor Department of Psychiatry Case Western Reserve University School of Medicine Cleveland, Ohio Miranda Rights May Be Voluntarily Waived When the Accused Refuses Verbal Explanation of Rights by Law Enforcement DOI:10.29158/JAAPL.200088L2-20 Key words: Miranda; understand warning; voluntarily waive right In State v. Parker, 459 P.3d 793 (Kan. 2020), the Kansas Supreme Court heard a direct appeal from the district court regarding admissibility of statements made after the defendant, Willie Parker, read his Miranda rights but refused to sign the waiver and refused to have law enforcement read his rights aloud to him. Mr. Parker argued that the district court should have suppressed the statements because the investigators did not take sufficient steps to ensure his understanding of his rights. Although Mr. Parker showed signs of mental illness, the court ruled that there was no reversible error in the district court's decision not to suppress the statements. Facts of the Case Mr. Parker was employed by Michel Ziade as a patient transport driver. On July 28, 2015, Mr. Parker and Mr. Ziade had a verbal argument in a parking garage regarding work hours and accountability. They insulted each other, used profanity, and ultimately engaged in a fist fight. Witnesses said that Mr. Parker hit Mr. Ziade. A co-worker broke up the
United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued January 10, 2022 Decided August 30, 2022 No. 20-5179 GULF RESTORATION NETWORK, ET AL., APPELLANTS v. DEBRA A. HAALAND, IN HER OFFICIAL CAPACITY AS SECRETARY OF THE INTERIOR, ET AL., APPELLEES Appeal from the United States District Court for the District of Columbia (No. 1:18-cv-01674) Brettny E. Hardy argued the cause for appellants. With her on the briefs were Stephen D. Mashuda and Christopher D. Eaton. Justin D. Heminger, Attorney, U.S. Department of Justice, argued the cause for federal appellees. With him on the brief were Todd Kim, Assistant Attorney General, and James A. Maysonett, Attorney. Steven J. Rosenbaum, Bradley K. Ervin, John C. Martin, Susan Mathiascheck, Charles J. Engel, III, and Nikesh Jindal 2 were on the brief for appellees American Petroleum Institute and Chevron, U.S.A., Inc. Before: WILKINS, KATSAS, and JACKSON, * Circuit Judges. Opinion for the Court filed by Circuit Judge KATSAS. KATSAS, Circuit Judge: The Department of the Interior sells offshore leases to oil and gas companies for development. This case concerns the adequacy of an environmental impact statement prepared in connection with two lease sales held in 2018. We hold that Interior adequately considered the option of not leasing, reasonably refused to consider potential future regulatory changes, and unreasonably refused to consider possible deficiencies in environmental enforcement. Given the one shortcoming we have identified, we remand without vacatur. I A The Outer Continental Shelf Lands Act (OCSLA) sets forth a procedural framework for oil and gas development in the Outer Continental Shelf, an area "between the outer seaward reaches of a state's jurisdiction and that of the United States." Ctr. for Biological Diversity v. U.S. Dep't of the Interior, 563 F.3d 466, 472 (D.C. Cir. 2009). In enacting the OCSLA, Congress declared that the Shelf "should be made available for expeditious and orderly development, subject to environmental safeguards." 43 U.S.C. § 1332(3). * Circuit Judge, now Justice, Jackson was a member of the panel at the time the case was argued but did not participate in the opinion. 3 The OCSLA establishes a four-stage process for development. First, Interior evaluates national energy needs to formulate a five-year plan of proposed lease sales. 43 U.S.C. § 1344(a). Next, Interior sells the leases to the highest responsible qualified bidders. Id. § 1337(a)(1). But a lease does not confer "an immediate or absolute right to explore for, develop, or produce oil or gas on the OCS; those activities require separate, subsequent federal authorization." Sec'y of the Interior v. California, 464 U.S. 312, 317 (1984). That comes at the third and fourth stages, when Interior reviews lessees' plans for exploration and then for development and production. 43 U.S.C. §§ 1340, 1351. During this process, Interior must prepare environmental impact statements (EISs) as necessary. See id. § 1344(b)(3). B The National Environmental Policy Act governs the preparation of EISs. NEPA establishes procedural requirements to ensure that the government gives "appropriate consideration" to environmental impacts before undertaking major actions. 42 U.S.C. § 4332(2)(B)–(C). It requires the government to "take a 'hard look' at the reasonably foreseeable impacts of a proposed major federal action." Indian River Cnty. v. U.S. Dep't of Transp., 945 F.3d 515, 533 (D.C. Cir. 2019) (cleaned up). NEPA also tasks the Council on Environmental Quality with promulgating implementing regulations. 42 U.S.C. § 4332(2)(B); Dep't of Transp. v. Pub. Citizen, 541 U.S. 752, 757 (2004). The statute requires that EISs consider "alternatives to the proposed action," 42 U.S.C. § 4332(2)(C)(iii), and a CEQ regulation clarifies that one such alternative must be the possibility of taking no action, 40 C.F.R. § 1502.14(c). 4 An agency can "meet its NEPA obligations in steps." W. Org. of Res. Councils v. Zinke, 892 F.3d 1234, 1237 (D.C. Cir. 2018). When "tiering" its EISs, the agency first publishes a programmatic EIS to assess "the broad environmental consequences attendant upon a wide-ranging federal program." Id. (cleaned up). It later issues "narrower EISs analyzing the incremental impacts of each specific action taken as part of a program." Id. at 1238. Supplements are required when the agency "makes substantial changes" to its program or "[t]here are significant new circumstances or information … bearing on the proposed action or its impacts." 40 C.F.R. § 1502.9(d)(1). C This appeal concerns Lease Sales 250 and 251, which were among the 11 that Interior proposed in its five-year plan covering mid-2017 to mid-2022. Interior held the sales in 2018. They involve more than 150 million acres in the Gulf of Mexico. Before the sales, Interior prepared three EISs. First, it issued a programmatic EIS addressing the environmental impacts of the five-year plan. Second, it issued a narrower "multisale" EIS addressing the impacts of leasing in the Gulf. Third, it issued a supplemental EIS specific to the two lease sales at issue. After the sales, three environmental groups asserted that the supplemental EIS did not comply with NEPA. They sued Interior and the Bureau of Ocean Energy Management (BOEM), the component agency within Interior that had prepared the EISs. They argued that BOEM failed to assess a true "no action" alternative because it had assumed that energy development would occur sooner or later, even if Lease Sales 250 or 251 did not. They also argued that BOEM had unreasonably assumed two rules for protecting the 5 environment would remain in effect, despite the possibility of future modifications. Finally, they argued that BOEM had unreasonably assumed all such rules would be effectively enforced, despite a report suggesting otherwise. The American Petroleum Institute and Chevron U.S.A. Inc. intervened in support of Interior. The district court granted summary judgment to Interior. In upholding BOEM's "no action" analysis, it found the Bureau had reasonably assumed that development was inevitable. Gulf Restoration Network v. Bernhardt, 456 F. Supp. 3d 81, 97–99 (D.D.C. 2020). The court concluded that BOEM did not need to consider whether the existing rules would change. Id. at 100. And it accepted BOEM's assumption that Interior would adequately enforce its rules. Id. at 100–02. The environmental groups now appeal. II Courts review agency compliance with NEPA through the Administrative Procedure Act. Sierra Club v. FERC, 867 F.3d 1357, 1367 (D.C. Cir. 2017). The district court thus sat as an appellate tribunal, reviewing BOEM's decision under the familiar APA standards. Am. Bioscience, Inc. v. Thompson, 269 F.3d 1077, 1083 (D.C. Cir. 2001). We, in turn, apply the same standards. Rempfer v. Sharfstein, 583 F.3d 860, 864–65 (D.C. Cir. 2009). Under the APA, we ask whether agency action is "arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law." 5 U.S.C. § 706(2)(A). This review is "highly deferential" to the agency. Defs. of Wildlife v. Jewell, 815 F.3d 1, 9 (D.C. Cir. 2016) (cleaned up). In particular, we "give deference to agency judgments as to how best to prepare an EIS," Indian River Cnty., 945 F.3d at 533, so long as the EIS "contains sufficient discussion of the relevant 6 issues and opposing viewpoints" and "the agency's decision is fully-informed and well-considered," Nevada v. Dep't of Energy, 457 F.3d 78, 93 (D.C. Cir. 2006) (cleaned up). III We first consider whether BOEM adequately considered a "no action" alternative in the supplemental EIS. A In preparing an EIS, an agency must evaluate the "reasonable alternatives to a contemplated action." Food & Water Watch v. FERC, 28 F.4th 277, 282 (D.C. Cir. 2022) (cleaned up). These alternatives must include the possibility of taking no action. 40 C.F.R. § 1502.14(c). In the supplemental EIS, BOEM assessed environmental impacts on the assumption that future lease sales would occur in the Gulf even if one such sale were cancelled. Given that assumption, the Bureau concluded the cancellation of one proposed lease sale "would not significantly change the environmental impacts" of development in the Shelf. J.A. 904. This analysis was not arbitrary. Interior has a statutory obligation to make the Shelf available for development to meet national energy needs. 43 U.S.C. §§ 1332(3), 1334(a). Moreover, record evidence showed that the Gulf compares favorably to other parts of the Shelf in terms of development opportunities, infrastructure readiness, and industry interest. Thus, Interior's five-year plan proposed that all but one of its lease sales would take place in the Gulf. So BOEM reasonably concluded that the cancellation of a single lease sale would only postpone development in the region. 7 BOEM also reasonably concluded that such a cancellation would not materially change overall environmental impacts. It explained that these impacts turn on the aggregate amount of leasing in the long run. A typical lease runs for 50 years, and BOEM projected impacts over a 70-year timeframe. At this scale, any single sale would make "only a small … contribution" to overall activity in the Shelf. J.A. 550. And a one- or two-year delay in development would have little effect on overall environmental impacts. B The environmental groups argue that BOEM failed to consider a true "no action" alternative because it assumed future lease sales would occur. They also argue that it was arbitrary for BOEM to predict that the postponement of a lease sale would not significantly affect the environment. We reject both arguments. 1 The environmental groups argue that a true "no action" alternative would involve the cancellation of all future planned leases. We agree that BOEM needed to consider that alternative, but we think it did. In the programmatic EIS, BOEM considered the effect of allowing no new leasing in the Gulf and even in the entire Shelf. And in the supplemental EIS, it incorporated that analysis by reference. BOEM permissibly divided its analysis across the EISs. Through tiering, an agency may first assess "broad environmental consequences" in a programmatic EIS and later supplement that analysis with "narrower EISs analyzing the incremental impacts" of specific actions. W. Org. of Res. Councils, 892 F.3d at 1237–38 (cleaned up). "The subsequent analysis need only summarize, and incorporate by reference, 8 the environmental issues discussed in the programmatic EIS." Nevada, 457 F.3d at 91. The environmental groups object that such tiering would effectively "bind the agency to hold the lease sales as proposed in the five-year plan." Reply Br. at 4. But BOEM remained free to reconsider its plan. It simply had no obligation to do so where, as here, no new information had emerged since the earlier EIS. 40 C.F.R. § 1502.9(d)(1)(ii). 2 BOEM reasonably concluded that the cancellation of a single lease sale would have only limited environmental effects. The environmental groups assert that delaying development might have significant effects if key variables— such as supply, demand, or available drilling technology— change over time. The Bureau acknowledged that possibility, but it made "educated assumptions about an uncertain future" and then engaged in the "reasonable forecasting" that "NEPA analysis necessarily involves." Sierra Club, 867 F.3d at 1374 (cleaned up). Specifically, BOEM estimated future production levels based on historical data and current industry trends. It predicted impacts by analyzing a range of factors and estimating their "frequency, duration, and geographic extent." J.A. 947. And it explained the scale at which it was considering the impacts. Because BOEM disclosed its assumptions and gave reasonable analysis, its conclusion passes muster. IV We next consider whether BOEM acted arbitrarily by failing to consider potential changes to two environmental rules designed to reduce the risk of oil and gas spills. 9 A The Bureau of Safety and Environmental Enforcement (BSEE), another component agency within Interior, makes and enforces rules to reduce risks from drilling. In 2016, it adopted two rules at issue here. The Production Safety Rule addressed certain systems and devices required to ensure safe production of oil and gas. See 81 Fed. Reg. 61,834 (Sept. 7, 2016). The Well Control Rule added new requirements for equipment used to safeguard against oil and gas blowouts. See 81 Fed. Reg. 25,888 (Apr. 29, 2016). After BOEM completed its supplemental EIS, BSEE revised these rules to eliminate "unnecessary regulatory burdens." See 83 Fed. Reg. 49,216 (Sept. 28, 2018); 84 Fed. Reg. 21,908 (May 15, 2019). BOEM invoked the 2016 rules as it undertook its NEPA analysis. It concluded that they would help minimize the risk of future oil and gas spills. But BOEM did not consider whether the rules might be changed, or what impact any changes might have on environmental safety. BOEM acknowledged the possibility of changes only in response to comments to the supplemental EIS. Later, after proposed changes began to take shape, BOEM discussed them when it finalized Lease Sale 251. At that point, BOEM concluded that the changes would not increase environmental risks because they left key protections intact. The environmental groups argue that BOEM should have discussed in its supplemental EIS the possibility that the 2016 rules would be changed. B We conclude that BOEM permissibly declined to consider the potential rule changes, which were too inchoate to require discussion in the supplemental EIS. USCA Case #20-5179 Document #1961351 Filed: 08/30/2022 Page 10 of 17 10 1 At the outset, we reject two threshold arguments raised by the intervenors. They contend that the environmental groups' criticism of the supplemental EIS amounts to a collateral attack on BSEE's decision to amend the rules, which is not cognizable under NEPA. City of Olmsted Falls v. FAA, 292 F.3d 261, 273 (D.C. Cir. 2002). But the groups do not challenge BSEE's regulatory amendments, only BOEM's failure to account for them. Because their theory "would have no effect on the validity" of BSEE action, they did not mount a collateral attack. Snoqualmie Valley Pres. Alliance v. U.S. Army Corps of Eng'rs, 683 F.3d 1155, 1160 (9th Cir. 2012). The intervenors also argue that this dispute is unripe because the BSEE rules have no bite until after the leasing stage. But we have held that a NEPA challenge is ripe once leases have been issued, which is when Interior's decision "will result in irreversible and irretrievable commitments of resources to an action that will affect the environment." Ctr. for Biological Diversity, 563 F.3d at 480 (cleaned up). Because Interior has reached this point of inevitability, "it is irrelevant to the existence of a justiciable controversy that there will be a time delay before the [rules] come into effect." Reg'l Rail Reorganization Act Cases, 419 U.S. 102, 143 (1974). 2 The district court said BOEM did not need to consider potential rule changes that, by definition, lacked the force of law. Gulf Restoration Network, 456 F. Supp. 3d at 100. We rest on a narrower rationale: An agency need not consider regulatory developments that are so inchoate as to be "not meaningfully possible" to analyze. Del. Riverkeeper Network v. FERC, 753 F.3d 1304, 1310 (D.C. Cir. 2014) (cleaned up). USCA Case #20-5179 Document #1961351 Filed: 08/30/2022 Page 11 of 17 11 In this case, BOEM finalized its supplemental EIS on December 5, 2017. See 82 Fed. Reg. 59,644, 59,645 (Dec. 15, 2017). Nothing in the record suggests that it had any specific information about the possible rule changes at that time. BSEE's earliest relevant action did not take place until December 6, when it completed its own draft environmental assessments. J.A. 1028–29. Although BSEE completed those assessments before BOEM published a notice of its supplemental EIS in the Federal Register, the relevant question is what BOEM knew "at the time the EIS was being prepared." Habitat Educ. Ctr. v. U.S. Forest Serv., 609 F.3d 897, 898 (7th Cir. 2010). Nothing before us establishes that the draft assessments were available to BOEM before December 6—or, for that matter, at any point before they were published in connection with BSEE's proposed regulatory changes. See 82 Fed. Reg. 61,703, 61,717 (Dec. 29, 2017); 83 Fed. Reg. 22,128, 22,147 (May 11, 2018). As of December 5, BOEM appears to have known only that rule changes might be forthcoming. Earlier in 2017, the President had ordered agencies to modify any regulations that burdened energy development unnecessarily, and the Secretary of the Interior had directed BSEE to review the Well Control Rule accordingly. 82 Fed. Reg. 16,093 (Mar. 31, 2017); J.A. 1079. But a general awareness that change might come is hardly the same as knowing its likelihood or contours. And NEPA does not require an agency to work through every "remote and speculative possibilit[y]." NRDC, Inc. v. Morton, 458 F.2d 827, 837–838 (D.C. Cir. 1972). So BOEM permissibly declined to consider in its supplemental EIS the potential for rule changes. Because the environmental groups contest only what BOEM should have considered in its supplemental EIS, we need not address whether post-EIS developments, such as USCA Case #20-5179 Document #1961351 Filed: 08/30/2022 Page 12 of 17 12 publication of the proposed changes, constitute the kind of "significant new circumstances or information" that might warrant an additional EIS. 40 C.F.R. § 1502.9(d)(1)(ii). But we note that, before holding Lease Sale 251, BOEM explained its view that the proposed amendments would not undermine environmental safety because they left "critical safety provisions intact." J.A. 1073. V We last consider whether BOEM acted arbitrarily by failing to address a report about deficiencies in BSEE's enforcement of existing safety and environmental regulations. A BOEM repeatedly factored BSEE's work into its analysis. In the programmatic EIS, it "assume[d] that BSEE would implement requirements for safe operations and environmental protection," and it promised to "reconsider[] any related environmental impacts" if that assumption proved unfounded. J.A. 282. In the multisale EIS, it outlined BSEE's duties and regulations. And in response to comments to the supplemental EIS, it credited what it described as BSEE's "rigorous inspection program" and "rigorous enforcement programs." J.A. 1021–22. But BOEM did not consider whether BSEE's work was in fact rigorous, despite some evidence that it was not. After each EIS, commenters asked BOEM to address a Government Accountability Office report that criticized BSEE. The report faulted BSEE for maintaining "outdated policies and procedures" and failing to develop "criteria to guide how it uses enforcement tools." J.A. 434, 438. It further found that this lack of criteria "causes BSEE to act inconsistently," creates uncertainty about BSEE's "oversight approach and USCA Case #20-5179 Document #1961351 Filed: 08/30/2022 Page 13 of 17 13 expectations," and risks "undermining [agency] effectiveness." J.A. 434, 438. After a commenter raised the report in response to the programmatic EIS, BOEM promised to address the asserted deficiencies at the leasing stage. J.A. 373. But it later reneged, telling commenters that the issues were outside the scope of the EISs at that stage. J.A. 736, 1023–24. B 1 We agree with the environmental groups that BOEM's failure to address the report was arbitrary. To engage in reasoned decisionmaking, an agency must respond to "objections that on their face seem legitimate." PPL Wallingford Energy LLC v. FERC, 419 F.3d 1194, 1198 (D.C. Cir. 2005) (cleaned up). Here, BOEM itself had repeatedly acknowledged the importance of BSEE enforcement to its analysis of environmental risks. And the GAO report, while hardly conclusive on this point, raised seemingly legitimate concerns about enforcement effectiveness. Of course, an agency may assume effective enforcement in the ordinary case. See United States v. Armstrong, 517 U.S. 456, 464 (1996) (discussing presumption of regularity). But it may not reach a conclusion that "runs counter to the evidence." Motor Vehicle Mfrs. Ass'n v. State Farm Mut. Auto. Ins. Co., 463 U.S. 29, 43 (1983). So, more is required when credible evidence seems to undercut the assumption. Here, BOEM sidestepped the GAO report and offered only unelaborated statements that BSEE's enforcement was "rigorous." In the circumstances here, that was not good enough. Likewise, because BOEM promised to consider the GAO report at the leasing stage, it should have explained its later decision not to do so. BOEM was of course free to change its 14 views, but it should have acknowledged and explained the change. See FCC v. Fox TV Stations, Inc., 556 U.S. 502, 515– 16 (2009). Instead, BOEM merely brushed aside the report as beyond the scope of the supplemental EIS. This unexplained about-face was also arbitrary. 2 The district court discounted the GAO report because it did not suggest a complete lack of enforcement. Gulf Restoration Network, 456 F. Supp. 3d at 101. On that basis, the court sought to distinguish Friends of Back Bay v. U.S. Army Corps of Engineers, 681 F.3d 581 (4th Cir. 2012), which held it arbitrary for the Corps to conclude that wetlands would be protected by a rule that was "entirely unenforced," id. at 588– 89. But while Friends of Back Bay may be factually distinguishable, its reasoning applies here. The Fourth Circuit asked whether the agency had any "reasonable basis" to conclude that the rule "was being adequately enforced." Id. at 589 (emphasis added). As noted above, the agency here relied on an assumption of effective enforcement, but it declined to address evidence undercutting the assumption. Interior further argues that BOEM did not need to address the report until after the leasing stage because BSEE enforcement does not begin until after leases are sold. But having invoked BSEE enforcement to argue that environmental concerns would be manageable, BOEM could not simultaneously "brush off comments" about lax enforcement "as beyond its purview." Del. Dep't of Nat. Res. & Env't Control v. EPA, 785 F.3d 1, 18 (D.C. Cir. 2015). Moreover, we doubt that consideration of BSEE's effectiveness can wait so long. Only at the early OCSLA stages does the agency "look[] ahead and assimilate[] broad issues relevant to the program" overall. Found. on Econ. Trends v. Heckler, 756 USCA Case #20-5179 Document #1961351 Filed: 08/30/2022 Page 15 of 17 15 F.2d 143, 159 (D.C. Cir. 1985) (cleaned up). After leases have issued, later EISs are "site-specific" and address "more particularized considerations." Id. (cleaned up). As with the issue of environmental mitigation more generally, BSEE's effectiveness is not merely site-specific, and so now was the time to address it. Before this court, Interior argues that the GAO report does not raise significant concerns about BSEE enforcement. It makes at least a plausible argument on that score. But given everything we have discussed above, BOEM should have explained its position in an EIS. We cannot affirm based on a post hoc litigation rationalization pressed by agency counsel. SEC v. Chenery Corp., 318 U.S. 80, 87–88 (1943). VI Because BOEM arbitrarily declined to consider the GAO report, we must reverse in part the grant of summary judgment and remand the case for further agency consideration of that issue. But we decline to vacate the supplemental EIS, the records of decision announcing Lease Sales 250 and 251, or the leases issued through those sales. Although vacatur is the typical remedy for an APA violation, it is not inevitable. "The decision whether to vacate depends on the seriousness of the order's deficiencies (and thus the extent of doubt whether the agency chose correctly) and the disruptive consequences of an interim change that may itself be changed." Allied-Signal, Inc. v. U.S. NRC, 988 F.2d 146, 150– 51 (D.C. Cir. 1993). Oglala Sioux Tribe v. U.S. Nuclear Regulatory Commission, 896 F.3d 520 (D.C. Cir. 2018), is instructive on the appropriateness of remand without vacatur in the NEPA context. There, we recognized the "seriousness" of the "deficiencies" in the EIS under review. Id. at 538. But we declined to vacate either the EIS or an associated mining USCA Case #20-5179 Document #1961351 Filed: 08/30/2022 Page 16 of 17 16 license because we had "not been given any reason to expect that the agency [would] be unable to correct those deficiencies" on remand, and we were concerned about the disruptive effects of vacating the license in the interim. Id. In addition, we concluded that the challenger would "not suffer harm— irreparable or otherwise" from leaving the license in effect at least for awhile longer. See id. The same considerations are present here. Whatever the seriousness of BOEM's error, its attorneys make a colorable case that the GAO report ultimately should not change the bottom line. While we cannot affirm on that basis, we can say that the environmental groups have given us no reason to doubt that BOEM itself can make the same case on remand. Moreover, vacatur would be highly disruptive for the lessees. They have paid millions of dollars to obtain their leases and have acted for some four years in reliance on them—including by investing substantial additional sums and by executing contracts with third parties. Moreover, any redo of the lease sales "would be tainted by prior publication of [the] lessees' proprietary valuation of the leases" following the original sales. Intervenors' Br. at 33. Conversely, the environmental groups have identified no harm that flows from leaving the sales in place for now, when exploration and development cannot occur absent further regulatory approvals from Interior. We also decline to grant an intermediate remedy between vacatur and remand without vacatur. The environmental groups propose that we at least enjoin activity under Lease Sales 250 and 251. We have occasionally ordered this kind of partial relief in NEPA cases. See, e.g., Pub. Emps. for Env't Responsibility v. Hopper, 827 F.3d 1077, 1084 (D.C. Cir. 2016) (declining to vacate a lease or regulatory approvals but vacating an EIS and imposing conditions on the lessee's activity). But we see no reason to grant such relief here. The USCA Case #20-5179 Document #1961351 Filed: 08/30/2022 Page 17 of 17 17 deficiency in the supplemental EIS seems correctable, and even partial relief would be disruptive, as the lessees risk forfeiting their leases if they cannot timely meet certain obligations. VII We reverse the summary judgment in part and remand the case to the district court with instructions to remand it to the agency for further consideration of the GAO report. In so doing, we decline to vacate any of the administrative orders under review. We affirm the summary judgment in all other respects. So ordered.
Designing for Children 2019 - Play and Learn Development of a robot for emotional support of children during walking rehabilitation Eriko Hara, Graduate School of Engineering, Takushoku University, Japan, email@example.com Jaime Alvarez, Dept. of Design, Takushoku University, Japan, firstname.lastname@example.org Koji Adachi, Dept. of Mechanical Systems Engineering, Takushoku University, Japan, email@example.com Yoshihito Kagawa, Dept. of Mechanical Systems Engineering, Takushoku University, Japan, firstname.lastname@example.org Abstract: Recent advancement in robotics technology has resulted in the increasing involvement of robots in several aspects of children life, including medical and nursingcare services. Within the field of children walking rehabilitation, robots with sophisticated technologies can assist patients' gait training in several physiological ways. However, although pediatric literature pays importance to emotional support during stressing medical procedures, literature review of this study could not find a robot that carries out this function for rehabilitation purposes. This paper describes the development process of an emotional support robot for pediatric walking rehabilitation. A four-steps outline of walking rehabilitation process was defined, and the children emotional states for each step were deduced. Based on these emotional states, the specific robot's emotional roles and motion to accomplish them were defined. Two robot prototypes were built and by onsite and web survey studies the proposed robot design, motion and effectiveness were validated. Key words: Walking rehabilitation, Children, Robot, Emotional support. 1. Introduction The Japanese Ministry of Health, Labour and Welfare has announced a shortage of 377,000 long-term care workers in 2025 (Ministry of Health, Labour and Welfare, 2015). In addition to securing human resources in the nursing care field, the Japanese government also places importance on creating an environment in which high-quality nursing care services can be provided with a limited number of personnel by using robot technology (Ministry of Health, Labour and Welfare, 2019). The purpose of robots providing care is generally to reduce the physical burden of nursing care staff, but there are also robots that provide non-physical care, such as communication robots used for cognitive or emotional purposes (Ministry of Health, Labour and Welfare, 2013). Within the field of children walking rehabilitation, robots with sophisticated technologies can assist patients' gait training in several ways, mainly by moving or guiding their lowerlimbs, supporting body-weight or maintaining appropriate posture. However, although children rehabilitation literature considers emotional support during rehabilitation therapy as an important factor for rehabilitation effectiveness (Yamazaki et al., 2006), literature review of this study could not find a robot that carries out an emotional function for walking rehabilitation. 2. Research objective Through prior literature review and market research, we came up with the idea of a robot for children walking rehabilitation that provides emotional support during therapy and also contributes to strengthen patient's motivation. The purpose of this initial stage of the research is to clarify the emotional roles that the robot must perform during rehabilitation, to design the form and motion of a robot that can fulfill these roles, as well as to validate these elements with a prototype. 3. Existing walking rehabilitation robots For the specific task of walking rehabilitation, this paper found robots that provide active physiological assistance during therapy, such as power suits or "exoskeletons" that increase the strength of legs and hips, fixed or mobile robotic gaits that maintain appropriate posture and balance for walking, and "end-effector robots" that move patient's legs through specific trajectories simulating walking. Additionally, this research found robots that provide instructions and feedback during walking exercises (Fig. 1). Although there are robots that provide emotional support by delivering calming and engaging effects, this research did not find this type of robots used in the walking rehabilitation field. This is an area of opportunity since rehabilitation therapy patients tend to experience pain and anxiety, and cooperativeness must be enhanced for future sessions. Moreover, research has shown that children are more emotionally sensitive than adults because they are less able to regulate their emotions, so they tend to feel in a stronger way those emotions experienced during rehabilitation [(Ryugo, 2004), (Yamazaki, 2006), (NHK Educational Corporation,2016)]. 4. Analysis of walking rehabilitation and Definition of robot's roles 4.1 General outline of walking rehabilitation In order to define the robot roles for providing emotional support, it was necessary to clarify specific usage scenarios during rehabilitation therapy, as well as the emotions experienced by children during it. The walking rehabilitation process was studied by carrying out literature review, observation of walking rehabilitation therapies and interviews with physical therapists with experience in pediatric walking rehabilitation. Based on the results, a walking rehabilitation outline that covers preparation to completion of the therapy was summarized in the following four steps (Table 1): (1)Preparation: A physiotherapist performs stretching and preparation exercises, (2)Immediately before the start: Transfer to the rehabilitation area or equipment and getting ready, (3)During rehabilitation: Perform walking rehabilitation, usually with auxiliary equipment, and must complete a defined number of repetitions of a certain exercise or walking distance, (4)End: Therapy ends when patient has completed the indicated number of exercises, or as indicated by therapist. 4.2 Child's emotions and robot roles In order to define the specific roles of the robot, the emotions of the patient generated in every step of the walking rehabilitation outline were clarified by carrying out interviews with a physiotherapist member of the Japanese Physical Therapy Association, who has experience in pediatric walking rehabilitation. This research speculates positive and negative emotions for every step of the rehabilitation outline, which are summarized in the "Patient's emotional state" in Table 1. Finally, according to the emotions shown by patients on each rehabilitation outline step, proposed specific emotional roles are summarized in "Robot's role towards patient", in Table 1. 5. Design of walking rehabilitation support robot 5.1 Concept This research envisions an autonomous robot that plays a role as a third party (apart from rehabilitation therapist and family members), and accompanies the walking rehabilitation patient, providing emotional support by its body movements. The target users are children who were able to walk alone, and the ideal flow of interaction between the patient and the walking rehabilitation support robot is as follows: (1)The robot detects the emotions of the patient by automated emotion recognition (AEE) technology. Next, (2)it determines the specific emotional support role that must be performed as well as the motion that can fulfill that role. Then, (3)moves alongside the patient to enhance empathy and sense of unity. The idea is that by repeating steps (1) to (3), the interaction between the robot and the child will be strengthened, and the child's willingness to rehabilitate will improve. 5.2 Design of robot form In order to clarify the effect of its movements, the robot has a simple structure consisting of two sections, a head and a torso without limbs. The external dimensions (width x depth x height) are 240 x 240 x 435 mm. Figure 1 shows the basic structure of the walking rehabilitation support robot. Figure 1. Basic structure of the emotional support robot for walking rehabilitation The robot being developed in this research has no face, due to the following reasons: First, in the field of balance training and walking rehabilitation, although calling a patient attention from a position in front of him may improve walking stability, precise focusing on a face may distract him/her (Mizuta et al., 2009). Secondly, to avoid changes in patient impression due to facial design preferences. Third one is to take advantage of the omniwheel capabilities of moving easily in any direction. For example, if a robot that has a face is looking to one direction while moving to the opposite one, it may feel creepy. Hence, by eliminating the face, it can move freely without causing any discomfort. After repeated examinations using idea sketches and rough models, a design based on the Reuleaux triangle was selected because it is symmetric but curvy at the same time. A right-handed curve was added at an angle of about 75° from the feet to the top for the purpose of emphasizing the rotational movement. 5.3 Design of robot motion Considering patients' emotions on each rehabilitation step, discussed in section 4, the following robot actions (movements) for emotional support were defined (Fig. 3). [x] At "Preparation" step: In order to decrease anxiety, the robot performs a "slow up and down" reciprocating movement, inspired by the up and down movement of the shoulders when taking a deep breath. [x] At "Immediately before start" step: In order to boost positive emotions the robot performs a "quick up and down" reciprocating movement, similar to a energetic gesture of pushing up the fist while cheering. [x] At "During rehabilitation" step: In order to express empathy with the difficulty of walking, the robot can accompany the patient by moving at his same walking speed and rhythm, and later on –when the patient gets tired- can locate ahead of him in order to lead and motivate to keep walking. The robot performs a "sliding" movement, in which it goes forward by alternatingly moving ahead the body and then the head. [x] At "End" step: In order to affirm the patient's efforts at the end of the therapy and celebrate for achieving the goal with intensity, the robot performs a "reverse rotation" movement, in which body and head rotate in different directions. 6. Prototyping and validation In order to validate proposed robot actions and design, two prototypes were built (Fig. 4). The first prototype had medium size (313 mm Width x 313 mm Depth x 600 mm Height) and was used for assessing impression towards robot motion. However, once this prototype was completed it was decided to change its size, so dimensions of the second prototype were reduced (230 mm Width x 230 mm Depth x 435 mm Height). The body shape of the first prototype had to be changed in order to decrease costs for 3D printing. Internal mechanisms and parts of both prototypes are basically the same, having slight differences in size. The prototypes are operated by remote control, since at the present stage of this research the sensing system has not being completed. Since involving children in the validation process of this research became increasingly difficult due to the Covid-19 situation in Japan, prototype evaluations had to be carried out with adult subjects. 6.1 Evaluation of impression towards robot motion The subjects were 20 healthy university students (12 males and 8 females) who were randomly selected at campus. The walking rehabilitation procedure was first explained and then mid-size robot performed the different types of defined motion (Figure 5). The evaluation was performed using the SD method (11 pairs of impression words, 7-point scale). The layout of the experiment and robot trajectories is shown in Figure 6. Table 2 describes each movement of the robot, as well as detailed information of operating speed and moving distance. Using analysis of variance, we compared the impressions of robot movements for each evaluation item and confirmed significant differences in movements. As for the analysis method, one-way analysis of variance (One-way ANOVA) showed a difference in population mean, so a multiple comparison test (Bonferroni) was performed. The main results of the evaluation can be summarized as follows: [x] Stationary state, "slow up and down" reciprocating movement and "slow sliding displacement" were associated to an impression of [being calm]. [x] The movements of "quick up and down" reciprocating movement and "reverse rotation" movement transmitted an impression of [being energetic and excitement]. [x] The "up and down" reciprocating movement -regardless of speed- were associated to an impression of [cheering]. [x] "Sliding displacement" was indicated as transmitting a [cuddling] impression. [x] "Reverse rotation" was linked to an impression of [being happy]. From the results of this first evaluation it can be assumed that the movements defined for robot motion can transmit the desired emotion for each of its support roles. 6.2 Evaluation of impression towards robot form An online questionnaire was conducted with the aim of clarifying the impression of the robot exterior design. As stated before, for this evaluation a smaller (by approximately 30%) prototype was produced with the original design (Fig. 4). The questionnaire was responded by a total of 71 persons, with a great majority of university students and some persons from general public (46 men and 25 women). Respondents were asked to evaluate robot images according a set of impression words, which were extracted from past robot sensitivity evaluation experiments found in literature review [(Kanda et al., 2001), (Kanda et al. 2002), (Inoue, 2013), (Mori, 2004), (shibata, 2012)]. The evaluation included comparison of the form of both medium and small size prototypes. The answer method is the SD method (12 pairs of impression words, 7-step scale) and free questions. As a result of histogram analysis, it became clear that the overall impression of the robot form was evaluated according the following expressions: "good", "gentle", "cute", "I like it", "sense of stability", "interesting" and "mechanical". Comparison of the two prototypes revealed that the smaller robot was higher evaluated as "friendly", and it became clear that form elements that mainly affect this evaluation are the robot curves lines, rounded form and smaller size. On the question "Do you think the small prototype has a face?" 43 people (60.6%) answered positively. For such cases, we asked to select the robot area that looks like a face, and most of these respondents selected the area in the head with protrusions. Among them, few respondents had a negative impression of this protruding ("mechanical", "unfriendly", and "scary"), but there at the same time few persons said that protruding elements makes the head to look "cute", "as an animal". As a conclusion of this evaluation it can be said that the majority of respondents had a positive overall impression of the robot form, with an image associated to positive adjectives that match the intended robot emotional roles. However, regarding the robot face, the fact that more than half or respondents perceived the robot as having a face requires further analysis. Regarding this matter, it may be inferred that, some respondents found scary to perceive a face in the robot while not having explicit face attributes. 6.3 Evaluation of overall impression by healthcare professionals The purpose of this evaluation is to clarify the impression regarding the robot form and the effectiveness of the robot movement for each role. A total of 10 medical professionals (6 nurses, 2 medical universities professors, 1 nursing teacher and 1 physiotherapist) participated in this evaluation, carried out by a web questionnaire. As for the evaluation method, the concept of the robot and the defined outline of walking rehabilitation were explained, together with the design intention of the robot form and motion. Short videos of every motion of the robot were included for evaluation (Fig. 7). These videos were shown in an order according to the rehabilitation outline steps discussed in section 4. The analysis method was SD and free questions. For the impression of the robot form, 5 pairs of impression words were evaluated on a 7-points scale, and for the effectiveness of each movement, evaluation was done with a 7-points scale. Although 10 respondents are not an adequate statistical sample, the study results are summarized as follows: [x] In evaluation of the overall impression of the robot form, impressions tended to "good", "I like it" and "mechanical". Although there were favorable opinions such as "its unique shape can help to call kid's attention" and "I think it may be easier to get along with the robot without a face than having one", a contrasting opinion such as "it might be a little scary for kids" was also obtained. [x] On the evaluation of the 8 proposed robot motion, 7 movements were satisfactorily evaluated, with more than half of respondents considering each movement to be effective for its intended emotional role. Only "sliding displacement" was considered not effective for the role of expressing empathy with the difficulty of walking. [x] The usefulness of the robot in its present state (operated by remote control, without automated functions) was favorably evaluated by more than half of respondents. Similar results were obtained regarding the willing to use a robot incorporating automated functions. 7. Conclusions This study aimed the realization of an emotional support robot for children walking rehabilitation by first clarifying the emotional roles that the robot must perform during rehabilitation, designing the form and motion of the robot that can fulfill these roles, and finally performing validation of these elements by using prototypes. Although a final goal of this research is to develop a robot with a high level of automation, presently the robot prototype is operated by remote control. At this state, the overall impressions of the robot design, motion and effectiveness have been favorably evaluated. These results may allow concluding that using the proposed robot for emotional support for pediatric walking rehabilitation could be effective. It is clear that the weakest point of this research is that children have not been formally involved in the evaluation studies, due mainly to difficulties related to Covid-19 pandemic. Due to this situation the evaluation studies of the robot form and effectiveness were performed online. However, although the number of medical professionals who participated in the evaluation was low, their opinions tended to be as favorable as the one obtained by other respondents. Overall, obtained results have been encouraging, and not favorable opinions also shed light on issues that can be improved. These results also suggest a potential to use the robot for adults walking rehabilitation. From a design perspective, a valuable contribution of this research has been working toward a direction of a faceless robot. Despite the strong tendency of setting face features in robot design, this research has been explored a different direction with satisfactory results. Nevertheless, a more comprehensive validation requires involving children and performing a quantitative evaluation with more statistical power, as well as on-site qualitative observation. References Ministry of Health, Labour and Welfare. (2015) 2025-Nen ni muketa kaigo jinzai ni kakaru jukyū suikei (kakutei-chi) ni tsuite [Estimated supply and demand for long-term care personnel toward 2025] [Press release]. 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Finite-state Transducers as Regular B¨ohm Trees G´erard Huet and Henri Laulh`ere INRIA, Rocquencourt, BP 105, 78153 Le Chesnay Cedex, France Abstract. We present a uniform translation from ﬁnite-state transducers to regular B¨ohm trees presentations. The corresponding B¨ohm tree represents directly the trace semantics of all ﬁnite and inﬁnite behaviours of the given transducer. We consider variations on this basic idea, and generalisations of ﬁnite-state transducers suggested by the general formalism of regular B¨ohm trees. This work suggests the use of recursive B¨ohm trees combinators as a machine-language for reactive programming. Introduction We give a uniform translation from ﬁnite-state transducers to regular B¨ohm trees. We assume familiarity with the formalism of recursive B¨ohm trees combinators as introduced by Huet in [3]. Roughly speaking, B¨ohm trees are the completion of normal forms in the λ-calculus into inﬁnite trees. Regular B¨ohm trees are those which may be deﬁned by ﬁnite families of mutually recursive combinators of a simple kind. 1 Finite-state transducers We assume a deterministic ﬁnite-state transducer described as follows. Its input alphabet is A = {a1, ..., an}. Its output alphabet is B = {b1, ..., bp}. Its set of states is S = {S1, ..., SN }. Its set of transitions is described by a set of transition rules T = {TS,a\|S ∈S, a ∈A} with TS,a = (S ′ , b) where S ′ ∈S and b ∈B ∗ . Meaning "In state S, reading input a, the transducer outputs b and goes in state S ′ ." A deterministic transducer is deﬁned by the quadruple of the input alphabet, the output alphabet, the states and the transition rules : ⟨A, B, S, T ⟩. Actually this quadruple deﬁnes a family of transducers indexed by S. The index corresponds to the initial state of one transducer in the family. 2 Translation to a B¨ohm tree presentation 2.1 The encoding We associate a B¨ohm tree presentation ε to the transducer. This notion, deﬁned in [3], presents forests of B¨ohm trees as families of recursive combinator deﬁnitions of a simple kind. In this particular case, the set of combinators is S plus a set of auxiliary combinators T containing m members for each rule in R whose output word b is of length m . For every state S , we write a set of combinator deﬁnitions as follows: For each input letter a ∈A and state S ∈S, let TS,a = (S ′ , b) with b = b1 . . . bm. We introduce m combinators TS,a,j with 1 ≤ j ≤ m. Let u, v1, . . . vp be distinct variables. We deﬁne terms Ma,j with 1 ≤ j ≤ m + 1 as follows: ) and we write the m deﬁnitions: Let Na be Ma,1. We ﬁnally write the deﬁnition for S as where n and p are respectively the cardinality of the input alphabet A and the output alphabet B. Variable u represents the input of the transducer, while vi represents the ith element of the output alphabet. Remark. In this encoding we assume that the transducer is total, i.e. for every state S ∈S and every letter in the input alphabet a ∈A there is a transition rule in R. If the transducer is partial (not total), we may use dummy combinators, without deﬁning equations in ε, to represent absent transitions. We have two solutions: 1. using the same combinator ⊥ for all the absent transitions. In this case we deﬁne Ni as ⊥ (v1, . . . vp). 2. using a diﬀerent combinator for each absent transition. In this case we deﬁne Ni as US,a(v1, . . . vp). US,a is an unknown combinator without a deﬁnition. The advantage of the second solution is that it may be completed in an incremental way by adding separate deﬁnitions for the various US,a. 2.2 An example The transducer. We deﬁne a particular transducer. Its input alphabet is A = {a1, a2}. Its output alphabet is B = {b1, b2, b3}. Its set of states is S = {S1, S2}. Its set of transition rules is deﬁned by the following automaton graph: a1; ε The corresponding regular B¨ohm tree presentation 2.3 Global variant There are several variations on such encodings. The B¨ohm tree corresponding to the above encoding has a bound variable u for each value in the input stream. We can use a diﬀerent encoding where all these u's are shared. We deﬁne the terms Ma,j with 0 ≤ j ≤ m as follows. and we write the m deﬁnitions: Let Na be Ma,1. We ﬁnally write the deﬁnition for S as Example. The global encoding of the preceding example is as follows: ``` S1 v1 v2 v3 u := u(S1(v1, v2, v3, u), T1(v1, v2, v3, u)) T1 v1 v2 v3 u := v1(T2(v1, v2, v3, u)) T2 v1 v2 v3 u := v2(S2(v1, v2, v3, u)) S2 v1 v2 v3 u := u(T3(v1, v2, v3, u), T4(v1, v2, v3, u)) T3 v1 v2 v3 u := v2(S2(v1, v2, v3, u)) T4 v1 v2 v3 u := v3(S1(v1, v2, v3, u)). ``` Discussion on the encodings The basic ideas behind our encodings are issued from the classical λ-calculus encodings of arithmetic worked out by Church. In these codings, data structures are explained as unsaturated control structures. Thus the pairing constructor is deﬁned as p := λx y u.u(x, y) and the pair (x, y) is thus represented as λu.u(x, y). This functional object may then be applied to a selector function in order to project on its components, with π1 := λx y.x and π2 := λx y.y. More generally, the n-tuple constructor is λx1 . . . xn u.u(x1, . . . , xn). This idea is exploited directly in the deﬁnition of the state combinators S above. They correspond in the B¨ohm tree to a node with n subtrees. Remember that n is the cardinality of the input alphabet. The n subtrees correspond to all the transitions issued from state S. Dually, the outputs are coded as projection functions, with letter bj represented as λv1 . . . vp.vj. The transition combinators T are deﬁned as the application of the corresponding letter encoding in the output string to a unique subtree argument, which represents the "continuation", i.e. either a transition combinator if the output string is not exhausted, or the next state combinator otherwise. In the ﬁrst representation, a fresh variable u is generated at each state transition, whereas in the global variant all the n-tuple constructors are identiﬁed as a unique variable u bound at the top root of the tree. The ﬁrst representation has the advantage that the combinator expressions may directly be used to simulate by reduction the behavior of the automaton, by applying the state nodes to actual input characters coded as projections. The global representation is not so diﬀerent actually, since the unique top u may be instantiated by the n-tuple constructor, which will generate a fresh u at each level. This trick is well known from the B¨ohm-out construction which is the basis for the proof of B¨ohm's theorem[4]. 3 Semantics of ﬁnite state transducers We shall now actually formalize this intuitive explanation of the link between the B¨ohm forest represented by our combinator presentation and the forest of all the behaviors of the corresponding transducer family. 3.1 Derivation tree Deﬁnition. The derivation forest of the transducer family is the forest of all its possible traces. It is potentially inﬁnite. A tree in the forest has the following shape: S11 ... This deﬁnes the tree of behaviors of the ﬁnite automaton underlying the transducer. The nodes of the tree are labeled by states, the arcs are labelled by the corresponding transitions. The top node of the tree is the initial state. In other words, each tree in the forest is the unfolding of the automaton graph, starting at the initial state. 3.2 Associated B¨ohm tree We now associate a (possibly inﬁnite) B¨ohm tree to each such derivation tree, where we replace the arc labels by linear B¨ohm trees encoding the output strings. Assuming that S0 is the initial state, we associate to the root of the tree the B¨ohm tree where D(T ) are the B¨ohm trees associated to the arcs of the derivation tree. S,ai To each arc in the tree TS,a = (S ′ , b) with b = b1 . . . bm, we associate the B¨ohm tree: To each non-root node of the tree we associate the B¨ohm tree: Fact: The B¨ohm tree D(S0) and the B¨ohm tree BS0 deﬁned by (ε, S0) are identical. Proof. D(S0) is a solution of ε (left to the reader). By the Banach ﬁxpoint theorem we know that there is only one solution to this system. This proves that BS0 , the B¨ohm tree associated to ε and D(S0) associated to the derivation tree are identical. Note. In the global variant we would obtain a very similar B¨ohm tree except that there is no λu in the internal nodes (and all the u's refer to the one bound at the root). This result allows us to use the combinators as a mechanism to compute the behavior of the transducer. This formalism can be considered as a simple abstract machine. It can be used as the output language of reactive languages compilers since such languages are usually compiled into transducers. In particular, regular B¨ohm trees are well suited for functional reactive languages like Lustre [1, 5]. Remark that equality of our B¨ohm trees corresponds to bisimulation of the corresponding automata. However the notion of extensional equality studied in [3] is not relevant here, since our B¨ohm trees have ﬁxed arities, and η expansion has no direct interpretation. 4 Discussion The shape of the B¨ohm tree presentation ε associated to a transducer is very speciﬁc. It seems that all the features of regular B¨ohm trees are not exploited by our encoding. In this short version of this note, we just evoke brieﬂy some possible generalisations of regular transducers suggested by the full power of our regular B¨ohm combinators. These generalisations will be developed in more detail in the full version of this paper. 1. All the input nodes are n-ary. If we relax this condition, we could have a notion of transducer where the possible inputs depend on the current state of the transducer. This would give a kind of typed automaton: states are typed by the alphabet of inputs allowed to occur in the input stream. This could have a natural interpretation in control automata where there is not a global unique input tape, but rather each state allows certain signals to be taken into account. Diﬀerent signals could correspond to diﬀerent input variables; that is, the rˆole played so far by variable u could be played by several signal variables u1, . . . , uq given with their respective type. 2. Similarly, the output alphabet is ﬁxed so far; i.e., the vj's are bound initially in the starting state, and then just passed along in every combinator deﬁnition; instead, we could 'forget' certain output letters by not transmitting them in a combinator call, and conversely 'generate' new members of the output alphabet by extra bindings; this would give a kind of bounded memory to our transducers: they could output information which would actually represent some kind of partial trace of previous states. 3. All the output nodes are unary. If we relax this condition, we would get the notion of a multitask transducer. This transducer outputs a tree node of arity p and forks into p automata, each of these governing one branch of the generated output. Of course, all these automata share the same control graph. On the other hand, several possible interpretations of how to read the input stream may be considered. The usefulness of these elaborations is not entirely clear. If we look at B¨ohm trees in full generality, we are looking at the combinatory richness of a Turingcomplete formalism, which may emulate all possible control and data structures: stores, environments, continuations, functional encodings of data structures, etc. On the other hand, if we consider only those trees which may be generated from ﬁnite systems of combinators, it is very likely that whatever construct we may interpret could be as well encoded in a plain ﬁnite-state transducer, by standard tricks (increasing the states, merging several input tapes into one input tape over a larger alphabet, etc). 5 Conclusion In this paper, we have explored expressivity of regular B¨ohm trees. In particular we have shown that deterministic ﬁnite-state transducers could be encoded as regular B¨ohm trees. We propose two diﬀerent representations: 1. A global encoding with no internal λ binders. It is very similar to regular trees used in the semantics of ﬂowcharts (see [2]). 2. An encoding with internal binders. This encoding allows us to simulate the behavior of the transducer by reduction. We have also started to investigate how to exploit the full generality of regular B¨ohm trees to enrich ﬁnite-state transducers into more general reactive automata, which could accomodate higher-level notions from languages of the reactive paradigm family (Lustre, Signal, Est´erel, Statecharts, etc). So far we only gave a sketch of some possible interpretations of the general formalism. A possibly more fruitful investigation would be to explore the possibility of representing more powerful automata. For instance, there is a natural generalisation of regular B¨ohm combinators which yields pushdown automata, but this is getting out of the scope of the present note. References 1. P. Caspi, M. Pouzet. Synchronous Kahn Networks. In ACM SIGPLAN International Conference on Functional Programming, Philadelphia, May 1996. 2. B. Courcelle. Fundamental properties of inﬁnite trees. Theoret. Comput. Sci. 25 (1983) 95–109. 3. G. Huet. Regular B¨ohm Trees. To appear, Math. Struct. in Comp. Science. Available at ftp://ftp.inria.fr/INRIA/Projects/coq/Gerard.Huet/RBT.ps.Z 4. G. Huet. An analysis of B¨ohm's theorem TCS 121(1993) 145-167. 5. P. Raymond, N. Halbwachs, P. Caspi and D. Pilaud. The synchronous dataﬂow programming language LUSTRE. Proceedings of the IEEE, 79(9) 1305-1320, 1991. This article was processed using the L a TEX macro package with LLNCS style
What would 'trading on WTO terms' mean? What would 'trading on WTO terms' mean? Foreword The day when the UK is scheduled to leave the EU is drawing closer, and concerns over the fate of the deal negotiated by the Prime Minister are becoming more acute. As a result, the World Trade Organisation (WTO) is being talked about again. As MPs consider the implications of voting down Mrs May's deal, there seems to be renewed interest in the idea of a post-Brexit UK trading with the EU 'on WTO terms'. The phrase is frequently bandied about, but rarely explained. This is what we aim to do in this short report. It is intended for a non-specialist audience and attempts to spell out in layperson's terms what such an outcome would mean. We have deliberately not attempted any economic modelling – much of this has already been done elsewhere, including by us. Rather, we seek to assess what WTO terms would mean and particularly what it might mean for the ability of the UK to trade both with the European Union and more broadly. As ever, this report has come from the hard work and collaboration of a number of colleagues. We'd like to record our profound thanks to Katy Hayward, David Henig, Holger Hestermeyer, Emilija Leinarte, Sam Lowe, Steve Peers and Peter Ungphakorn. Their more detailed reflections on this subject can be found in the longer report that they have produced here. Catherine Barnard and Anand Menon Contents Introduction Brexit. The things we never knew about and never thought we'd need to: Article 50, the Good Friday Agreement, the nature of the devolution settlement and complex international supply chains. We should now add the World Trade Organisation (WTO) to this list. The WTO is an institution frequently mentioned in the context of Brexit, yet profoundly misunderstood. The idea that the UK could trade on 'WTO terms' is rarely if ever clearly explained. There are two parts to the process of the UK's withdrawal from the EU: * the withdrawal agreement, wrapping up the outstanding issues from the UK's EU membership such as the divorce bill, citizens' rights and the Irish border. This is the legally binding 585-page document that the Prime Minister has brought back from Brussels and which very few in Parliament seem to like; and * the future relationship between the UK and the EU. The broad form of this is outlined in the political declaration accompanying the Withdrawal Agreement. However, the future relationship itself won't be negotiated in precise terms until the UK has actually left the EU. So, where does the WTO fit into all of this? Simply put, we could end up trading with the EU on WTO terms in the event that the UK parliament (or indeed the European Parliament or European Council) fail to approve the deal that has been negotiated. Should this happen, the UK will leave on 29 March with no arrangements in place for preferential trade with the EU. The short-term impact of such a 'no deal' scenario would be severe. It would involve the disappearance of much of the legal framework that governs not only trade but also travel, and security cooperation between the UK and the EU. It would doubtless also imply much ill will and mutual recrimination between the two sides. And, finally, it would mean that WTO rules would be all that governed trade between them. We've dealt with the short-term impact of no deal elsewhere. Here, we want to focus on what trading on WTO terms might mean. For some Brexiters, the absence of a trade deal with the EU is nothing to worry about. The WTO, they claim, holds the answers to the myriad questions posed by Brexit. After all, we conduct our trade with the likes of the US on WTO terms, right? (Actually, we don't.) For them, the WTO not only provides all we need to continue trading with the European Union, but also to launch a 'Global Britain,' trading freely with all corners of the globe. So, what are these fabled WTO terms? And what would trading with the EU solely on the basis of them mean for the UK? These are the questions we seek to address. What follows is a condensed version of a longer and more comprehensive report. It does not, therefore, claim to be exhaustive but to provide an introductory explanation to those interested in the Brexit process and what its various potential end points might imply. What is the WTO? The WTO was set up at a meeting in Marrakesh in 1994 as the result of a major overhaul of the system of trade rules set up after the second world war. Its purpose is to make trade between WTO members easier, not only when it comes to buying and selling goods across borders (such as televisions, phones, cars and so on) but also in rapidly growing areas such as services (the likes of banking, insurance and law). WTO members—of which there are 164—include both individual countries, and the EU and three 'customs territories' of China, and all decisions are taken by them collectively. Can the UK 'fall back' on the WTO? In short, yes. The UK is a member of the WTO and will continue to be after Brexit. However, its commitments— pledges about how much access it gives goods and services from other WTO states—are currently bundled up with those of the EU as a whole. After Brexit, the UK will have to separate its commitments from those that have been agreed for the EU as a whole. To use the jargon, the UK's goods and services 'schedules'—tariffs charged on goods, quotas, agricultural subsidies and commitments to open markets on services, amongst other things—will have to be amended. Most of these commitments can be copied from those of the EU, particularly tariffs on products such as oranges and coffee. Others, such as arrangements for services, may require technical adjustments to make them more suitable for the British economy. Negotiations will also be needed on what are called 'tariff quotas'. These allow limited quantities of a product to be imported at a low or even zero tariff, while anything above the quota is charged a much higher duty. Sorting out the 100 or so of these is already proving extremely complicated. Take one example. The current tariff quota for New Zealand lamb coming into the EU is around 230,000 tonnes, meaning everything up to this amount can be imported duty free. For any imports above that, a significant tariff is charged. The UK and EU have proposed that their quotas should be divided to maintain the same total of 230,000 tonnes. Going on the estimated percentages that ended up in the UK and EU between 2013 and 2015, that basically amounts to a 50-50 split. However, New Zealand and others have objected, arguing that this deprives exporters of the choice of which of 28 national European markets to choose for their product (based on profitability). What would WTO terms mean? Without some kind of free trade agreement, trade between the UK and the EU will be based on WTO terms. Put simply, this means import duties and various controls will be imposed on trade between them. In addition, the UK would lose the benefit of the free trade agreements the EU has with a number of countries, unless those countries agree replacement treaties with the UK. Trade in services, currently relatively free in the EU's single market, would be much more restricted under WTO rules. At the heart of the WTO system is the principle of non-discrimination, known as the most-favoured nation principle (MFN). This means that, in general, countries cannot discriminate between their trading partners. If country A grants country B a favour (such as a reduced tariff), that same favour must be granted to all other WTO members. If the UK wanted to remove all tariffs and checks on goods arriving from the EU, it would have to do the same for every other WTO member. The same would apply to the EU. However, one way a group of WTO members can offer favourable terms to one country and not another is to conclude a free trade agreement. The EU itself is, in fact, a very developed free trade agreement. The EU (and by extension currently the UK) also has a number of free trade agreements with other states such as Singapore, Canada and South Korea. In total, there are 35 agreements in place, 48 partly in place and 22 pending. The UK will lose the benefits from these deals unless it can reach agreement with each of the countries to maintain them. If this isn't possible, more British imports and exports will face tariffs under WTO terms. And agreeing these deals might prove difficult if the other state insists on renegotiating parts of the agreement. There are also some non-WTO members with which the UK has relatively significant trade, including Azerbaijan (£800 million trade in 2016) and Serbia (£400 million). The EU has agreements with both countries to cover the same areas as the WTO agreements and via which the UK currently trades with them. Without these EU deals, this trade would in fact be on terms worse than those laid down by the WTO. Trading on WTO terms alone is the default position for WTO members, but in practice none does it without additional agreements. Although many trade barriers have been lowered through WTO membership, all countries seek even less friction. All 164 WTO members have better access to at least one market either through a free trade agreement or duty-free preferences, which are often offered to developing countries. In fact, most have several deals. For example, the US, Brazil, China and India all have trade agreements with their closest neighbours. Even as it stands, the UK does not trade merely on WTO terms with countries outside the EU. With the US, for instance—the UK's biggest non-EU trade partner—trade is regulated by over 100 sectoral agreements that go well beyond WTO provisions. Can the UK become the Singapore of the North Atlantic? It has been argued that extricating the UK from the EU would not prevent us from continuing to trade effectively. The UK could simply decide not to charge import duties on goods coming into the UK, nor do border checks. They also argue that the EU would be prevented from checking imports from the UK because of the Trade Facilitation Agreement—a WTO pact on streamlining border procedures. Cutting tariffs, it is argued, would reduce the cost of imports, particularly for food. Singapore and Hong Kong are examples of places with low to zero import duties on most or all products. So let's consider what trade on 'WTO terms' might actually look like. Tariffs The average import duty that the EU (and, for now, the UK) charges on goods is 3.2%. However, this is higher for agricultural goods (8.7%). Duties exceed 25% for more than one in ten agricultural products, sometimes by a large amount, whereas almost no products in any other sector have duties above 25%. The highest tariffs are in fact way above 25%— the equivalent of 189% for some dairy products and 116% for some animal products. Those rates do not apply to imports under free trade agreements or preferences for developing countries, but they would have to apply to trade between the UK and the EU, unless they were reduced for all WTO members. Clearly, trade in food and other agricultural products would be hit hardest. Both importers and exporters would be affected. That said, a 10% import duty might not mean a 10% increase in what we pay for those goods in the shops. The exporter might lower their price to offset some of the impact, and the price rise in shops would be even less because the effect of the tariff would be diluted by transport costs and other overheads. And, of course, it is also affected by the value of the pound. We should also note that the UK's National Farmers Union (NFU) seems more alarmed about a lack of agreement, in the event of a no-deal Brexit, on regulations and standards (so-called 'non-tariff barriers') than on tariffs. This is an indication that the delays resulting from things other than tariffs may be even more serious than tariff barriers. So what might happen if tariffs were cut to zero? First, almost half of imports into the EU already enter duty free because the normal tariff is zero, because of free trade agreements or because the EU already scraps the import duty on many products from developing countries (and on everything but arms from the poorest among them). Around a further 10-20% are charged a duty of no more than 5%. Less than half of imports are charged a duty above 5%. Therefore, the gains from a zero-duty policy would be nil or limited for more than half of the goods the UK imports. Slashing import duties would have the biggest impact on sectors that are the most protected. These are generally agriculture and food and drink. The reasons for protecting agriculture through tariffs include ensuring some local production is kept alive. We do this partly so we don't rely totally on imported food, partly to keep farmers in business, and partly to preserve rural communities and protect the environment. Singapore and Hong Kong are both cities, and neither has agriculture of any significance. They both rely almost entirely on food imports, so imposing duties would be counter-productive for them. That makes them a strange comparison with the UK, however. The model and assumptions used recently by a group of economists called Economists for Free Trade has been challenged by most mainstream economists. Criticisms include the fact that Economists for Free Trade make some bold assumptions about how costs can be cut if some regulations are removed. The numbers they produced to estimate how much the British economy would benefit are also challenged by most economists, including this group from the London School of Economics. Border checks Any product crossing from, say, Somerset into Devon is assumed to be safe because the transaction takes place within the UK's own internal market. Similarly, goods entering the UK from the rest of the EU are not normally inspected and are assumed to be safe because of common standards and checks in the EU's internal market. This will no longer be the case once the UK is outside this market. Of course, the UK could scrap checks, making it easier for EU goods to enter the UK. But the WTO non-discrimination principle would still apply. This would mean imports from all other WTO members would have to be treated in the same way. Doing away entirely with inspections and paperwork would mean losing control over imports, including of dangerous products such as contaminated food, animal and plant products carrying pests and diseases, dangerous electrical goods, unsafe cars and so on. Moreover, the WTO's Trade Facilitation Agreement would have no effect on how and whether the UK and EU check each other's goods. The UK and EU already comply with most, if not all, of its provisions. And those provisions dealing specifically with streamlining at the border—such as electronic paperwork— generally ask countries no more than to do their best, so non-compliance is hardly easy to prove! UK goods and agricultural exports entering the EU will face new barriers to entry and friction at the border. You only have to look at the long list of barriers facing imports from, say, the US to know that this is true. Some commentators have downplayed the negative impact of trading with the EU without a preferential trade arrangement. Others have argued that new non-tariff barriers to trade, such as different regulatory standards, 'would be illegal under WTO rules' . This is misleading. The WTO would not prevent the EU from imposing new checks on imports from the UK. In practice, we already know how the EU will treat UK exports at the border in the event of a no deal Brexit: the same as for any other non-EU country with which it doesn't have a preferential relationship. This would mean, for example, that all products of animal origin must enter the EU via a veterinary border inspection post where document, identity and physical checks would be carried out. A full 100 per cent of consignments of milk for human consumption would also be subject to document and identity checks, with no fewer than 50 per cent of consignments subject to additional physical checks. Currently, two of the UK agriculture's main routes to market—the Port of Calais and the Eurotunnel—are not veterinary border inspection posts. The only examples of non-EU countries which can export to the EU without the need to send their products via such inspection posts are Switzerland and the EEA/EFTA nations (Norway, Iceland and Liechtenstein). However, all have harmonised their so-called 'Sanitary and Phyto-Sanitary' (SPS) regimes with the EU via deep preferential partnership agreements, which means their food, animal and plant safety standards are aligned. If the EU changes its SPS rules, these countries have to follow if they want to maintain this ease of access. WTO agreements on so-called Technical Barriers to Trade (TBTs), such as technical regulations and standards, are even weaker. In practice, UK exporters to the EU will continue to be able to self-certify that products produced to European standards are eligible to be sold in the EU. However, it would then be the responsibility of the EU importer to place the UK goods on the EU market, and they would be liable if something were to go wrong. For products that require approval by testing bodies, such as medicines, declarations by UK-based bodies that goods comply with EU standards would no longer be recognised in the EU. However, the UK and EU could sign an agreement allowing assessment bodies based in the UK to certify that products produced in the UK to comply with an EU standard. This would reduce some of the administrative burden for UK exporters and potentially remove the need for double testing of goods to allow them to be sold in both UK and EU markets. However, this is obviously not something the UK can do on its own and requires the agreement of the EU. At the very least, there would be substantial short-term disruption while such arrangements were worked out. And there would still be the need for risk-based inspections at the border, new import and export declarations, and associated red tape that comes with being a non-EU country exporting to the EU. There is little reason to think that the EU will allow bodies located outside its territory to authorise highly regulated products such as pharmaceuticals, cars and chemicals. All of this would constitute new barriers facing British companies looking to sell into the EU. Friction, in other words. WTO arrangements do provide some ways to reduce non-tariff barriers to trade. However, in the event of the UK trading solely on WTO terms, they offer little in the way of solace for British exporters. New barriers to trade between the two parties would be both inevitable and highly disruptive. Services More than 80% of UK economic output (and 45% of exports) come from services. They are everywhere you look: from finance to law, catering to tourism, and transport to telecommunications. Even the manufacturing sector depends heavily on services. Just think of aeroplanes, which are often sold alongside long-term and highly lucrative maintenance service contracts. Trade in services is also regulated by the WTO agreements. Yet despite the importance of services in modern economies, these arrangements are far less developed than they are for goods. For one thing, goods trade involves tangible products physically moving across a border. Services are more complicated. Tariffs and quotas imposed at the border play a large role in goods trade. However, the main barrier for trade in services has always been differing national regulations. Immigration law is also an important factor that affects a service exporter's ability to supply and a consumer's ability to consume services abroad. Moreover, the various requirements states put in place to control the creation of corporations make establishing a so-called 'commercial presence' more difficult. The requirement to hold the qualifications of the host state (for lawyers, to take one example) make it harder to offer services abroad. Attempts to reduce barriers to services trade often means limiting the ability of countries to pass such regulation, which can often be politically difficult. The limits of WTO obligations on services become much clearer when compared with those relating to trade in goods. Once a good has been imported, it cannot be treated any worse than a domestic good. For services, however, national treatment is optional. Members remain free to discriminate against foreign services and bar them from accessing their domestic market. The only limitation is that they must discriminate against all other members equally. The EU's regime is vastly more farreaching than the WTO's in this respect. In the EU, equal treatment is the norm and there is an extensive programme of mutual recognition of qualifications, making it much easier to provide services across borders. The Ireland/Northern Ireland border and the WTO Ireland has figured prominently in the Brexit debate. The whole purpose of the controversial 'backstop' has been to avoid a hard border, including infrastructure and checks, between Northern Ireland and the Republic. There is no doubt that, should the UK end up trading with the EU on WTO terms, this would mean a hard border on the island of Ireland. The consequences of such a scenario will be severely felt in a region that has only recently begun to recover from the experience of violent conflict and related under-development. Economically, WTO terms would have a direct impact across a range of areas vital to protecting the quality of everyday life in the region, including broadcasting, telecommunications and the single electricity market on the island. But the key issue, of course, relates to the border itself. WTO rules would necessitate a hard border because tariffs and quotas would have to be applied. Checks and controls on the movement of goods across the border will therefore be required. Moreover, such checks and controls typically require the use of physical infrastructure. To operate a customs border, for example, there tend to be designated entry points for goods, where paperwork (even electronic versions) can be checked, exit and entry can be recorded, and inspections can be performed where necessary. To avoid restricting the number of roads that goods can legally cross the border, companies would have to be registered as trusted traders. The practical problem here relates to the current lack of capacity in the UK's customs authority to register sufficient numbers of operators. And so businesses trading across the Irish border will have to comply with the requirements for trading into a third country. Given that three-quarters of businesses in Northern Ireland trading across the border are small or micro businesses, they simply lack the resources to manage this change. Under WTO terms, the EU's most-favoured nation (MFN) tariffs and other checks would also apply to all consignments moving between Northern Ireland and Ireland. All goods going from Northern Ireland to the Republic would have the EU's tariff rates applied, and those going from Ireland into Northern Ireland would 10 have the UK's trade tariffs applied. Reductions in trade from Northern Ireland to Ireland would no doubt arise from the effect of tariffs and non-tariff barriers arising from WTO rules, especially in the dairy sector. As Irish cross-border trade involves a lot of agricultural produce, trade in Northern Ireland would face higher tariffs compared to estimates for the UK as a whole. Although a substantial fraction of products would face no tariff, the small percentage of products that would incur tariffs of over 35% make up a significant share of cross-border trade. The nature of co-operation and trade across the Irish border reflects its context: it is a rural, underdeveloped, close-knit region. There are complex supply chains in agri-food and myriad micro-traders. WTO rules will not preserve this situation but introduce a significant level of friction in a place where border controls represent a potentially dangerous step backwards in politics as well as economics. Enforcing trade law Just as the WTO is unlike the EU in terms of the substance of the systems in place to prevent friction at borders, its procedures are also very different. The WTO is an organisation of governments, and citizens and companies can only access its dispute settlement procedures via their governments. This means that companies and businesses must persuade their governments to bring a claim on their behalf. Given how expensive, complex and political WTO litigation is, governments filter complaints and only a very small number of them are brought before the WTO panels. Furthermore, because claims can only be brought against states, if a breach of trade rules is committed by a competitor company, the WTO dispute resolution system is generally of no help. Conclusion WTO terms provide a basic floor for world trade. Most obviously, there are the schedules describing the market access all members receive in terms of the tariffs they pay on goods, the conditions under which they can provide services in other territories, along with measures to limit barriers at borders. Taken together, these provide a basic level of predictability and non-discrimination. Members cannot discriminate against others by charging them higher tariffs or putting in place specific measures, for example discriminating against UK foodstuffs, without specific grounds to justify this behaviour. However, the inadequacies of these arrangements provide incentives for countries to go further and seek preferential access to tackle issues inadequately covered through WTO rules. The UK will, as other members do, want to seek the closest relationship possible with the EU given political constraints. The WTO option alone would have a significantly disruptive impact on trade between the UK and the EU, and even on some UK trade with other parts of the world. Falling back on WTO terms would be, to say the least, suboptimal politically, economically and socially. 11 What would 'trading on WTO terms' mean? The UK in a Changing Europe promotes rigorous, high-quality and independent research into the complex and ever changing relationship between the UK and the EU. It is funded by the Economic and Social Research Council and based at King's College London. \| \| \| 12
PAUL E. COOPER EXECUTIVE ASSISTANT CITY ATTORNEY MARY T. NUESCA ASSISTANT CITY ATTORNEY CARRIE L. GLEESON DEPUTY CITY ATTORNEY OFFICE OF THE CITY ATTORNEY CITY OF SAN DIEGO JAN I. GOLDSMITH CITY ATTORNEY MEMORANDUM OF LAW DATE: April 23, 2015 TO: Honorable Mayor and City Council FROM: City Attorney SUBJECT: Delegation of Governmental Functions to Civic San Diego INTRODUCTION In 1975, the City of San Diego (City) formed Centre City Development Corporation (CCDC) and in 1980 it created the Southeastern Economic Development Corporation (SEDC). In addition to other purposes, both corporations were formed to provide "economic development" services. Over the years, CCDC and SEDC were delegated some land use approval functions that would otherwise have been performed by City staff. This Office is not aware of any written legal analyses of the related delegation or oversight issues until 2009. In 2009, this Office raised concerns regarding oversight and liability issues related to the operations of CCDC and SEDC and recommended the City consider returning their functions to City Redevelopment staff. 2009 City Att'y MS 743 (2009-3; Mar. 3, 2009) (the 2009 Memo); see also City Att'y Report 2014-9 (Apr. 17, 2014). In 2010, after extensive review, the City Council amended the bylaws and operating agreements with CCDC and SEDC to bolster oversight and transparency. In 2012, CCDC's name was changed to Civic San Diego (CivicSD) and SEDC was merged into CivicSD. CivicSD is the same corporation as CCDC and SEDC, as they existed since 1975 and 1980, respectively. This Office was asked to review CivicSD's proposal to expand services beyond those provided by CCDC and SEDC. The proposal contemplates delegation of governmental functions and raises questions under state and local law of what functions the City can delegate, what authority is required to make such a delegation, what rights and powers must be retained by the City if such a delegation is made, and the risk to the City posed by CivicSD's activities. These CIVIL ADVISORY DIVISION 1200 THIRD AVENUE, SUITE 1620 SAN DIEGO, CALIFORNIA 92101-417 8 TELEPHONE (619) 236-6220 FAX (619) 236-7 215 questions apply equally to past delegations to CCDC and SEDC and for work currently being performed in the downtown area. 1 If the City desires to delegate functions to CivicSD, the legal limitations and procedural requirements inherent in a delegation of governmental functions must be considered and addressed. The purpose of this Memorandum is to provide those limitations and procedural requirements. BACKGROUND A brief summary of CivicSD's history and current role provides helpful context for the discussion here. Formation and Purpose of CivicSD. CivicSD is a nonprofit public benefit corporation and successor to CCDC and SEDC. Restated Articles of Incorporation, CCDC (filed June 28, 2012) (CivicSD Articles); Amended and Restated Bylaws, CivicSD (CivicSD Bylaws). The City is CivicSD's sole member. Id. The City can amend CivicSD's articles or bylaws, appoint members to CivicSD's Board, dissolve or merge the corporation, or dispose of all or substantially all of its assets. CivicSD Bylaws, Art. 2. The Bylaws expressly state that the City is not liable for CivicSD's "debts, liabilities, or obligations." CivicSD Bylaws, § 2.6. CivicSD's purpose is to carry out economic development, land use permitting, and project management services on behalf of the City. CivicSD Bylaws, § 1.2. Similarly, CCDC and SEDC were formed to work with the City's former Redevelopment Agency (Former RDA) to provide "redevelopment services," and for SEDC, to provide "economic development services." Articles of Incorporation, CCDC, Art. II; Articles of Incorporation, SEDC, Art. II. CCDC and SEDC performed services pursuant to operating agreements with the Former RDA. See Amended and Restated Operating Agreements, Redevelopment Agency Resolutions R-4498 and R-4499 (Apr. 10, 2010) (RDA Operating Agreements). Under the RDA Operating Agreements, "economic development services" were limited by California's Community Redevelopment Law (California Health & Safety Code (H&S Code) sections 33000 to 33855). The Former RDA was created under the Community Redevelopment Law, limited to specific powers granted by the Law, and to operating within defined borders . 2009 City Att'y MS 743 (2009-3; Mar. 3, 2009); H&S Code § 33100; 2011 City Att'y Report 425 (2011-22; May 12, 2011) (citing Kehoe v. City of Berkeley, 67 Cal. App. 3d 666, 673 (1977)). For example, the Former RDA had "very limited authority . . . to directly use Agency funds for specific economic development programs," and could not direct funds to job creation and business retention efforts. Memorandum by Special Counsel Kane Ballmer & Berkman (June 4, 2010), attached to 2010 City Att'y Report 764 (2010-24; June 14, 2010). 1 Questions raised in the City Council's Public Safety and Livable Neighborhoods Committee meeting of March 18, 2015, relating to CivicSD's participation in the federal New Market Tax Credit program, and the structure of the community development entity (CDE) formed for that purpose, are beyond the scope of this Memorandum and will be addressed separately. In 2009 and 2010, the City conducted performance audits of CCDC and SEDC resulting in recommended changes for greater oversight and accountability. See Council Docket, Mar. 22, 2010, Items 202 and 203; Independent Budget Analyst (IBA) Report No. 10-25 (Mar.10, 2010). The Former RDA amended the Operating Agreements, and the Council adopted changes to CCDC's and SEDC's articles and bylaws, putting the recommendations in place. Id. These changes were the product of a months-long deliberative and public process and included, among other items: requiring adoption of purchasing and fiscal policies with prior review and comment by the City's Chief Financial Officer (CFO); requiring regular performance audits and financial audits; requiring adherence to City budget policies and review and comment by the City's CFO of proposed budgets; requiring board member and officer training and clarifying the process for removal of board members by the City; and requiring monthly board review of financial statements. See Attachment A to IBA Report No. 10 -25. The RDA Operating Agreements set out the services to be performed to implement "the Project," and other services as requested by the Former RDA. For CCDC, the Project was implementation of the Centre City and Horton Plaza Redevelopment Plans; for SEDC, the Project was implementation of several redevelopment plans that became the Southeastern San Diego Merged Redevelopment Plan. Both RDA Operating Agreements included "detailed and cost-effective planning services" with "review and analysis of developers' proposals, staff services for the public and private entitlement process [and] the architectural design review process." RDA Operating Agreements, § 2.06(i). The parties to the RDA Operating Agreements were the Former RDA, CCDC, and SEDC, and all services were to be carried out under the direction of the Former RDA. Id. at § 2.06(d). The Former RDA also had an agreement with the City to provide the RDA with staffing and management, administrative, and other services necessary to operate as a redevelopment agency under the Community Redevelopment Law. See Agreement, City Clerk Doc. No. 750581, San Diego Resolution R-212990 (Apr. 10, 1975), and First Amended Agreement, City Clerk Doc. No. RR-278441, San Diego Resolution R-278441 (Jul. 30, 1991) (the City/RDA Agreement). The Former RDA did not have employees; from its inception, it contracted with the City for staffing and services. CivicSD's Current Role. In 2011 and 2012, a series of legislative actions and a California Supreme Court decision resulted in new laws dissolving redevelopment agencies across the state and forcing the City to rethink the purpose for and its relationship with CCDC and SEDC. See 2012 City Att'y Report 189 (2012-2, Jan. 19, 2012) (discussing the legislative actions and related court cases challenging those actions). This new legislation (the Dissolution Laws) 2 restricted work on prospective projects and created new work aimed at winding down tax increment funded redevelopment. Under the Dissolution Laws, the Former RDA dissolved as of February 1, 2012, and the City, acting as the Successor Agency, was vested with the Former RDA's authority, rights, duties and obligations under the Community Redevelopment Law, as amended. H&S Code Div. 24, Part 1.85. The Dissolution Laws generally invalidated agreements 2 The Dissolution Laws include, inter alia, Assembly Bill x1 26 (June 28, 2011), Assembly Bill 1484 (June 27, 2012) (codifying the modifications made by the California Supreme Court in its final opinion of December 29, 2011), and Assembly Bill 471 (Feb. 18, 2014). between the Former RDA and the City, including the City/RDA Agreement for staffing and services. H&S Code § 34171(d)(2). The Successor Agency is a separate legal entity from the City. H&S Code § 34173(g). 3 The Former RDA's rights, duties, obligations (to the extent deemed "enforceable obligations" by the state's Department of Finance), and assets, belong to the Successor Agency. H&S Code §§ 34173(b) and 34175(b).The Dissolution Laws charge the Successor Agency with completing projects currently underway, disposing of the Former RDA's assets and properties, fulfilling enforceable obligations, and sending any remaining funds to the County of San Diego for redistribution. H&S Code § 34177. This work is overseen by an oversight board with members appointed by the local taxing entities that stand to benefit from the newly available tax dollars, and the Department of Finance. H&S Code § 34179. The Dissolution Laws are designed to recapture tax increment funds and return them to local taxing entities; they ended the ability of the Former RDA, as a state entity, to continue to conduct redevelopment activities using tax increment funds. The Dissolution Laws do not, however, affect the ability of cities, counties or other government entities to carry out economic development activities not funded with tax increment dollars. See H&S Code § 34172(a)(1). To continue the economic development work of CCDC and SEDC, the City renamed CCDC to "Civic San Diego," modified its purpose, and merged SEDC and CivicSD by making CivicSD the sole member of SEDC. See Office of the Mayor Report No. 12-078 (June 21, 2012); CivicSD Articles; Restated Articles of Incorporation, SEDC, Art. VI; Amended and Restated Bylaws, SEDC, Art. II. Under the revised governing documents, a specific purpose of CivicSD is to "engage in economic development, land use permitting and project management services which under California law, can be done by contract with or delegated by the [City], or the City solely in its capacity as the designated successor agency to the [Former RDA]." CivicSD Articles, Art. II; CivicSD Bylaws, § 1.2. CivicSD may enter into other agreements or conduct other activities "in furtherance of the purposes for which [CivicSD] was formed." Id. The governing documents also enable CivicSD to solicit donations and pursue other programs that encourage investment in lowincome neighborhoods such as federal New Market Tax Credits, and invest and use funds and property. Id., and see San Diego Resolution R-307659 (July 31, 2012) (amendment to allow solicitation of federal funding). In June 2012, along with naming and repurposing CivicSD, the City entered into two agreements for CivicSD to provide services to the City: (1) the Successor Agency and Housing Successor Agency Services Agreement for services related to funds and properties held by those agencies (Successor Agency Agreement); and (2) the Administration of Certain Planned Districts, the Downtown Community Parking District and Economic Development Services Agreement covering the work previously performed by CCDC (Downtown Services Agreement). San Diego Resolutions R-307538 and R-307537 (respectively) (June 28, 2012); and 3 The Successor Agency "succeed[s] to the organizational status of the [Former RDA], but without any legal authority to participate in redevelopment activities, except to complete any work related to an approved enforceable obligation." H&S Code § 34173(g). San Diego Resolution R-307849 (Nov. 28, 2012) (authorizing first amendment to Successor Agency Agreement). Under the Downtown Services Agreement, CivicSD, like CCDC before it, reviews and processes applications for various development permits, including conditional use permits, neighborhood use permits, and temporary use permits as called for in the City's Planned District Ordinances (PDOs) for the Centre City, Gaslamp Quarter, and Marina Districts. The Council delegated this permitting authority to CivicSD through approval of the PDOs for these areas. San Diego Municipal Code (SDMC or Municipal Code) Ch. 15, Art. 6, 7, 11. CivicSD also administers the Downtown Community Parking District and implements the Comprehensive Downtown Parking Plan, and provides economic development services within the downtown and southeastern San Diego areas. CivicSD is to perform these services in compliance with the City's laws and "within the limitations of the City Charter and as directed by the City." Downtown Services Agreement, Scope of Services (Ex. A-1). Like the Former RDA, the Successor Agency does not have employees. The Scope of Services for the Successor Agency Agreement provides for CivicSD to perform work required by the Dissolution Laws to wind-down the Former RDA and complete on-going projects identified in the Recognized Obligation Payment Schedule (ROPS), at the direction of the City. Successor Agency Agreement, § 1.1 and Scope of Services (Ex. A). The Scope provides a list of tasks that "shall" be performed, including processing payments due on enforceable obligations, monitoring bond requirements, disposing of property, collecting money due, documenting assets and obligations relating to housing functions and transferring them to the Housing Successor Agency, managing property, preparing an administrative budget and obligations schedules, and other tasks. For ongoing development projects, CivicSD is to "oversee development of properties until the contracted work has been completed or the contractual obligations of the [Former RDA] can be transferred to other parties," pursuant to the Dissolution Laws. As approved in June 2012, section 1.1 of the Successor Agency Agreement limited services for the winding down and completion of projects to those located within the Centre City, Horton Plaza, and SEDC areas. The scope was expanded in November 2012 to include all projects listed on the ROPS, regardless of project area, that are held by the Successor Agency or by the City as housing successor to the Former RDA (Successor Housing Agency). City Att'y Report 2014-9 (Apr. 17, 2014). Also as part of the Council's actions in June 2012, the City authorized CivicSD's annual administrative budget. The majority of funds in the approved budget were redevelopment funds (i.e., property tax revenues and other funds in the Successor Agency's possession) allocated for CivicSD's Successor Agency and Housing Successor Agency work. Under the Dissolution Laws, redevelopment funds can be used to pay for this work, subject to certain limitations. H&S Code §§ 34171(a) and (b), 34177(j). CivicSD also receives fees for its downtown permit processing functions, parking meter revenue for its management of the Downtown Parking District, and money from the City "for conducting economic development activities in the project areas formerly serviced by CCDC and SEDC." IBA Report No. 12-28 at 6-8 (June 22, 2012). "It is envisioned that Civic San Diego will use the seed money to identify new funding sources" with the goal "to become a financially self-sustaining organization," not "reliant on the City's General Fund." Id. at 8. The City's Workforce. The City has staff, both classified and unclassified, who perform planning, permitting, and economic development work, as well as public works construction and management, property transactions, and purchasing and contracting. The City conducts planning and economic development activities through the City's Department of Planning, Neighborhoods, and Economic Development (PNED). 4 SDMC § 22.2402. The City's Development Services Department (DSD) provides review, issues permits, inspects, and provides code enforcement for private and public development. SDMC § 22.2401. The City's Public Works Department oversees development of public infrastructure and facilities. City of San Diego (Apr. 6, 2015), http://www.sandiego.gov/publicworks/about/index.shtml. As a specific example of the work of City staff, PNED has completed the Euclid + Market Land Use and Mobility Plan that sets forth the goals, policies, and objectives for the Encanto transit village area, and the Euclid Avenue Gateway Master Plan, and is currently engaged in preparing and bringing to the Council an Encanto Neighborhoods Community Plan, including an Environmental Impact Report, Public Facilities Financing Plan, and a Euclid Transit Village Specific Plan. City of San Diego (Apr. 6, 2015), http://www.sandiego.gov/planning/community/profiles/encanto/ . QUESTIONS PRESENTED 1. Can the City delegate authority to CivicSD to perform certain land use-related, governmental functions? 2. What steps must the City take to properly delegate proposed additional authority to CivicSD? 3. In delegating governmental functions, what rights and powers must be retained by the City for proper control over the delegation and San Diego Charter (Charter) compliance? 4. Does the delegation of authority create risks for the City? SHORT ANSWERS 1. Yes, the City can delegate authority to CivicSD to perform certain land use-related governmental functions within specific areas of the City, provided that the City's delegation is limited and specific, accompanied by appropriate controls and safeguards to protect the public, and properly authorized by the Mayor and City Council. The City's existing delegation of authority to CivicSD for administering land use permitting in the downtown area is subject to the bylaws, operating agreements, and ordinances by the City Council. The 2010 amendments made to the 35-year old CCDC and SEDC models to enhance controls, safeguards and oversight bolstered the City's compliance with these requirements. Even before 2010, the 4 In this Memorandum, we reference the organization and duties of the departments as currently codified. City's delegation required compliance with specific standards set forth in Council-approved agreements, ordinances, and policies. 2. To properly transfer proposed additional authority or functions to CivicSD, the Mayor and Council must approve a contract between the City and CivicSD that provides sufficient detail of the scope of the delegation, clear standards to be applied in carrying out the City's direction, and appropriate City oversight and controls. Before taking that step, the City must determine whether a proposed transfer raises a meet and confer issue under the MeyersMilias-Brown Act (MMBA), the state collective bargaining law applicable to the City as a public agency employer. The City must also determine whether the proposal would transfer City services being performed by classified employees, requiring compliance with Charter section 117(c). If so, the City must first comply with these laws. For a proper delegation of City permitting functions, the Council must also adopt one or more ordinances establishing the standards and setting forth the authority of CivicSD to administer the land use policy. 3. For a proper delegation, the City must establish clear goals and standards for implementation of the delegated administrative functions, including notice, hearing, and decision processes that safeguard due process. The City's delegation of an administrative function must include provisions for City oversight and administration, and budget and fee approval. To the extent the delegation creates an agency relationship, the City must have the right to terminate the agreement, in the City's sole discretion. The existing agreements and ordinances governing CivicSD's administration of land use regulation downtown meet these requirements, but can be improved to strengthen oversight of and reporting by CivicSD. 4. The risks remain the same as with CCDC and SEDC. As discussed in the 2009 Memo, there are risks associated with inadequate oversight and with City liability. DISCUSSION I. THE CITY'S ABILITY TO DELEGATE GOVERNMENTAL FUNCTIONS TO CIVICSD IS LIMITED TO ADMINISTRATIVE, NON-LEGISLATIVE FUNCTIONS CivicSD performs two distinct roles in implementing development: the first is planning and facilitating the development; and the other is as an administrative entity, carrying out regulatory activities on behalf of the City. In the first role, CivicSD uses its existing corporate powers to implement the City's economic development goals. In this role , it undertakes activities as a contractor assisting the City, such as overseeing the performance of developer agreements, processing plans and amendments for approval, creating economic development policies and strategies, pursuing financing sources for infrastructure improvements, handling the disposition or transfer of property, and managing the design and building of infrastructure projects. CivicSD may engage in these activities as an economic development partner of the City without performing governmental functions. CivicSD, however, also performs governmental functions in administering land use permitting and planning processes, including issuing land use permits. The power to perform these governmental functions resides with the City and cannot be exercised by CivicSD without a delegation of authority from the City. Where CivicSD engages or proposes to engage in governmental functions on behalf of the City, we must consider: (1) whether the proposed function is a proper one for delegation; (2) what authority and permission is required to transfer the function; and (3) whether the City retains the proper control over CivicSD. Cnty. of L.A. v. Nesvig, 231 Cal. App. 2d 603, 616 (1965) (public body may delegate administrative functions if it retains ultimate control to safeguard the public interest). Certain governmental functions may not be delegated to CivicSD, while others may be delegated, but only with specific procedural requirements and controls. As discussed later, delegation of administrative authority to CivicSD also requires the concurrence of the Council and Mayor because the Council cannot infringe on the Mayor's Charter-mandated authority to oversee the City's administrative service. A. The City's Land Development Code Contains the City's Land Use and Permitting Regulations, Including the Existing Delegation to CivicSD 1. The City Has Land Use and Permitting Authority Pursuant to Its Constitutional Police Power The City's right to regulate land use matters comes from its inherent police power. See Fonseca v. City of Gilroy, 148 Cal. App. 4th 1174 (2007) and Big Creek Lumber Co. v. Cnty. of Santa Cruz, 38 Cal. 4th 1139 (2006). Police power is a key function of local government and a basic prerogative provided cities and counties in the state's constitution. Cal. Const. art. XI § 7; Big Creek Lumber, 38 Cal. 4th at 1151. Police power includes the right to adopt ordinances regarding land use matters and aesthetic concerns such as design review, so long as such ordinances are not unconstitutionally vague. Associated Home Builders v. City of Livermore, 18 Cal. 3d 582, 595 (1976); Briggs v. City of Rolling Hills Estates, 40 Cal. App. 4th 637, 643 (1995). California's planning and zoning laws that apply to general law cities generally do not apply to charter cities, except for a patchwork of statutory provisions that the California Legislature has said must apply. Cal. Gov't Code §§ 65700(a), 65803. The City has adopted comprehensive land use laws and regulations. See, e.g., SDMC Ch. 11 (Land Development Procedures), Ch. 12 (Land Development Reviews), Ch. 13 (Zones), Ch. 14 (General [Development] Regulations), Ch. 15 (Planned Districts) (collectively, the Land Development Code). The Land Development Code includes processes for approval of land uses and development, including permits, maps, and other approvals. SDMC § 111.0102. The Land Development Code establishes different processes for different levels of decision-making ranging from Process One (lowest level of review) to Process Five (highest level). SDMC §§ 112.0501-112.0509. These procedures include necessary due process protections for decisions that affect property rights, including any appeals. The type of development proposed in the application determines the level of approval and the procedure that applies. SDMC § 112.0501. City staff, the hearing officer, the Planning Commission, and the Council each has a role in the City's decision-making process. SDMC §§ 111.0105, 111.0201-111.0205. Process One is a non-appealable, staff-level decision used for ministerial permits. SDMC §112.0502. Process Two is also a staff-level decision, but with a right of appeal to the Planning Commission. SDMC §§ 112.0503, 112.0504. Process Three decisions are made by a hearing officer after staff-level review, with the right of appeal to the Planning Commission. SDMC §§ 112.0505, 112.0506. Process Four decisions are made by the Planning Commission after staff-level review, with the right of appeal to the Council. SDMC §§ 112.0507, 112.0508. Unless an exception to Planning Commission review is made by the Council, a Process Five decision is made by the Council after staff-level review and after a public hearing before, and opportunity to provide a recommendation by, the Planning Commission. SDMC § 112.0509. These processes also apply within the City's Planned Districts, except as otherwise provided for in the PDOs. SDMC § 151.0103(b). Planned Districts are areas designated by the Council. Each Planned District has a comprehensive plan with specific land use controls intended to further stated goals. SDMC §§ 151.0101, 151.0102. For example, Centre City is a Planned District with land use regulations and design and development criteria that implement the Downtown Community Plan. SDMC § 156.0301. The Gaslamp Quarter is also a Planned District implementing the Downtown Community Plan, but with regulations specifically designed to protect the Gaslamp Quarter's historical resources. SDMC § 157.0101. The Marina PDO's regulations are intended to create discrete neighborhoods and strong waterfront and pedestrian connections, among other goals. SDMC § 1511.0101. 2. CivicSD's Current Permitting Authority Is Set Forth in the PDOs For the Centre City, Gaslamp Quarter, and Marina Planned Districts, the Council has delegated certain decision-making authority to CivicSD. CivicSD conducts design review of development projects, such as the determination of compliance with design guidelines or the review of basic concept and schematic drawings. SDMC §§ 156.0304(e), 157.0202(a), 1511.0202(b). For projects in the Centre City Planned District, design review and approval may be conducted by the CivicSD President or Board, depending upon the size of the project. SDMC § 156.0304(e)(1)(B). CivicSD will not issue a development permit until design review is complete. SDMC § 156.0304(e)(1)(A). CivicSD also approves the issuance of certain development permits in accordance with established regulations, standards, plans, and policies. SDMC §§ 156.0304, 157.0202, 157.0203, 1511.0202, 1511.0203. This includes processing applications for development permits and other matters following the five decision processes set forth in the Municipal Code. SDMC §§ 156.0304(a), 157.0103, 1511.0201(a). In the Centre City and Gaslamp Quarter Districts, the CivicSD President considers applications in accordance with Processes One and Two, and the CivicSD Hearing Officer considers applications in accordance with Process Three. CivicSD does not make decisions under Processes Four or Five; those return to the usual City process and are heard by the Planning Commission and Council, respectively. SDMC §§ 156.0304(c), 157.0202. In lieu of the Planning Commission, CivicSD's Board hears appeals of administrative decisions made under Processes Two and Three in the Centre City and Gaslamp Districts. SDMC §§ 156.0304(c)(2), (3), 157.0202(b), 157.0202(c). CivicSD can revoke certain permits if there is a violation of applicable terms, conditions, requirements, or provisions. SDMC §§ 157.0204, 1511.0202(h). B. Administrative Functions, Including Adjudicatory Decisions, May Be Delegated with Proper Authorization and Direction The Charter generally vests the Council with the legislative authority to make laws, ordinances and policies, and the Mayor with the administrative power to implement those laws, ordinances, and policies. See Charter §§ 11 (vesting all legislative powers in the Council, except as otherwise stated) and 265(b)(2) (Mayor has power and duty to execute and enforce all laws, ordinances, and policies). Legislative acts declare a public purpose and involve adoption of general laws, standards, or policies. Horn v. Cnty. of Ventura, 24 Cal. 3d 605, 612 (1979). A legislative body may declare a policy, fix a standard, and then delegate to some other body the tasks of writing regulations, applying the policy to individual cases, and otherwise carrying the legislation into effect. Birkenfeld v. City of Berkeley, 17 Cal. 3d 129, 167 (1976); Kugler v. Yocum, 69 Cal. 2d 371, 375-77 (1968). California law distinguishes between the delegation of these legislative and administrative powers, because the duty to "resolve the truly fundamental issues" is the job of the elected legislative body and cannot be delegated. People ex rel. Lockyer v. Sun Pac. Farming Co., 77 Cal. App. 4th 619, 632-33 (2000). 5 "[T]he legislative body must itself effectively resolve the truly fundamental issues. It cannot escape responsibility by explicitly delegating that function to others" or by failing to provide adequate direction for policy implementation. Id. at 632-33; see also State Bd. of Educ. v. Honig, 13 Cal. App. 4th 720, 750 (1993). Thus, legislative authority to make fundamental policy decisions cannot be delegated. CEEED v. Cal. Coastal Zone Conservation Comm'n, 43 Cal. App. 3d 306, 325 (1974); City of Burbank v. BurbankGlendale-Pasadena Airport Auth., 72 Cal. App. 4th 366, 376 (1999). A governmental entity is also subject to limits on what duties and functions it can delegate based on its fundamental purpose and the separation of powers principle. Courts recognize the "delegation doctrine," also called the "nondelegation doctrine," which limits the transfer of core functions from one branch of government, such as the legislative branch, to another branch or to a third party, such as an administrative agency or a private entity. Carmel Valley Fire Prot. Dist. v. Cal., 25 Cal. 4th 287, 297 (2001); People v. Figueroa, 68 Cal. App. 4th 1409, 1414-15 (1999). The purpose of the doctrine is to prevent one branch "from exercising the complete power constitutionally vested in another." Younger v. Super. Ct., 21 Cal. 3d 102, 117 (1978) (emphasis in original). It does not prevent one branch from properly taking action that incidentally duplicates a function delegated to another branch. Id. The same principle applies to the City through the Charter's delegation of powers, including its assignment of legislative powers to the Council, under Charter section 11. Charter section 11.1 further states that the Council is prohibited from delegating "legislative power or responsibility which [the Councilmembers] were elected to exercise in the adoption of any ordinance or resolution . . . setting public policy." Charter §11.1. 5 "Delegation" means "[t]he act of entrusting another with authority or empowering another to act as an agent or representative." Black's Law Dictionary (9th ed. 2009). A "delegate" is "[o]ne who represents or acts for another person or a group." Id. A delegation of duties occurs when, for example, "a party to a contract arranges to have a third party perform the party's contractual duties." Id. Once the Council has established the law, it may properly delegate authority to private or governmental entities to administer or apply the law. Sun Pac. Farming, 77 Cal. App. 4th at 632 (citing Wilkinson v. Madera Cmty. Hosp., 144 Cal. App. 3d 436, 442 (1983)). "But, while legislative or discretionary powers or trusts devolved by charter or law on a council . . ., or a specified board or officer, cannot be delegated to others, it is equally well established that ministerial or administrative functions may be delegated to subordinates or agents." Sacto. Chamber of Commerce v. Stephens, 212 Cal. 607, 610 (1931). In the land use context, administrative acts involve application of the general laws to specific development projects. City of Chula Vista v. Super. Ct., 133 Cal. App. 3d 472, 489 (1982). Administrative acts may be discretionary (and are sometimes called adjudicative or quasi-adjudicative) or ministerial. Horn, 24 Cal. 3d at 613. Ministerial actions involve nondiscretionary decisions based only on fixed and objective standards; they do not require a subjective judgment. Calvert v. Cnty. of Yuba, 145 Cal. App. 4th 613, 622 (2006). For example, the issuance of a typical, small-scale building permit is a ministerial action. Id. Adjudicatory decisions require the decision-maker to ascertain the necessary facts to justify the granting of a permit under the established land use legislation. Horn, 24 Cal. 3d at 614; Mitchell v. Morris, 94 Cal. App. 2d 446, 450 (1949). For example, the issuance of a discretionary land use permit or a variance is an adjudicatory act. Land Waste Mgmt. v. Contra Costa Cnty. Bd. of Supervisors, 222 Cal. App. 3d 950, 957 (1990). Accordingly, these administrative functions, carrying out the procedures, rules, standards, and policies enacted by the legislative body, whether ministerial or adjudicative, can be delegated. C. Delegation Must Be Accompanied by Proper Standards, Controls, and Procedural Due Process Safeguards A proper delegation of the City's administrative authority must include appropriate controls and safeguards to ensure that the City retains the necessary, ultimate control and protects the public interest. In the context of permitting and land use decisions, this also means ensuring that proper procedures are followed to protect due process rights. When a legislative body, like the Council, makes a fundamental policy decision, it may delegate the authority to administer or apply the policy or law to some other body, consistent with its charter authority, as long as it puts sufficient standards in place to adequately safeguard the public interest. Sun Pac. Farming, 77 Cal. App. 4th at 632-33; Burbank, 72 Cal. App. 4th at 376-77. The legislative body "may commit to an administrative officer the power to determine whether the facts of a particular case bring it within a rule or standard previously established by the legislature." Kugler, 69 Cal. 2d at 376 (citations omitted); Coastside Fishing Club v. Cal. Res. Agency, 158 Cal. App. 4th 1183, 1205 (2008). To do so, the delegation of administrative or regulatory powers must include "sufficiently definite directions" for exercising the delegated powers. Burbank, 72 Cal. App. 4th at 376-77. And the legislative body must retain ultimate control over its legislative policy and safeguard the public interest. Int. Longshoremen's & Warehousemen's Union v. L.A. Export Terminal, Inc., 69 Cal. App. 4th 287, 297-98 (1999); Nesvig, 231 Cal. App. 2d at 616-17. In an early case, the California Supreme Court invalidated a contract between a city and a private corporation to build an opera house on public land because the agency did not retain sufficient control over operation of the opera house for the delegation to be valid. Egan v. City & Cnty. of S.F., 165 Cal. 576, 583-84 (1913). Control over management was vested in perpetuity in a board of trustees which included public officials and private individuals, most of whom were not selected by the agency and whose actions the agency could not direct. Id. at 580. The court concluded that "the beneficial attributes of ownership, over and above the naked legal title, [had been] taken from the city and county, and … placed in the hands of private persons." Id. at 581. In contrast, in a later decision, the California Supreme Court upheld a city's delegation of authority even though the city retained significantly less control. Irwin v. City of Manhattan Beach, 65 Cal. 2d 13, 23-25 (1966). In Irwin, the city delegated authority to private parties to build and operate an overpass. The court upheld the delegation finding the city had maintained control over the construction, maintenance, and use of the overpass because it had the power to approve or reject construction documents and to revoke the operating permit under various circumstances. The California Supreme Court's Irwin decision cited two decisions from the California Courts of Appeal, each upholding the delegation of authority by a city to a private entity. The court in Haggerty v. City of Oakland, 161 Cal. App. 2d 407, 415-17 (1958), found the lease of a port facility to a private company to be a lawful delegation because the lease included public agency control over price modifications and sublease approval. In Nesvig, the court upheld a contract between the County of Los Angeles and a private nonprofit corporation as a lawful delegation of governmental authority under a contract that gave the corporation the right to operate and manage the Music Center, a City-owned facility, for 40 years. The court determined the county retained sufficient control over operations because it had authority to set admission and concession prices and control the operator's annual budget, among other controls. 231 Cal. App. 2d at 617. California courts have also upheld the delegation of building and land use permitting authority accompanied by appropriate standards. CEEED, 43 Cal. App. 3d at 326 (citing, inter alia, City & Cnty. of S.F. v. Super. Ct., 53 Cal. 2d 236, 250 (1959) (standards contained in municipal code applied to review by planning commission and permit appeals board and were sufficient); Mitcheltree v. City of L.A., 17 Cal. App. 3d 791, 797 (1971) (general welfare standard was sufficient for issuance of conditional use permit in absence of master plan). In CEEED, the court analyzed the delegation of legislative power to a commission as part of the Coastal Zone Conservation Act of 1972, and determined that "[s]tandards for the issuance of building and land use permits couched in general health, safety or welfare terms . . . have been uniformly upheld against the charge that they confer unbridled discretion on the administrative body or are unconstitutionally vague." CEEED, 43 Cal. App. 3d at 326. In that case, the legislation dictated that the regional commission make certain findings prior to approval of a permit, including that the development would not have any substantial adverse environmental or ecological effect and was consistent with certain objectives related to the "preservation, restoration and enhancement of the coastal zone environment." Id. at 327. The court determined that the legislation "sets out the goals to be achieved and the standards for permit issuance with … clarity," even though "application of the standard calls for the exercise of judgment and discretion." Id. at 326-27. The court stated that "[t]he fact that the Commission is required to weigh complex factors … does not … mean that unbridled discretion has been conferred on it. A statute empowering an administrative agency to exercise a judgment of a high order in implementing legislative policy does not confer unrestricted powers." Id. at 327. In contrast, in Burbank, the court denied the airport authority's claim that delegation of authority to conduct permit reviews was implied through a joint powers agreement. Such a delegation cannot be implied because it requires expressly stated standards and safeguards; without those, the resulting unfettered discretion would be an impermissible abdication of the city's police power. 72 Cal. App. 4th at 376-77; see also Birkenfeld, 17 Cal. 3d at 169 (standards provided were inadequate because they did not protect the public from unfairness or favoritism). In addition to standards, land use decisions that are adjudicatory in nature generally require due process protections, specifically prior notice and hearing. Horn, 24 Cal. 3d at 612 (approval of tentative map for proposed subdivision required public notice and opportunity to be heard). For due process, the administrative body "is required to determine the existence or nonexistence of the necessary facts before" making a decision. Mitchell, 94 Cal. App. 2d at 450; Simi Valley Rec. & Park Dist. v. Local Agency Formation Comm'n of Ventura Cnty., 51 Cal. App. 3d 648, 685 (1975). The Downtown PDOs provide the administrative and due process safeguards for the work CivicSD currently performs administering the City's land use regulations in the Downtown Districts. Each PDO requires compliance with detailed processes and standards contained in the PDO and other referenced documents for planning and permitting approvals. For example, the Centre City PDO requires CivicSD comply with the PDO and other parts of the Land Development Code, the Downtown Community Plan, the CivicSD Land Development Manual, and any policies or guidelines adopted by the City to implement the Downtown Community Plan. SDMC § 156.0304(a); see also SDMC §§ 157.0103-0104 (Gaslamp Quarter), 1511.0201 and 1511.0103 (Marina). Further, the PDOs and Downtown Services Agreement place ultimate control over CivicSD's performance of the delegated administrative functions with the City. The City can terminate the Downtown Services Agreement for failure to perform after a 30 day opportunity to cure, and can terminate without cause after 180 days notice. Downtown Services Agreement §§ 2.5, 2.6. CivicSD must make decisions consistent with the standards and policies enacted by the City, and the City has continuing authority to establish and amend the standards and policies for design and development of projects set forth in the Downtown PDOs and related documents. The City has, in fact, revised the PDOs and community plan documents a number of times. See SDMC Ch. 15, Art. 6, 7, and 11 (references to legislative history). The City has the right to access CivicSD's books and records and to audit its performance. Downtown Services Agreement § 4.2. II. TO COMPLY WITH THE CHARTER, DELEGATION OF ADMINISTRATIVE FUNCTIONS REQUIRES MAYOR AND COUNCIL ACTION A. Delegation of Administrative Functions Must Properly Account for the Mayor's Charter Authority 1. The Mayor "Executes and Enforces" the City's Laws and Oversees the City's Administrative Service and the Council Sets the Powers and Duties of the City's Departments by Ordinance Any action taken by the City to delegate authority must comply with the Charter as the City's supreme law. See Cal. Const. art. XI, §§ 3(a) and 5(a); Harman v. City & Cnty. of S.F., 7 Cal. 3d 150, 161 (1972). Under the strong mayor provisions of the Charter, the Mayor is the City's chief executive officer and the duties that formerly belonged to the City Manager are now those of the Mayor. Charter §§ 260, 265(b)(1). The Mayor has the duty to "execute and enforce" the City's laws and policies, and the right to "give controlling direction" to the City's administrative service. Charter § 265(b)(2) . As the head of the City's administrative service, the Mayor is responsible for carrying out City and state laws and administrative powers. Charter § 28. Administrative department directors are "immediately responsible to [the Mayor] for the efficient administration of their respective Departments" and the Mayor is specifically empowered to "set aside any action taken by a Director or Department subordinate responsible to him, and may supersede him in authority." Charter § 28. Any delegation must properly account for this Charter authority. The Mayor is ultimately responsible for the performance of the administrative services, and has the right and obligation to oversee their performance. The Council cannot remove these powers and responsibilities from the Mayor, or change the distribution of power or authority provided by the Charter. Hubbard v. City of San Diego, 55 Cal. App. 3d 380 (1976). While the Mayor is responsible for execution and enforcement of the City's laws and policies and the work of most of the City's departments, the Council determines the organization of the City's departments and their respective powers and duties to the extent not set forth in the Charter. Charter §§ 26, 28. The Charter gives the Council authority to "change, abolish, combine, and rearrange the departments, divisions and boards of the City Government provided for in said administrative code." Charter § 26. An action to decrease the powers of a department requires an ordinance adopted by a two-thirds vote of the Council. Id. In Hubbard, the Council sought to create a Department of Legislative Analyst to provide fiscal analysis services to the Council . 55 Cal. App. 3d at 385. The court held that the Council could not create a new department and vest it with duties that, under the Charter, would otherwise be under the City Manager because the Council's power to rearrange departments was limited by the Charter. Id. at 387-88. To the extent the ordinances would "invade or duplicate" managerial duties, they tended to "undermine the harmony of the council/manager system of municipal government." Id. at 392. The Council could not "change or limit the effect of a charter" by ordinance. Id. Under these principles, proper delegation of responsibilities carried out by the City's administrative service under the Mayor requires action by both the Council, as the legislative body setting the standard for proper administration of the City's laws, and the Mayor, as the City official holding the administrative power. The delegation must properly account for the Mayor's responsibilities under the Charter, and the Mayor must authorize the delegation. 2. The Existing Delegation Provides for Mayoral Oversight and Was Approved by the Mayor and Council; Any Future Delegation Must Do the Same CivicSD currently performs planning and permitting functions in the downtown area pursuant to the Downtown Services Agreement, which was executed by the Mayor after being authorized by resolution adopted by the City Council and approved (and not vetoed) by the Mayor. The City first delegated these functions to CCDC through the CCDC Operating Agreement and the Downtown PDOs. The City transferred the delegation from CCDC to CivicSD, consistent with the name change and restructuring, in its approval of the Downtown Services Agreement. The City later amended the Downtown PDOs to reflect the name change. The Mayor's office participated in the negotiation and drafting of the documents and bringing them forward to the Council for consideration. The Downtown Services Agreement provides for Mayoral supervision and oversight in several respects. The Mayor (or the Mayor's designee) is named as the administrator of the contract. Downtown Services Agreement § 1.2. As the contract administrator, the Mayor is the designated point of communication "on all matters related to the administration of this Agreement," and the performance of services. Id. The Agreement specifically states that CivicSD "shall provide the services under the direction of the Contract Administrator." Id. The Mayor can terminate the contract for convenience on 180 days prior written notice, or for cause within 30 days after notice and failure to cure a default. Id. §§ 2.5, 2.6. The Mayor has the right to access and review CivicSD's books and records and those of its contractors, to access CivicSD's offices, and to review and audit CivicSD's performance. Id. § 4.2. CivicSD and its contractors are required to maintain complete and accurate accounting records, and must provide those records to the Mayor upon request. Id. The Mayor and Council participate in the formation and approval of CivicSD's budget. The Downtown Services Agreement calls for a Consultant Services Budget based on a list of City Projects, and the anticipated services for each project. Id. § 3.1. The list of City Projects is drafted jointly by the City (Mayor or designee) and CivicSD. Id. The proposed Budget is submitted to the City's Chief Financial Officer (CFO) for review and comment. Civic Bylaws § 6.1. The CFO reports to the Mayor. Once approved by CivicSD's Board, the Budget is submitted to the Council for approval, subject to Mayoral veto. Id. In addition to the Mayor's express rights for oversight of the Downtown Services Agreement, the Mayor plays a key role in the appointment of eight of the nine directors to CivicSD's Board. CivicSD Bylaws § 3.2.2. The Council appoints one director as its representative, and this appointment is not subject to Mayoral veto. The Mayor appoints one director as the Mayoral representative, and this appointment is not subject to Council vote. The remaining seven directors are appointed by the City through a process that includes appointment by the Mayor and confirmation by the Council. Id.; see, e.g., San Diego Resolution R-309147 (Jul. 22, 2014); compare Charter § 41(c) (seven members of Planning Commission are appointed by Mayor subject to Council confirmation). The Mayor can recommend suspension or removal of a director for breach of the Bylaws and the Council can approve the recommendation on a majority vote. CivicSD Bylaws § 3.4.1(c). Otherwise, removal of a director by the Council requires a two-thirds vote. The Mayor also appoints CivicSD's highest ranking officer, it's President, subject to Council confirmation by a two-thirds vote. Id. § 8.3.1(b). The President is responsible for CivicSD's operations, hiring and firing of all personnel except the Chief Financial Officer, and accounting for all funds. Id. § 8.3.1(a). Suspension or termination of the President requires the Mayor's concurrence, and is appealable to the Council. Id. § 8.3.1(d). Under the Downtown PDOs, the substitution of a CivicSD hearing officer for a City hearing officer to make decisions under Process 3, or an appeal to the CivicSD Board instead of the City's Planning Commission under Process 2, does not affect the Mayor's existing authority. In either case, the decision-maker exercises independent judgment based upon the facts presented to render a quasi-judicial decision. See, e.g., SDMC §§ 156.0304(c)(2)-(3). Any Mayoral influence would take place as oversight or direction of staff preparing the recommendation to the decision-maker, understanding that in both instances, clear standards apply and must be followed by either staff as well as the decision-maker. It appears that under the Downtown Services Agreement and Downtown PDOs, in conjunction with CivicSD's Bylaws, the Mayor has the ability to provide any necessary oversight and direction, and these documents preserve the right and responsibility of the Mayor to oversee the delegated administrative functions. 3. Delegation to a Third Party Should Avoid Duplication of Effort or Expense Additionally, California courts have considered whether a government body may properly contract for services with a third party when those services may be provided by public employees. Service Employees Int'l Union, Local 715, AFL-CIO v. Bd. of Trustees of the West Valley/Mission Comm'y Coll. Dist., 47 Cal. App. 4th 1661 (1996) (contract for operation and management of campus bookstore upheld); Jaynes v. Stockton, 193 Cal. App. 2d 47, 54-55 (1961); 60 Ops. Cal. Atty. Gen. 206 (1977) (disallowing use of outside attorney for school board, in lieu of county counsel); City & Cnty. of S.F. v. Boyd, 17 Cal. 2d 606 (1941) (board of supervisors could determine whether to retain engineer to advise board). The concern raised in these cases is duplication of public expenditure: if the public is paying the salary of a public employee to do the work, and the public employee can do the work, then there is no need or authority to pay a private entity for the services. Jaynes, 193 Cal. App. 2d at 54-55; 60 Ops. Cal. Atty. Gen. 206 (1977). Where professional services are sought, there is also a danger of conflicting opinions. Jaynes, 193 Cal. App. 2d at 55 (noting the potential for conflict between different school districts in the same county and practical difficulties for the designated advisor). These cases often look to state laws allowing contracts for special expert services and discuss whether the services sought come within those laws. For the City, the issue of duplication of public expenditure is addressed by Charter section 117(c), discussed more fully below. Section 117(c) permits the transfer of duties performed by certain classified employees that can be performed more economically and efficiently by an independent contractor, as determined by the Mayor, along with other measures to protect the cost and quality of providing services to the public. The Mayor is responsible for administering and monitoring the agreement with the contractor. Any potential for conflict in carrying out the delegated duties should be addressed in the standards set by the Council and in the oversight provided by the agreement with the contractor. 6 4. Lawful Delegation Requires Effective Mayoral Oversight As stated above, a proper delegation of planning and permitting authority to CivicSD by the City, requires a contract approved by both the Council and the Mayor, with sufficient provisions to ensure City oversight of the services performed; CivicSD would be acting as the agent of the City, performing governmental functions under the Mayor's purview. As also stated above, under the Downtown Services Agreement and CivicSD's Articles and Bylaws, the City has ultimate control over CivicSD's performance of the delegated functions. However, to ensure the Mayor also has adequate oversight consistent with the Mayor's duties under the Charter, we recommend review and amendment of the existing contract and working relationship to ensure the Mayor and staff have access to the information necessary for effective oversight, including ensuring the consistency of the contracted services with other City functions. Requiring that CivicSD confer with City staff prior to the issuance of a permit involving a police-regulated business, for example, would enable City staff and ultimately the Mayor to ensure the business is treated consistently and issues known to City staff are also considered by CivicSD. Delegated permit issuing authority must be balanced with controls and effective oversight by the Mayor or Mayoral department that would otherwise be responsible for that function. Further, because CivicSD acts as the City's agent when carrying out permitting functions, the City must have the authority to end the agency relationship at any time in the City's sole discretion. The ability to immediately end the delegation of authority is consistent with the City's 6 The departments of the City's administrative services under the Mayor include DSD, PNED, Engineering, General Services, Purchasing, and Real Estate Assets. See SDMC Ch. 2, Art. 2, Administrative Code, and for commonly used names see City of San Diego (Mar. 30, 2015), http://www.sandiego.gov/orgchart/pdf/mayoral.pdf. These departments perform the services that have been or potentially would be delegated to CivicSD. DSD provides review, permit issuance, inspection, and administrative code enforcement services for private and public development. SDMC § 22.2401(a) and (c). The Development Services Director performs the duties and functions of that position as assigned by and under the direction of the Mayor, "with policy direction of the City Council and policy guidance and recommendations of the Planning Commission." SDMC § 22.2401(b). PNED's responsibilities include long-range community planning, economic development programs, and environmental policy and analysis. SDMC § 22.2402(a). Other Mayoral departments generally operate the public works and provide the public services needed in any community, such as libraries, parks, police and fire stations, water and wastewater infrastructure, and streets. See Charter § 26.1. right, as sole member, to dissolve CivicSD. Moreover, because the permit issuing function is under the Mayor's purview and the Mayor is responsible for its performance, the contract should permit the Mayor to exercise discretion to end the delegation and take back performance of the permitting function should the Mayor see fit to do so. B. The Delegation Cannot Infringe on Charter-Mandated Duties of the Planning Commission As explained earlier, for the Centre City and Gaslamp Quarter Planned Districts, CivicSD's Board stands in the place of the Planning Commission for appeals of staff-level decisions under Process Two and hearing officer decisions under Process Three. SDMC §§ 156.0304(c)(2), (3), 157.0202(b), 157.0202(c). Any such delegation must be consistent with Charter section 41(c) pertaining to the Planning Commission. The Charter provides for the City Planning Commission, "organized as provided by the laws of the State," with powers and duties prescribed by state law, in addition to the specific duties listed. Charter § 41(c). The Charter's general reference to the "laws of the State" is a reference to the laws on the subject generally, including later changes to those laws, as opposed to a specific reference by title or section number, which would incorporate only the law as it existed at that time. 2B Singer, Sutherland Statutory Construction § 51.7 (7th ed. 2013). See also Pearce v. Dir., Office of Workers' Comp. Programs, U.S. Dep't of Labor, 603 F. 2d 763, 767 (9th Cir. 1979); Somermeier v. Dist. Dir. of Customs for the Port of L.A. Long Beach, 448 F. 2d 1243 (9th Cir. 1971) (citing Palermo v. Stockton Theatres, Inc., 32 Cal. 2d 53, 58-59 (1948)). State laws pertaining to the power and duties of planning commissions have changed significantly since section 41(c) was added to the Charter. At the time of the voters' approval of the Charter provision in 1931, the State Planning Act of 1929 was in effect. That law was repealed in 1947 (Cal. Stats. 1947, ch. 807). Provisions regarding the organization and functions of planning agencies and commissions are now found in the Planning and Zoning Law (Cal. Gov't Code §§ 65000-66103), under Chapter 3, Local Planning (Cal. Gov't Code §§ 6510065763). However, the state's Planning and Zoning Law does not require that a city create a planning commission. Cal. Gov't Code §§ 65101, 65103. Instead, Chapter 3 gives general law cities the option of creating one or more planning commissions. Id. Once created, with very few exceptions, it is up to the city to determine the duties of its planning commission(s). 7 Id.; and see 2012 City Att'y MOL 88 (2012-2, Feb. 6, 2012). Accordingly, because Charter section 41(c) adopts the laws of the state pertaining to the organization of planning commissions, pursuant to those laws, the City may organize and determine the powers and duties of the Planning Commission to best meet the needs of the City. In addition to the general reference to state law, Charter section 41(c) establishes general advisory duties for the Planning Commission, all of which are subject to more specific 7 For example, California Government Code section 65353 provides that if a City has a planning commission that is authorized by local ordinance or resolution to review or recommend action on a proposed general plan or proposed amendments to a general plan, the planning commission must hold at least one public hearing for that purpose. determination by the Council: "[t]he duties of the Commission shall also include advising upon public buildings, bridges, retaining walls, approaches, park and harbor structures, the improvement of Pueblo lands and such other improvements as the Council may by ordinance determine." The Council has, throughout the Land Development Code, determined the manner in which the Planning Commission provides advice to the City, and its role in the decision-making processes for applications for permits, maps, and other matters. See, e.g., General Rules for Land Development Code (SDMC §§ 111.0101-111.0107), Decision Process (SDMC §§ 112.0501112.0520), and Permits and Procedures for Planned Districts (SDMC §§ 151.0201-151.0204). These duties are assigned by the Council via ordinance and, consistent with Charter section 41(c), can be amended via ordinance to best meet the City's needs. C. The Delegation Must Comply with Collective Bargaining Laws and Charter Section 117(c) This Office has previously advised the Mayor and Council on compliance with Charter section 117(c) for the contracting out of civil service work, and compliance with the MMBA for the transfer of work of represented employees. In the April 17, 2014, City Attorney Report, "Proposed Employment of Civic San Diego to Provide Certain Services Related to Former Redevelopment Agency Properties Proposed to be Transferred to the City of San Diego," this Office advised on rules related to contracting out City services and collective bargaining. City Att'y Report 2014-9 (Apr. 17, 2014). See also 2009 Op. City Att'y 710 (2009-2; Oct. 8, 2009) (Outsourcing City Services); 2012 City Att'y Report 208 (2012-4; Feb. 1, 2012) (Managed Competition and Service Levels); 1997 City Att'y MOL 296 (97-18; June 27, 1997); City Att'y Report 2006-6 (Feb. 2, 2006) (discussion of Charter amendment related to managed competition). As explained in these prior opinions and memoranda, if the City transfers work of represented employees to CivicSD, the City must comply with state collective bargaining laws, and if the City employs CivicSD as an alternative to Civil Service employees, the City must comply with Charter section 117(c). Compliance with these laws must take place prior to any transfer of City work or functions. For example, compliance with Charter section 117(c) requires specific action by the Mayor prior to Council approval of an agreement: the City "may employ any independent contractor when the [Strong Mayor] determines, subject to City Council approval, City services can be provided more economically and efficiently by an independent contractor than by persons employed in the Classified Service while maintaining service quality and protecting the public interest." Charter §117(c) and see 2009 Op. City Att'y 710 (2009-2; Oct. 8, 2009) (outlining the steps required to comply with Charter section 117(c)). Because the City has a specific Chartermandated process to employ an independent contractor as an alternative to classified employees, the City must follow the procedure. See Giles v. Horn, 100 Cal. App. 4th 206, 222-23 (2002) (concluding the County of San Diego violated its charter by entering into contracts with independent contractors to perform case management functions under the state welfare-to-work program without first determining that the functions could be done more economically and efficiently by the contractors than by civil service personnel). Compliance with section 117(c) is not required if the work of classified employees is not being transferred (for example, work transferred to CCDC and SEDC (now operating as CivicSD) occurred prior to adoption of section 117(c)). Under Charter section 28, the Mayor has the power to hire experts or consultants to provide advice or perform services when necessary in connection with the Mayor's oversight of the City's administrative service. It is only the transfer to an outside contractor of the work of classified employees' performing City services that triggers compliance with section 117(c). D. If CivicSD Is Acting on Behalf of the City, It Must Comply with the City's Policies and Procedures In addition to following the standards and procedures created by the City specific to the delegation, when acting on behalf of the City, CivicSD must also comply with the policies and procedures that would apply if the City were carrying out the function. 81 Op. Cal. Att'y Gen. 281 (1998) (nonprofit corporation to which administrative functions were delegated must comply with the same laws and regulations as the public entity that delegated its authority); see also Wesley Inv. Co. v. Cnty. of Alameda, 151 Cal. App. 3d 672, 679 (1984) (related to administration of existing zoning policy under specific ordinance). In the context of a community redevelopment agency using a nonprofit corporation to administer its housing activities, the California Attorney General advised that the nonprofit corporation is required to comply with the same laws and regulations as the redevelopment agency, including open meeting laws, acquisition and relocation requirements, and public bidding and prevailing wage statutes. 81 Op. Cal. Att'y Gen. 281 (1998) at 6. The redevelopment agency could not avoid the statutory requirements intended to benefit individuals within the redevelopment project area by delegating administrative responsibilities to the nonprofit. Id. at 8. Rather, "[w]hen a redevelopment agency is using a nonprofit corporation to carry out its governmental responsibilities, the corporation must comply with acquisition and relocation requirements and public bidding and prevailing wage statutes." Id. Similarly, when acting on behalf of the City, CivicSD must follow statutory requirements that would otherwise apply to the City. CivicSD's board-adopted policies currently require compliance with open meeting laws, financial disclosure and ethics laws, and public contracting laws that also apply to the City. See CivicSD Corporation Policies (Apr. 6, 2015), http://www.civicsd.com/about-us/corporation-policies.html. Also, the Downtown Services Agreement includes provisions for compliance with the City's Equal Opportunity Contracting Program, Non-Discrimination in Contracting Ordinance, Equal Benefits Ordinance, Drug-Free Workplace policy, and Ethics Ordinance. Downtown Services Agreement, Art. 4. The Agreement also requires compliance with all applicable laws and compliance with directives issued by the City. Id. at § 8.7. III. CONTRACT TERMS FOR DELEGATION OF ADMINISTRATIVE FUNCTIONS As discussed above, the existing ordinances, plans, and agreements include standards and procedures that address the legal requirement for delegation of administrative functions by the City to CivicSD, and retain ultimate control in the hands of the City. Also as discussed, any delegation must properly account for the rights, powers, and duties of the City's legislative body and chief executive as set forth in the Charter, and certain powers and duties cannot be delegated. Ultimately, the City is responsible for carrying out these governmental functions, and the City must ensure that it has the oversight it needs to know that these functions are properly handled. Based on the prior analysis, any delegation, existing or contemplated, of City permitting functions should include: * Goals set by the Council, as in the Downtown PDOs, clearly defining the City's objectives; * Clear standards set by the Council, as in the Downtown PDOs, for permit application, processing, and issuance; * Notice, hearing, and decision processes, like those provided in the Land Development Code and referenced in the Downtown PDOs, to provide fairness and safeguard due process; * Oversight by the City through the Mayor and responsible departments of the administration of delegated functions, including appropriate reviews, reports, and access; * Budget approval for services to be provided and approval of the cost to the City; * Fee structure approval; and * Termination rights by the City in its sole discretion. Currently, these matters are addressed in the agreements, PDOs, and other documents that control CivicSD's performance of services for the City. The Mayor and Council have the right and the responsibility to act to improve the standards and procedures when appropriate. The City should periodically review and ensure that any agreement with CivicSD includes provisions that give the City sufficient reporting, review, and oversight to enable the City to address issues as they arise. IV. LIABILITY ISSUES CREATED BY THE CITY'S RELATIONSHIP WITH CIVICSD In 2009, this Office responded to a request to review the legal risks of the relationship between the City and CCDC and SEDC, and between the Former RDA and CCDC and SEDC. 2009 City Att'y MS 743 (2009-3; Mar. 3, 2009) (the 2009 Memo). As CivicSD is the successor to CCDC and SEDC, this analysis remains relevant to the City's continuing relationship with CivicSD. This Office advised: The current relationship between the Agency and CCDC and SEDC does not provide adequate protection of Agency assets. Should there be evidence of wrongdoing by CCDC or SEDC, Agency funds would be used to finance both the Agency's and the corporations' legal bills. This office leaves to the policymakers consideration of policy reasons for maintaining the two corporate entities. However, the best way to protect the Agency's assets is to eliminate the corporate entities, transfer their redevelopment functions to the Redevelopment Agency, and institute internal controls. The unique relationship between the City and CivicSD continues to create uncertainty as to whether the City will be subject to claims and potential liability for CivicSD's acts. As discussed in the 2009 Memo, CCDC and SEDC, and now CivicSD, are independent corporations and separate legal entities from the City. Generally, the City, as the sole member of CivicSD, is not liable for the debts, liabilities, or obligations of the corporation. ECC Constr., Inc. v. Ganson, 82 Cal. App. 4th 572, 576 (2000) (citing Cal. Corp. Code § 7140(i)). However, in the continuing relationship between the City and CivicSD, it is important to recognize and preserve the separate corporate identities, and thereby continue to limit the City's liability for CivicSD's activities. For the same reason, any delegation of responsibility from the City to CivicSD should be clearly defined and appropriately limited. In the 2009 Memo, this Office cautioned that the Former RDA could face potential liability if CCDC or SEDC were deemed its agent. CivicSD is presently the contractual agent of the City for purposes of performing certain land use regulatory functions downtown. See 1988 City Att'y Report 1333 (88-44; Aug. 25, 1988) (explaining that CCDC and SEDC acted as the agents of the Former RDA related to land use regulations). Thus, for some services CivicSD acts as an independent contractor, and for others, as an agent. To the extent that CivicSD acts as the City's agent, the City, as principal, is liable for CivicSD's acts if those acts were actually or ostensibly authorized by the City. Cal. Civ. Code §§ 2330, 2333. The City would not be bound by conduct not within CivicSD's actual, apparent or ostensible authority. Cal. Civ. Code § 2334. For these reasons, it is essential that the agreements between the City and CivicSD clearly identify the work to be performed by CivicSD, the specific authority delegated to CivicSD, and the degree of control and supervision by the City. As described earlier, the City must retain ultimate control over the delegated government functions, and adequate supervision to ensure consistent delivery of services and protection of the public. For these services, it is appropriate for the City to clearly establish an agency relationship with appropriate standards for performance and risk management. The City should ensure that CivicSD agrees to defend and indemnify the City for any wrongdoing by CivicSD or its employees. Further, the City should ensure that CivicSD carries sufficient insurance. CONCLUSION AND RECOMMENDATION The Council may delegate administrative authority to enforce the City's land use policy to CivicSD in accordance with the City's established standards and safeguards, and ultimate control. In addition, to account for Charter-mandated duties, both the Mayor and Council must authorize the delegation of administrative functions, and the delegation should include provisions for Mayoral oversight and the ability to end the delegation, if appropriate. If the City delegates regulatory authority to CivicSD, CivicSD will be acting as the City's agent in that respect. If the City intends to delegate additional administrative functions to CivicSD that would transfer work from represented employees to CivicSD, then the City must first comply with its obligations under the MMBA, the state's collective bargaining law applicable to public agency employers. If the City intends to employ CivicSD to provide City services as an alternative to the services being provided by classified employees in the City's Civil Service system, the City must first comply with Charter section 117(c). Based on our analysis, we recommend that the City revisit the existing agreements to clarify CivicSD's activities, build in transparency and financial oversight, provide for delegation of permitting authority by separate agency agreement, and include appropriate termination provisions. We stand ready to assist the Mayor and Council to work through these issues and draft any necessary legal documents. JAN I. GOLDSMITH, CITY ATTORNEY By /s/ Carrie L. Gleeson Carrie L. Gleeson, Deputy City Attorney JIG:CLG:jdf ML-2015-7 Doc. No.:986306_4 cc: Andrea Tevlin, Independent Budget Analyst Scott Chadwick, Chief Operating Officer David Graham, Deputy Chief Operating Officer
Case Studies In Finance 7th Edition Bruner As recognized, adventure as competently as experience roughly lesson, amusement, as competently as understanding can be gotten by just checking out a ebook Case Studies In Finance 7th Edition Bruner next it is not directly done, you could believe even more nearly this life, concerning the world. We allow you this proper as with ease as easy way to acquire those all. We manage to pay for Case Studies In Finance 7th Edition Bruner and numerous book collections from fictions to scientific research in any way. accompanied by them is this Case Studies In Finance 7th Edition Bruner that can be your partner. Mergers, Acquisitions, and Corporate Restructurings - Patrick A. Gaughan 2017-11-27 The essential M&A primer, updated with the latest research and statistics Mergers, Acquisitions, and Corporate Restructurings provides a comprehensive look at the field's growth and development, and places M&As in realistic context amidst changing trends, legislation, and global perspectives. All-inclusive coverage merges expert discussion with extensive graphs, research, and case studies to show how M&As can be used successfully, how each form works, and how they are governed by the laws of major countries. Strategies and motives are carefully analyzed alongside legalities each step of the way, and specific techniques are dissected to provide deep insight into real-world operations. This new seventh edition has been revised to improve clarity and approachability, and features the latest research and data to provide the most accurate assessment of the current M&A landscape. Ancillary materials include PowerPoint slides, a sample syllabus, and a test bank to facilitate training and streamline comprehension. As the global economy slows, merger and acquisition activity is expected to increase. This book provides an M&A primer for business executives and financial managers seeking a deeper understanding of how corporate restructuring can work for their companies. Understand the many forms of M&As, and the laws that govern them Learn the offensive and defensive techniques used during hostile acquisitions Delve into the strategies and motives that inspire M&As Access the latest data, research, and case studies on private equity, ethics, corporate governance, and more From large megadeals to various forms of downsizing, a full range of restructuring practices are currently being used to revitalize and supercharge companies around the world. Mergers, Acquisitions, and Corporate Restructurings is an essential resource for executives needing to quickly get up to date to plan their own company's next moves. Case Studies in Science Education: The case reports - 1978 Financial Markets and Institutions - Anthony Saunders 2012-01-01 Financial Markets and Institutions, 5e offers a unique analysis of the risks faced by investors and savers interacting through financial institutions and financial markets, as well as strategies that can be adopted for controlling and managing risks. Special emphasis is put on new areas of operations in financial markets and institutions such as asset securitization, off-balance-sheet activities, and globalization of financial services. How People Learn - National Research Council 2000-08-11 First released in the Spring of 1999, How People Learn has been expanded to show how the theories and insights from the original book can translate into actions and practice, now making a real connection between classroom activities and learning behavior. This edition includes far-reaching suggestions for research that could increase the impact that classroom teaching has on actual learning. Like the original edition, this book offers exciting new research about the mind and the brain that provides answers to a number of compelling questions. When do infants begin to learn? How do experts learn and how is this different from nonexperts? What can teachers and schools do-with curricula, classroom settings, and teaching methods--to help children learn most effectively? New evidence from many branches of science has significantly added to our understanding of what it means to know, from the neural processes that occur during learning to the influence of culture on what people see and absorb. How People Learn examines these findings and their implications for what we teach, how we teach it, and how we assess what our children learn. The book uses exemplary teaching to illustrate how approaches based on what we now know result in in-depth learning. This new knowledge calls into question concepts and practices firmly entrenched in our current education system. Topics include: How learning actually changes the physical structure of the brain. How existing knowledge affects what people notice and how they learn. What the thought processes of experts tell us about how to teach. The amazing learning potential of infants. The relationship of classroom learning and everyday settings of community and workplace. Learning needs and opportunities for teachers. A realistic look at the role of technology in education. Ebook: Real Estate Finance and Investments - BRUEGGEMAN 2010-06-16 Ebook: Real Estate Finance and Investments The Roots of Western Finance - Thomas K. Park 2017-05-24 The Roots of Western Finance takes an anthropological approach to origins of western finance and credit in ancient societies, covering a period from ancient Mesopotamia to the Islamic world in the eleventh century. The authors reveal that credit is not simply an economic transaction; it is a social relationship and a technology of power. EBOOK: Investments - Global edition - Zvi Bodie 2014-03-16 We are pleased to present this Global Edition, which has been developed specifically to meet the needs of internationalInvestment students. A market leader in the field, this text introduces major issues of concern to all investors and placesemphasis on asset allocation. It gives students the skills to conduct a sophisticated assessment of watershed current issuesand debates. Bodie Investments' blend of practical and theoretical coverage combines with a complete digital solution tohelp your students achieve higher outcomes in the course. Corporate Financial Distress and Bankruptcy - Edward I. Altman 2010-03-11 A comprehensive look at the enormous growth and evolution of distressed debt, corporate bankruptcy, and credit risk default This Third Edition of the most authoritative finance book on the topic updates and expands its discussion of corporate distress and bankruptcy, as well as the related markets dealing with high-yield and distressed debt, and offers state-of-the-art analysis and research on the costs of bankruptcy, credit default prediction, the post-emergence period performance of bankrupt firms, and more. The Panic of 1907 - Robert F. Bruner 2009-04-27 "Before reading The Panic of 1907, the year 1907 seemed like a long time ago and a different world. The authors, however, bring this story alive in a fast-moving book, and the reader sees how events of that time are very relevant for today's financial world. In spite of all of our advances, including a stronger monetary system and modern tools for managing risk, Bruner and Carr help us understand that we are not immune to a future crisis." —Dwight B. Crane, Baker Foundation Professor, Harvard Business School "Bruner and Carr provide a thorough, masterly, and highly readable account of the 1907 crisis and its management by the great private banker J. P. Morgan. Congress heeded the lessons of 1907, launching the Federal Reserve System in 1913 to prevent banking panics and foster financial stability. We still have financial problems. But because of 1907 and Morgan, a century later we have a respected central bank as well as greater confidence in our money and our banks than our great-grandparents had in theirs." —Richard Sylla, Henry Kaufman Professor of the History of Financial Institutions and Markets, and Professor of Economics, Stern School of Business, New York University "A fascinating portrayal of the events and personalities of the crisis and panic of 1907. Lessons learned and parallels to the present have great relevance. Crises and panics are as much a part of our future as our past." —John Strangfeld, Vice Chairman, Prudential Financial "Who would have thought that a hundred years after the Panic of 1907 so much remained to be written about it? Bruner and Carr break significant new ground because they are willing to do the heavy lifting of combing through massive archival material to identify and weave together important facts. Their book will be of interest not only to banking theorists and financial historians, but also to business school and economics students, for its rare ability to teach so clearly why and how a panic unfolds." —Charles Calomiris, Henry Kaufman Professor of Financial Institutions, Columbia University, Graduate School of Business Analysis for Financial Management - Robert C. Higgins 2009 "Written with enthusiasm and dedication, Analysis for Financial Management, 9th edition, presents Financial Management in a clear and conversational style that both business students and non-financial executives comprehend." --Book Jacket. The Poison Pill Anti-takeover Defense - Andrew J. Senchack 1991 Cases Financial Management - Joseph M. Sulock 2003-12 Distance Education for Teacher Training - Hilary Perraton 2002-03-11 First published in 2002. Routledge is an imprint of Taylor & Francis, an informa company. Ebook: Principles of Corporate Finance - BREALEY 2010-07-16 Ebook: Principles of Corporate Finance Investments- Mark Hirschey 2001 A new text from an experienced author. Hirschey adopts a new and unique approach to investments where both theory and practice are studied as a useful guide to a "random walk down Wall Street" to show how real-world behavior reflects the theory. Applied Mergers and Acquisitions - Robert F. Bruner 2016-02-08 A comprehensive guide to the world of mergers and acquisitions Why do so many M&A transactions fail? And what drives the success of those deals that are consummated? Robert Bruner explains that M&A can be understood as a response by managers to forces of turbulence in their environment. Despite the material failure rates of mergers and acquisitions, those pulling the trigger on key strategic decisions can make them work if they spend great care and rigor in the development of their M&A deals. By addressing the key factors of M&A success and failure, Applied Mergers and Acquisitions can help readers do this. Written by one of the foremost thinkers and educators in the field, this invaluable resource teaches readers the art and science of M&A valuation, deal negotiation, and bargaining, and provides a framework for considering tradeoffs in an effort to optimize the value of any M&A deal. Loose Leaf for Case Studies in Finance - Kenneth Eades 2017-12-13 Case Studies in Finance links managerial decisions to capital markets and the expectations of investors. At the core of almost all of the cases is a valuation task that requires students to look to financial markets for guidance in resolving the case problem. The focus on value helps managers understand the impact of the firm on the world around it. These cases also invite students to apply modern information technology to the analysis of managerial decisions. The cases may be taught in many different combinations. The eight-part sequence indicated by the table of contents relates to course designs used at the authors' schools. Each part of the casebook suggests a concept module, with a particular orientation. EBOOK: Analysis for Financial Management - HIGGINS 2015-01-15 EBOOK: Analysis for Financial Management An Introduction to Qualitative Research - Uwe Flick 2009-02-19 'The fourth edition of Uwe Flick's Introduction to Qualitative Research remains the most comprehensive and thorough text in qualitative research. It is student-and user-friendly, thoroughly up-to-date in terms of the latest developments in the field, imminently practical. it is the single most important introductory book on qualitative inquiry in the social sciences today' - Norman K. Denzin, University of Illinois The new edition of Uwe Flick's bestselling textbook has been fully revised, expanded and updated. An Introduction to Qualitative Research guides the student step-by-step through the research process of qualitative research. This classic text covers all of the main theoretical approaches to qualitative research, and provides unmatched coverage of the full range of different qualitative methods and approaches now available to researchers. A range of new features have been added to the new edition including: - New structure to better meet the needs of teaching qualitative research - A new chapter on Grounded Theory plus updated coverage on the full range of other qualitative methods - A summary section discussing the state-of-the-art in qualitative research - A glossary - Updated cases studies, exercises and guided questions This new edition will continue to ensure that An Introduction to Qualitative Research remains an essential introductory text for all students of qualitative research. The Puppet Masters - Emile van der Does de Willebois 2011-11-01 This report examines the use of these entities in nearly all cases of corruption. It builds upon case law, interviews with investigators, corporate registries and financial institutions and a 'mystery shopping' exercise to provide evidence of this criminal practice. Case Studies in Finance - Robert Bruner 2013-01-18 Case Studies in Finance links managerial decisions to capital markets and the expectations of investors. At the core of almost all of the cases is a valuation task that requires students to look to financial markets for guidance in resolving the case problem. The focus on value helps managers understand the impact of the firm on the world around it. These cases also invite students to apply modern information technology to the analysis of managerial decisions. The cases may be taught in many different combinations. The eight-part sequence indicated by the table of contents relates to course designs used at the authors' schools. Each part of the casebook suggests a concept module, with a particular orientation. Parenting Matters - National Academies of Sciences, Engineering, and Medicine 2016-11-21 Decades of research have demonstrated that the parent-child dyad and the environment of the familyâ€"which includes all primary caregiversâ€"are at the foundation of children's well- being and healthy development. From birth, children are learning and rely on parents and the other caregivers in their lives to protect and care for them. The impact of parents may never be greater than during the earliest years of life, when a child's brain is rapidly developing and when nearly all of her or his experiences are created and shaped by parents and the family environment. Parents help children build and refine their knowledge and skills, charting a trajectory for their health and well-being during childhood and beyond. The experience of parenting also impacts parents themselves. For instance, parenting can enrich and give focus to parents' lives; generate stress or calm; and create any number of emotions, including feelings of happiness, sadness, fulfillment, and anger. Parenting of young children today takes place in the context of significant ongoing developments. These include: a rapidly growing body of science on early childhood, increases in funding for programs and services for families, changing demographics of the U.S. population, and greater diversity of family structure. Additionally, parenting is increasingly being shaped by technology and increased access to information about parenting. Parenting Matters identifies parenting knowledge, attitudes, and practices associated with positive developmental outcomes in children ages 0-8; universal/preventive and targeted strategies used in a variety of settings that have been effective with parents of young children and that support the identified knowledge, attitudes, and practices; and barriers to and facilitators for parents' use of practices that lead to healthy child outcomes as well as their participation in effective programs and services. This report makes recommendations directed at an array of stakeholders, for promoting the wide-scale adoption of effective programs and services for parents and on areas that warrant further research to inform policy and practice. It is meant to serve as a roadmap for the future of parenting policy, research, and practice in the United States. Understanding Financial Management - H. Kent Baker 2009-02-09 Designed for those who want to gain an understanding of the fundamental concepts and techniques used in financial management. An underlying premise of the book is that the objective of the firm is to maximize value or wealth. Drawing on a wealth of experience in the academic and professional worlds, the authors discuss how firms can accomplish this objective by making appropriate investment and financing decisions. Bridging the gap between financial theory and practice, the authors present fundamental concepts in an intuitive and nontechnical way, and provide numerous practical financial tips to readers. The focus is on current practice, using results from recent surveys to show the most popular techniques and approaches used by financial managers today. A range of instructor's resources are available at the accompanying website. Visit www.blackwellpublishing.com/baker for full details. Creating Value Through Corporate Restructuring - Stuart C. Gilson 2010-04-05 An updated look at how corporate restructuring really works Stuart Gilson is one of the leading corporate restructuring experts in the United States, teaching thousands of students and consulting with numerous companies. Now, in the second edition of this bestselling book, Gilson returns to present new insight into corporate restructuring. Through real-world case studies that involve some of the most prominent restructurings of the last ten years, and highlighting the increased role of hedge funds in distressed investing, you'll develop a better sense of the restructuring process and how it can truly create value. In addition to "classic" buyout and structuring case studies, this second edition includes coverage of Delphi, General Motors, the Finova Group and Warren Buffett, Kmart and Sears, Adelphia Communications, Seagate Technology, Dupont-Conoco, and even the Eurotunnel debt restructuring. Covers corporate bankruptcy reorganization, debt workouts, "vulture" investing, equity spin-offs, asset divestitures, and much more Addresses the effect of employee layoffs and corporate downsizing Examines how companies allocate value and when a corporation should "pull the trigger" From hedge funds to financial fraud to subprime busts, this second edition offers a rare look at some of the most innovative and controversial restructurings ever. Project Management - Jack R. Meredith 2017-10-30 Projects continue to grow larger, increasingly strategic, and more complex, with greater collaboration, instant feedback, specialization, and an ever-expanding list of stakeholders. Now more than ever, effective project management is critical for the success of any deliverable, and the demand for qualified Project Managers has leapt into nearly all sectors. Project Management provides a robust grounding in essentials of the field using a managerial approach to both fundamental concepts and real-world practice. Designed for business students, this text follows the project life cycle from beginning to end to demonstrate what successful project management looks like on the ground. Expert discussion details specific techniques and applications, while guiding students through the diverse skill set required to select, initiate, execute, and evaluate today's projects. Insightful coverage of change management provides clear guidance on handling the organizational, interpersonal, economic, and technical glitches that can derail any project, while in-depth cases and real-world examples illustrate essential concepts in action. The Cambridge Handbook of Corporate Law, Corporate Governance and Sustainability - Beate Sjåfjell 2019-12-12 The emerging field of corporate law, corporate governance and sustainability is one of the most dynamic and significant areas of law and policy in light of the convergence of environmental, social and economic crises that we face as a global society. Understanding the impact of the corporation on society and realizing its potential for contributing to sustainability is vital for the future of humanity. This Handbook comprehensively assesses the state-of-the-art in this field through indepth discussion of sustainability-related problems, numerous case studies on regulatory responses implemented by jurisdictions around the world, and analyses of predominant strategies and potential drivers of change. This Handbook will be an essential reference for scholars, students, practitioners, policymakers, and general readers interested in how corporate law and governance have exacerbated global society's most pressing challenges, and how reforms to these fields can help us resolve those challenges and achieve sustainability. Managing Information Technology - Carol Brown 2002 This MBA and advanced undergraduate text focuses on managing information technology within organizational settings. Following an introduction to IT, hardware, software, and networking, examples are presented of three major types of IT applications: organizational systems, managerial support systems, Corporate Finance- Stephen A. Ross 2002 FinGame 5.0 Participant's Manual with Registration Code - Leroy Brooks 2007-06-28 Brooks' FinGame Online 5.0 is a comprehensive multiple period finance case/simulation. In the game, students control a hypothetical company over numerous periods of operation. Students have control of major financial and operating decisions of their company. Students develop and enhance skills in financial management, financial accounting statement analysis, and general decision making. Internet access by the instructor and student is required. Students use the FinGame Participant's Manual for instructions to operate their company on the McGraw-Hill/Irwin website. The Participant's Manual includes a password in order to access the website. The Instructor's Manual is very important and imperative to teaching from FinGame Online 5.0. FinGame Online can be found at www.mhhe.com/fingame5. The Adult Learner - Malcolm S. Knowles 2020-12-21 How do you tailor education to the learning needs of adults? Do they learn differently from children? How does their life experience inform their learning processes? These were the questions at the heart of Malcolm Knowles' pioneering theory of andragogy which transformed education theory in the 1970s. The resulting principles of a self-directed, experiential, problem-centred approach to learning have been hugely influential and are still the basis of the learning practices we use today. Understanding these principles is the cornerstone of increasing motivation and enabling adult learners to achieve. The 9th edition of The Adult Learner has been revised to include: Updates to the book to reflect the very latest advancements in the field. The addition of two new chapters on diversity and inclusion in adult learning, and andragogy and the online adult learner. An updated supporting website. This website for the 9th edition of The Adult Learner will provide basic instructor aids. For each chapter, there will be a PowerPoint presentation, learning exercises, and added study questions. Revisions throughout to make it more readable and relevant to your practices. If you are a researcher, practitioner, or student in education, an adult learning practitioner, training manager, or involved in human resource development, this is the definitive book in adult learning you should not be without. Mergers, Acquisitions, and Other Restructuring Activities - Donald DePamphilis 2011-08-22 Two strengths distinguish this textbook from others. One is its presentation of subjects in the contexts wherein they occur. The other is its use of current events. Other improvements have shortened and simplified chapters, increased the numbers and types of pedagogical supplements, and expanded the international appeal of examples. E-book: Essentials of Corporate Finance- Ross 2016-04-16 E-book: Essentials of Corporate Finance The Integrated Reporting Movement - Robert G. Eccles 2014-11-17 An in-depth, enlightening look at the integrated reporting movement The Integrated Reporting Movement explores the meaning of the concept, explains the forces that provide momentum to the associated movement, and examines the motives of the actors involved. The book posits integrated reporting as a key mechanism by which companies can ensure their own long-term sustainability by contributing to a sustainable society. Although integrated reporting has seen substantial development due to the support of companies, investors, and the initiatives of a number of NGOs, widespread regulatory intervention has yet to materialize. Outside of South Africa, adoption remains voluntary, accomplished via social movement abetted, to varying degrees, by market forces. In considering integrated reporting's current state of play, the authors provide guidance to ensure wider adoption of the practice and success of the movement, starting with how companies can improve their own reporting processes. But the support of investors, regulators, and NGOs is also important. All will benefit, as will society as a whole. Readers will learn how integrated reporting has evolved over the years, where frameworks and standards are today, and the practices that help ensure effective implementation—including, but not limited to an extensive discussion of information technology's role in reporting and the importance of corporate reporting websites. The authors introduce the concepts of an annual board of directors' "Statement of Significant Audiences and Materiality" and a "Sustainable Value Matrix" tool that translates the statement into management decisions. The book argues that the appropriate combination of market and regulatory forces to speed adoption will vary by country, concluding with four specific recommendations about what must be done to accelerate high quality adoption of integrated reporting around the world. Language Learning in Study Abroad - Wenhao Diao 2021-03-04 Vestiges of monolingual bias are present in the portrayal of study abroad as an idealized monolingual immersion experience and the steps many programs take to encourage or enforce target language monolingualism. In reality, study abroad is often inherently multilingual. This book addresses the need for a recognition of the multilingual realities of study abroad across a variety of traditional and non-traditional national contexts and target languages. The chapters examine multilingual socialization and translanguaging with peers, local hosts and instructors; how the target language is necessarily entwined in global, local and historical contexts; and how students negotiate the use of local and global varieties of English. Together the chapters present a powerful argument for scholars and study abroad practitioners to consider and critically incorporate multilingual realities into their research and planning. Strategic Corporate Finance - Justin Pettit 2011-07-12 Essential guidance for the corporate finance professional — advisor, Board Director, CFO, Treasurer, business development executive, or M&A expert—to ask the right questions and make the critical decisions. Strategic Corporate Finance is a practical guide to the key issues, their context, and their solutions. From performance measurement and capital planning to risk management and capital structure, Strategic Corporate Finance, translates principles of corporate finance theory into practical methods for implementing them. Filled with in-depth insights, expert advice, and detailed case studies, Strategic Corporate Finance will prepare you for the issues involved in raising, allocating and managing capital, and its associated risks. Justin Pettit (New York, NY) draws on his 15 years of senior advisory experience as an investment banker and management consultant. He advises corporate boards and executives on matters of capital structure, financial policy, valuation, and strategy. He also lectures on topics in advanced corporate finance to graduate and undergraduate students at universities in the New York area. Ebook: Fundamentals of Corporate Finance - Brealey; Myers; 2016-04-16 Ebook: Fundamentals of Corporate Finance Case Studies In Finance 5E - Bruner This book presents 50 case studies and technical notes in finance, targeted toward upper-level undergraduates and introductory and intermediate-level MBA students. The purpose of these cases is to afford the basis for classroom discussion of tools and concepts. The range of topics includes value creation, market efficiency, economic profit, financial analysis and forecasting, cost of capital, capital budgeting, dividend policy, equity issuance, capital structure management, derivative securities, and mergers and acquisitions. The spirit of these cases is to link the study of value creation with a respect for the administrative point of view, and an orientation toward capital markets. Three-quarters of the cases are set in 2000 or after; half the cases are set outside of the United States or draw significantly on international issues; 37 percent are new or seriously updated since the fourth edition. A new chapter addresses ethics in finance.Note: The downloadable document describes the book in more detail with excerpts from the preface and table of contents. Also, an Instructor's Manual containing discussion outlines and case analyses is available on a restricted basis to university instructors upon request to Ms. Barbara Hari, McGrawHill/Irwin (mailto:email@example.com). A collection of spreadsheet files supporting student and teacher preparation of the cases is available to instructors adopting the book for classroom use. Principles of Corporate Finance - Richard A. Brealey 2020 This new international edition provides increased coverage of the procedures for estimating the cost of capital, expanded coverage of risk management techniques and the use and misuse of derivatives, and additional coverage of agency problems. Valuation - McKinsey & Company Inc. 2020-06-30 McKinsey & Company's #1 best-selling guide to corporate valuation—the fully updated seventh edition Valuation has been the foremost resource for measuring company value for nearly three decades. Now in its seventh edition, this acclaimed volume continues to help financial professionals around the world gain a deep understanding of valuation and help their companies create, manage, and maximize economic value for their shareholders. This latest edition has been carefully revised and updated throughout, and includes new insights on topics such as digital, ESG (environmental, social and governance), and long-term investing, as well as fresh case studies. Clear, accessible chapters cover the fundamental principles of value creation, analyzing and forecasting performance, capital structure and dividends, valuing high-growth companies, and much more. The Financial Times calls the book "one of the practitioners' best guides to valuation." This book: Provides complete, detailed guidance on every crucial aspect of corporate valuation Explains the strategies, techniques, and nuances of valuation every manager needs to know Covers both core and advanced valuation techniques and management strategies Features/Includes a companion website that covers key issues in valuation, including videos, discussions of trending topics, and real-world valuation examples from the capital markets For over 90 years, McKinsey & Company has helped corporations and organizations make substantial and lasting improvements in their performance. Through seven editions and 30 years, Valuation: Measuring and Managing the Value of Companies, has served as the definitive reference for finance professionals, including investment bankers, financial analysts, CFOs and corporate managers, venture capitalists, and students and instructors in all areas of finance. EBOOK: Essentials of Investments: Global Edition - Zvi Bodie 2013-01-16 Introducing... Essentials of Investments, 9th Global Edition, by Zvi Bodie, Alex Kane and Alan J. Marcus. We are pleased to present this Global Edition, which has been developed specifically to meet the needs of international Investment students. A market leader in the field, this text emphasizes asset allocation while presenting the practical applications of investment theory without unnecessary mathematical detail. The ninth edition includes new coverage on the roots and fallout from the recent financial crisis and provides increased content on the changes in market structure and trading technology. Enhancements to this new Global Edition include: - New 'On the market front' boxes highlight important investment concepts in real world situations across the globe, to promote student thinking without taking a full case study approach. Topics include short-selling in Europe & Asia, credit default swaps and the debt crisis in Greece and include examples from Commerzbank, JP Morgan, Facebook, Coca-Cola, Santander, The European Energy Exchange, plus many more! - Revised worked examples illustrate problems using both real and fictional scenarios from across the world to help students develop their problem solving skills. Regional examples include Hutchinson Whampoa (Asia), The Emirates Group (The Middle East) and KLM Royal Dutch Airlines (The Netherlands). - Revised end-of chapter material includes brand new global questions and global internet exercises that feature currencies, companies and scenarios from Europe, Middle East, Africa and Asia to increase engagement for international students. - Global Edition of Connect Plus Finance, McGraw-Hill's webbased assignment and assessment platform with eBook access, helps students learn faster, study more efficiently, and retain more knowledge. This Global Edition has been adapted to meet the needs of courses outside of the United States and does not align with the instructor and student resources available with the US edition.
Course Descriptions Burnaby Central ENGLISH Burnaby Central's English Department offers a variety of language arts courses to help students understand and appreciate English language and literature. We offer both compulsory courses required for graduation and elective courses that allow students to deepen their study of literature and writing. All English courses in grades 8-12 are comprised of the same six strands: reading, writing, speaking, listening, viewing and representing. As students progress through each level, the course material will become more challenging, but the learning intentions stay the same. Students will: * Understand First Peoples Principles of Learning, knowing, and storytelling * Make sense of literary texts and uncover the understandings that live within them * Develop an appreciation for language and literature * Engage in meaningful, purposeful academic discussion * Communicate their thinking with clarity and effectiveness * Think critically, creatively, and reflectively * Participate as responsible citizens in a digital age * Construct a sense of personal and cultural identity and be respectful of a range of perspectives and world views. English 8 Students will read and study novels, short stories, and poetry. Drama, non-fiction and mythology may also be addressed. Writing will be approached as a process, with students becoming more familiar with the stages of writing as they apply these skills directly to the pieces of literature being studied. Group discussion and debate will also figure prominently as students learn to critically examine and reflect on their reading and writing. English 9 This course continues to enhance students' knowledge and appreciation of various genres of literature. Literature to be read may include short stories, poetry, drama, novels and nonfiction works. Students will continue to improve in the areas of critical thinking, writing (both academic and creative), research and speaking. English 10 (English First Peoples and Literary Studies) As a proactive approach to reconciliation in education, we are changing our English 10 program to include an essential aspect of the English First Peoples (EFP) curriculum. All students will have Literary Studies 10 (2 credits) paired with English First Peoples (2 credits): EFP Creative Writing, EFP New Media, or EFP Spoken Language. Literary Studies 10 Literary Studies 10 will allow students to explore specific themes, periods, authors, or areas of the world through literary works (fiction and non-fiction) in a variety of media. Students will increase their literary skills through close reading and analysis to become educated global citizens and broaden their understanding of the themselves and the world. Possible areas of focus in Literary Studies 10 are genre-specific studies (poetry, short stories, essays, novels, drama, graphic novels, children's literature), specific author studies, Canadian literature, First Peoples literature, as well as diverse and inclusive literature (from PoC and the 2SLGBTQ+ Community). Literary Studies 10 MUST be paired with one of the following: English First Peoples Creative Writing 10 EFP Creative Writing 10 is designed for students who are interested in writing for a variety of purposes and contexts. This area of choice provides students with opportunities to become better writers through the exploration of personal and cultural identities, memories, stories, and connections to land/place. Within a supportive community, students will work individually and collaboratively to develop their writing skills and create coherent, purposeful, and engaging compositions. This course is grounded in the exploration and application of writing processes, inviting students to express themselves as they experiment with, reflect on, extend, and refine their writing. The following are possible areas of focus in EFP Writing 10: * Community-focused text—ideas include creating written work that relates to and/or contributes to local First Peoples communities (e.g., community performances, proposals, technical communications) * Writing for advocacy—ideas include creating narrative, descriptive, persuasive, and opinion pieces, with attention to audience, purpose, and technique * Writing for expression—ideas include creating slam poetry, oratory, rap, drama, song, or multimodal work related to First Peoples themes * Exploration of First Peoples themes—ideas include contextualizing self in relation to community, expressing relationship to land, with consideration of issues such as cultural appropriation and inauthenticity English First Peoples Spoken Language 10 Spoken Language 10 is designed for students who are interested in studying First Peoples oral traditions and in developing their oral self-expression and communication in a variety of contexts. Within a supportive community, students will work individually and collaboratively to develop their writing skills and create coherent, purposeful, and engaging oral texts for a variety of purposes. This area of choice will provide students with opportunities for performance and public speaking. The following are possible areas of focus within EFP Spoken Language 10: * Performance—ideas include spoken word/slam poetry, poetry recitation, oral storytelling, readers' theatre, radio/podcasts/video posts related to First Peoples themes * Oral tradition—ideas include oratory, local story knowledge, and oral history * Professional applications—ideas include speech writing/presenting, proposals, interviewing, event facilitation, radio/podcasts/video posts (information items) related to First Peoples themes English First Peoples New Media 10 EFP New Media 10 is designed for students who are interested in exploring the increasing importance of digital media in communicating and exchanging ideas. This area of choice provides students with opportunities to think about the use of new media and its effects on individuals and on First Peoples communities and cultures. Students will work individually and collaboratively to develop skills needed in an increasingly complex digital world as they demonstrate understanding and communicate ideas through a variety of digital and print media. The following are possible areas of focus within EFP New Media 10: * Media and film studies related to First Peoples themes—ideas include representation of First Peoples in media and documentaries in the age of digital media * Journalism and publishing related to First Peoples themes—ideas include changing roles and structures within news organizations and how journalism and publishing can support preservation and revitalization of language and culture * Digital communication related to First Peoples themes—ideas include blogging, writing for the web, writing for social media, gaming, and podcasting ELL Spoken Language & Composition 10 (for English Language Learners only) This course is specifically for ELL students who are transitioning out of ELL Level 2 into the regular academic English stream. Students will read a variety of text forms and have the opportunity to build on their communication skills (speaking and writing). They will receive specific English language instruction with an emphasis on understanding correct grammatical structures and improving the clarity and precision of their work. English 11 The grade 11 English program allows students to choose a topic of study that interests them. All strands will continue to develop and extend their knowledge and skills in reading, writing, speaking, listening, viewing, and representing. Literary Studies 11 Literary Studies 11 allows students to delve deeply into literature and explore specific themes, periods, authors, or areas of the world through literary works (fiction and non-fiction) in a variety of media. Giving students the choice of a range of literary topics allows them to follow their passion and at the same time: The following are possible areas of focus in Literary Studies 11: * expand their development as educated global citizens while further developing higher level thinking and learning skills * specific author studies, themes, and inquiry topics * develop balance and broaden their understanding of themselves and the world * genre-specific studies (poetry, short stories, essays, novels, drama, graphic novels, children's literature) * 2SLGBTQ+ and BIPOC literature, feminist literature, Canadian literature, First Peoples literature Literary Studies 11: The Story's The Thing - Connecting Classic and Contemporary Literature How can we use story to make sense of our world and each other? This course allows students to delve deeply into literature and the stories that offer a window into the human condition – our virtues, our vices, and our shared experience. Stories can transform our thinking, allow us to consider alternate points of view, and foster empathy. Students will have the opportunity to explore a variety of short fiction, memoir/nonfiction, novels, film, poetry, and plays and will use the lens of story to make connections between classic and contemporary works. Emphasis will be on texts and authors that explore a range of voices including Indigenous, LGBTQ+, and people of colour to learn how story transcends time, gender, and ethnicity. Students will learn how to write from experience while also studying technical academic and literary analysis writing. This course is highly recommended for those students who are interested in preparing for English Studies 12, English 12 AP, and pursuing studies at the post-secondary level. The following are possible units of focus within this course: * Children's Literature * Canadian and Indigenous Literature * World Literature * Specific author studies or studies by era or theme * Environmental and Global/Social Issues "All that we are is story. From the moment we are born to the time we continue on our spirit journey, we are involved in the creation of the story of our time here….When we can do that and we take the time to share those stories with each other, we get bigger inside, we see each other, we recognize our kinship – we change the world, one story at a time." -Richard Wagamese Literary Studies 11: Feminist Literature This course will concentrate on different forms of literature written by women and about women, but welcomes all. Focus will be on fiction, drama, poetry, and media combining these studies with analysis from a feminist perspective and discussion of intersectionality. Songs, movies, stories, "women rarely get to be the center of attention—rarely do our stories get to matter. When women are involved, they are often sidekicks, the romantic interests, the afterthoughts." Roxane Gay. How to we bring attention to these issues? How does literature serve as a vehicle for change? We will look through history to the present at women who have brought change, raised awareness, and have taken the driver's in texts and media. Students will focus on learning how to: * Respectfully exchange ideas and viewpoints from diverse perspectives * respond to written/oral/visual/multimodal texts in personal, creative and critical ways * compose texts intentionally designed to shift worldviews or perspectives with power * insightfully combine genre specific techniques with content to create persuasive communications Creative Writing 11 This course is designed for students who are interested in developing confidence and refining their writing skills through self-expression for various creative purposes. Students will have in-depth opportunities to explore personal and cultural identities, memories, and stories in a wide range of genres. Within a supportive community, students will collaborate and strengthen their skills through writing and design processes. The following are possible areas of focus within Creative Writing 11: * Short fiction and poetry - e.g flash fiction, twitterature, children's literature, sci-fi, drama/script writing, fantasy, suspense, dystopian * Memoirs and Narratives from diverse perspectives * Creative non-fiction - e.g. columns, articles, reporting, interviews, reviews, podcasts * Film analysis/screenwriting and documentary Creative Writing 11: Comedy Focus This course is designed for students with an interest in writing who want to understand the fragile art of making complete strangers laugh at words and images. Students will engage with mediums such as stand-up comedy, half-hour sitcoms, personal comedic memoirs, comics, and film. The goal of this class is not necessarily to write hilarious comedy so much as it is to develop a personal writer's voice and deepen our understanding of the techniques used to create humour. Students will also examine the shifting perceptions of what are considered acceptable targets for comedy, as well as the difference between "punching up" and "punching down". Also: It'll be funny, probably. Creative Writing 11 (Comedy Focus) will include but is not limited to: * Sitcom writing and the three-act structure * Developing a writer's voice through memoir and journaling * Comedy as a tool for social justice * Parody and satire Creative Writing 11: Personal Empowerment Through the Written Word We will use emotions such as sadness, anger, and fear, as fuel for our creative work. You will turn your challenging thoughts into art, empowering the most important relationship in life-the one with yourself! You will be held and supported in a safe, inclusive, but sometimes challenging space. Always, you will be met with care and compassion. Awareness of self, expression of self, personal empowerment, and respect for all will be key pillars in this course. Art Forms will include but are not limited to: * free writing, journaling, reflections * * descriptive reviews sensory walks * inquiry based writing * personal stories/memoirs * meditation * poetry as upliftment! New Media 11 This course is designed for students who are interested in learning about the changing role of technology in today's society and the increasing importance of digital media in communicating and exchanging ideas. Students will have an opportunity to demonstrate their understanding through a variety of digital and print media. Compared with New Media 10, New Media 11 features tasks and texts of greater complexity and sophistication. The course will extend the depth and breadth of topics and activities offered in New Media 10. The following are possible areas of focus within New Media 11: * Media and film studies - e.g. globalization of the media industry, influence of media on users' perceptions, documentaries in the age of digital media organizations, risks/challenges/opportunities associated with professional journalism * Journalism and publishing - e.g. changing roles and structures within news * Digital communication - blogging, writing for the web/social media, podcasting Spoken Language 11 This course is designed to support students as they refine, clarify, and adjust their spoken communication through practice and revision. The course provides opportunities for students to, with increasing independence, study, create, write, and present original and authentic pieces for a range of purposes and real-world audiences. They will expand their competencies through processes of drafting, reflecting, and revising to build a body of work that demonstrates expanding breadth, depth, and evidence of spoken language genres for a range of situations. They will develop confidence in their abilities as they consolidate their spoken language skills. The following are possible areas of focus in Spoken Language 11: * performance – suggested content/topics include spoken word/slam poetry, poetry recitation, oral storytelling, readers' theatre, radio/podcasts/video posts * oral tradition – suggested content/topics include oratory, local story knowledge, oral history * professional applications – suggested content/topics include speech writing/presenting, proposals, interviewing, event facilitation, radio/podcasts/video posts (information items), voice-overs Composition 11 This course is designed to support students as they refine, clarify, and adjust their written communication through practice and revision. Students will read and study compositions by other writers and be exposed to a variety of styles as models for the development of their writing. With increasing independence, students will study, create, and write original and authentic pieces for a range of purposes and real-world audiences. The following are possible areas of focus within Composition 11: * Narrative, expository, descriptive, persuasive, and opinion pieces * Writing for specific audiences and specific disciplines * Planning, drafting, and editing processes * Howe to cite sources, consider the credibility of evidence, and evaluate the quality and reliability of the source Cultural Empowerment Through Language 11 (Elective - For ELL Students Only) This elective course is designed for level 3 and 4 ELL students who want additional support and practice with their literacy skills beyond their required English course. The course is designed to build students' skills and confidence in academic tasks across the curriculum and enhance their ability to apply their growing range of strategies. Students will read a variety of text forms and have the opportunity to build on their reading, writing, listening, and speaking skills. In addition, students will gain awareness of their own identity and cultural contributions to Canadian culture and society by using more complex vocabulary and sentence forms. English 12 The grade 12 English program allows students to choose a topic of study that interests them. All three of the choices build on and extend students' previous learning experience in English Language Arts courses in grades 8 – 11. English Studies 12 English Studies 12 is designed for all students and provides them with opportunities to: * refine their ability to communicate effectively in a variety of contexts and to achieve their personal and career goals * explore texts from a variety of sources, in multiple modes, and that reflect diverse worldviews * think critically and creatively about the uses of language * deepen their understanding of themselves and others in a changing world * appreciate the importance of self-representation through text * gain insight into the diverse factors that shape identity * contribute to Reconciliation by building greater understanding of the knowledge and perspectives of First Peoples * expand their understanding of what it means to be educated Canadian and global citizens English First Peoples 12 This course is grounded in the First Peoples Principles of Learning. It is designed for all students, Indigenous and non-Indigenous, who are interested in delving deeply into First Peoples oral and written literature and visual texts in a range of media. The course focuses on the experiences, values, beliefs, and lived realities of First Peoples as evidenced in various forms of text, including oral story, poetry, song, performance, film, and prose. A key feature of the course is its focus on authentic First Peoples voices (i.e., historical, or contemporary texts created by or with First Peoples). In EFP 12, all students: * examine texts grounded in a diversity of First Peoples cultures, including local Indigenous or Métis communities * extend their capacity to communicate effectively in a variety of contexts * think critically and creatively about the uses of language * deepen their understanding of themselves and others in a changing world * gain insight into the diverse factors that have shaped and continue to shape their own identities * appreciate the importance of self-representation through authentic First Peoples texts * contribute to Reconciliation by building greater understanding of the knowledge and perspectives of First Peoples * expand their understanding of what it means to be educated Canadian and global citizens While the focus in EFP 12 is primarily on First Peoples voices from British Columbia, students also engage with texts that reflect First Peoples perspectives from elsewhere in Canada and throughout the world. English Studies 12: BIPOC and 2SLGBTQ+ Voices This specialty English 12 course is designed to allow students to explore diverse, intersectional topics in literature while gaining credit for English Studies 12. Through the lens of the First Peoples Principles of Learning and Social Justice, this course will examine specific curriculum for students to explore race, gender identity, and sexual orientation as told by authentic Black, Indigenous, People of Colour, and 2SLGBTQ+ voices through memoirs, short stories and essays, documentaries, podcasts, art, music, and poetry. Students will actively engage in open dialogue about readings/topics to demonstrate empathetic understandings of storytelling. Students will learn how to write from experience while also studying technical academic and literary analysis writing. Students will have the opportunity to: * appreciate the importance of self-representation through a variety of texts * deepen their understanding of themselves and others in a changing world * contribute to community and reconciliation by building greater understanding of the knowledge and perspectives of First Peoples * understand the diverse factors that shape identity for BIPOC and queer communities * explore texts from a variety of sources, in multiple modes, and that reflect diverse personal and world views * expand their understanding of what it means to be an educated global citizen * refine their ability to communicate effectively in a variety of contexts and genres AP English Literature and Composition Please note that this course is different from the elective Literary Studies 12. Students who take AP English 12 will also receive credit for English Studies 12, a graduation requirement. The focus of this course is on prose and poetry written in the 19th-21 st centuries. Students in this course are expected to fulfill the expectations for English 12 (including writing the literary assessment) and will also be given opportunities to go beyond these requirements. Students will be required to evaluate literature at a greater depth, produce higher caliber writing and read at a more challenging pace. They will have the option of writing the AP exam in May. If a student scores high enough on the exam, they will receive first year post secondary credit for the course (depending on the post secondary institution). Students are strongly encouraged to take the Literary Studies 12: English Literature Through the Ages as an elective in grades 11 or 12 as a prerequisite course in order to be better prepared for the AP exam. English 12 Elective Courses: Composition 12: Academic Reading and Writing This elective course is designed for Grade 11 and 12 students who are planning to go directly to university and need to learn how to write university-level term papers for all subject areas. Work in this course will bridge the gap between high school level English and the reading and writing expectations of college and university. Students will read and study exemplary compositions by other writers and be exposed to a variety of styles as models for the development of their writing. There will be a focus on college-style writing, including critical summaries, annotated bibliographies, analytical essays, and research papers. Strategies designed to improve higher-level reading skills will also be taught, as will proper research methods, vocabulary development strategies and many other skills that will help foster success at the post-secondary level. Literary Studies 12: English Literature Through the Ages This elective course explores the origins of the greatest literature in English from Beowulf (circa 900) to the end of the 20 th century. Students will study the tales of heroes and villains, and poetry and plays that have stood the test of time. The course encompasses a range of voices throughout history that have contributed to the development of our English literary heritage. Interest in literature, history and discussion will be nurtured and analytical skills will be enhanced. This course is a great introduction for those interested in pursuing a university arts degree, or for those who simply have a love of stories and language. This elective can also be taken in grade 11 and is strongly recommended for students who are planning to take English 12 Advanced Placement.
PULLING OUT OF PARIS: WHY THE UNITED STATES' WITHDRAWAL WILL NOT MUCH MATTER Robert Wilder,* Daniel M. Kammen, and Carson Wilder* The Article reviews the United States' recent decision to withdraw from the Paris Accord and recounts some of the most prominent policy discussions surrounding this decision. The Article goes on to explain, that these policy discussions reject science in favor of short-term political gains. The Article reviews new scientific reports which indicates that sea level rise may be far worse than expected, due in large part to the fact that previous computer models never looked beyond the year 2100. As this Article highlights, our policy discussions have become so heavily focused on the near future that we have created a distorted perception of time that doesn't mesh with reality. This Article urges policy-makers to take real action on climate now, before it is too late. * Rob Wilder, J.D., Ph.D. is Member Emeritus of the Director's Council in Scripps Institution of Oceanography at U.C. San Diego, a member of the IUCN World Commission on Environmental Law, and has been on faculty at the University of California and University of Massachusetts. He is chair of the WilderHill Clean Energy Index (ECO), co-manager of WilderHill New Energy Global Innovation Index (NEX), and founder of the Progressive Energy Index for reducing CO2. Wilder is a Fulbright Senior Specialist. Wilder is a book author and has been published widely including in NATURE, NATIONAL ACADEMY OF SCIENCES PRESS, SCIENTIFIC AMERICAN, ENGINEERING NEWS-RECORD, UCLA J. ENVTL. L. & POL'Y, and elsewhere. He has been a Fulbright Fellow, an AAAS Fellow in Environmental Science & Technology, and a National Academy of Sciences Young Investigator (twice). Rob and his family live in Encinitas California in a solar home, drive solar-powered cars, and he can be reached at email@example.com. Daniel Kammen, Ph.D. is the Class of 1935 Distinguished Professor of Energy at the University of California, Berkeley, where he holds appointments in the Energy and Resources Group, the Goldman School of Public Policy, and the Department of Nuclear Engineering. Kammen is the founding director of the Renewable and Appropriate Energy Laboratory (RAEL). He is also the co-director of the Berkeley Institute of the Environment. Kammen received his undergraduate (Cornell A.B. '84) and graduate (Harvard M.A. '86, Ph.D. '88) training in physics. After completing postdoctoral work at Caltech and Harvard, Kammen served as a professor and Chair of the Science, Technology and Environmental Policy at Princeton University's Woodrow Wilson School of Public and International Affairs from 1993-1998. He has also served as Chief Technical Specialist at the World Bank for Renewable Energy and Energy Efficiency. * Carson Wilder has studied electrical engineering, economics, and computer science at the University of California, San Diego. He is a clean energy analyst at the Clean Energy Index (ECO) and at Progressive Energy Index (WHPRO), which are focused on reducing CO2 and greenhouse gases in dominant energy today. He has a strong interest in climate change and global affairs. 1 INTRODUCTION On June 1, 2017, President Trump announced in a widely anticipated press conference watched worldwide, that the United States would pull out of the Paris Climate Accord. Prospects now are that the United States will continue to strip away tougher policies and regulations on CO2 and pollutants, as it pursues more lax thinking on greenhouse gases. That path, anyway, had already started very shortly after President Trump took office. The President's flouting of CO2 rules of the previous administration is now causing celebration among conservatives and hand-wringing by liberals. It's an early "America First" thrust. Trump's decision also brings to partial conclusion high-level discussions concerning the potential political consequences of leaving, that had gone on for months in the White House and places of global leadership. Yet remarkably, that attention in law and policy had revolved around—and post-withdrawal it still greatly does revolve around—near-term politics only. These policy discussions have been pointedly blind to what science is telling us about climate and sea levels. Additionally, these discussions are so heavily focused on the near future, that we've created a distorted perception of time that doesn't mesh with reality and which downplays science. There are clear impacts recognized by scientists and their leading Academies around the world; to willingly overlook these impacts is leading us astray. What warming Earth's encroaching shorelines may mean well beyond 2100—a terminal year in projections and debate—needs to be considered. Ironically, despite the recent furor over the United States staying in versus pulling out of the Paris Accord, it all probably won't much matter. Sea rise is likely to be much more catastrophic than now understood. I. POLITICAL AND POLICY CALCULATIONS MISS THE POINT Up until this point, politically-based calculations of the consequences of staying in versus pulling out of the Paris Accord have dominated and framed discussions. Proponents of the Accord have argued that while the Paris Accord may be weak, it is but a first step in moving participants toward tighter targets and toward strengthening domestic action. Proponents view the political implications of withdrawal as potentially including: * lasting harm for U.S.-European ties * disgrace and embarrassment for the United States in foreign affairs * destabilization in the Accord * fewer efforts to tighten domestic regulations in the United States 1. An earlier, shorter version of this piece appeared in Scientific American. Robert Wilder & Daniel M. Kammen, Exposed: The Climate Fallacy of 2100, SCIENTIFIC AMERICAN (Oct. 19, 2016), https://blogs.scientificamerican.com/guest-blog/exposed-the-climatefallacy-of-2100. * coverage for other laggards to leave (a chilling domino effect) * trade barriers such as new CO2 taxes on American imports * lost job growth in green energy, clean technology, and electric cars (which may now go other places like China) * an opportunity for China to take on the mantle of leadership on climate Meanwhile, opponents of the Paris Accord (often skeptics of climate change) assert that climate forecasting models denoting carbon dioxide (CO2) as a problem are dubious at best, and that goals outlined in the Paris Accord would anyway not fix it. 2 They assert that acting on CO2 would be costly and provide few benefits. Opponents argue that the Accord: * shifts jobs in coal overseas where nations like India and China can mine coal and burn it, while not binding China's or India's industries to their competitive advantage * erodes sovereignty * creates job loss across energy sectors and elsewhere * slows U.S. GDP growth because countries like China and India won't reach their peak emission levels for over a decade so they can go on polluting while the United States is handcuffed * encourages spending capital on pointless renewables instead of spending capital on adapting to possible sea changes Opponents also argue that there is no scientific consensus 3 about warming or its causes, that science does not even infer warming is due to CO2, that glaciers aren't retreating, that computer models don't show rising sea levels or CO2 levels as acute threats, and that natural warming is being counted against an arbitrary two degree ceiling. 4 Still, others favored U.S. withdrawal for a different reason: some asserted that pulling out would actually help the rest of the world take stronger action on climate change. A United States that had only reluctantly stayed in, could use its seat at the table to press its position that climate change is a "hoax," and the United States could obstruct or impede firmer actions. Additionally, remaining might have also stymied a robust Europe-China alliance from forming on greenhouse gases; not to mention that a reluctant United States that stayed in, but refused to cut its own emissions, could convince others to peel off and ignore their own obligations to the agreement as well. Arguably, the United States withdrawing from the Accord might be better for all, because a renegade 2. Ross McKitrick, The Case for Pulling the U.S. Out of the Paris Climate Accord CATO AT LIBERTY (Apr. 26, 2017), https://www.cato.org/blog/ case-pulling-us-out-paris-climate-accord. , 3. See, e.g., James Delingpole, 'Global Warming' is a Myth, Say 58 Scientific Papers in 2017, BREITBART (June 6, 2017), http://www.breitbart.com/big-government/2017/06/06/ delingpole-global-warming-is-myth-58-scientific-papers-2017/. 4. It must be said that a vast majority of scientists do not concur with these latter points; nor does any mainstream science, or national Academies. See, e.g., Breitbart Misrepresents Research from 58 Scientific Papers to Falsely Claim That They Disprove Human-Caused Global Warming, CLIMATE FEEDBACK (June 8, 2017), https://climate feedback.org/evaluation/breitbart-misrepresents-research-58-scientific-papers-falsely-claimdisprove-human-caused-global-warming-james-delingpole/. United States cannot show that "Paris is an empty show-and-tell regime." That the United States has withdrawn, might not be so vexing after all. 5 In sum, science hasn't been well-served, given that larger issues remain so ill-considered in policy, and data and concerns of scientists remain so disregarded. But that's still about short-term thinking and near-term politics. When it comes to a matter so complex as planetary processes and climate, the discussion must focus on long-term change, and that's where matters are still so misunderstood. II. THE NATURE OF THE PROBLEM We have made a grave error in our thinking about time. Again and again, politicians opine on climate in the near-term. Talk concerns 'possible 1 foot versus at most 3 feet' of rise, assumedly always to year 2100. In the political sphere, it is assumed that our cities and countries will always exist. Yet post2100 sea level rises may engulf parts of California, Florida, New York City, Boston, Washington D.C., London, Shanghai, Amsterdam, and Mumbai. Though the destruction will be longer lasting than any sort of fallout from a nuclear weapon, post-2100 sea level rises are discounted away. Our misconception of time stems in part from a basic distortion in early computer models about warming—early computers were only able to forecast to the year 2100. As a result, public discussions have been mostly about 'x degrees warming' or 'y feet sea level rise' by the end of this century, or at most by 2100. That's but a couple generations out, yet a post-2200 era is literally something that soon our (hoped-for) grandchildren could experience. Rejecting ruinous outcomes simply because they are beyond a few centuries out is not just factually wrong, it's immoral too. It is just as wrong to assume that we can cut CO2 levels later, and that post2100 seas can be slowed, or even halted. Both those beliefs are incorrect, because a crucial fraction of the airborne carbon released through next century, may persist for thousands of years. Think about it: some CO2 from the Industrial Revolution almost 200 years ago is mixing with our current emissions. We're creating a kind of forever legacy, one that potentially can't be forgotten or fixed, no matter how far ahead we conceive of humanity. Perhaps even monumental impacts that can't be readily unwound in a timeframe meaningful to our species. We're only thinking decades out, while our foot is pressing hard on a warming accelerator, adding increasing rates of CO2 that will last hundreds of years and create changes lasting forever. Discussions about the Paris decision most always miss this science, as do assumptions about where the climate and seas may be heading in coming centuries. Rates of emissions have in the recent past risen from 1% per year in 1990 to sometimes nearer to 2%, which is at a higher end of what was anticipated in the 1990s. 5. Luke Kemp, Better Out Than In, NATURE CLIMATE CHANGE (May 22, 2017), https://www.nature.com/nclimate/journal/vaop/ncurrent/full/nclimate3309.html. An admirable recent paper in Nature Climate Change, illuminates the importance of time and science for twenty-first century policy makers by analyzing sea level changes form a much longer time frame than previously considered. 6 Starting farther back than usual (twenty millennia ago), the paper focuses first on natural changes relating to orbital forcing, CO2, and temperatures. Pointing to a major rise in CO2 and warming around twenty millennia ago, the authors show how rising CO2 levels likely brought Earth out of the last ice age. With those large natural increases in CO2, air temperatures increased over a very long period from the Ice Age up to a near-modern climate reached some eleven millennia ago. At that time, CO2 and air temperatures sharply leveled off. Importantly a halt in atmospheric warming gifted all humanity with an interglacial temperature stability that was crucial to our species. That sliver of geologic time (going ten or so millennia), helped humanity take root on land, and allowed our societies and cultures to flourish. Crucially, however, sea levels didn't stop rising. Sea levels continued rising long past when air temperatures had reached a plateau; sea levels rose for another 8,000 years. This multi-millennial lag is significant both in its length of time and its scope. Seas continued rising another 150 feet before reaching today's height, roughly three millennia ago. Sea levels are acutely sensitive to CO2 and temperature changes, demonstrating a sort of inertia by lagging behind carbon and climate cycles. Thus although addressing greenhouse gases now will help temperatures have plateau, sea levels could potentially go on rising long after any policies we implement, even if we take action to slow CO2 growth worldwide. Another key point highlighted in this paper is that one-fifth to one-half of airborne CO2 released by the human industry thus far and in the next 100 years, will still be present in the year 3000. Combine the persistence of airborne CO2 with the inertia of sea levels, and it means oceans could continue rising for ten or more millennia. Since it may be then that "ultimate return to pre-industrial CO2 concentrations will not occur for hundreds of thousands of years," there's no easy off-switch to halt rising seas, no matter how much future societies might wish for it. It's not just rising sea that's troubling in an absolute sense, but the rates of change too. Over the past ten or so millennia of unusually stable benign climate, airborne CO2 moved quite little between 260 and 280 parts per million (ppm). But to first get up to that stable 280 ppm took from twelve to twentymillennia. In those thousands of years CO2 jumped by 80 ppm, from 190 to 270 ppm; temperatures rose by an average of seven degrees Fahrenheit. Now CO2 is once again rising, but in a far more compressed rate. Keep in mind too the scale of change: a difference of seven degrees is what separates today's ideal climate from the dramatic conditions of an Ice Age. Huge impacts therefore can be wrought by seven degrees Fahrenheit; in the last Ice Age, ice stood two miles tall over some parts of North America. 6. Peter U. Clark et al., Consequences of Twenty-First-Century Policy for MultiMillennial Climate and Sea-Level Change, 6 NATURE CLIMATE CHANGE 360-69 (2016). For a possible idea of what future sea levels will look like, consider Earth's distant past when it was about five degrees Fahrenheit warmer than now. Sea levels then stood roughly fifteen to sixty-five feet higher than today; such levels without a doubt would drown most cities today. Fifty feet of sea rise would render Florida, New York City, much of the Eastern seaboard, the Gulf Coast and parts of the West coast but a distant memory. Mechanisms of this happening are easy to fathom. Greenland's ice sheet stores twenty-two feet of potential sea rise which is melting and releasing over the course of the next ten millennia. In the last dozen years, Greenland averaged 600 trillion pounds of ice lost yearly. Greenland however isn't alone. Far greater is the Antarctic ice sheet which stores around 150 feet of potential sea rise that may be released over millennia to come. In the last roughly dozen years, the West Antarctic lost roughly 275 trillion pounds of ice annually. We might be heading fast outside of the conditions humans have always known. Earth might even begin to exhibit heretofore unimaginable changed states. A new study, for instance, indicates that net melting is causing the Earth to slightly change how it moves on its polar axis. Days are getting very slightly longer because ice is melting at the poles is flowing toward the equator, redistributing Earth's mass. Disturbing possibilities, and enormous time scales? Certainly. Still, basic scientific research into such possibilities needs to start seeping into policy discussions. III. WHERE DO WE GO FROM HERE?: POTENTIAL SOLUTIONS IN LAW AND POLICY In a start some leaders are listening; they see researchers giving ample warnings and mainstream scientific consensus as overwhelming. Facts on the ground too undeniably help incentivize. It's jarring for instance to see heat records are lately falling at what feels like a remarkable clip. Take 2016, which followed after 2015 broke records as the hottest year ever. Starting out, February 2016 was next our planet's warmest month on record; the hottest in 137 years of record keeping. This happened alongside a biggest ever-recorded jump in CO2, over 400 ppm and rising. However, even if the U.S. had kept its strong CO2 commitments under the Obama executive orders, the world probably would still blow past the two degrees Celsius threshold. But as those orders are now being jettisoned and far more relaxed national rules are taking their place, it's a new ballgame. Under the Trump Administration, three billion more tons of CO2 may be put in air annually by 2030, now that the U.S. is out of the Paris Accord. 7 About one-fifth (21%) of pledged emission avoidance expected from the Accord was supposed to come from the United States.; it will now be much less. 7 . Ellie Johnston, et al., Analysis: U.S. Role in the Paris Agreement, CLIMATE INTERACTIVE (Apr. 27, 2017), https://www.climateinteractive.org/analysis/us-role-in-paris. Computer models indicate that due to the United States' withdrawal, warming in 2100 may be about 3.7 degrees Fahrenheit to 8.4 degrees Fahrenheit. The United States may still have somewhat of an impact. Variables include state and local government action on climate change, along with free markets which may push for clean energy in the meantime, and future leaders in the White House who may re-engage or disengage on climate four to eight years from now. Of course waiting to act on CO2 levels is far from ideal; science indicates that action needs to be taken now. Recent studies are changing our previous assumptions that sea level rise will be linear and slow. Marine Ice Sheet Instability (MISI) was previously considered to be only a minor contributor to sea level rise and was kept out of projections, because the Antarctic was considered too stable and vast to react much within this century. Thus when an international panel in 2013 gave scenarios for sea level rise in this century, they drew from this misconception. Their major Report offered a range of possibilities to 2100. An optimistic lower-end scenario (assuming strong actions on emissions) estimated roughly one foot of sea rise by 2100. While a higher-end scenario (assuming little action on climate) estimated seas could rise about three feet by 2100. Such a rate is nearly ten times the twentieth century average rise. 8 However, a few years since that report, new papers on ice sheet dynamics have shown that our prior understanding may be incomplete, as MISI mechanisms could be more impactful than previously assumed. For example, one paper describes the thinning and retreating of Pine Island Glacier sooner than was heretofore expected. 9 Additionally, early collapse may be starting at Thwaites Glacier. Pine Island Glacier itself could raise seas about 1.7 feet, while the Thwaites Glacier could raise sea levels another two feet. 10 A 2016 paper by DeConto and Pollard further lists marine ice cliff instability (MICI) as a possible new mechanism for rapid glacial retreat due to vertical collapse of keystone marine-terminating ice cliffs. 11 It might occur quite some time after 2100 as well, but it can happen nonetheless. Again timescales are uncertain, but these collapses may be occurring in the next two to nine centuries as opposed to previously assumed millennia. Put bluntly, these sorts of possibilities ought to be part of a calculus in policy decisions. Spending trillions of dollars guarding our coasts will prove futile if CO2 levels continue to rise. Expensive walls built ten feet high to keep the rising sea out will be topped in a century or two. And one can't even imagine 8 Note that these projections are for "likely" ranges (meaning a less than 66% probability of this range occurring), so these ranges do not exclude the possibility of sea levels rising slightly higher than three feet, or staying lower. Policymakers surely want more certainty, but scientific knowledge at this point can't offer precision. 9. Lionel Favier et al., Retreat of Pine Island Glacier Controlled by Marine Ice-Sheet Instability, 4 NATURE CLIMATE CHANGE 117 (2014). 10. Ian Joughin et al., Marine Ice Sheet Collapse Potentially Under Way for the Thwaites Glacier Basin, West Antarctica, 344 SCIENCE 735 (2014). 11. Robert M. DeConto & David Pollard, Contribution of Antarctica to Past and Future Sea Level Rise, 531 NATURE 591 (2016). seawalls able to hold back oceans forty feet higher than today. Rather than spend enormous capital on hardening our shores, it would be better to put resources into reducing CO2 and greenhouse gas emissions by investing in renewables, clean electric cars, and climate-safe refrigerants. We should be focusing on prevention, not finding a cure. IV. CONCLUSION Blame of course is global. Everyone talks about the weather, but nobody does anything about it. We have for too long focused on the political consequences of our actions, sacrificing negative long-term global impacts on the environment for short-term political gains. The United States' withdrawal from the Paris Accord doesn't matter much, what does is whether we will continue down the path we're on. Will we continue disregarding science in favor of politics? Will we continue on a higher-carbon path that potentially commits us to higher seas for millennia, acidifying oceans, amplifying disease, erasing past climate stability, and making weather havoc? What will we tell the future, knowing we knew of the risks? The point is such changes aren't burdens, but opportunities. Focusing on science, prevention, and renewable energy makes nations stronger, more resilient, and promotes job growth. In places like California, China, Denmark, Germany, and Morocco, renewables are progressing faster. In San Diego County (the fifth most populous county in the United States), the Public Utility Commission 2015 contracted for 35% of its power from clean energy in 2015 and 45% by 2020. 12 Similarly, California (the world's sixth largest economy) already gets 27% of its electricity from clean renewables and has set a current target of 50% clean energy by 2030. Additionally, a new piece of legislation (SB100) moving through the state legislature would require the state to derive 100% of its energy from renewables by 2045. 13 But even that's not fast enough. We (Rob Wilder and Daniel Kammen) have spent most of our careers advancing renewable energy and sustainability, addressing climate in theory and practice around the world within academia, the public sector and non-profits, the private sector, and as entrepreneurs. Yet nothing currently gives us great hope that harsh scenarios for sea level rise can be avoided. Looking at rates of CO2 emissions and at leaders who still only offer lofty words about future cuts instead of real action now, optimism does not spring to mind. In mere centuries, it seems possible we humans may commit the Earth to new climate regimes and higher sea levels never seen before in recorded history, and that potentially last millennia. And we will have done it all, knowing the consequences. 12. Rob Nikolewski, Can California Really Hit a 100% Renewable Energy Target? S AN D IEGO U NION -T RIBUNE (June 11, 2017), http://www.sandiegouniontribune.com/ business/energy-green/sd-fi-california-100percent-20170601-story.html. ,
VOICES VOICES VOICES VOICES VOICES VOICES VOICES issue three volume one A journal for underrepresented writers untitled Ollie Charles Nicola Lampard Co-Founders Paul Stapleton Design untitledwriting.co.uk @untitled_writing @writinguntitled Welcome to the third issue of Untitled: Voices! We've got a bumper selection of three volumes celebrating over seventy underrepresented writers from around the world. We received our highest number of submissions so far and we're truly touched that so many writers trusted us and gave us the honour of reading their work. 2020 and the worldwide pandemic illustrated the need to amplify and showcase all these amazing perspectives, we never want to lose a single voice amongst the melee of noise out there. So we continue on, pushing Untitled to do all it can do. Thanks for joining us! Ollie Charles & Nicola Lampard Poetry Niharika Jain Poetry VOICES VOICES VOICES VOICES VOICES VOICES VOICES Title public commotion Name Alexandra Nica god boy picks me up and shoves me in the backseat of his car, with all the magazines he forgot to pay for. an empty dose of monster rolls at my feet through the shadows. the bugs don't take a liking of my unkempt boots or my new tights anymore. they'll take me later, they must. he drives on the road as if he owns it, as if it wouldn't be a surprise if he did. his are the fields, his is the river we must crash in. he'll rip the flowers from my grave before the dirt even settles. the family tree cut you off and so the waves must cleanse you. you're a rotten apple but i'll still eat you. i'll let him drown me under a bridge, smother me with nothing but the softness of the stones. let him go home and open another can, let him stick my dying wish inside along with the red roses. god boy picks me up and shoves me in the backseat of his car. he calls it an apology, i call it a warning. Dancing (2020) Arun Jeetoo The world will open again And the lapis moonlight will spur Our lame youths Out of the house and into The clubs. And inside, We will share a physical experience With an anonymous crowd of bodies In the dark: Strobe-lighting strokes, Tempos pulsing, Electric skins, rainbow-coloured auras, Sweat damp t-shirts, Cold nipples, purple pills, Fag breath, Sambuca lips, Shattering our vocal cords To every noughties pop song, Losing ourselves in space-blue dilated pupils, Leaving ourselves in somebody's teeth. Sharing a physical experience With an anonymous crowd of bodies In the dark: Just fucking dancing. Some Boys Don't Play Rugby Arun Jeetoo and if they choose not to play, then they are christened as a fag. Some boys are not engineers. Not majorly into overrated botox milf porn stars, never listen to drill or nu-metal daily, do not have pent up rage bursting out the seams of their pretty foreheads and never quite heteronormative or any sexual orientation. Some boys are Drag royalty. Some boys die at the hands of criminal governments. Some boys find cars unapologetically boring and machines fucking confusing and video games competitively unfriendly. Some boys don't want to chug down lethal sambuca shots and graft for girls by club toilets; some boys respect sex, some boys wear a full face of makeup and lift more than 150kg dumbbells. Some boys don't have sixpacks or have dad bods. Some boys favour reading magic realism over woodwork practice and have musically dexterous hands over bricklayer labour ones and use them to express themselves rather than clench to express themselves, and some boys may be both or neither, but everyone overlooks the quiet boys and mistake their calmness for shyness, while the loud boys get what they want. Some boys flee war-torn countries and cling onto rubber dinghies across icy channels, leaving behind their past life for a resounding new one. Some boys go to therapy. Adjust to life outside rehabilitation centres and deeply fear the system that incarcerates them. Some boys are survivors of sexual assault. Some boys can't breathe. Some boys are poetry. What about those boys? The Monster Chelsea Vincent The place the monster lives is not under your bed Or deep in the forest or the back of your head. He'd rather walk in the daylight instead. So you'll find him in the city - the rich side, no doubt, In top-floor apartments he stalks about Snarling and snapping and wriggling his snout. The perfect gentleman in the light of the day, Though there are many breaches with which he gets away, He slips into the right suit and knows just what to say. You might miss them at first sight, The claws and fur that appear at night, But don't you forget he's still monstrous, alright. Remember when he insists you and he stay late Or sits close on your desk or tells you you look great Remember, won't you, that his disguise is first-rate? Everyone believes him, the man at the top. No need to question - "do you want the job or not? Just do what he says, never tell him to stop". What big eyes he has, and sharp teeth too But remember this if the monster calls for you; Monsters never win, the girls always come through. The Safest Place Elizabeth M Castillo ``` In the event of an earthquake, the safest place is under a table, (como secreto) or in the doorway, (como intruso). When the earth has had enough and throws you up, away and off always remember to sink beneath (como sentimiento) or stand between, (como excusa) and there, wait patiently for an excruciating end, or the tremors to pass. ``` A::Void Helen Sulis Bowie To be 0 is not nothing To be a basis of the ancients And to concern the poets and the physicists Alike, is rather something To be 0 is not nothing, And to be empty is not to lack, Meditative and minimalist Alike, is rather something To be 0 is not nothing, And to find a void is an opportunity and opening Alike, it rather something To be 0 is not nothing When the shape of nought Is a precious ring, A circle of life, alike it is something The Promise Helen Sulis Bowie You better put on clean underwear, in case you get hit by a bus never one to do things by halves I transport myself in silk and lace tender and scented like fabric softener You hit me, like a bus, indirect speeding down the scenic routes, not wearing this for you but still you come at me, over height, low bridge, train tracks derailing, traffic preparedness, a boy scout's invitation, a girl guide's badge of honour and in the underwear I put on in case the worst happens Mirrors Jideofor Confidence Tiredness feels like ageing, This time. The last time I was 23 and felt Like I needed more surfaces to hold-on to. Isometric plunge Then I told them to not let go, Especially the one fond of waters. Now it feels like peer pressure, Drinking over-priced Cristal Talking to literally everyone like it makes me cry, Making love to a woman with a weary tongue. The canal this winter Judith Amanthis I The water like black glass does not accept reflections because filth runs deep and feeds shallow rusting monsters since time since I've feared falling their prey since my little sons sank sad strings in for snails and see-through fish as narrow as matchsticks since the towpath was mauve coke and the embankment - get away from the edge was slimy with dead diggers' limbs where mud slums multiplied down wind from the smoke so that undersides of bridges shat smuts softly and so cold the thin ice once killed boys sliding the past under black glass. But now I like it because it isn't duckweed greener than lime which next summer will always smear over it, at forty per cent protein edible by humans and ducks continuing to kill reflections and feed coots. Ducks, coots and boats will drag deaths in their wakes, an empty beer can I'll throw off the thick bridge won't splash. Moorhens will walk on leaves the size of their fingernails, underneath them snails and matchstick fish will suffocate and coots like pumas will nest on clots of water hyacinth an Amazon native, d'you hear, an equatorial traveller - up for recycling: paper, pretty baskets, charcoal killing the Congo the Volta the Lagos Lagoon breeding malaria which London gardens will always excrete. This winter, ducks' chests cut glass triangles. II The Amazon slides wide and black Past meadows where dirty yellow grazers Raise their necks, pause, dig, eat. A fisher bird alights on a thin tree. It turns its head to profile, Gapes, snaps its teeth And drapes its wings on the air to enhance feather growth. Abhorring its pterodactyle descent Even when swimming it looks down its beak At its snake neck and ignores Teenage sail birds preening their not quite yet white Super luxury softest longest-ever feathers. Columnar cliffs strung about with ferrous muck stand by. On the far side of the water a grave wheezes, Heaves up bones and spits out a mist ball While I, holding my breath, walk on down stream To the cooing of scavengers Who exhume satsuma peel and popcorn To the screams of sea birds Who stare. Theirs are the ghosts. More than a set of keys (Grenfell) Kauser Parveen I know what I have lost I have lost more than I have gained By offering a new set of keys Does not eradicate Does not erase The loss The pain The common thread that binds each family To a community that is trying to heal To a community that is trying to understand To a community that wants answers not barriers To a community that is now scattered To a community waiting to be rehoused To lost friends To lost family To offer a new set of keys To a new home Cannot erase the pain Of the home I have lost. Nursing Crisis Kauser Parveen After 64 completed job applications 54 rejections, no replies After attending 10 interviews Still no job With the same people Who interview me time and time again Every time A different reason Is provided To rationale this rejection Lack of experience Someone with more experience Not convinced you can do the job Lacking hospital experience The panel have concluded My face does not fit Despite a plethora of experience and qualifications I am not like them They are not like me They have applied their unconscious bias To justify their rationale Leaving me feeling perplexed. The real nursing crisis is within its own ranks. I Didn't See It Coming Maria Oshodi I lost my sight, but I don't know where I didn't see it coming It was between the ages of 10 and 20, Then between 2010 and 20 I did see Patricia growing lost But she is still here When the world around me faded In a premature dusk Patricia watched me, silent, anguished, With hands that were always ready I didn't see it coming Her memory, chopped up, like waves around her ankles Sweeping fragments of her away on the tide ``` While I stand steadfast on the shore Trying to hold her hands tight in mine Sorcerer's hands that years before made party dresses appear like new friends, tumbling from rolls of anonymous cloth Perfectionist fingers snipping half a head, A leg, and an arm from folds, To reveal a whole chain of paper dolls. The same hands that pulled my arm through hers when I couldn't see the street any more. I didn't see it coming That those hands would forget what they once knew, Her mind concertinaing on itself a collapsed folded thing forcing her to fidget, fret and tear at fabric That her hands had once communed with I didn't see it coming She would one day wander around ``` looking for something that she can clearly see And I would one day feel around seeking for something that I cannot Us, both saying, "Where is it?" "What did I do with it?" "Where has it gone?" A wave swells up Breaks, crashes down Scattering any return across the sand Of my vision, and the memory of my mother relating to the remnants, is what is left And just a frayed guarantee will I continue to know myself as I now know myself to be? For I didn't see it coming. Tongue Traffic Morgan Boyer hoop his tongue around the hook, slice it, and watch the half-strewn letters drop to the ground as the traffic shifts back to watching the sweat from your forehead fall onto the steering wheel and coming up with new Elvin cuss words for the person who cut you off on the way to the dentist Fear is a seagull Naomi Marklew Fear is a seagull. It ``` defecates on you from a great height intentionally, remorselessly. It is out to steal your lunch, your peace. It pecks at your fingers as you try to protect your small joy. It desecrates whatever nourishes you. Fear swoops down in an aerial attack, unbidden, unexpected. It's the shriek that descends as you get out of your car in a deserted carpark. The cruel eyes. The greasy feathers of a feral city-dweller. Familiar with this factory scene. A red-tipped beak, unnecessarily cruel. It is all noise, all frantic, flapping hate. No substance, j l u i s e t s. ``` Fixed Floating Nicole Lee here are some things to know about me I work in a bank like to count like to mark our swaps to market I was born under Taurus the bull hooves planted in earth horns down I have one husband two dogs and three children give me a hundred pounds as some form of surety and you'll get it back in one year the notes uncreased here are some further facts to consider my name is DIASPORA and I have no country and when I think of an ideal life or the world to come I am alone and I am walking through water and I leave no footprints the wind dries my tracks on the stone and if I am a bull I am a very little one and I don't mind if desert sands cover my bleached bone Home, again Niharika Jain -In response to Tracey Emin's painting: Thriving on Solitude (2020) Naked back exposed, Crack exposed, Windows bare, Unclothed, Lie yourself languid. The curtains snore, moonlight kisses you, shivers remind you that you have tiny, tiny hair on your back which you'll never touch, groom or trim let alone greet the way you do your bush. It's a new ritual since the bleeding began; Mumma Moon called to the tides inside you, pulled you outside yourself. Let No Man Put Asunder Piero Toto Along the Camden canal ladybirds nest in the mould of bat caves while boats twerk on amused My OnlyFans hunk waves to an audience of one grunting for hearts & thumbs Under the bridge he picks up a tarot card sharded with glass cursing the curls in his chest the pm light the echo then zooms in for closeups with dead butterflies What's left to love? hums the gravel in desperation Let no man leave you with clay origami & fantasies moulded from dreams paper moons with teeth that cut through & burn The Holey Trinity Roy Duffield ``` My bones, I suppose, belong to unfair England; My mind I don't mind telling you I lost long ago; My soul I owed before I even had a bank account: So of this whole Unholy Trinity, in the end, not one belongs to me. ``` after Jamie Hince You Remind Me of my Memories of the Nile Rushaa Hamid You come and go like the edge of the shore surging over rock and broken shells, breaching and retreating, walking over and over the same folds in the earth and swelling in the summer heat, your sigh spilling over banks before fading away again. You are a spirit lost, unanchored to a place or time and steadied only when there is no-one but me to see you. Only with pressure are you condensed into something tangible, clumped hastily together to sculpt a person from vapour. I confess, I wish I was softer; all my edges are harsh, unforgiving, and I carry within myself a thousand weights: weights of loves worn thin, of promises broken, and in turn breaking apart the last inch of us. I press you, moulded into something to reflect me, cup you in frigid palms, and pour you over my body for absolution before you slip away once more. Prose VOICES VOICES VOICES VOICES VOICES VOICES VOICES VOICES Chocolate Revenge Alex Bartlett "Can you believe he had the nerve to come here?" Patricia glared at her father Jean-Charles and his latest conquest. "Parading around that woman while we and mother struggle to eat. Appalling.' Her older sister, Isabelle, spat out her disgust. Their father couldn't see them, as he was guided to one of the most prestigious seats in the Parisian theatre, while his daughters waited behind the curtains and their fans to perform for their meagre salary. It was barely enough to scrape by on, and to keep the slum roof above their heads and that of their ageing mother. He had disappeared years earlier, taking everything with him of value, and re-appearing months later having re-invented himself as an elite chocolatier who catered for the richest of society. The shop had gone from strength to strength, leaving him rich and mixing with Paris's upper class, regularly hosting lavish parties from his equally lavish apartment above the shop. But he gave his ex-wife and his daughters nothing, leaving them struggling in the slums. He'd never wanted children and had eagerly reminded them. Rather than starve, the girls had been forced into work as showgirls. "We should teach him a lesson," Patricia murmured behind her feathers, a plan forming in her head. "What are you thinking, sister?" "It involves his greatest pride - his chocolate shop." By the time they'd performed and got home, Patricia had shared her plan, which Isabelle loved. They would break in and steal his money, and all his most famous truffles, and all three would escape from Paris – and poverty! With exotic masks from the theatre to disguise themselves and a skeleton key from a friendly ironmonger, it would be easy. They waited until the street was clear, easily opening the lock. The till and truffles counter were quickly emptied, and they crept into the backroom and broke into his safe. Typical of his arrogant narcissism, his code was his birthday. The robbery was a success! But as they were congratulating themselves and sneaking out, Patricia knocked against some pans hanging up, making them clang loudly. Within moments Jean-Charles appeared at the doorway. "What's going on, how did you get in here?" he shouted, advancing on them angrily. "I'll see you hung for this!" Panicking, the girls ran at him and pushed him back, crashing him against the vat of already melted chocolate, ready for tomorrow's customers. He got up and pushed them back, ripping Patricia's mask from her head. "My daughter," he yelled in surprise. "Yes," she said. "And this is for leaving us in poverty." She seized one of the heavy pans from the ceiling and swung hard. "No!" he screamed, as he lost his footing and toppled into the boiling chocolate, his cries drowned out by the chocolate engulfing him. A few days later, the chocolate shop had been closed permanently and the Museum of Chocolate in the city centre were presented with a chocolate statue of a man marking a striking resemblance to Jean-Charles. A tribute to the missing chocolatier. And in a quieter suburb of Lyon, two sisters and their elderly mother moved into a lovely home, and greeted their new neighbours with their delicious truffles. Scabs on the Soul Barbaros Altug Keepsake her house that they finally left her alone. "I know he loved me. He never put it into words, but he made me feel loved," Rita said as she cored and sliced. Belinda and I were listening to her as we went through the photo albums she brought out. "I never really confided in my mother; she had zero tolerance for foolishness. What would I have talked about, anyway? The boys in our neighborhood? She'd been through so much I couldn't have expected her to listen to my tales of teenage heartbreak. And she was always busy running after my father's entire family." She passed me the first plate of prepared fruit and I noticed that she was still wearing a wedding ring on her white, delicate hand. "Mother was always trying to get everybody to love her. As though she wasn't good enough to be loved for her own sake and thought she had to work extra hard to please everybody." "When my father became an invalid, she bathed him top to toe every day, with soapy white towels. Nobody would have thought he spent the last two years of his life bedridden. Propped up against the pillows so wellgroomed and freshly-scrubbed he looked as though he'd had his morning bath and returned to his bed for breakfast." When Haygunoush's husband died she was still quite young, but never considered remarrying. "That's not our way," she told the neighbors and friends trying to bring round a matchmaker the first few years. It was not until she threw a distant male relative out of "Who are these women?" I asked, pointing to one of the pictures. She leaned forward, took a long look, smiled, and said, "Survivors." The survivors, the rescued, the ones who married Turks, a group from the same part of Turkey. Seven women in identical dresses sat on a row of chairs in a studio. "I was too little to remember much of that place," she said. "Mother talked about it. That photo was taken before she and my father moved here." She wiped her hand with a white napkin, gently freed the photo from its decorative mounting corners and turned it over. "They all have notes on the back, in Armenian and Turkish. Antep, 1930. The women's names are written out here, one by one. Each ended up in a different place. Selma is the only one I can remember. She and her son later moved to Los Angeles." She gave me the photo to put it back in the album. At that moment, it occurred to me that I could feature Haygunoush in the piece I was working on. "Of course you have my permission," Rita said. As she was putting six photos in a manila envelope, she added, "Each of these is a family keepsake. You will be careful, won't you?" The plan was for me to write a story inspired by the photographs that night and return them the next day after scanning them with Belinda's help. I had a good feeling about it, so much so that I was prepared to forgive Emmanuelle for her role in my being here. Perhaps every cloud really does have a silver lining, just as Auntie Nimet used to say. Survivors It was not very late when I got back to my hotel. On my desk, I spread out the photos from Haygunoush's album. They told a tale covering half a century. I flipped over the first one. 1940, my daughter's birthday, Istanbul. Belinda's mother is sitting in front of a cake with candles among boys and girls her age. On the table next to the cake are braided rolls, a pitcher and glasses and a pile of wrapped gifts. Standing behind the children is Haygunoush, smiling. Her black hair is gathered up, except for two long curls framing her pale face. In the second photo, Haygunoush is holding up a vinyl 45 as she poses in a spacious lobby with a genial, chubby-cheeked man and two women roughly her age. The women are all wearing white tailored two-pieces, and their hair is teased high. 1968, at the Hilton after we learned Dario Moreno was staying there. Deniz, Angel and Dario. The third one was of her husband in a smart suit, his greying hair neatly parted, sitting upright in a velvet chair with carved wooden arms. Şefik Bey. 1937, our first year in Istanbul, the apartment in Pangaltı. I skip over the photo of the seven women in Gaziantep and come to the one of Belinda standing with her parents at what is obviously her graduation ceremony. In the sixth and final photo, Haygunoush is standing in a living room with a group of women and children. One of the women is sitting on a chair with a newborn baby in her arms. I turn the photo over. 1938, Istanbul. Celebrating the 40th day after Orhan's birth. Aysel, Angel, Deniz, Hediye. Daybreak I woke up with the dawn. The curtains were drawn back and the room glowed yellow. I called room service and began preparing for the day. Taking sips of my coffee, I gazed out at the bewildering, bizarre and beautiful mix of concrete and crowds that make up the chaos of Istanbul. To my right was the Atatürk Cultural Center, a black mahogany jewel box. Directly across from me were the slippery steps leading up to Gezi Park, one of the only green spots left in the center city. I did not know it yet, but the day before I flew to Yerevan and reached a turning point in my life, Belinda and I would walk in that park together. I would learn that she and her mother had been going there since her childhood, back when Istanbul winters were freezing cold. Back when the park was blanketed in snow for days on end. Back when everyone huddled at home, leaving the streets to the shivering stray cats and dogs. Back when dimly lit trams wearily trundled along the empty city streets on winter days, rattling like winddriven children's swings in a deserted playground. "They'd close the schools," she would say. "And even the shops. But I would still go out sometimes in secret. Istanbul was at its best on those snowy days." Icy water seeping into her boots, certain to get a scolding when she got home in the evening, she would walk alone all the way to Taksim and the park. "Taksim Square never closed. To me, it was a street fair. The park seemed new and the marble steps used to gleam in the winter sun." Later, when she was older, her mother would tell her that the park was built over an Armenian cemetery and that the steps were fashioned out of old tombstones. Perhaps that was the reason Rita never much liked the park. "Look," Belinda would say to me, bending over and pointing at the Armenian inscription on the step under our feet. But none of this would happen until later. Right now, the only thing on the horizon was a bright day and a great story to write for the magazine. Or at least that was what I thought. Worries At her office, Belinda took the photos to get them scanned and loaded. While we were waiting, I told her about the article now taking shape. I would start in the 1930s with Haygunoush's photos, explain how Turkey's Armenian population has been dwindling ever since, and end with the murder of Hrant Dink. "You're not going to hold the whole country responsible for his death, are you?" she asked. She seemed anxious. Holding both of her hands and looking directly into her eyes I said, "We're not the ones turning children into murderers. Don't worry, I'm trying to take a step for peace. It's a small step, but if I don't do it, who will?" She relaxed. They brought me a disk loaded with the photos and gave the originals back to Belinda. "I need more detail from your mother," I said. "Something to flesh out the story." Not wanting to burden a woman her age with hosting another dinner, I insisted we meet for late afternoon tea, not dinner, saying I would need the evening to finish the article. UNTITLED: VOICES A Nice, Warm Feeling When we met in front of the newspaper offices at four o'clock that afternoon, Belinda slipped her arm through mine as we set off along the bustling sidewalk. She stopped on occasion to point out a building or a shop that was important to her. By the time we reached her mother's, I knew where to get the freshest fish roe and the best topik, although homemade was always the most delicious. "I wish you'd stay longer and try my mother's," she said. I told her I could not expect a woman that age to fuss over such a painstaking dish and thanked her again for having done so much for a complete stranger and unknown journalist like me. This time, it was the smell of freshly baked buns that greeted us as we entered the apartment. News The television was blaring the news. Belinda lowered the volume and whispered, "She's hard of hearing but she won't wear a hearing aid. She told the doctor she was too young." Then she ran over to her mother, who was coming out of the kitchen with mince and eggplantfilled buns, and kissed her on the cheek. Over tea, Rita described her first years in Istanbul, starting with her memories of the American College for Girls. The tape recorder was running, so I was able to enjoy several buns. The time came for us to look again at the photos I had chosen. Rita recognised the women posing with Dario Moreno. "The poor man," she said. "That might have been the last time he looked so happy." At the confused look on my face, Rita explained: "He suffered a stroke during the trip, before he could board the plane in Yeşilköy. He never made it back to Paris. My mother cried and cried when she heard." Rita had no problem remembering her own birthday party, of course, and told me where the friends who had attended it were now. One had "passed so young" the previous year, at 78. Some were living abroad with their children or relatives, in farflung places like Lebanon and Argentina. Another one had moved in with her granddaughter in Yerevan after losing her daughter in a traffic accident in Istanbul. "The granddaughter must be about your age," Rita said. She got up and went to her bedroom, returning with a photo of a white-haired woman in her seventies and a dark-eyed, brown-skinned girl who looked to be in her twenties, like me. "Isabel," she said, pointing to the young woman. "She works at the Institute there, in Yerevan." When we got to the last photo her face fell. She sighed. "Her only child," she said, pointing to the baby in the arms of the woman. "I don't remember everything my mother told me about her. I do know that the poor woman had a series of miscarriages over many years. Finally, she gave birth to a boy. They spoilt him terribly and sent him to all the best schools. And then, for some reason, he turned on his mother. He was somewhere far away, in Europe, I think, and never visited. My mother said he had his heart set on becoming a diplomat, but it never happened. Then he stopped visiting or contacting his parents. They say he even changed his name. Who knows, he might not answer to Orhan anymore." It was a tragic story, and one I thought I could use. When I asked for the name of the mother in the photo, Rita thought about it for a moment. "All right," she finally said. "Meliha. Meliha Saraçoğlu. An Apartment in Şişli "Later, this poor woman, Meliha…" Rita bit her lip. "She hanged herself." Some said it was loneliness; some said it was her estranged son; some said she had other troubles. "Her son didn't even come to the funeral. He disappeared from the face of the earth. She left her apartment in Şişli to the foundation." Belinda and I exchanged puzzled glances. "You know, the foundation. The hospital foundation," Rita said. "Surp Agop," she snapped, staring at her daughter as though to say, now do you understand? But Belinda and I were more puzzled than before. Why would Meliha, the wife of a War of Independence veteran and former officer, bequeath her property to an Armenian charitable foundation? Orphan I could tell that Belinda had never heard the story of Meliha Saraçoğlu. As her mother slowly remembered more details, we were learning about it together. "Meliha was about the same age as my mother," Rita began. She took a sip of tea. "I'm calling her Meliha, but that was not her birth name, of course. Her mother named her Melanoush. It means 'beautiful girl'. And a beautiful girl she was, too, with blue-grey eyes." Rita turned to me and said, "That's rare with us." "She was from a wealthy family, so they were among the first to be singled out by those vultures under Talat Pasha's orders. From what we have been able to piece together, the men of the village were killed one by one. When they returned one night, and Melanoush's mother resisted, a soldier bashed in her head with the butt of his rifle, killing her right in front of Melanoush… The other two children managed to escape, they say. "Melanoush was all alone. What could she do? She ran into the forest. I say 'forest,' but there are so few trees in those parts that a cat would be hard pressed to find a hiding spot. One night, as she trembled in fear beneath a bush, starving and muddy, a soldier found her. He was a merciful Muslim. Not that that stopped him from falling in love with Melanoush at first sight. It must have been those blue eyes. He was an officer; that's how he earned a living. He made no claims on her family's money. Let's get married, he said, but you have to become a Muslim and stay a Muslim for the rest of your life. "Melanoush was desperate, alone and just a girl. She agreed. As soon as she became 'Meliha', her husband used his connections – Rita emphasized that word as she was telling the story – to change cities and identity, completely severing himself from his former life. The two of them even went on Hajj to Mecca together after he retired. "It was years before we learned any of this. Only after she died." Rita paused. "I mean, after she took her own life. Fate kept Melanoush from being one of the children who died along with the rest of the family." Bodies of Water Catriona Morton The water was cold at first, as swimming pools always are. The shock of a different environment electrifying our pores. It mellowed to the in-between state, where you're not sure if a child has urinated nearby, then adjusted to the comforting nothingness I'd craved all week. Mira got in after me, close behind in her temperature adjustments. Bar a middle-aged man doing uniform laps in the cordoned off section of the pool, we were the only two bodies in there. We half-floated, feet still firmly on the tiles, avoiding eye contact in the awkward morning light. We had come there to talk about our implacable connection, about what the Saturday night prior had meant to either of us. No words had been spoken at that point, bar the timid hellos we'd mumbled in the lido lobby. We'd silently undressed next to one another in the changing room, the evening in question lain on the ground; a blurry shadow as we peeled off our underwear and threw them on the mildewed floor. Mira waded towards me from the shallows, dipping her shoulders into the clearness that encased us. The water rippled as she moved, emanating in smooth rings as she neared me. My skin pricked with the movement; goosebumps raised in the confusion of the cold wetness and her body being so close to my own. She hadn't tied her hair up; her loose brown curls had dipped below the surface along with her shoulders, aimlessly dancing in zero gravity. The sight dredged up an uncomfort and a want within me. Why hadn't she tied her hair up? Surely she wanted to avoid the harsh chemicals and unknown bacteria floating around us, the tiny particles wanting to sanitise and destroy us. And surely she wanted to stay dry, to avoid the inconvenience of dripping hair on the bus ride home to the flat she shared with a man I despised. Yet the inconvenient mess of hair still belonged to her, surrendering in the flow of her. I'd held that hair just four days before, twisted it in my fingers as we'd kissed. I looked at her skin in the water, and then I looked at mine. Both paler and emptier than the dry land had made us seem. 'Did you ever watch My Octopus Teacher?' she blurted out into the almost empty pool. I stared at her for too many moments, and replied, 'Was that the one where the guy fancies an octopus?' 'He doesn't fancy her, he loves her, becomes engorged with her and consumed by her. But yeah, that one,' Mira replied, defensively. I sniped back, 'Sounds pretty racy to me. I just remember thinking how pissed off his wife must have been - her partner spending every day for a year out swimming around with some tiny octopus whilst their real-life continued back on dry land.' 'Well then you watched it in a very sour light. You don't have to be so cynical, you know. I thought it was beautiful. The octopus was, or is, just as real as its terrestrial counterparts. And the wife shouldn't have been angry, not that she necessarily was anyway. Love shouldn't have to be finite.' 'I guess you saw it in a much more profound way than I did. I just watched a man swimming around with a little fish,' I tried to joke. 'Well, octopuses aren't actually fish, they're cephalopods,' Mira concluded in her dogmatic tone. I rolled my eyes. 'Okay, sure. But why do you bring it up anyway?' 'I don't know. It reminds me of you.' 'Right...' 'I mean their relationship to-'' '...Bit of a backhanded compliment Mir' 'Would you just shut up and let me speak?' I fell silent, the splashing of the other swimmer dripping into our new quiet. 'They become entwined. Their limbs tangle and their selves become entangled too. Even when she's scared, he searches for her and tries to get her to trust him. She gets scared, and he always keeps going back to find her. He loves her so much, and I think she loves him in her own way too. It's a pure and simple love, one that can't really be captured with our language. Sure, it's weird and kinda alien but that's the point - it's an indescribable love. And that's how I feel about you, about us.' I blinked, feeling solidness rise up my throat. I tried to cough, attempting to dislodge it, but it didn't budge. Why had I come to meet her? Obviously, that was the sort of discussion we were going to have, so why did I surrender myself to it? Part of me, namely my stomach and my lungs, wanted me to run, slow motion in the harsh water, aching towards the steps as quickly as I could manage. These parts wanted to be plucked out of the pool, dragged from this moment in time to any other – to any moment on dry land away from her. But the other parts, my toes and my veins, wanted me to stay. Despite what my evasive organs wanted to do, my hand moved to touch her, placing my fingers on her forearm. She felt alien, liquid in the liquid. She felt like home, soft and warm and quiet. Her dark hairs felt like moss. I felt my fingers beginning to prune against her smoothness. Is water thicker than air? Although my fingers touched her skin, the particles between us felt sparse and thick. I wanted to create a vacuum between us, to banish the micrometres that tried to keep us apart. A combination of weightlessness and my adrenaline slowed her movements, her arm reaching towards mine in stop motion. She mirrored my position, touching my other forearm with her fingertips. The mirroring evoked the sensation one feels when trying to feel their own touch. No matter what angle you stroke yourself with, no matter the concentration, you can never feel the objectivity of your own touch. Were we so entwined that our touch had become indiscernible? Had her hand become my hand, my arm become her arm? We were enmeshed, like the octopus and her student (I still don't know who was supposed to be who, or whether the two were even separable identities). We held one another in this light touch for an unknowable number of moments. We heard a splash as the middle-aged man emerged from the other side of the pool, and we broke touch in tandem; parting skin, creating a river between us. To avoid further words, I pushed myself underwater, warping my senses. The echoes of water-logged space filled my ears, my eyelids shaded my vision with flesh, my body made weightless in the emptiness. How can we feel so empty in such full space? We become the empty space, the fullness of the volume around us mocking our gaps and air pockets (messy, like our creators forgot to colour in certain parts). I forced myself upwards, my feet briefly finding stability in the sunken ground. In the air, I rubbed the poison from my eyes and blew out the water clinging to my lips. When I opened my eyes, I saw Mira had moved further down the pool. She was swimming away from me, her feet now too far from the pool floor. I watched her brown hair following her like a wet carpet. I wanted to follow her too, but instead I stayed where I was, frozen between the elements (pesky organs). Although metres apart, with the millions of molecules between our skins, were we still touching? There's a theory of the self called the 'future continuity' theory. It's the idea that our selves are a stable entity because of the continual linkages between our temporal existence. Maybe other separate selves are connected in a similar way; a spatial continuity, the links of atoms between us meaning that in some capacity we are always touching. Particles of oxygen and dust brushing up against one another to link everyone on this earth. I sound pretentious, I know. But even if that theory can't be extended to everyone (there are indeed many people I never want to touch), it can more probably be applied to me and Mira in that pool, right? Did the water hold us together even when we were apart? Did the molecules feel my blood rush too? Mira spun her body to face me, her lips curling at the sides (almost smiling). I felt my body moving before my mind comprehended the decision, felt my limbs manipulate the water. After five strokes, I arrived beside her (still almost smiling). We tread, our pulsating limbs smashing water together beneath us. We were wordless, silent in the silence, the faint lapping of water the only sound I could identify. It wasn't awkward anymore, the silence. It felt welcoming and empty, like the water we were floating within. I smiled at her, allowing the calm to overcome me, and moved my body back into a starfish, extending my legs and my arms, breathing in to make my torso buoyant. Under, the water once more muted my hearing, the emptiness expanding again. I stared at the sky for a moment, noting the bone-shaped cloud hovering near the sun. I tensed my neck, arching my eyes to see where Mira was. She was next to me, in the same position. I returned my neck to its natural position. Felt the muscles ease. I reached out my hands and they became linked with hers, curling into one another like new leaves unfurling. We floated like that for another indiscernible number of moments. There was of course more that happened after this floating, more words and metaphors and love and fear. But I don't want to think about those moments, don't want to accept the uncertain conclusion she brought us to. I want to stay in that memory of floating; empty and content. Supported by the water, held by one another; two bodies in one. I want to stay there: together, alone, silent, home. Your Patroclus, always Ella Piazzi 2018 – zero hour, London Luca and I are so close I feel the heat of his body. Around us is peace and silence. The world is taking a break and has gone quiet for a minute, leaving us hanging. weirdest of all creatures, an invisible clock that shifts from one season to the other. In twenty-four hours the morning sky will be a shade of blue darker than the day before, trees will drop one or two extra leaves, birds won't chirp at the usual time but a minute later. It's August Bank Holiday weekend. Brits are not in England. Right. According to my passport then I shouldn't be here either. My hands hold the round, shiny metal rail that runs along the chest-high, glass parapet, so tight my knuckles are white, the bones pushing hard against the skin, ready to break it. Around me the tallest buildings of the City, an army of silent and ugly giants made of glass and steel, and the white dome of St Paul's, once the highest construction in London, now a touristic trap in between a Starbucks and a Sainsbury's. How many nights I spent drinking beer on its steps with my colleagues when I worked behind Paternoster Square. I wonder where they are now. I wonder if they are alive. The sun sets and the sky is turning all shades of blue, from denim to navy, electric lighting looming at the horizon, a thousand miniature suns illuminating another night for the few of us left behind. We are collectively looking at the last summer days while holding our breaths. The first of September is the A full, milky moon hovers over us, a single pearl in a velvet oyster shell. It will shine bright in a couple of hours, covering whatever's left in the dark with its pale rays. Luca and I used to spend hours looking at the moon and counting stars. We were teenagers and Grifata wasn't New York. Compared to Grifata, Catania was a metropolis. "I promised," whispers Luca, his voice breaking at the last syllable. I turn my head on a stiff neck that doesn't belong to me. He's breathing through his mouth in short, ragged motions, his face is as white as the moon, making his hair look darker than it is. Wisps of grey hit his temple and dot his short beard. We are growing up. "What?" "Many years ago. I promised I would always take care of you," he says, his eyes transfixed over the parapet, down the back alley that probably serves more than one loading bay. I press my body against the thick glass, its coldness sweeps through my dark jeans and my floral shirt. Bending my head down is an effort, like disentangling oneself from syrup. I look down. I have to. The moon echoes on the handrail, an oblong white reflection on the cold metal in between my hand and Luca's, his hands mirroring mine. I can see her, several metres below us, no more than a yellow and orange blob on the pavement. From here she seems like a commercial recycling bin liner. Fucking orange quilted jacket. "It's on sale!" she shrieked, inside TK Maxx, making more than one head turn. Of course it was on sale. Who in his right mind would have spent £400 for a builderorange winter jacket? I can only guess, but I bet that half of her face is ok, an instinctive survival response. But the other half hit the floor. What's left of it must be bruised and raw. Her nose smashed for sure, blood spurted from it, like a squirt of red on a canvas, then coagulated in a puddle around her mouth and the cheek. Her teeth survived the impact, but there are a few gaps that weren't there when the party started. They flew on the dark tarmac like wedding confetti. Her bones are broken, some are misplaced or even jutting out, white needles on a seamstress' pincushion. Did she feel the wind, when her body sprinted down the side of the building? Did she see the street growing closer? Hundred metres Seventy-one. Thirty-four metres. Less than five. Did she have time to think she was going to die? Was she scared? She must have been. But was she terrified? Or was there still a pale, little hope that she could make it? When Pandora opened the box, she released all the evils in the world, but she kept hope in. Did Sayre hope a gust of wind might help? That she could survive it, with a handful of broken things and a massive headache? Was her mind clear enough to think or was she too high to understand? Sayre is dead. Sayre is fucking dead! For real. For good. I slide my hand on the rail, covering the moon's reflection. My pinky brushes Luca's and he wraps them together. "She lost it when I got her evicted. She promised I would pay for it, but up to now I considered it an empty threat," I say, my voice not faltering once, my mind never clearer. "Tonight she came around, found out where I was through social media. She shouted and she was offensive. When we tried to calm her down she downed both our cocktails and threw the glasses over the rail. Then she stepped on top of a table, but it was too high, she lost her balance and fell over." Luca turns to face me. I squeeze his hand. "I promised too," I state, looking at him straight in the eyes. The tension on his face is replaced by cautious relief. The corner of his lips twitch. "Is that clear?" He nods. A gust of wind ruffles the pages of a book someone forgot on a nearby table, rustling them; they sound like quick-fire shots from a machine-gun. My bike sounded like that, when we left Uncle Toni's shack to go for dinner. Who comes to a place like this to read a book, anyway? I step back until my buttocks hit the wall. Not a big distance, since there's only enough space for a line of four square tables with two seats each and a narrow passage to allow customers through. Luca's eyes are shining black seeps in the middle of his face, his thick lips drained of any colour. I stretch my hand and offer it to him. "We'll jump together," I say. Luca raises his arm and accepts my offer, his hand shaking as I take it in mine. He smiles, timid, tears trembling at the corner of his eyes. I take a deep breath, feeling like I am emerging from deep waters. Air never burnt so much. I hold it in, close my eyes and then scream from the top of my lungs. Time resumes. The few customers inside the bar ooze out into the dying day, gathering in the small space along the balustrade, squeezing in every possible gap in between the wall and the tables. Despite the inconspicuous number they seem a lot more in that small space. It's a cacophony of voices, instructions, comforting words, clinking of glasses, ringing of phones, footsteps. There are sirens in the distance, cars right below us and the high-pitched bip bip bip that signals a pedestrian's green light. In this mess, Luca hugs me tight and I bury my face in his chest, frantic, where I cry all my tears in one go. "Are you ok? What's happening?" asks a short guy with fashionable sandy hair and a tan. He rushes towards us, looking left and right. He's not the same guy that served us a few hours ago, who had skinny limbs, white face and crew cut hair. Business might be lingering, but it's still a Saturday night. "S-Sayre's d-dead" I sniffle, peeling my face off Luca's chest. There are three dark stains on his grey t-shirt. "Who's Sayre?" he asks in a confused German accent. He looks around, his head bouncing left and right. Others do the same, bemused, nervous. They want to know. There's nothing to know. Not here. I wipe my nose with the back of my hand, twice, then point at the parapet with the same hand. I need a manicure. White spots on my nails are a tell-tale sign of my lack of vitamins. If it wasn't for her bravado, I would have been eating properly in the last months. Focus. I grasp Luca's waist to anchor myself, the mix of fear and exhilaration threatening to blow me off my feet. No drug has ever given me this rush, never. Luca pulls me so close I brush against his groin; we hug as two kids lost in the woods at night. His back shakes because of his hiccupping. I try and squeeze some more tears out of my eyes. Incapable of doing it, I fake a collapse. Luca holds me even closer, supporting my weight. I bury my face in his t-shirt again, inebriated by his perfume in the dark. Hugo Boss. I love it on him. "Have a sit," says someone. Is it German boy? No. The accent is different. "Yes. Come, Cisco. Let's sit you down." Cisco. Not Scott. Never Scott. Luca has never got used to Scott. Because Scott was a big, phony fuck. It's time for his last performance before curtain call. I drag my feet, trip on them and have to get hold of Luca's arm. I sit at a nearby table, Luca beside me, our chairs so close we could use only one. Sirens are getting closer and louder. I can't hear the bip bip bip of the pedestrian crossing anymore. I pat my pockets for a tissue that I know I don't have. There are no napkin dispensers on the tables, so I am forced to wipe my nose with my hand again. Then I have three people offering paper tissues and blue roll. "Thanks. Thank you so much," I say, blindly. A gust of wind blows the paper away, making it roll in a corner of the terrace. The pages of the book rustle. That fucking book. It's on the table beside mine so I grab it, to satisfy my curiosity, still wondering who can read a book in place like this. If this is a joke, I can tell it's not funny. Millions of books in the world and I end up with the one that started everything. Das Symposium by Plato. In German, though, instead of Italian. "Ecco dunque, io lo dichiaro, Eros è tra gli dei il più antico e il più degno, ha i maggiori titoli per guidare l'uomo sulla via della virtù e della felicità, sia in vita che nel regno dell'aldilà," I recite in a low voice. It comes out. I repeated it so many times that I still remember it. It means: that's why I say Love is the most ancient of the gods, the most honoured and the most effective in enabling human beings to acquire courage and happiness, both in life and death. "Phaedrus speech?" whispers Luca in dismay. Something's wrong with his face. I flip the book to show him the cover. "Oh, that's mine," sandy hair says. "I must have forgotten it when I took my break." Luca surrounds my waist, his head bobbing on my shoulder, his breath hot and itchy against my neck, now wet from his tears. I stroke his back with long, slow movements, from his nape all the way down the small of his back, amazed. I've never seen Luca cry so much. "Georg," calls a faceless voice. "I'll be back," says sandy hair. Georg. Nice name. Luca is calmer, enough to sniffle one last time and face me. He looks at me in the dim light of dusk. His skin is dry and so are his eyes and his nose. It takes me a second to realise the bastard is laughing his fucking ass off. The Constancy Of Soggy Tuna Sandwiches Georgia Cook It was past its sell-by date; it had to be past its sellby-date. No tuna sandwich in the history of sandwiches – and that included suspicious train-station kiosk tuna sandwiches – had looked, smelt, or (she gave the pack a hesitant squeeze) yes, felt like that within its sell-by date. It was the last sandwich in the cabinet. It was always the last sandwich left in the cabinet. That was how you knew. What had begun as a light drizzle on the way to the station was now a full-throttle downpour. People scurried across the platform, fumbling umbrellas and sodden suitcases, huddling under the slim shelter of the station overhang. She stood in the doorway a moment, watching the rain splatter the tracks, feeling the coffeescented warmth of the little station kiosk prickle the back of her neck, then she stepped out into the rain. It crinkled as she picked it up, leaking a film of watery mayonnaise through the little plastic window. "Give it ten minutes and I'll be restocking." The girl behind the register gave her an apologetic smile. "Sorry, we've been totally rammed this afternoon." She realised she'd been standing, staring, sandwich in hand, for nearly five minutes. "No, it's okay," she said. "It's actually exactly what I wanted." The girl gave her a bemused look, but rang up the purchase. "Will there be anything else?" She thought briefly about buying a newspaper, maybe a coffee; toyed with the idea of simply staying in here all afternoon and missing her train. Then she smiled, shook her head and slipped the sandwich into her bag. The sandwich sat in her bag, unopened, as she waited for her train. There was an odd weight to it; like a guilty secret, or a strange, slightly squashy talisman. She felt, for the first time in months, that maybe she could breathe. That the awful weight of expectation had lifted, if only for a moment. Surrounded by miserable, shivering people, she had found a travelling companion. The train arrived ten minutes late, dispersing a stream of new commuters out into the rain. She fought her way inside, walking quickly, head down to avoid unnecessary conversation, found a seat next to the window and sat down. Rain drummed against the roof overhead. The brightly coloured blurs of people still hurrying across the platform seemed rendered now in cotton wool; like something out of a dream. A million miles away. By degrees, they pulled away from the station, began to move past looming skyscrapers and red brick estates, picking up speed. Street lamps punctuated the gloom, highlighting pedestrians and cars on the streets below; buses and zebra crossings, railway arches littered with graffiti. All of London, awash. And here I am, she thought, sitting back. Going Home. God. How long could you procrastinate a train journey? Dithering over tickets, labouring over stations and taxis, staring for hours at the train app, willing the times to change, praying for an unexpected cancellation of all services. Hoping, just until tomorrow, just until next week, that maybe you could put it all off. She hadn't packed much. In a daze, she'd found herself throwing odd bits and pieces into a large canvas beach bag – errant tops, bras, a single shoe. Sometimes she'd stop, just for a moment, and all that hot, crushing tightness would come flooding back, and she'd find herself curled on her bedroom floor, sobbing into a mismatched sock. There'd been too much to do in those first few days: forms to sign, people to call: a life quietly transformed into paperwork. And then Arrangements, so many Arrangements. It had been a relief, almost, to work herself into exhaustion; to let herself forget, in the landslide of mourning, that she would have to go home at some point. Not home-home – which was a tiny flat in Clapham, South London, containing just herself-- but Home. Shatter the final illusion that things were still exactly as they had always been. The entitled certainty there would always be a long, long rope fixed around her waist, trailing back to someone who had been there from the beginning. The Eternal Constant. "If there's anything that can be relied upon in this life," her father had said, once, as she sulked on a rainy train ride back from Brighton beach, "it's the unreliability of the weather." He'd been full of funny little phrases like that. And he'd been wrong. Nothing, she thought bitterly. Nothing could be relied upon. Nothing ever stayed as it should. She was crying less now. Or rather, was crying less suddenly – had ceased to startle herself with the sudden punch of her own grief. Strangers' faces had stopped popping out of crowds: a certain nose, a certain haircut, the gleam of an eye – familiarity in an unfamiliar face – causing her to fall apart in the middle of the street. She didn't know if this was better or worse. If this was coping. The rain was coming down harder now, turning the world beyond the window into a dirge of greys and blacks. The sharp grey highrises of London had given way to sodden fields and loamy woodland, rushing past on either side of the track. Increasingly familiar. Nobody spoke about the mundanity of grief. That at the end of the day it was something you simply had to carry around with you. Admission to a club nobody ever mentioned, and which nobody truly left. Fumbling in her bag, she found the kiosk sandwich. It had slipped to the bottom, past forgotten train tickets and ancient gum. It crinkled as she picked it up, twice as dented as it had been before. They'd eaten sandwiches that day – that raindrenched day so many years ago, riding back from a disappointing outing to the beach. Her father had left their picnic basket on the bus and, in a desperate attempt to salvage the situation, had purchased them both soggy tuna sandwiches and cartons of orange juice from the little kiosk at the station. They'd together sat under the awning, eating their makeshift lunches and watching the rain pour down, while they waited for their train. Just them. All alone in the rain-splattered world. It had been the worst thing she'd ever eaten, and it had been wonderful. Not the same train, of course, and not the same station. Certainly not the same sandwich. But there had been something ... almost fortuitous in finding it here. A tiny jab of comfort, as if she'd been granted the luxury of plunging her hand into the past and drawing out something – anything. And she'd found a sandwich. The grief overwhelmed her then, sitting alone in her cramped little seat. She felt the air hitch in her throat, felt the terrible tumbling of gasping little breaths. That terrible gut-punch unfairness of it all. How dare things change. How dare the world shift so suddenly without consulting her. How dare it. How dare he be gone. Without quite realising what she was doing, she ripped open the package and took a bite. The bread was soggy and faintly chemical. The tuna came as it was – without garnish, not even the customary wilted salad leaf. It clumped in her mouth, strange and half-solid, but wonderfully familiar. She closed her eyes and sat back, cocooned in the first true moment of calm she'd felt in months. The rain hammered against the windows, the wind howled past the carriages, rattling the trees and darkening the sky, but inside was warm and safe and ordinary. God, bliss. Life, she decided, could never be relied upon. Landscapes changed – grew bigger or smaller, depending on the person you'd been when you last saw them – the weather refused to do what was expected of it. People moved on, sometimes for good. Nobody remained as they were forever. And her father had been partially right: the only thing a person could rely upon, at the end of the day, was the unreliability of the weather, the sudden comfort of unexpected memories and a soggy tuna sandwich from the train station kiosk. Sweet Shashtahika Harry F. Rey Jerusalem, 1967 "Mom!" Asaf called out as they climbed the path to the garden. "Mom, I've got yaprach." He held the pot while Omar walked behind him. It was the least Asaf could do to take it for him. During the ten-minute ride from the shuk to Katamon, Omar had gripped the pot precariously between his legs while Asaf held onto him tighter than he'd ever gripped a man. With each breathless dart between a close-knit pair of cars, Asaf took the opportunity to squeeze a little harder. "Hello there," Riki called from the garden as they entered through the gate. She sat in a plastic chair, her ample body poking through all the slats, with her pudgy feet soaking in a bucket of water and aluminum strips folded into her hair. "Where is everyone?" Asaf asked while Riki, ever the curious one, peered up like a meerkat to see who he'd brought home. "Yardena went home to change. But Nechama is inside doing Simcha and your mom's hair." As if waiting for her name to be called, Simcha emerged out of the darkness of the house, an unlit cigarette between her lips and even more foil folded into her hair. "Uh huh," she said, taking the lighter from Riki and glancing over the boys one at a time. She spoke like nothing surprised her. There was no new information to Simcha. Only what she already knew, and what she needed to be reminded of. Nothing else in the world was worth knowing. "Your mom's waiting on the vine leaves, Asaf," Simcha said, heaving herself into a plastic chair opposite Riki and placing one foot in the small bucket between Riki's. There was no room for a fourth foot. Asaf was ready to head straight inside without saying a word about Omar, if these two were willing to ignore him. "Merheba," Omar said from behind him, greeting the sisters in perfect Kurdish. "Ooh-ah!" Riki said, shuffling on the chair with excitement. "Merheba. Ez kefxwesh bûm!" "Pleased to meet you as well," Omar responded. Asaf's stomach twisted with anxiety at the small talk. As if he'd brought home a new kitten, a frail bird; something delicate which might flap away at the wrong touch. And his aunts with their great clunking hands and sharp tongues could spear any animal, even one as robustly handsome as Omar. Simcha only grunted a greeting, and that was enough. He beckoned Omar to come inside the house, as Riki's wandering eyes followed them inside. Nechama was rinsing out a bucket in the bathroom, so they had no one to avoid, or to be a buffer, between his mom in the kitchen. The way was littered with the smell of frying dough and sugar. Asaf glanced back at Omar, who followed him with a smile. Those wide, leading lips made him more nervous than anything else. "Mom, I brought yaprach." Her back was turned to them both, focused on the frying pan and the sizzling sandwich of sugary dough. She'd heard him, but waited for another few moments for the dough to crackle into a golden brown. She whipped a tea towel off the stack on the counter, revealing a pile of the thick, crisp fried envelopes like a magician. She lifted the finished one onto the top of the wobbling stack. Looking at the pot, her reaction was as visceral as Asaf's. "Merheba," Omar said with the same, sharp tone one should use to address an adult, but Asaf never had. "Merheba," his mom responded, rubbing the oil off her hands with another tea towel and returning the same formality an adult used to address a strange person whom their child has brought home and seems overly familiar with despite the parent never having met nor heard of them before. "Ah, shashtahika," Omar said, glancing at the stack of fried dough pockets. "You know shashtahika?" asked his mom, her face cracking into a wide smile. "Of course Omar knows, Mom. He's from Zakho." "Really? Very good, I like to hear." That gave her licence to lift the lid of the pot. "Amazing, it looks perfect." She prodded the rolled leaves as Asaf had done before, coming to the same conclusion. "Absolutely perfect. Meat?" "Yes, of course." "Very nice." "My mom had a lot extra. We have a wedding tonight, she made too much, of course. And Asaf said he needed." "There were no leaves in the shuk," Asaf added, intrigued by Omar's move to make their relationship seem solid and long-lasting. That in itself lit the pot up in a shimmer of authenticity. Asaf knew how his mom's mind worked. If he'd gone to the trouble of bringing it home, that meant he believed it would pass her test. It must be trustworthy, because in her house, there was no getting it wrong. A mistake in the realm of food was an affront to everything it meant to be Kurdish. He might as well spit on the grave of his grandparents. Suddenly Asaf hoped his own decision to trust this Omar, wherever this non-Jewish Kurd had come from, would not be akin to spitting on a grave. "Give me half an hour," his Mom said, pulling her drawers open for another pot, "and I'll transfer the yaprach and give you the pot back, with some shashtahika to thank your mom." "There's no need," Omar said, "keep the pot." "Not at all. Half an hour. Here." She took a fresh shashtahika from the pile, wrapped it in a kitchen towel and handed it to Asaf. "Go take a walk and eat that, come back in half an hour and you can take the pot home to your mom, Omar. " "Shula!" Nechama called from the bathroom. "Time for your hair." "Go," she said, hushing them out of the kitchen, "it's too crowded in here as it is. Go for a walk." * Asaf led Omar up the hill behind his house towards the park. He held the hot shashtahika, stealing every glance back at Omar that he could. Wherever this boy had come from, if he didn't know the way, then he didn't show it. "Have you been here?" Asaf asked as they climbed the last few steps between the leaning trees into the small park nestled into the hill. The far end of the park was exposed and open, displaying the vista of a valley where in winter, mist swept in from the east like ships docking in a port of clouds, obscuring the scarred and jagged turrets and wire ripping the port from its sea. "I don't think so." Omar stopped talking as the tree shade of the staircase opened into the grassy knoll. And there in the middle, in the heart of the park, was an old, rusted tank. Its turret pointed straight out towards the valley and Jordan beyond. A couple of kids ran around the tracts, kicking a ball off the rusted armour. "I take it you haven't been to the Tank Park before, then," Asaf said with a smile that Omar returned, albeit with a bit of a nervous shrug. The place was the focal point of Katamon. Everyone in south west Jerusalem – from the German colony to Rehavia – knew the Tank Park. Even though the relic of the 1948 war was hidden by surrounding trees and the high wall of the San Simon monastery on the top side. "Come," Asaf said with a smile as the two shrieking children were joined by a third and fourth playing in the grass, "I know a better place." Omar dutifully followed him across the park, the tank following their movements like the Mona Lisa. "Can we go in here?" Omar asked nervously, stopping at the black gate of the monastery as Asaf lifted up the latch. "Why not? The monks are never here, or if they are, they don’t care.” Asaf held the gate open for Omar as he ducked under the stone archway with its Greek carvings, even though it was tall and he wasn't particularly. Asaf understood the feeling. The carved Christian symbols on the stone arch always made him nervous as well. Asaf closed the gate to the oasis, and silence seemed to fall upon them. A large grassy garden surrounded by well-tended flower beds was closed in on three sides by the thick stone wall separating the church grounds from the park, and on the fourth side by the brick of the monastery with no windows and no discernible entrance, at least from this angle. "This is nice," Omar said as they sat down on the grass, alone under the blue sky and bright sun with only the breeze for company. At this height above Jerusalem, the wind carried a welcome chill which rushed through Omar's clothes. It pillowed his shirt in and out, offering hints of dark skin slipping away underneath. Peeling his eyes away, Asaf undid the kitchen towel and tore the shashtahika in half, digging into his half with gusto. "Do you like shashtahika?" Asaf asked, getting the sense he should have asked before. "Of course, I love it." Still hesitant, Omar tore off a small corner and nibbled it. Asaf watched closely as he chewed, as if sussing out this stranger's Kurdish credentials. He was leaning on the grass with someone whom he knew so little about, but felt so familiar from a depth he did not know of before. Like there was a magnet buried inside his chest edging him closer towards this Omar. Finally, Omar took a proper bite. "It's so good!" "You look surprised." "I've just … never had a Jewish one." "It's all Kurdish, isn't it the same?" "Yeah … I guess you're right." A silence swept in with the breeze, bending the trees towards an unknown will. So many questions galloped through his mind like gazelles. All about Omar. How did his skin feel, or his hair? What was his smell; that scent Asaf had to have more of and so dangerously narrowed the gap between them in the grass? He watched Omar eat: casually, slowly, looking at the dough breaking in his hands, and nowhere else. Asaf feared that all he wanted was to get back to the house and take home his clean pot. That the trees and the breeze and the soft afternoon sun starting to sink beneath the monastery walls were all lies. A false God; as out of place in his mind as a church on a Jerusalem hill. "Are you from the north?" Asaf asked. Because that was the only other place he could think of in Israel where Arabs lived. "Or from Yafo?" Remembering the existence of the mainly Arab port town just south of Tel Aviv. Omar shook his head at both, pulling his own shards of grass from the ground. Anxious chunks balled up in his hand. The breeze tumbled between them, flapping dead grass and lifting the scent into the air. The gust disturbed the silence and Asaf leaned ever closer, as if trying to hear the whispers from Omar's lips. "Where did you say?" Asaf said, knowing fine well he'd said nothing. Omar finally let the grass fall, the wind still billowing it around. He lifted his eyes to Asaf's and sighed like a great secret was about to be imparted. "I'm from Jerusalem … from the other side." Omar let the words fall upon them with a deep, deceitful stare. "How did you get through the gate?" "I've got a pass. My dad works for the Jordanian government so I can cross on official business." "Is this official business?" Omar smiled. He grinned from ear to ear, actually, pulling up a tuft of grass to avoid the coming giggles. Nothing was particularly funny, but Asaf couldn't help but laugh either, even just at the absurdity of it all, and it infected Omar too. Omar shook his head in response to the question. "No, delivering yaprach isn't official business." "It could be if we were in Zakho." "Yeah, that's true." "I've never met a Muslim before," Asaf said when their laughter had settled like the breeze. "And I've never met a Jew." Asaf was keenly aware how low he was on the ground compared to Omar. Practically beneath him as he sat up straight; dark, hairy legs peeking out of his trousers. From this angle on the ground, almost flat out, Asaf could peek between the gaps of Omar's shirt buttons. He watched his chest, dark skin and black hair webbed on a slight frame, breathe and move at its own pace like the earth around the sun. Or the moon around the stars. He wanted to get closer, to take in more of the skin and the scent and the smell of Omar. How could he get closer? "You're louder than I thought ... I think," Omar said, gazing downwards upon Asaf. "Hot blooded, warm … cute." "Cute?" Asaf asked, surprised. "Yeah, cute. Like … attractive. Handsome." Omar sucked in a deep, wobbling breath. "Sexy." The word dropped out of the sky and splattered onto Asaf like the storm at the end of the world, or the beginning of a new one. He knew the word, knew what it meant, but had never experienced the concept himself. No one had ever called him sexy before, not in the abstract or the analogue. Not in any hidden part of his imagination. "What do you think about us Muslims?" Asaf stared up at Omar's face painted against the blue sky. The dark sand of his chest and bones of his shoulder beamed warm and hot despite the growing chill of the coming night. The silence of their surroundings was nothing compared to the thumping of Asaf's heart and he could see it through the gaps of Omar's shirt as well. Omar sucked in a breath or two and let it out in sharp, jagged edges. But it was Omar's eyes, his eyes told the story. The brown, the white, the black, the eyelashes long and sweeping like a painted Egyptian. Was he coming closer, or was the world throwing them together? "Also … sexy." The whisper escaped from Asaf's lips like a bird set free before disappearing into the vast sky. Liberated and free. A hand touched an arm, a hand touched a knee. The magnet grew stronger, drawing the great wings to the pole, telling the ducks where to fly, the geese how to land. The earth spun upon magnets and here on the green grass of a Jerusalem hill, the magnets spun together, the right sides clicked. Omar leant down as Asaf leaned up. A hand on his heart, a hand on his knee. Closer to his throat, closer to his thigh. Closer together, for there was no other direction in which to go. So close, their lips touched and the world faded to meaningless silence as the two boys stole a kiss under the peace of the monastery walls. In The First Place Jeffrey Zable Yesterday I encountered a neighbour who I felt sure had given me the evil eye, but to make him think that I didn't notice, I waved to him. And as soon as he turned, I made the sign of the cross. So we met at my house and made a plan that we felt sure would get rid of him for good, and as a result, re-stablise our lives. Upon entering my home, I called a few of my neighbors, warning them about this guy, expressing that I felt he could be a danger to all of us. Each was very much in agreement; that they had suspicions about him all along and that if one had any personal problems, they could likely be attributed to him. Thanking them for their understanding and support, it wasn't long before some very unpleasant events happened to me. First, I found my favorite goldfish floating on top of the water, eyes bulging out of his head. Then my TV went completely dead only a couple of days after the warranty had expired. And not long after that, I spilled a pot of boiling water onto the floor, a few drops of which landed on my bare feet, leaving burn marks and pain for several days. With this last incident, I called up the same neighbors and told them that it was imperative that we rid the neighborhood of this guy. To which everyone agreed, as they too had been having some very negative experiences that led straight to this person. Carefully breaking into his house, we caught him completely off guard, tied him up and took him to a wooded area from which we felt certain he'd never find his way back. Things improved dramatically after that, with no serious incidents, until one of the neighbors who had been a part of our group, gave me what I perceived as the evil eye. This was soon confirmed because within a couple of days I experienced some stressful events similar in magnitude to those previously described. Calling the same neighbors, minus this particular woman, we all agreed that there was always something not right about her. We soon proceeded as before, leaving the woman even deeper in the woods than the previous guy. After that, there were no serious incidents for a while, but eventually we had to get rid of others to feel safe and maintain some semblance of peace. As of today, every house in the neighborhood is now vacant with the exception of my own, which is okay by me because I never really cared for any of my neighbours in the first place. Moths Judy Upton The letter arrived this morning. I need to find £2,000 to extend my work visa or leave the UK. £2,000! I'm a cleaner on the minimum wage. I work nights mopping hospital floors, risking my life to save others. It's enough to make anyone weep. of me. Is she afraid I'll bring the virus into her house? If she'd told me that, at least I'd know. But she's given me no reason at all. It's just 'I'm having to let you go'. 'Let me go' – even the words make it sound like she's doing me a favour. I've a second cleaning job too, working in the house of a very important woman. I think I'd better refer to her as Mrs X – well, you'll see why. I'd really hoped she'd be able to put me on the furlough scheme so I'd still have some money coming in from my second job. She's always saying how pleased she is with my work, so I thought she'd probably do it. I was disinfecting the handrail of a hospital staircase, when my phoned pinged with a message. Mrs X has sacked me. She's not prepared to pay twenty percent of my wages while I cannot come to her house. Mrs X is a millionaire with a six-bedroom mansion in a very smart part of London. She's an adviser to the government, I think. Something to do with trade. I can't remember her exact job title but you see her on the TV sometimes. Still, having to pay only 20 % of the £8.72 an hour earned by her cleaner is something she doesn't seem willing to consider. She hints in her email that she might need cleaning services resumed at a later date, but doesn't make it entirely clear if it's me she'll take back on or if she'll hire somebody else. I wish I hadn't confided in her about my NHS job. I wonder if the fact I'm working in a hospital has made her keener to be rid I've always been on time, always been professional and I take pride in my work. I'm actually qualified to teach, but all I've been able to get here at the moment are cleaning jobs. Without me, moths would've destroyed all of Mrs X's antique Turkish rugs. I spotted the first signs in her study last winter and dealt with the problem then and there. Over the years I've certainly saved her far more money that she's had to pay me. So now I'm mopping angry. That's what Therese calls it. She could tell by the way I'm working tonight that I'm still very upset about Mrs X. I explained I'd always felt Mrs X respected me. We'd drink tea together and chat. She would ask me about myself and my life and family back home. I wouldn't go as far as to say we're friends, but when she speaks to me she's always respectful, meets my eyes, smiles at me. She's never ordered me about and always says please and thank you. I've worked in other large houses, for other rich English people, and they've behaved like they think I'm worthless, invisible. Mrs X isn't like that ... That's why this hurts. After taking my anger out on the floor, and talking to Therese, I feel calmer and more hopeful. I might make a detour on my way home tonight, to pass Mrs X's. It's in St. John's Wood and only means getting off the bus a couple of stops early. When I catch the bus, I'm probably the most relaxed person on board. For other people on their way to or from work, this is the riskiest part of their day. When you wash down wards, travelling is probably quite a bit safer than that. At the hospital, I wear a mask, gloves and apron, but despite our pleas the cleaners don't get to have full PPE. We work for a private firm, we're not NHS workers. Before Covid, we were an ever-changing group of people, hailing from every continent. You only just got to know someone and then they went back home or moved on to a better job. For the moment, though, there's no way back home for most of us and no chance of a better job. But we all feel a sense of pride doing what we do. By destroying the virus where it settles on surfaces we are part of the war against it, the same as the doctors and nurses. We're key workers – saving lives – and that feels good. It doesn't make the fear go away, but at least when I'm at work it's a shared fear. The time when it's harder, that's when I get home. I close the door and I'm alone. That's when I look in the mirror – and I find the woman in me has vanished. I see instead a scared little girl looking back. I walk around the block three times before I dare walk up to Mrs X's door. Her house is a detached one, opposite the canal, standing proud in a mature garden with a weeping willow tree. The windows have wooden shutters and the front door has a brass lion doorknocker and a video-entry system. I intend to stand back by the gate and speak to my employer at a very safe distance. I am just going to state my case simply and with dignity. All I need is to be furloughed. I'm not asking for a full wage to do nothing. When this crisis is over I'm willing to put in extra hours for free to make up for what I cost her now. Mrs X doesn't answer the door. She doesn't appear to be in. Perhaps she's at an important meeting or briefing. Maybe she's shopping. Sometimes I'd buy her groceries for her, even though it was not officially part of my job. I'd put food in the oven and refill the coffee machine too. I'd water the plants when she was away, and air the rooms before she returned. I suppose I was more housekeeper than cleaner. When I get in after a hospital shift I tend to put the TV on and search for a bit of comedy or a music programme. Today I caught the end of news show where they discuss the day's events. Mrs X was on it, giving some kind of advice for businesses during the lockdown. I've seen her on TV before, and she does tend to talk sense. This time, though, I couldn't concentrate on anything she was saying. Like all the people being interviewed nowadays, she was self-filming on her webcam from home. Only I'd swear that the painting behind her was not in her London home. I've dusted the frames of all her artwork and I've never seen that one. Perhaps she has been re-arranging things, or bought a new picture. But as she talked on, I realised that she doesn't have a burgundy-coloured wall like that in any room of her house. She doesn't have built-in bookcases either and I'd have noticed that shiny green vase in the shape of a wave if I'd seen it before. In the few weeks since I've last visited, could she have changed her wall colour and lots of her furnishings? But I know the answer to that question already. Mrs X is not in her London home. And I probably know that home better than she does. I can be completely certain that Mrs X is at another location. I know it. She is now somewhere she has travelled to during lockdown. She has gone to her second home, even though that is currently not allowed. So it turns out that Mrs X is like all the others. Those people who tell us all we must do one thing and then they do something else themselves. I didn't think she was this type of person. I thought she was like me: honest. "Oh no - cleaning angry again," said Therese, when she saw my furious mopping. That's when the whole story tumbled out. How I have to obey unfair rules like paying to extend my visa, while I'm working to help the NHS. How my private employer has let me go, when she could've furloughed me so I still received some money. And how that employer, Mrs X, has broken the lockdown rules we're all keeping, saving lives. Mrs X doesn't care about the relatives I see sobbing outside the hospital or the covered bodies being wheeled away. There are people on ventilators and people drawing their last, rasping breath because people like Mrs X have broken the rules. Therese told me to sit down. She said I was breathing hard and she was afraid I might have a heart attack. At least we're in a hospital, I joked. But I wasn't going to sit until our job was done. The corridor had to be clean and safe for everyone to walk along. ** "You've got her email address. You should let her know, you know." Therese and I were walking towards the bus stop. "Blackmail her you mean?" I was shocked that she could think of such a thing. "You don't have to go as far as to ask her for money …" "I certainly am not doing that!" "You could simply ask her to keep you on, Nadine. And just drop in the fact that you know she's staying at a second home into the email." "No. I'm not doing that. It isn't honest." "Oh and is what she's done honest?" Therese had a point it's true, but I'm too stubborn and proud to sink to Mrs X's level. I always try to be a good person, a moral person. Threatening to tell tales isn't something I'd feel comfortable doing. I need to be able to live with myself. Just because someone else behaves badly, that doesn't mean you should do the same. "Well go to the newspapers then. Or the TV people." Therese was not giving up. I shook my head. "I'm not doing it Therese. I'm not." "You wouldn't have to give your name. You could tip them off anonymously." That's when I put out my hand to flag down our bus, but it swished on by, already carrying as many socially distanced passengers as it was allowed. It meant we would have to wait, but the driver was doing the right thing by obeying the rules. Keeping people safe. "Look, I'm not discussing it anymore," I said to Therese. "Honestly, Nadine, you sound like the Prime Minister," she snapped back. "And you know it's not right, letting rich, privileged people break every rule. If you won't call someone about your Mrs X then I just might! I might Tweet the news people or even the police when I get home. I won't mention you of course. I'll tell them they'll have to investigate for themselves. I bet they'll do it too." I shrugged. I'd had enough of the whole thing. If Therese wanted to tell the world, and get my former employer in trouble, well what did it matter to me? I'd never see Mrs X again, apart from in the papers or on the TV. She'd probably already forgotten me and I was going to forget her too. Besides, I've more urgent things to worry about. I need to chase up my claim for Universal Credit and try to find another non-domestic cleaning job before my visa expires. Bubble Justin David Ron sighs regret into the Kent swimming pool sky. He's flipping a sizzling burger, scorched slightly on one side. He's thinking about sex again. shunts her husband along the griddle. 'If only he were as good with a pair of tongs.' 'Not like that Ron,' Sylvia says, even sharper than usual, grabbing the barbecue tongs from him. Karen, blonde and unfettered, approaches from across the lawn with a bottle, weaving her way through party guests: mainly young dads with footballers' haircuts and three-quarter length combats, and their glamorous wives, each imitating primetime television hosts. They're all standing on the lawn with glasses of fizz, not one of them over forty-five, exchanging notes about motors and celebrity gossip. The young kids are playing with balloons. When Ron refocuses on Karen, even from this distance he can see a smudge of ketchup on her blouse. She's now disentangling herself from one of the men, flirting playfully with her. She's a lovely daughter-inlaw but she's a dirty cat, filthy laugh. They lock eyes. Ron nods at her and taps the spot on his own shirt where the ketchup would be. Karen inspects herself while she walks. As she reaches Ron and Sylvia at the barbecue she throws her eyes up. 'How did you spot that from way over here?' She laughs and wipes the blot of red with a bit of kitchen towel. 'That's my Ron. Sees every detail,' Sylvia says. 'He's like the Hubble telescope.' Sylvia flips burgers and Ron looks at Karen for sympathy. She winks and says, 'Looks like you have everything under control, Sylvia.' 'Somebody's got to do it.' Sylvia's hunching her back again, as if she's still carrying it all – the weight of the last year. But they're through it now. Ron reaches for her and his hand touches her mottle-tanned arm exposed from her black, embroidered camisole. She flicks her Rita Hayworth hair and for a moment he remembers them being teenagers, running through spring. 'Look at us three standing like witches round a fire. It's like that play that Shakespeare wrote,' Karen says. 'What was it? Hamlet?' 'Macbeth,' Ron says. 'That's it! Only you're not supposed to say it, are you? Cursed. Hubble-bubble,' Karen says, lifting the bottle to Sylvia. Sylvia pushes Karen away with the flat of her hand. 'No. Not for me. I'm teetotal today.' Ron looks at Sylvia who flares her eyes, pantomime fashion. 'What? We've got to show a united fron – ' 'Anyone would think you're the one with the problem,' Ron says and turns from her. 'Great party, Karen. Is Darren enjoying himself?' Karen glances around at her guests with an air of nonchalance. 'They seem to be having a nice time. And you know Darren. He's over there, boring all the blokes with the details of the new bike he bought himself for his birthday. I've tried plying him with more booze, but he's so moderate. Which reminds me, I must refresh my glass. I'll tell him to come over and give you a hand.' Through the house, distantly, the doorbell rings. 'Ooo, that'll probably be your other son, one minute.' Karen dashes off. Sylvia nudges Ron. 'I suppose he'll have her with him, won't he?' 'I suppose.' 'I just hope he's taken his medication. That's all we need, him kicking off in front of Darren's friends.' 'Give me those tongs.' Ron flips burgers and looks around the lawn at all the guests talking. Two blokes in t-shirts, one red, one black, near the barbecue, haven't stopped grumbling about 'operation stack' since they arrived. Ron knows all about it. It's that oh-so-terrible procedure used by the police to park cargo lorries on the motorway which has been preventing them all from getting to work. 'Bloody migrants, causing havoc with the Channel Tunnel. Right inconvenience,' Black t-shirt says, glancing over at Ron. 'Refugees,' Ron says. 'Be thankful you're not in Syria having your toenails pulled out by the root.' 'Any chance of a burger mate?' Red t-shirt says. Further away, a woman in a lemon summer dress sneezes. 'Oh, do excuse me. Terrible hay fever,' she says in a loud voice. Recovering, she lifts a prawn vol-au-vent being offered from a china plate, held by a woman in a backless halter-neck who Ron has many times thought of fucking. 'I do love Karen's conservatory,' she says, as Ron tilts his head to get a better look at her tits. 'Perfect for occasions like this.' 'It's terribly over-looked though, isn't it?' The other woman speaks through a half-eaten vol-au-vent – a little bit of pastry crumb stuck to her bottom lip. 'Like a goldfish bowl. I'd hate it. Everyone seeing in. Everyone knowing your business.' Ron watches. The other woman in the halter-neck has obviously seen the crumb but says nothing. 'We were thinking of extending but my husband says we should spend the money on holidays. I was thinking of Egypt or maybe Sharm El-Sheikh.' 'Isn't Sharm El-Sheikh part of – ' 'Right bloody mess,' Red t-shirt says. He glances over at Sylvia, as if to draw her in. 'And this is just the start of it, love. Wait until they all start arriving here.' 'Don't you think we can make room?' Ron says. 'Stop it, Ron,' Sylvia says. 'We don't talk politics.' Ron feels himself blush a little. Sylvia stares at him over the barbecue and the atmosphere cools despite the coals. 'Don't we?' Ron says. 'Who knows who's amongst them?' Red t-shirt says. 'Bloody extremists. It's a time bomb, let me tell you.' When Karen returns she's holding an unopened bottle of champagne in one hand and a bottle of red in the other. 'Guess who I found on the doorstep.' Behind her are Gav and Tanya. 'Look at them. One week in the Canaries and already lightly browned.' Whilst they were away, it was a week-long whiteknuckle ride for Sylv. Ron had tried to distract her from her worst fears with trips to the seaside. Gav nods to them all. 'No holidays booked, Karen?' he says, without making eye contact. 'Not until the little one stops crying all through the night.' Gav smiles, still looking at the ground. 'Where is she then?' 'The ladies in the conservatory are taking turns,' Karen says. Sylvia moves forward and kisses Gav on the cheek before retreating back to her place at the barbecue. 'Cooee!' comes a voice over the garden gate. Ron can just discern the top curls of a familiar grey bouffant. Then the birthday boy himself appears from inside the house, wearing a cook's apron. 'That'll be Auntie Maureen,' Darren says, raising his eyebrows. 'Better let her in.' In moments he's shepherding her across the garden, Maureen expertly carrying a tray of fatty finger food. 'This is my contribution,' Maureen says. 'Someone relieve me.' 'Help the aged,' Ron says. 'Quick! Find her a stool.' 'Ron Sullivan,' Maureen barks. 'I'm not afraid to take you on, you old bastard.' Darren sets Maureen's tray down on a picnic table next to Ron's carton of juice. 'Good to have you back in the land of the living.' He turns and slaps Gav on the shoulder. 'I thought we'd lost you there for a minute.' 'Thanks,' Gav says and shakes Darren's hand. 'Can't get rid of me that easily.' Ron pictures Gav as a podgy baby in old photographs – perfect and untouched. Look at him now – fresh typographic tattoo creeping up his forearm. To Young To Die. Ron painfully notes the incorrect spelling of an epithet associated with James Dean. That'll be difficult to address. 'Awww. He looks well.' Maureen glances over at her sister. 'Doesn't he look well, Sylv?' she says, even though to Ron, he looks bloody awful – skin still a little yellow, eyes bloodshot as if he's been crying. Maureen doesn't get any smaller. Still eating a full English every day. She's like an over-stuffed pillowcase squeezed into a knitted cardie despite it being the height of summer. 'Last time I saw you, there were tubes coming out of you.' Maureen pinches Gav's arm as she squeezes past him to get closer to the meat. 'You gave us all quite a scare, young man. Do that again and I'll get the doctors to take your pancreas out and feed it to the birds. Bloody little bugger.' Ron sees it all – the man hugs, the backslapping, the wet lipstick kisses, Sylvia hanging back pretending to watch the sausages and Tanya, looking out of place, hovering nervously next to Gav and his distended stomach. Her long curtain of hair and a mask of makeup conceal her inner feelings. She eyes Sylvia, atop heels sinking into the turf. 'Alright Son.' Ron hands them both a glass of fruit juice. Gav takes his. Ron notices an arc of perspiration on his forehead. 'Not for me,' Tanya says. 'Karen's getting me a drink.' There's a loud pop as Karen releases the cork from the bottle and it shoots into the air. Everyone cheers. Karen moves towards her in-laws. 'Come on then, hold up your glasses.' Ron shakes his head and looks in Gav's direction. 'Not even a drop, just to toast?' Karen asks. 'Orange juice for me, Karen. I'm trying to cut down,' he says. He piles up two burgers and two giant hot dogs slathered in mustard on a plate for Maureen, with plenty of onions, just how she likes them. He holds out the plate to her, now that she's standing between him and his wife. She looks almost embarrassed to take it, purses her lips and then decisively snatches it from him. 'Hound!' she says, loudly, before shoving the end of a sausage into her mouth. She readjusts her glasses. 'It must be hard for him. Gav, I mean,' Maureen says, lowering her voice to a whisper. 'To not have a drink.' 'I'm really proud of him,' Sylvia replies. 'He's lucky to be alive. Doctor said the pancreatic cyst has shrunk now.' 'Still, all those months at the hospital, I can see it's taken its toll on you.' 'He must never have another drink. Doctors say it will kill him,' Sylvia speaks quietly. 'So don't even think of offering him one.' Ron nudges Maureen. 'Stop whispering in corners, both of you. Can't you just act normal? It's meant to be a birthday party. Not a bloody wake.' He plates up a hot dog for Sylvia and hands it to her. 'Hot dog? I don't eat hot dogs. How long have you been my husband?' 'He's forgotten he was your husband more than once or twice,' Maureen says. Sylvia blushes. 'We don't talk about that either, Maureen.' Maureen marks the air in front of Ron with a sharpened fingernail. 'He won't forget again, will you love? Ron Sullivan, handsome once, but now gone to seed.' Ron sighs. He looks at Karen and raises his voice. 'Did you get that ketchup out?' 'Ruined now,' she says, pointing to the indelible tomato on her blouse. ‘Good for the bin.’ 'Some stains just don't come out,' Ron says. Karen pours a glass of fizz. 'This is for Darren,' she says. She hands it to him and leaves the champagne and the red wine on the picnic table next to the barbecue. She grabs a fork, clinks her glass, raises it and gestures to everyone around her. 'Right, you lot, please join me in wishing Darren a very happy birthday.' 'Happy birthday, Darren,' they all chant parrotfashion. 'And happy birthday from me, to the best husband in the world.' She slaps him on the arse. Then they look into each other's eyes and he kisses her on the lips. Someone wolf-whistles. 'Right, as you were. Maureen, Sylv, come on, upstairs you pair. I want your opinion on the nursery.' The three women move towards the house, Maureen wiggling fat little fingers at people she recognises as she goes. 'Dad, why don't you have a break?' Darren says. 'Me and Gav can guard the barbecue for a bit.' Ron takes his leave. To his disappointment, the woman in the halter-neck is heading for the garden gate, waving goodbye to friends. Tanya has drifted off alone, marooned in the centre of the lawn, where she's sipping her champagne. No one is talking to her, so he pads over. 'Hello stranger,' he says. Tanya smiles tepidly. 'Did you get notice to leave or have you gone AWOL?' 'I think they just wanted to chew the fat. Must be the first time Darren has seen him since … It's nice to see you, Tanya.' She clutches her glass in both hands and holds it close to her chest. Her spiderlike lashes are clogged with mascara. She touches a wet tear duct with a fingertip. 'Don't try to suck up to me, Ron.' 'Hang on a minute.' Tanya pulls dark sunglasses out of her purse and slides them on. 'You're a lovely man, Ron. You were always kind to me. But the others… Why would you not let me see Gav while he was in hospital?' Ron takes a breath, steps closer to her. 'It was nothing personal.' 'Nothing personal?' Tanya takes a step back. 'Gav and I had been together for six years. Six years!' 'But you'd split up. You weren't there. He spiralled downward and then – ' 'We love each other, Ron. I could have just been there. Touched his face. Kissed him. Let him know I was there. But you just cut me out. You know how humiliating it was to be told by the hospital I couldn't see him?' 'Sylvia thought it was best.' Tanya looks hollow, violated. 'But not a phone call? No explanation? Nothing. It was cruel.' 'It was touch and go. We had to think of Gav's best interests.' 'What about my best interests? Have you thought about what all of this has been doing to me?' 'Sylv just thought – ' ' – I hate her.' 'It was hard for us, too. Hard for us to know what to do. Sitting by his bedside every day and night for months, wondering if he would ever come out of the coma, wondering if I'd ever speak to him again.' Ron sighs. 'Who was the first person he called? When he woke up, eh?' 'This is a mess, isn't it?' Ron says. Tanya bites her lip. 'You all think it's my fault.' 'Gav is old enough to make his own mistakes.' 'Sylvia doesn't seem to think so. She thinks I'm a bad influence.' 'Yes, well, she's a very difficult creature. I'd be the first to admit.' He looks down into his orange juice. He could murder a beer. 'So you're back together?' 'We're going on another holiday.' 'Again? You've only just got back. Where to this time?' 'Rome. Gav is going to propose. Then I'll be his next of kin and you won't be able to keep me out of the hospital.' Hospital? Not again. He couldn't take that. When he looks at her, he knows. 'So how much is he drinking these days, Tanya?' He stares at her. 'Did he have a drink before he came here?' Even from behind those glasses, like the windows of a black limousine, he knows she's staring back. Ron feels himself begin to tremble and he looks over to where Darren and Gav are both laughing together. Laughing like two men who have had a few drinks. Perhaps even three pints each … And a whiskey chaser. 'Three bottles a night then?' Ron pictures Gav, slumped over, naked, holding a wine glass, a debris of bottles in that little wooden sauna in his bedroom – where they had found him on Christmas day, before they called an ambulance. They'd redecorated his house. Ron remembers everything – the trips to B&Q, the paint, the wallpaper, the bathroom plumbing, laying that wood flooring that had damn near given him another hernia. Made it liveable again after lovesick Gav had wrecked it, turned it into a squat. Sylvia, recovering from cancer, had worked herself into the ground to make it nice for when he returned home. They'd paid all his bills. Kept everything going. Read to him in bed, the way they had when he was a little boy. Ron starts walking back, one hand clenched into a fist, the other clawing his orange juice. 'Wait!' he hears Tanya's voice behind him. The women are coming back across the lawn now. Sylvia is petting the baby in Karen's arms. They are all laughing, except for Maureen, whose red-painted gash of a mouth is open, full of pork pie. Sylvia sees Ron and calls, 'Hello Grandad.' He reaches the picnic table near the barbecue and jabs the corkscrew into the bottle of red. Cheap Côtes du Rhône. That'll do. 'Are you okay, Dad?' Darren asks. 'You look a bit – ' Ron pours a large glass, hands shaking. He spills some of it, a deep pink wound, onto the tablecloth. He fills it right up to the brim. 'Ron?' Sylvia's not laughing anymore. 'Ron, I thought we agreed.' Maureen is laughing. 'That's a large one, Ron. Even by your standards.' He turns to Gav and holds out the drink. Gav looks startled, hunted almost. Darren steps forward. 'Dad, what are you doing? You know he can't – ' Ron takes Gav's hand and presses it around the wine glass. 'What are you doing, Ron?' Sylvia is shrieking behind him, only steps from the barbecue. On the griddle is some fresh meat, charred a little at the edges, in need of turning. 'Like a drink, don't you Son?' Ron says, numbly. Sylvia is crying. 'No.' Ron gives his hand a little push. 'Go on then.' Contentment Matthew Leather The spike pierced the aluminium carcass of the ignorantly discarded beer can. The hiking stick was rarely used for its intended purpose as he often found himself cleaning up the area around his cabin with it. In the past fortnight the local teens had spent multiple nights partying and acting with a blatant disregard for his personal space and the environment altogether. He laughed as he impaled another can, 'Saku – couldn't they get some nicer lagers?' David Wilmott had left the corporate rat race of sales in England in favour of a more relaxed and serene life in Estonia. His father had grown up there and he only visited once when he was younger, and after a messy divorce and no kids anchoring him to England he uprooted his life and and bought a small shack cabin in a village called Nõmmeveski in Harju County. As part of the Laheema National Park, the area often welcomed a number of tourists, but the terrain wasn't for the faint of heart and for the most part David's daily walks to the waterfall on the Valgejõgi River were his, and his alone. through the trees and the wind offered up a citrusy scent. David breathed it in. The only noises he could hear now were the cracklings of the tinder from his log burner. The smoke was spiralling out the chimney and drifting through the woods towards the coast. The smoke from the log burner was easy distinguished and David could sense an alien mixture creeping into his nostrils. The cigarette smoke was drifting in from where he collected the cans the previous evenings. They were back. He might not have been a local, and his father might not have been from this part of Estonia, but this was his home now and it was his slice of silent existence. He placed his hands on the arms of his chair and pushed himself up. He reached his hiking sticks and took to walking through the evening in hunt of these miscreants. The nights usually passed quickly and David spent them staring up into the sky watching the stars and the clouds pass overhead. The lunar light was delicately shining through the Scots pines and finding its way to David's face as he reclined in his chair and closed his eyes. He felt at peace. In that moment he forgot all of previous woes and visualised himself gently ambling along the Valgejõgi River in his small wooden boat, with a book and a fishing rod. The light breeze whistled The campfire was lightly ablaze and the four teenagers were rounded together on felled trees with a case of the same Saku lager within arm's reach. They were laughing and passing around a single joint. It didn't take David long to make it to their hangout spot. The ground was soft underneath his feet, but he was able to stay as silent as possible. He stepped slowly forward and brushed the pines away from his face. The rustling noise was heard by one of the two females in the group and she pointed directly to David. He committed to walking out into the open and spoke to the teens. "Hello." David offered the first words as the four teenagers reeled and clutched at their belongings. ""What do you want?" asked the female who had heard David initially, clutching at her cardigan. "I am not here to break up your fun or your party, or in fact whatever this is. I am just asking that you clean your mess. I will provide you with bags and will dispose of them myself, Aitäh." One of the girls picked up a can and handed it to David, but it was swatted from her hand before he could get it. "Yeah, whatever, old man." The largest of the four flicked his half-smoked rollie towards David and the ember drifted towards the fallen pines. David promptly stepped on the cigarette, extinguishing the spark. "I am not here to argue or fight. I am just asking that you clean up the mess please." He picked the can up from the floor and dropped it into the bag. "We don't do what you tell us." The boy then laughed and spoke to his other male companion and uttered something in Estonian. David wasn't as proficient at the language as he had hoped, but understood enough to get by and he recognised the curse words just used. He also heard two names: Artjom and Kaspar. "Look, it's late and the girls are clearly cold." David pointed towards the two girls who had adopted a huddled position together with an oversized cardigan acting as a duvet. "I'm going to leave these here for you and I will come and collect them in the morning. Good night." He dropped a roll of bin bags by one of the logs they were sitting on and started back towards his cabin, with more Estonian expletives being mumbled behind him. He wasn't expecting a clean site when he returned. * David managed to get some rest regardless of the noise continuing for a further three hours after he left. He was unoptimistic about the state the impromptu camp site would be in and when he made it there his lack of optimism was proven warranted. The bin bags he provided had all been shredded and strewn along the floor, tied around trees or pierced onto branches. All the beer cans were crumpled and slung into an unorderly pile in the middle of the tree-stump seats, along with countless cigarette stubs. He needed more supplies to clean the site and took an early morning stroll towards one of the local villages, Vatku, where he'd befriended a few of the locals. It was in these times when he appreciated the literacy level in Estonia: most people could speak multiple languages, with English being the most common. He stabbed his hiking sticks into the ground and used them for leverage to push forward, his feet struggling to gain purchase on the dampened ground. He enjoyed the walk through the forest amongst the pines, spruce and aspen. He admired the colourful bark and the vibrancy of their leaves. He could hear the trickling of the Valgejogi in the distance and turned off towards the village. The previous treks had begun to etch out a pathway. Although he still had to wrestle with some uneven terrain, he wasn't continually swatting branches away from his face. When he made it to more solid ground, he stomped his feet to loosen the claggy mud from his boots before entering the store. "Good morning, Maksim." "Good morning, David, back so soon?" Maksim replied as he struggled to stack the upper shelf in his store. "I need more bin bags. The youngsters have left even more of their mark this time." "Again?" Maksim stopped what he was doing and grabbed another roll for David. "What did they do?" "Well, I managed to speak with them yesterday and politely asked them to clean up their mess." David pulled out his wallet and dropped a ten euro note onto the side. Maksim waved his hand to say no payment was needed. "Thank you, Maksim." David placed the roll into his backpack. "You're welcome." "I honestly don't mind them being there. I just don't want to be cleaning up after them. I left them the bags last night and told them I would collect them this morning, but it would appear that the two boys of the group weren't happy with my request." "Do you know who they were?" "I only heard two names: Artojm and Kaspar." "Ahh, I know them. They are brothers and have always had a bad reputation and can sometimes be a serious nuisance. Perhaps I could have a word with their father? He will certainly not be happy." "Like I said I don't mind them. I don't want them getting into trouble for this, just a word from somebody who has a bit of authority might be good." David started out of the store. "Have a good day, Maksim, and thanks again." * The mess didn't take long to clear. When David had finished, he carried the three packed bin liners back to his cabin and sat on his chair to rest. The Sunday morning chill was beginning to lift as the sun pushed its way through the branches. He leaned back and listened. He could hear the birds chirping above, a joyful tune that seemed to only be sung on the weekends. It was as if they knew. As the temperature continued to rise through to the evening, the natural green canopy above him held in the warmth. David set up the cooking tray with three strips of grey partridge he had marinated. The fire was still rumbling and didn't take long to stoke up to a full blaze with the dried twigs and leaves scooped up from around his cabin. He heard the rustling of branches and the cracking of twigs underfoot before he saw the two boys from last night. "Hey, old man, you enjoy cleaning the mess again last night?" They were stomping closer now, their faces screwed in a snarled expression and both with significant bruises on their faces. The older of the two, Artojm, had a cut along his cheekbone. "Not particularly, no." David saw their faces and figured Maksim had told their father and that he had been displeased. He understood their anger and had faced unruly teens before back in England and always dealt with them in a calm, easing manner. "I would appreciate it if you didn't leave it like that again." "Well, you decided to bring our father into this and look what it got me." Artojm pointed towards his face. "I can see that, but I didn't want anything bad to come of it." David flipped the partridge and stoked the fire some more. "I am sorry that happened." "You will be." Artojm gestured towards the roaring fire. "Those can be dangerous, don't you think?" David stood up and walked towards the two. He was not afraid of conflict and his keenness did not go unnoticed by those he went for. "Are you threatening me?" he said as he got a few steps away from the brothers. "Not at all, old man. Not at all." The pair only took a half step backwards. "Then I suggest you leave. Now." For once the boys listened to David and walked away, albeit laughing as they threw another beer can on the floor. David returned to his food and cursed as he noticed one side was charred. He prised the three strips off the tray and tucked in. He was set in for the night now. Although he didn't feel like the threat was fully legitimate, he still thought leaving his cabin was a risk. * He awoke with a shiver the next morning and pulled the cover back over himself. The fire had seemingly been extinguished by the evenings draught and the bitter chill left David feeling lethargic. He had no plans for the day, but felt a requirement to use his muscles more than to boil a kettle or chop some wood. He decided that a casual row and fish would be just the thing he needed. He picked up his book and stuffed it into his rucksack. His fishing supplies were all stored tidily in one of his storage chests and as he emptied them, he felt a buzz of excitement. This was his stretch of nothingness. He could live out the rest of his days in complete contentment and bask in the tranquillity. The sun had faded away behind clouds and the dim lighting offered little to no guidance. There was a swampy feel to the dense air that slowly filled his lungs. He could only imagine how good it was going to feel breathing in his first gulp of fresh air when drifting along the Valgejõgi. He loosened the rope from the dock loop and gently nudged the boat off the verge, letting the water lap along its edge and pull it in. He threw in his gear and hopped in with a synchronised ease that wasn't exactly befitting a man his age. The boat began its ascension up river to his favourite spot for catching trout and the odd salmon. He needed to push hard against the prevailing wind and could already feel his shoulder beginning to burn after a mere five minutes. As he made it to a small cut in on the river bed, shielded away from the wind, he allowed the boat to lightly rock to and fro to a rest. The fishing rod stayed enclosed in his mass of gear as he plucked his book out. He laid back in the boat, letting the ripples move him effortlessly into a slumber. The sleep was needed. His hat slipped down his brow and awoke him. His nostrils were assaulted by the smell of burning. He rigidly sat upright and saw the plume of smoke billowing into the sky. It was coming from the direction of his home. He frantically grabbed at his oars and began to push himself away from the resting bed in the river. There was nowhere else in the forest the smoke could be coming from and his world was tearing apart; every stroke brought a new thought of emptiness to his soul. This couldn't be happening, he thought, as the boat crashed into the dock verge. He jumped out and started his sprint towards home. When he saw it, he fell to his knees. His cabin was burning and he was helpless. The firemen had made it there quickly enough and were desperately trying to stop the spread of the flames. All David could do now was stare, watch and pray. Alexandra Nica Bios Elizabeth M Castillo public commotion Alexa Nica is, primarily, a 15-year-old student residing in the UK and an occasional poet with a love for contemporary fiction books, podcasts and desolate country roads. Arun Jeetoo Dancing (2020) / Some Boys Don't Play Rugby Arun Jeetoo is a 24-year-old English teacher from London. His words appear in The London Reader, a Black Lives Matter anthology and The Best New British and Irish Poets 2021-2023 Anthology. His debut pamphlet I Want to Be the One You Think About at Night was published by Waterloo Press (2020). @G2poetry @G2poetry Chelsea Vincent The Monster Chelsea Vincent is a writer and performer from Cornwall. She writes for both the stage and the page, and is the author of 'The Year of Tall Tales' blog, and 'The Golden Penguin' with Above Bounds Theatre Collective. @clouvincent @clouvincent chelseavincent.net The Safest Place Elizabeth M Castillo is a British-Mauritian poet, writer and language teacher. Her work centres on themes of motherhood, womanhood, race, ethnicity, love, language and mental health. She has words in, or upcoming in, Selcouth Station Press, Pollux Journal, Authylem Magazine, Fevers of the Mind Press and Melbourne Culture Corner, among others. @EMCWritesPoetry @EMCWritesPoetry Helen Sulis Bowie A::Void / The Promise Helen Bowie is a writer, performer and charity worker based in London. Their poetry has featured in Beir Bua, Full House Literary and How2BBad among others. Helen has one cat, one Pushcart Prize nomination and several bafflingly strong opinions on extremely trivial matters. @helensulis linktr.ee/helensulisbowie Jideofor Confidence Mirrors Jideofor Confidence is a queer Nigerian Mop-head. She slaves away at an 8-5 job and barely makes time for fun. She lives in a minimalist apartment with an imaginary cat and does not own a TV. @dencety Judith Amanthis The canal this winter Judith Amanthis's short fiction has been in UK online and print literary magazines. Black Lives Matter, Poems for a New World, November 2020, published her poem Oware. Her journalism has appeared in Ghanaian, South African and UK publications. Victorina Press published her novel Dirt Clean (250 copies) in November 2019. Kauser Parveen More than a set of keys (Grenfell) / Nursing Crisis Kauser is a female writer who writes about what she has seen, lived and experienced through the eyes of herself and others. Maria Oshodi I Didn't See It Coming Maria Oshodi is a writer, arts consultant and the Artistic Director of Extant, the leading performance company of visually impaired artists in the UK. Her current independent project, A Trail of 2 Cities, is a reflection on London and Los Angeles by two blind African heritage artists. @MariaOshodi09 mariaoshodi.com Morgan Boyer Tongue Traffic Morgan Boyer is the author of The Serotonin Cradle (Finishing Line Press, 2018) and a graduate of Carlow University. Boyer has been featured in Kallisto Gaia Press, Thirty West Publishing House, Oyez Review, Pennsylvania English and Voices from the Attic. Boyer is a neurodivergent bisexual woman who resides in Pittsburgh, PA. @MorganBoyerPoet Naomi Marklew Fear is a seagull Naomi Marklew writes poems, fiction and creative nonfiction based in the North East of England. Her recent work has featured in Amethyst Review, -algia, Selcouth Station, Second Chance Lit and Streetcake Magazine. @NaomiMarklew naomimarklew.wixsite.com/website Nicole Lee Fixed Floating Nicole Lee was born in Kuala Lumpur and educated at Malvern and Oxford. She has worked as a banker in London and Hong Kong and now lives in Wandsworth, works in Kew and writes poetry. She has been published in various journals and long-listed in the National Poetry Competition. @NicoleL10697708 Niharika Jain Home, again Niharika is a writer and bookworm. She misses visiting arts venues and libraries. Her reading target for 2021 is 100 (she managed 93 books in 2020). Niharika cares about amplifying marginalised voices. A trustee of the Vagina Museum, she hosts their monthly book club: Cliterature. She is a HarperCollins Author Academy graduate. @niharikahopes niharikahere.wordpress.com Piero Toto Let No Man Put Asunder Piero Toto is an Italian translator, translation lecturer and bilingual poet from London. He is the author of papers on queer language and translation pedagogy. His poetry in English currently appears in Queerlings, harana poetry and Seek Poetry. His debut Italian poetry pamphlet, tempo 4/4, is out with Transeuropa Edizioni. @tradutoto @poetotter Roy Duffield The Holey Trinity Roy Duffield is a working-class writer and the art editor at Anti-Heroin Chic. He's performed at the Beat Poetry Festival in Barcelona, won the 2021 Robert Allen Micropoem Contest and has words in the likes of Into the Void (Saboteur Best Magazine, 2018), Ink Sac (Cephalopress) and The Dawntreader (Ted Slade Award). @drinktraveller @drinking_traveller Rushaa Hamid You Remind Me of my Memories of the Nile Rushaa Louise Hamid is a socio-political researcher and writer living in East London. Her work centres on identity tensions in the modern world, and draws from her Sudanese and British heritage and upbringing straddled between the two countries. @thesecondrussia rushaahamid.com Alex Bartlett Chocolate Revenge Alex wanted to write since childhood, but got sidetracked by adult things like football, beer and the requirement for a roof over his head to prevent rainrelated dilution of the aforementioned beer. Now the roof is in place, he has more time for creating stories and pinning them to paper. Barbaros Altug Scabs on the Soul Barbaros Altug is a Turkish author living in Berlin. He was a columnist at Ahmet Altan's Taraf daily. His first novel, we're fine here, about Gezi revolts in Istanbul will be turned into a movie in Germany. He was given a grant by Hrant Dink Foundation for his second novel, Scabs on the Soul, on Armenian genocide. @barbarosaltug barbarosaltug.de Catriona Morton Bodies of Water Catriona Morton (she/they) is a British-Irish writer working with themes of trauma, disability and queerness. Her work has been featured by the BBC, Dazed and The Guardian. She's written a creative non-fiction book on the embodied realities of being a survivor in rape culture (out with Trapeze in Summer 2021). @tacriona @tacriona Ella Piazzi Your Patroclus, always A thirty-something Italian girl who moved to London with a big dream and no idea of how to make it real. Write, get depressed, drink, sleep, repeat. @Ella_piazzi @ella_piazzi lesinadaptes.com Georgia Cook The Constancy... Georgia Cook is an illustrator and writer from London. She is the winner of the LISP 2020 Flash Fiction Prize and has been shortlisted for the Bridport Prize, Staunch Book Prize and Reflex Fiction Award, among others. @georgiacooked georgiacookwriter.com Harry F. Rey Sweet Shashtahika Harry F. Rey is a Jerusalem-based Glaswegian author and lover of gay-themed stories with a powerful punch. His works include the queer space opera series The Galactic Captains, the royal thriller series The Line of Succession, and the Leeds-based gay rom-com All The Lovers. /HarryFReyAuthor @Harry_F_Rey @harryf.rey harryfredrey.wixsite.com/harryfrey Jeffrey Zable In The First Place Jeffrey Zable is a teacher and conga drummer who plays Afro-Cuban folkloric music for dance classes and rumbas around the San Francisco Bay Area. His poetry, fiction and non-fiction have appeared in many literary magazines and anthologies. Recent writing in Former People, Ariel Chart, Boston Literary Magazine, Pensive Stories, Beatnik Cowboy, Corvus, Tigershark, The Nonconformist, Misery Tourism, Uppagus and many others. Judy Upton Moths Judy is a working-class playwright with plays produced by The Royal Court, The National Theatre and BBC Radio 4. Her first novel, What Maisie Didn't Know, is published by Wrecking Ball Press in 2021. Justin David Bubble Justin David is co-founder of the indie publishing outfit inkandescent.co.uk and co-editor of MAINSTREAM: an anthology of stories from the edges. He is the author of two novellas, Kissing the Lizard and The Pharmacist, and a collection of short stories, Tales of the Suburbs. His photography features in the book Threads, a poetry and photography collaboration with his partner, Nathan Evans. /justindavidartist @Justin_Writer @justindavidartist justindavid.co.uk Matthew Leather Contentment Matthew is 28 years old and has been writing since he was 18. He has co-authored a novel (unpublished) and has taken part in multiple campfire stories on many themes and across multiple genres. He spends the majority of his time with his partner and dog.
Edinburgh Research Explorer Closing Pandora's box? The EU proposal on the regulation of robots Citation for published version: Schafer, B 2016, 'Closing Pandora's box? The EU proposal on the regulation of robots', Pandora's Box The journal of the Justice and the Law Society of the University of Queeensland, vol. 19, pp. 55-68. Link: Link to publication record in Edinburgh Research Explorer Document Version: Peer reviewed version Published In: Pandora's Box - The journal of the Justice and the Law Society of the University of Queeensland General rights Copyright for the publications made accessible via the Edinburgh Research Explorer is retained by the author(s) and / or other copyright owners and it is a condition of accessing these publications that users recognise and abide by the legal requirements associated with these rights. Take down policy The University of Edinburgh has made every reasonable effort to ensure that Edinburgh Research Explorer content complies with UK legislation. If you believe that the public display of this file breaches copyright please contact firstname.lastname@example.org providing details, and we will remove access to the work immediately and investigate your claim. Download date: 30. Jan. 2023 BURKHARD SCHAFER I OF ROBOTS, MYTHOLOGY AND THE LAW "Whereas from Mary Shelley's Frankenstein's Monster to the classical myth of Pygmalion, through the story of Prague's Golem to the robot of Karel Čapek, who coined the word, people have fantasised about the possibility of building intelligent machines, more often than not androids with human features [...]" Thus starts the Motion for a European Parliament Resolution with recommendations to the Commission on Civil Law Rules on Robotics, submitted by the Committee on Legal Affairs. (henceforth: "the Motion"). 1 This paper will attempt a first analysis of key notions of the proposal, by following the proposers in exploring the emerging discourse on robot regulation through the prism of literature and mythology. The unusual and somewhat tongue-in-cheek introduction is an appropriate reminder of just how much our thinking about robots and their legal regulation is influenced by their depiction in mythology, literature and film. For centuries, we have projected our hopes and fears into humanlike machines, seeing in the back-reflection from their metallic (typically) faces an account also of what we are or as what we see ourselves. Law and legal regulation plays a consistent theme in these stories, as we will see below. II CLOSING PANDORA'S BOX A reference missing from the Motion is that to the story of Pandora.When juxtaposed to the Genesis account of Eve and the Fall, we get a first idea of the concerns that the committee tries to address. Pandora was created by Hephaestus, blacksmith to the gods and master-engineer. She was designed with one purpose in mind – punishing mankind for acquiring the fire from the gods. Built to allure and to seduce, her task is to deliver the jar that contains all the evils in the world, "burdensome toil and sickness that brings death to men". Only hope remains in the jar before she closes it again. The story told by Herodotus bears some striking resemblances, but also a crucial difference to that of the Biblical Eve. Eve too is designed – though maybe better described as bioengineered. She too will bring through her actions toil, sickness and disease into the world. But unlike Pandora, 1 Motion for a European Parliament Resolution with recommendations to the Commission on Civil Law Rules on Robotics [2016] 2015/2103(INL) <http://www.europarl.europa.eu/sides/getDoc.do?pubRef=//EP//NONSGML%2BCOMPARL%2BPE-582.443%2B01%2BDOC%2BPDF%2BV0//EN>. who acted strictly according to her instructions, with Eve it is the ability for autonomous decision making and with that the ability to act in ways unforeseeable to her creator that causes the harm. Today we find the same topoi in the highly gendered depiction of robots in film - Ava, the robot in Ex Machina, just like Pandora is designed to seduce, just like Eve ultimately through her autonomy bringing doom on the naïve man she interacts with. Maybe even more worrying, real life examples of robotics follow the same patterns, with the female Siri and Tay playing the role of secretary, while the male chatbot Ross 2 delivers proper legal advice. Exploring how gender and fear shape our perception of robots would go beyond the scope of this paper. 3 But Pandora and Eve, each in their own way, encapsulate the fears and concerns that dominate the legal debate on robotics: One is the concern that malicious designers could develop deadly robots intentionally to inflict harm on humans. Concerns that have led to calls to outlaw military application of robotics. The other is the fear that by creating entities with autonomy and permitting them to act in ways that may be in principle unpredictable by us, we are not only engaging in risky behavior, we might sever the nexus between creator and creation that allows us to attribute legal liability and responsibility if things go wrong. Just as Eve's action plays a central role in Christian apologetics, so robot autonomy is seen as a potential "get out of jail card" that could be played by manufacturers or sellers if their products cause harm. Or, in the words of the committee on the reasons for taking action at sec. 24: "whereas, notwithstanding the scope of the Directive 85/374/EEC, the current legal framework would not be sufficient to cover the damage caused by the new generation of robots, insofar as they can be equipped with adaptive and learning abilities entailing a certain degree of unpredictability in their behaviour, since these robots would autonomously learn from their own, variable experience and interact with their environment in a unique and unforeseeable manner." 4 The fear is that this could expose buyers and the general public to harm without recourse. It could equally however create uncertainty for manufacturers, sellers and investors that prevents the robotics industry realising its beneficial potential. Law, appropriately adjusted to this new reality, might be able to give us reasonable hope in a safe robotic future. Yet hope, as Pandora's story shows, is an ambivalent concept. It is unclear if by keeping hope in the jar, Pandora denied us "even hope" and punished us even more, or if closing the lid was an act of kindness – after all, hope was placed by Zeus in a jar that contained all evils, and what is more evil than hope continuously disappointed. Is the Motion then aimed to "close the box" in the sense of keeping a lid on potential harm? Or is it giving us "false hope", in that it deludes us into thinking that by regulating a technology we can make it safe? Or is the role of the proposal merely symbolic, a form of "red flag" law that does not address any real problem, but responds to public concerns by creating unnecessary and to a degree burdensome duties on robotics manufacturers, but with the advantage of increasing public acceptance of the technology? These are some of the themes that this paper will explore. 2 Karen Turner, 'Meet 'Ross,' the newly hired legal robot', Washington Post (online), May 2016 <https://www.washingtonpost.com/news/innovations/wp/2016/05/16/meet-ross-the-newly-hired-legal-robot/>. 3 See, eg, Friederike Eyssel and Frank Hegel,'(S) he's Got the Look: Gender Stereotyping of Robots' (2012) 1 Journal of Applied Social Psychology 42(9), 2213-2230. 4 Civil Law Rules on Robotics Motion, 6. III THE LAW AND THE GOLEM The EU Motion prominently mentions the story of the Golem as one of the oldest examples of man-made autonomous machines. If the Golem was the first robot, then a lawyer was the first roboticist. Tractate Sanhedrin 65b from the Talmud (the "cases and materials" of Jewish law) describe how amora (legal scholar) Rava created in the 3rd century BCE a person-like being from mud. Rava was one of the most influential law teachers of his time, contributing to the canon of Talmudic law a concept of good faith acquisition of lost/abandoned property; and to the laws of civil procedure a secularised notion of witness credibility assessment. That it should be a lawyer who created the first robot is within the Jewish religious framework entirely understandable: God is (perfect) law and the ultimate creator, so everyone who achieves near-mastery of the law could arguably also achieve near-mastery of the art of creation. Near-mastery only though, and indeed Rava's robot quickly failed the Turing test: When Rava, maybe to put his work to the test, sends him on an errand to another influential amora, Rav Zeira, the man-machine is quickly found out. Incapable of answering questions directed at it, Zeira easily identifies the originator behind the ploy: "You were created by the sages; return to your dust". 5 Then and now, the ability to display human characteristics when under cross-examination and responding appropriately to questions was the litmus test that distinguishes man from machine; then and now, mastering language turns out to be a difficult task to achieve. The idea of lawyers as arch-roboticists quickly disappears from history, though it returns briefly in the 19th century with an interesting twist. Legal formalism developed an ideal of the judge as adjudicator that saw them as machine-like in nature, working through simple algorithms, ideally available in codified form, to determine the right outcome without fear, favor, or any other emotion for that matter. Roscoe Pound dismissively termed this "mechanical jurisprudence", 6 but for some of its adherents this epithet would have been a source of pride rather than disparagement. Over 100 years before Pound, Julian de la Mettrie wrote in "Machine Man": "To be a machine and to feel, to think and to be able to distinguish right from wrong, like blue from yellow [...]." 7 Rather than making robots like their Jewish predecessors, the legal formalists of 18 th Europe dreamt of turning themselves into machines. From this two themes emerged that are also relevant for the contemporary discussion on robot regulation. The first is the idea, central for formalist jurisprudence, that legal codes can be seen as a library of rules, which together with an appropriate logic form an algorithm that can determine mechanically the outcome of a case. This idea, which informed the development of first generation legal expert systems such as Taxman 8 or the Latent Damage System, 9 also opened up the possibility of a different approach to robot regulation. Rather than using law only retrospectively, after a violation has occurred, implementing formal representations of relevant legislation in the robot's software might ensure law compliance by design. This idea was popularized in literature through Asimov's famous Laws of Robotics – though we should note that their main narrative function is to create problems and to require workarounds. Asimov did not advocate them as a solution, if anything, his stories show how difficult it can be to reduce normative decision making to simple rule 5 David Honigsberg, 'Rava's Golem' (1995) 7 Journal of the Fantastic in the Arts 137. 6 Pound, Roscoe, 'Mechanical Jurisprudence' (1908) 8 Columbia Law Review 8: 605. 7 Julien Offray de La Mettrie, Man Machine and Other Writings (Cambridge University Press, 1996) 35. 8,Thorne McCarty, 'Reflections on Taxman: An Experiment in Artificial Intelligence and Legal Reasoning' (1997) 90 Harvard Law Review 837. 9 Richard Susskind 'The latent damage system: a jurisprudential analysis' (Paper presented at Proceedings of the 2nd international conference on artificial intelligence and law (ICAIL 89), University of British Columbia, Vancouver, 1989) 23–32. following. However, the idea got traction in the legal domain. The first commercially deployed example was through DRM as a form of copyright law by design, and more recently through the "privacy by design" requirement, encouraged by implication in the EU Data Protection Directive, and soon to be explicitly mandated in Art 25 of the EU General Data Protection regulation. 10 Lessig's influential (and highly critical) appraisal of software-enforced rule compliance finally brought the equivalence between legal and software code into the mainstream discussion on technology regulation. The Motion to the EU Commission remains deeply ambivalent on this issue. Citing explicitly Asimov, it states as General Principle L that "whereas, until such time, if ever, that robots become or are made self-aware, Asimov's Laws must be regarded as being directed at the designers, producers and operators of robots, since those laws cannot be converted into machine code;" 11 It is unclear why the committee thinks that self-awareness is a precondition for legal rule following. It is true that the rules in the form given to them by Asimov are too general and abstract to be suitable candidates for a formal capture that could guide machine behaviour. However this does not mean that quite sophisticated formal representations of legal norms can't under the right conditions be an effective tool for robot regulation. The committee seems to recognise this when at sec.10, it also "calls, in this regard, on the Commission to foster the development of standards for the concepts of privacy by design and privacy by default, informed consent and encryption;" It seems clear that despite the dismissive reference to Asimov's laws in the general part, some form of legal reasoning capacity will have to play a role in the tool set for efficient robot regulation. Given just how prevalent robotic devices are bound to become, we will therefore likely face a future of "ambient law", where gadgets, cars, automated homes or smart cities constantly run algorithms that are isomorphic formal representations of relevant legal provisions. The second lesson that we can learn from the 19th century idea of turning lawyers into robots concerns the effect of robotics on the labour market. We find the idea that modern working practices are turning humans into machines prominently in Karel Čapek's play R.U.R. from 1920, which the EU Motion also cites. The heroine of the book, Helena, is a representative of the "League of Humanity", a human rights organisation that lobbies for employment and other civil rights for robots, including the right to get paid fair wages. The impact of these robots on the labour market and wider society is however as profound as it is ambivalent, resulting in deskilled humans with decreasing birth rates and ultimately little to protect them when the robot uprising begins. While for Čapek, robots were a metaphor for dehumanising working conditions under modern modes of production, the fear that robots will disrupt our labour markets and put additional strain on already overstretched social security systems also plays a central role in the current debate. 12 It is also a concern in the EU proposal that states at Para 20: "Bearing in mind the effects that the development and deployment of robotics and AI might have on employment and, consequently, on the viability of the social security systems of the Member States, consideration should be given to the possible need to introduce corporate reporting requirements on the extent and proportion of the contribution of robotics and AI to the economic results of a company for the purpose 10 Regulation (EU) 2016/… of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) [2016] OJ L 119. 11 Civil Law Rules on Robotics Motion, L . 12 See,eg, Martin Ford, Rise of the Robots: Technology and the Threat of a Jobless Future (Basic Books, 2015). of taxation and social security contributions; takes the view that in the light of the possible effects on the labour market of robotics and AI a general basic income should be seriously considered, and invites all Member States to do so." 13 With this the Motion opens up for discussion two of the more radical proposals for a wider societal response to increased automation at the workplace. One is to abandon the notion of employment as the norm, and of wages as the typical form of income. Instead, a general basic income is suggested as an alternative should, as some commentators have predicted, the reduction in available jobs overwhelm existing social security networks. 14 A possible source for funding of such a scheme is also hinted at by the EU committee. Robots could be treated as employees for tax and social security purposes. While not exactly getting paid, as Helena lobbied for in R.U.R, robots could be paying income tax – or rather a levy could be raised from companies that splits the difference between the reduction of costs that the company gains through automation and the costs that this creates for the welfare system through loss in tax revenue and increased demand for unemployment benefits. This suggestion raises an interesting philosophical question with direct legal relevance: How do we count robots, and how do we identify individual specimens? If a company owns one hundred cars, each with identical software, all communicating constantly with each other and a central server, is this one (distributed) robot, or one hundred? If the latter, why would an autonomous car, which will have several hardware and software components that constantly talk to each other and a central processor, not also count as several robots? Furthermore, as the software of a robot will in most cases require constant updating, since software ages faster than hardware. But is a robot that undergoes a radical change in its software still the same – or should it be considered as a new employee? Čapek's story also brought to the fore the possibility that robots should be recognised as legal persons, and with that another important crossover between law, literature and robotics. Using the law to resolve conflicts caused by the autonomy and intelligence of machines is a recurrent theme in 20th century robot literature. It is through a legal trial that Commander Data in the Startrek universe has to prove that he is deserving of legal protection and the status of a legal person. Formal confirmation of citizenship and the rights and duties that it entails to the robot Johnny Five brings the "Short Circuit" franchise to a conclusion. These and similar stories evidence how much we still trust the law as a vehicle to settle social and political disputes. In a case of life imitating art, the mayor of Nanto City granted in 2010 the therapeutic seal robot Paro a "koseki" (household registry/birth certificate), which lists Shibata Takanori, Paro's inventor, as the robot's father. 15 The idea of robots as holders of rights has been mooted on and off in the academic discussion for quite some time, but never attracting significant support. 16 A Horizon scanning report for the UK government however took the idea serious enough to contemplate limited civil rights for robots within the next 50 years. 17 At first sight the EU Motion appears to follow this line of thought and asks to at least contemplate the possibility of 13 Civil Law Rules on Robotics Motion, 23. 14 On basic income and robot technology see in particular, James Hughes, 'A strategic opening for a basic income guarantee in the global crisis being created by AI, Robots, desktop manufacturing and BioMedicine' (2014) 1 Journal of Evolution and Technology 45. 15 For a discussion see Jennifer Robertson, 'Human rights vs. robot rights: Forecasts from Japan' (2014) 46 Critical Asian Studies 571. 16 See, eg, Hilary Putman, 'Robots: Machines or Artificially Created Life?' (1964) 61 The Journal of Philosophy 668;, David J Gunkel, 'A vindication of the rights of machines' (2014) 27 Philosophy & Technology 113; Mark Coeckelbergh, 'Robot rights? Towards a social-relational justification of moral consideration' (2010) 12 Ethics and Information Technology 209. 17 Robots could demand legal rights (21 December 2006) BBC News <http://news.bbc.co.uk/1/hi/technology/6200005.stm>. "creating a specific legal status for robots, so that at least the most sophisticated autonomous robots could be established as having the status of electronic persons with specific rights and obligations, including that of making good any damage they may cause, and applying electronic personality to cases where robots make smart autonomous decisions or otherwise interact with third parties independently." 18 Together with the notion of robots as tax payers, this idea led commentators in the popular press to the conclusion that the EU is indeed preparing the ground for legal recognition of robots, possibly in analogy to the legal status of corporations. A more cautious reading of the proposal however would replace "right" in the above section with "capacity", in particular the capacity to enter into legal agreements that are binding on the owner. As a simple example, we can think of an automated car that pays any applicable road tax "on its owner's behalf". If read like this, we can see that the discussion is far from new. At the turn of the century, advances in the design of autonomous agent software led to concerns about the legal status of contracts that were negotiated between machines, with no or limited human oversight. The "law of electronic agents" workshop series that was held as part of the EU funded Agentlink network addressed these issues comprehensively. The emerging consensus at the time indicated that radical solutions such a ascribing legal personality to software agents was unnecessary, and that existing legal instruments were capable of dealing with machine-to-machine contract negotiations in an equitable way. 19 IV ROBOTS OR AI Why would the committee feel the need to reopen this discussion? Part of the reason is the very definition of "robot" that the Motion suggests, and to which we will turn our attention now. The Motion asks the Commission to "propose a common European definition of smart autonomous robots and their subcategories by taking into consideration the following characteristics of a smart robot: - acquires autonomy through sensors and/or by exchanging data with its environment (inter-connectivity) and trades and analyses data - has a physical support - is self-learning (optional criterion) - adapts its behaviours and actions to its environment" If adopted, the EU would be the first jurisdiction with a generic definition of robot, to be applied across legal domains. While a small number of jurisdictions has defined the term "robot" in law for specific purposes, they typically are to be found in highly technical laws that deal with issues such as their treatment for tariff purposes (Russia, which uses a rather long and cumbersome definition), facilitate and encourage investment in robotic technology or set aside physical spaces where thy can be safely tested. None of these definitions play a direct role in core civil law, or are intended to regulate liability of/for robotic devices. The EU proposal also comes close to definitions used by roboticists. Mataric for instance defines robots as " an autonomous system 18 Civil Law Rules on Robotics Motion,31F. 19 See, e g, Emily Weitzenboeck, 'Electronic agents and the formation of contracts' (2001) 9 International Journal of Law Information Technology 204; Giovanni Sartor, 'Cognitive automata and the law: electronic contracting and the intentionality of software agents' (2009) 17 Artificial intelligence and law 253. which exists in the physical world, can sense its environment, and can act on it to achieve some goals." 20 While the proposed definition is in line with that used within the technology community, reasonably flexible to anticipate future developments and sufficiently precise, it is nonetheless questionable if it is adequate for legal purposes. It is premised on the idea that there are certain legally problematic aspects of robots that apply across all or most applications. But are there really legal questions that military robots, care robots for the elderly, medical robots, automated cars, toy robots and advanced washing machines share? The main concern of the committee is clarifying civil liability, but even for such a limited objective, it seems obvious that very different rules apply to different types of robots, or indeed to the same type of robot used in different scenarios and by different actors. Some, but not all robots will simply be consumer goods, and significant parts of their liability hence regulated by consumer protection law. Others will be used by law enforcement and military, including dual–use robots, where the liability regime in many countries cerates special liability rules and exemptions. Medical devices and cars traditionally have their own regulatory regimes that already implement some of the suggestions that the committee proposes. Two key components of the committee's recommendations are a mandatory insurance scheme. Manufacturers or owners insure the robots against harm to the buyer and to third parties. In addition, a supplementary fund is suggested to cover those machines for which no insurance was taken out. 21 In what is possibly the most innovative suggestion in the proposal, monies paid to robots as part of their work could directly flow into this fund, and cover it automatically in case it causes actionable damages. This idea of legally protected funds that "follow the robot" seems to be inspired by the Roman law of slavery. 22 The peculium in Roman times was a fund slaves (or indeed sons) could be given to manage for themselves. While ultimately, they were still part of the property of the paterfamilias, in practice, they functioned like property of the slave and could be used to buy his freedom. The committee is not suggesting this use of the peculium, nor do they seem to envisage a peculium that contains again other robots (the way the Roman peculium could). Instead, we could imagine maybe an entry into a blockchain ledger, which then would allow claimants with little bureaucratic efforts or cost to claim "directly" against the robot, without having to determine if the fault was due to software or hardware, the liability the seller's or manufacturer's. The second component is a mandatory registration scheme, for all robots, for the purpose of "...ensuring that the link between a robot and its fund would be made visible by an individual registration number appearing in a specific EU register, which would allow anyone interacting with the robot to be informed about the nature of the" 23 This too could be facilitated through blockchain ledger technology. The problem with this proposal, and one that the committee tacitly admits when it asks the Commission to develop an appropriate classification scheme to determine which machines should be subject to such an approach, is that for those robots that will pose the greatest risks – medical robots and cars – registration and insurance systems already exist. On the other hand, a requirement to register and insure every individual Romba, washing machine or robotic toy dog seems vastly excessive. While the suggested general definition is therefore overly inclusive, and in need to be broken up again by the suggested classification scheme, it is in another respect overly exclusive. "Unembodied AIs", intelligent software agents, are not covered by the definition. Siri or Tay the Apple and Microsoft chatbots, are (probably, but see below) not covered by the definition. This is problematic not only because AIs like these will play such a significant role in changing the way we interact with 20 Maja J Matarić,The robotics primer. (MIT Press, 2007) 4. 21 Committee Motion 31 a and b. 22 See, eg, Ugo Pagallo, 'Killers, fridges, and slaves: a legal journey in robotics' (2011) 26 AI & society 26, 347. 23 Civil Law Rules on Robotics Motion,31E. Information Technology. It also ignores that some of the most pressing legal issues that the Motion tries to address are not only the same for disembodied AI, but have been analysed, discussed and in some cases actioned on successfully in this field. As we saw, this is particularly the case for the question of legal personhood. This issue arises always when an entity, be it machine or software code, is not only to a degree autonomous, but also has the ability to communicate. By excluding unembodied AI, the committee forgoes the chance to learn from the experience legal systems have made with regulating software agents. The most important of these is maybe that the status of the entity itself is less relevant for the discussion. What matters is the status of the speech acts they perform. Once we have decided we want to "count as" contractual offers machine generated speech, the issue of the status of the machine becomes almost irrelevant and we have the choice to treat it as a mere message, as an exercise of the law of agency or indeed "directly" to a legal person. Similarly, if a machine utters the words "I hereby declare you man and wife", it will be a question for administrative or canon law to decide if this can count as a valid performance of a wedding. No general definition of what a robot is in law can or should pre-empt this discussion, to which different legal systems and traditions may well give different answers. Excluding disembodied AI from the remit of the discussion not only prevents the committee to learn from experience made with these devices, it also prevents a discussion of aspects of the law that may be in much more need of revision than contractual or even core delictual liability. When Tay, the Microsoft chatbot, was released on Twitter, it quickly picked up (or rather, was forced to pick up through a concerted effort by some users) particularly loathsome ideas and habits. This also means that some of its Tweets could be speech acts of a different legally relevant kind: defamation or criminal insult, or in jurisdictions with relevant legislation criminal hate speech or Holocaust denial. Nobody suggested suing Microsoft though – too obvious was the fact that "Tay was still learning". In the UK, defamation is a strict liability tort however, and to bring the legal ideal in line with the practical reality of learning machines, one might consider carving out a "court jester" exemption to robot speech in those cases at least when it is clear that the utterance was a result of imperfect learning. Whenever a robot produces speech, this also creates questions for copyright law. The EU Motion mentions IP but briefly and concludes that in all likelihood, robotics technology is not creating significantly new problems. This is a surprising omission, also given the importance of IP to stimulating technological investment. Some robots produce works of art, for instance Taida, winner of the 2016 Robotart competition. 24 So far, only the UK, and soon Japan, provide for explicit rules on the status of creative works generated by autonomous machines, and whether or not their approach is helping or hindering the evolution of the field needs discussion. Even more important than works of art, the overwhelming amount of data is generated automatically, by autonomous devices and through machine-to-machine communication. Some of this data has commercial value. If my driving trains the AI in my automated car, and the manufacturer can get access to this data to improve their products, do I have a proprietary interest in this data if it is not personal information and protected by data protection law? The commission Motion focuses on questions of liability, but even here IP law matters. For robots will not just be producers, they will also be "consumers" of IP protected work. They are reliant on input from their environment to navigate, learn and improve. Some of this information will in turn be IP protected. Can a drone take images of famous buildings for navigation purposes and share copies with its fleet, potentially violating the IP rights of the architect? Can they data-mine my tweets to improve their speech? With these observations, our discussion turns full circle. The first robot, the Golem, lacked capacity to communicate. This also meant that many legal issues were pre-empted. The Motion for an EU initiative on robot regulation is an important step to open up the discussion on appropriate, harmonised responses to the robot revolution. Many of its ideas are bold and worthy of discussion, even if few are likely to make it into law. Yet at some crucial points, a major reassessment is 24 TAIDA (2016) RobotArt <http://robotart.org/archives/2016/team/taida/>. necessary. Neither the proposed definition of robot, nor the subsequent focus on liability, seem to have identified some of the most intricate problems or the most pressing legal needs. To start a discussion on legal regulation of robotics with references to robots in literature and mythology was an unusual step to take. It has significant pedagogical advantages, as it reminds us of the fears and hopes that mankind projects into its machines, fears and hopes that then put pressure on legislators to act. Yet, more might have been learned by taking these stories more seriously, with their focus on man-machine cooperation and with that robotic speech. Of greater concern maybe is however that they also create in our mind a vision of robot that for the foreseeable future will be the exception rather than the norm: anthropomorphic, with high degrees of autonomy, multi-purpose and competing rather than cooperating with humans. For this type of robot, the committee proposal makes bold and innovative suggestions worth of further exploration by the EU Commission. But we should be concerned that by extending this regulatory approach across the whole range of robots, we could impede needlessly innovation and investment in some fields, or conversely, this over-extension of the proposal could undermine its merit in those fields where more radical legislative action is beneficial end needed.
I. ANNEXURE I Format to be submitted by listed entity on quarterly basis 1. Name of Listed Entity ‐MIC Electronics Limited 2. Quarter ending ‐31‐Mar‐2016 Composition of Board of Directors \| Titl e( Mr. /M s) \| Name of the Director \| DIN \| PAN \| Category( Chairpers on /Executive/ Non‐ Executive/ Independe nt/ Nominee) \| Date of Appointme nt \| Date of cess atio n \| Tenur e \| No of Directorshi p in listed entities including this listed entity \| No of membe rships in Audit/S takehol der Commi ttee(s) includi ng this listed entity \| No of post of Chairper son in Audit/Sta keholder Committ ee held in listed entities including this listed entity \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Mr. \| Maganti Venkata Ramana Rao \| 0001 0301 \| ACQPM14 88E \| C & ED \| 30‐Nov‐ 2015 \| \| 3 \| 1 \| 0 \| 0 \| \| Mr. \| Lingamaneni Naga Malleswara Rao \| 0001 0318 \| ABFPL319 2E \| ED \| 30‐Dec‐ 2015 \| \| 3 \| 1 \| 0 \| 0 \| \| Mr. \| Nimmagadd a Srinivasa Rao \| 0001 4636 \| ABPPN57 87K \| ID \| 30‐Sep‐ 2014 \| \| 5 \| 1 \| 3 \| 1 \| \| Mr. \| Veera Venkata Satya Surya Chandra Bhima Sekhar Babu Alla \| 0069 2448 \| ABCPA526 5A \| ID \| 30‐Sep‐ 2014 \| \| 5 \| 2 \| 6 \| 2 \| \| Mr. \| Atluri Venkata Ram \| 0075 3969 \| ALLPA937 0M \| NED \| 22‐Aug‐ 2006 \| \| ‐‐‐‐ \| 1 \| 0 \| 0 \| \| Mrs. \| Venkata Ramani Vedula \| 0129 8522 \| ACZPV745 8E \| ID \| 30‐Sep‐ 2015 \| \| 5 \| 1 \| 3 \| 1 \| II. Composition of Committees \| Sr. No. \| Name of the Director \| Category \| \|---\|---\|---\| \| 1 \| VEERA VENKATA SATYA SURYA CHANDRA BHIMA SEKHAR BABU ALLA \| Independent Director \| \| 2 \| NIMMAGADDA SRINIVASA RAO \| Independent Director \| \| 3 \| VENKATA RAMANI VEDULA \| Independent Director \| \| Sr. No. \| Name of the Director \| Category \| \|---\|---\|---\| \| 1 \| NIMMAGADDA SRINIVASA RAO \| Independent Director \| \| 2 \| VEERA VENKATA SATYA SURYA CHANDRA BHIMA SEKHAR BABU ALLA \| Independent Director \| \| 3 \| VENKATA RAMANI VEDULA \| Independent Director \| \| Risk Management Committee \| \| \| \| \|---\|---\|---\|---\| \| Sr. No. \| Name of the Director \| Category \| Chairperson/Membership \| \| NIL \| \| \| \| \| Sr. No. \| Name of the Director \| Category \| \|---\|---\|---\| \| 1 \| VENKATA RAMANI VEDULA \| Independent Director \| \| 2 \| NIMMAGADDA SRINIVASA RAO \| Independent Director \| \| 3 \| VEERA VENKATA SATYA SURYA CHANDRA BHIMA SEKHAR BABU ALLA \| Independent Director \| \| Date(s) of Meeting (if any) in the previous quarter \| Date(s)of Meeting (if any) in the relevant quarter \| \|---\|---\| \| 10‐Nov‐2015 \| 09‐Jan‐2016 \| \| \| 15‐Feb‐2016 \| \| Date(s) of meeting of the committee in the relevant quarter \| Whether requirement of Quorum met (details) \| Date(s) of meeting of the committee in the previous quarter \| \|---\|---\|---\| \| 09‐Jan‐2016 \| 0 \| 10‐Nov‐2015 \| \| Subject \| Compliance status(Yes/No/NA) \| \|---\|---\| \| Whether prior approval of audit committee obtained \| Yes \| \| Whether shareholder approval obtained for material RPT \| Not Applicable \| \| Whether details of RPT entered into pursuant to omnibus approval have been reviewed by Audit Committee \| Not Applicable \| VI. Affirmations 1. The composition of Board of Directors is in terms of SEBI (Listing obligations and disclosure requirements) Regulations, 2015. –Yes 2. The composition of the following committees is in terms of SEBI(Listing obligations and disclosure requirements)Regulations,2015 a. Audit Committee ‐Yes b. Nomination & remuneration committee ‐Yes c. Stakeholders relationship committee ‐Yes d. Risk management committee(applicable to the top 100 listed entities) –Not Applicable 3. The committee members have been made aware of their powers, role and responsibilities as specified in SEBI (Listing obligations and disclosure requirements) Regulations, 2015. –Yes 4. The meetings of the board of directors and the above committees have been conducted in the manner as specified in SEBI (Listing obligations and disclosure requirements) Regulations, 2015.‐Yes 5. a. This report and/or the report submitted in the previous quarter has been placed before Board of Directors.‐Yes b. Any comments/observations/advice of Board of Directors may be mentioned here: No Comments has been mentioned by the Board of Directors. VENKATARAM ANA RAO MAGANTI Digitally signed by VENKATARAMANA RAO DN: cn=VENKATARAMANA RAO MAGANTI, c=IN, MAGANTI st=Andhra Pradesh, o=Personal, 9c2d80a6a92dab1ae51b969a329035986 serialNumber=907b8bfd5d2b0859258fef7c022e33a Date: 2016.04.14 16:30:33 +05'30' Name : Dr. M V Ramana Rao Designation: Managing Director ANNEXURE II Format to be submitted by listed entity at the end of the financial year (for the whole of financial year) \| I. Disclosure on website in terms of Listing Regulations \| \| \| \|---\|---\|---\| \| Item \| \| Compliance status(Yes/No/NA) \| \| Details of business \| \| Yes \| \| Terms and conditions of appointment of independent directors \| \| Yes \| \| Composition of various committees of board of directors \| \| Yes \| \| Code of conduct of board of directors and senior management personnel \| \| Yes \| \| Details of establishment of vigil mechanism/Whistle Blower policy \| \| Yes \| \| Criteria of making payments to non‐executive directors \| \| Yes \| \| Policy on dealing with related party transactions \| \| Yes \| \| Policy for determining ‘material’ subsidiaries \| \| Yes \| \| Details of familiarization programmes imparted to independent directors \| \| Yes \| \| Contact information of the designated officials of the listed entity who are responsible for assisting and handling investor grievances \| \| Yes \| \| Email address for grievance redressal and other relevant details \| \| Yes \| \| Financial results \| \| Yes \| \| Shareholding pattern \| \| Yes \| \| Details of agreements entered into with the media companies and/or their associates \| \| Not Applicable \| \| New name and the old name of the listed entity \| \| Not Applicable \| \| II Annual Affirmations \| \| \| \| Particulars \| Regulation Number \| Compliance status(Yes/No/NA) \| \| Independent director(s) have been appointed in terms of specified criteria of ‘independence’ and/or ‘eligibility’ \| 16(1)(b)&25(6) \| Yes \| \| Board composition \| 17(1) \| Yes \| \| Meeting of Board of directors \| 17(2) \| Yes \| \| Review of Compliance Reports \| 17(3) \| Yes \| \| Plans for orderly succession for appointments \| 17(4) \| Yes \| \| Code of Conduct \| 17(5) \| Yes \| \| Fees/compensation \| 17(6) \| Yes \| \| Minimum Information \| 17(7) \| Yes \| \| Compliance Certificate \| 17(8) \| Yes \| \| Risk Assessment & Management \| 17(9) \| Yes \| \| Performance Evaluation of Independent Directors \| 17(10) \| Yes \| \| Composition of Audit Committee \| 18(1) \| Yes \| \| Meeting of Audit Committee \| 18(2) \| Yes \| \| Composition of nomination & remuneration committee \| 19(1)&(2) \| Yes \| \| Composition of Stakeholder Relationship Committee \| 20(1)&(2) \| Yes \| \| Composition and role of risk management committee \| 21(1),(2),(3),(4) \| Not Applicable \| \| Vigil Mechanism \| 22 \| Yes \| \| Policy for related party Transaction \| 23(1),(5),(6),(7)&(8) \| Yes \| \| Prior or Omnibus approval of Audit Committee for all related party transactions \| 23(2),(3) \| Yes \| \| Approval for material related party transactions \| 23(4) \| Yes \| \| Composition of Board of Directors of unlisted material Subsidiary \| 24(1) \| Yes \| \| Other Corporate Governance requirements with respect to subsidiary of listed entity \| 24(2),(3),(4),(5)&(6) \| \|---\|---\| \| Maximum Directorship & Tenure \| 25(1)&(2) \| \| Meeting of independent directors \| 25(3)&(4) \| \| Familiarization of independent directors \| 25(7) \| \| Memberships in Committees \| 26(1) \| \| Affirmation with compliance to code of conduct from members of Board of Directors and Senior management personnel \| 26(3) \| \| Disclosure of Shareholding by Non‐Executive Directors \| 26(4) \| \| Policy with respect to Obligations of directors and senior management \| 26(2)&26(5) \| III Affirmations: The Listed Entity has approved Material Subsidiary Policy and the Corporate Governance requirements with respect to subsidiary of Listed Entity have been complied. ‐Yes Name : Dr. M V RAMANA RAO Designation : Managing Director
Vol. 22, 2022, pp. 1- 45 ISSN: 2340-5058 The Evolution and Diffusion of the Standard Business Reporting (SBR) Initiatives: Evidence from UK Small Businesses Said M. Alkhatib School of Business, The University of Jordan, Jordan, email@example.com. Esraa S. Alkhatib. School of Business, Al-Zaytoonah University of Jordan, Jordan, firstname.lastname@example.org Abstract. Few studies have comprehensively described Standard Business Reporting (SBR) as a policy-driven initiative based on inline eXtensible Business Reporting Language (iXBRL) aimed at reducing the administrative burden of statutory business reporting. The SBR term is still difficult to understand even by the countries where it has been implemented. The objective of this study is twofold. First, it describes in detail the evolution of the SBR initiatives in the UK. Second, it investigates the drivers and inhibitors of the take-up of the SBR initiative by small businesses based on the technology, organization, and environment (TOE) framework. It draws on contextual data and 23 interviews with participants involved in the development of these initiatives. The findings show that the following are perceived as drivers of the take-up of the SBR initiatives by small private companies: the relative advantages of using WebFiling, commercial filing software, and the digital services, the organizational accountant's readiness, and the influence of commercial filing software. However, we find no evidence that the relative advantage of using the joint-filing facility via iXBRL was perceived as a driver of the take-up of this innovation. The findings indicate that the absence of critical mass among government agencies inhibits its diffusion. This study provides specific implications to small businesses, the accountants working in small businesses and practice, government agencies in the UK, and other jurisdictions embarking on the SBR initiatives for further developments to reduce the reporting burden on smaller entities. Keywords: Small business, Standard Business Reporting, TOE framework, the UK, XBRL, inlineXBRL. h Vol. 22 1. INTRODUCTION This paper provides a comprehensive analysis of the evolution of SBR initiatives in the UK. It also investigates the drivers and inhibitors of SBR by small businesses. The role of small businesses is vital in the UK economy. 1 The recent statistics by the Department for Business, Energy, and Industrial Strategy (BEIS) showed that there were 6m small businesses, representing 99.3% of the total UK businesses. They generated 36% of turnover and 48% of jobs in the UK (BEIS, 2020). According to the Organization for Economic Cooperation and Development (OECD) definition, SBR is a policy-driven initiative to reduce reporting burden and compliance costs (OECD, 2009). It is based on international open standards, such as eXtensible Business Reporting Language (XBRL) (Ojala et al., 2018). XBRL allows companies to file one set of information instead of filing it repeatedly in different forms to different government agencies (Sinnett & Wallis, 2009). XBRL also facilitates the transmission of structured data between businesses and governmental agencies and allows information to be re-used easily (Ojala et al., 2018). SBR requires creating a national taxonomy that represents a 'data dictionary' aiming to provide a single set of definitions and language for the information reported by businesses to the government (Madden, 2009). The taxonomy allows the data to be tagged in a standard way through a common government gateway and drives out duplicated data and unnecessary descriptions (Azam & Taylor, 2013), thus reducing the reporting burden on businesses (KPMG, 2006). It has been described as a 'postal office' that allows businesses to file their standardized reports once to multiple governmental agencies (OECD, 2009). The taxonomy can be developed for a specific jurisdiction or industry within a specific country (Troshani & Rao, 2007). The vision of SBR/XBRL has been successfully rolled out in several countries (Lim & Perrin, 2014). Since 2004, the Netherlands has been the first country to introduce SBR. By 2007 all listed companies were allowed to use the Dutch SBR taxonomy for filing their financial reports immediately from their filing software to three government agencies: the tax authority; the statistics office; and the chamber of 1 A reporting entity qualifies typically as small under sections 382 to 384 of the Companies Act 2006 and FR 102 if it is nonpublicly accountable and does not exceed two of three size tests in the financial year concerned and the preceding year: annual turnover is up to £10.2m; balance sheet total £5.1m; the number of employees is up to 50. The financial thresholds shown here are those in force at the time of the study. Available at: https://uk.frs102.com/blog/frs-102-section-1a-quickguide/. commerce (Sinnett & Willis, 2009). Subsequently, Australia, Finland, New Zealand, Belgium, Singapore, India, China, the USA, Canada, and the UK have also developed their SBR programs, building on the lessons learned from the Netherlands (OECD, 2009; Ojala et al., 2018; Robb et al., 2016). Our focus in this study is on two SBR initiatives developed in the UK: The first initiative exhibits the digital filing mediums consist of WebFiling, commercial filing software, and joint filing services. Small businesses can use these mediums to file statutory accounts and annual returns from small businesses to Companies House (CH). Once the digital statutory accounts and annual returns are filed through these mediums, they are published via the CH website. By doing so, CH provides open and free digital services on its website to enable Internet users the use of other companies' accounts and returns. These digital services represent the second initiative that include digital company search and data services. A considerable amount of literature has been published on XBRL-based reporting. Few studies, however, attempted to comprehensively describe the SBR initiative as a policy-driven one based on XBRL, even by those countries where it has been implemented. Some studies recommended that further research be carried out as the SBR term is still somewhat clumsy to understand (Miller, 2013; Lim & Perrin, 2014). The innovation diffusion literature (see Appendix A) has focused on the adoption of SBR via XBRL in the Netherlands, Australia. However, their findings were limited for two reasons: First, the factors that drive and inhibit SBR adoption often differ across countries. Different national taxonomies have been developed based on different regulatory reporting regimes and accounting standards (Deshmukh, 2004). Second, most of these studies focused on XBRL adoption by large listed companies or government agencies, and little or no research has focused on small companies. On the other hand, few studies provided evidence of the costs and benefits of XBRL-based reporting (see Appendix B). However, none of them focused on developing the joint-filing facility via iXBRL, especially after the use of iXBRL was expected to be mandated by the European Security and Market Authority (ESMA) for a single electronic reporting format (ESEF) in 2020 (ESMA, 2020; 2021). We seek to further our understanding of the development of the SBR initiatives in the UK. Its setting is of particular interest in the European and international context, where joint-filing via iXBRL has been implemented in the h Vol. 22 UK between CH and HM Revenue and Customs (HMRC). Therefore, the objectives of this UK study are twofold: * To provide a comprehensive analysis of evolution of the SBR initiatives in the UK. * To investigate the drivers and inhibitors of SBR by small businesses based on the technology-organization-environment (TOE) framework. The remainder of the study is structured as follows. We review the literature in the following section. We then describe the methodology and provide a detailed description of the evolution of the SBR initiatives in the UK. Next, we present and discuss the findings of our empirical evidence. The study closes by concluding and providing some implications to practice and suggesting avenues for further research. 2. LITERATURE REVIEW The technology-organization-environment (TOE) framework was developed by Tornatzky and Fleischer (1990), and it is considered as an important theoretical perspective for identifying specific contextual factors at an organizational level. The contextual factors representing these three aspects are technology, organization, and environmental contexts, which may influence organizational adoption of technology innovations (Tornatzky & Fleischer, 1990). The technological context refers to the characteristics of both internal and external technologies relevant to an organization (Tornatzky & Fleischer, 1990). Internal technologies are those currently adopted by the organization, and external technologies represent technologies existing in the marketplace but are not used by the organization (Al-Hujran et al., 2018). Technological factors in IT studies are often drawn from the Diffusion of Innovations (DOI) theory developed by Rogers in 1983 (Oliveria & Martins, 2011). According to the DOI theory, the technological characteristics of the innovation are: "relative advantage, compatibility, complexity, observability, and trialability" (Rogers, 1995, p. 211). Several IT studies found that combing this theory with the TOE framework is very useful for understanding the costs and benefits of the technology (Daoud, 2019). The organizational context describes an organization's characteristics and resources that determine the adoption of innovative technology (Oliveria & Martins, 2011). They determine the adoption of innovative technology, including firm size, top management support, organization structure and culture, and the availability of human and financial resources (Oliveria & Martins, 2011). The environmental context represents the external arena in which a company conducts its business, industry, competitors, and dealings with the government (Tornatzky & Fleischer, 1990). The external relationships with those parties may influence adoption decisions (Tornatzky & Fleischer, 1990). Having reviewed IS literature, the TOE framework has been widely employed and tested by many IS studies, thus generating consistent empirical support (Zhu et al., 2006). Twelve studies on XBRL-reporting are based on the TOE framework to investigate the factors that determine its adoption, and they are summarized in Appendix A. This confirms the validity and usefulness of this framework in improving the understanding of the diffusion of complex IS innovations in general, (Zhu et al., 2006) and XBRL reporting in particular (Lim & Perrin, 2014). Thong (1999) showed that it could be expanded to add further new factors to enhance our understanding of technology adoption (Thong, 1999). Following the above reasons, this study was based on the TOE framework to structure the findings on the drivers and inhibitors of taking up SBR by UK small businesses. 3. RESEARCH METHOD The study is designed under a broadly interpretivist paradigm. This paradigm adopts a range of methods that "seek to describe, translate and otherwise come to terms with the meaning, not the frequently of certain more or less naturally occurring phenomena in the social world" (Van Maanen, 1979, p. 9). Under interpretivist research, the findings are not derived from the statistical analysis of quantitative data (Corbin & Strauss, 2008; Collis & Hussey, 2013). Two methods were employed to collect our data: The first method was from the contextualization to collect secondary data from the relevant SBR literature, publications, recommendations, reports, publicly available documents, and other materials available at organizations' websites. The organizations involved in developing the SBR initiatives in the UK are OECD, HMRC, CH, XBRL international, XBRL UK, FRC, ACCA, and ICAEW. This method was chosen to describe the evolution of the SBR initiatives in the UK that will be discussed in Section 4. The second method was by conducting interviews to collect primary data from the participants involved in the SBR evolution and are discussed in Section 5. The interviews have provided new insights and in-depth information about the drivers h Vol. 22 and inhibitors of the take-up of the SBR by small businesses in the UK. The first method secondary data supplements the interview data. By collecting data from different sources, we used data triangulation which reduces bias in the data source (Jick, 1979; Easterby-Smith et al., 2012). 3.1. Sample selection Twenty-one participants were selected to be interviewed from the key stakeholders' groups. Previous studies in the UK on XBRL reporting identified that the key stakeholder groups are: accountants and auditors, tax professionals, and users of financial information (Cox, 2006; Dunne et al., 2013). They were affected by or can influence the decision to adopt the SBR initiatives in the UK. The details of the interviews conducted are presented in Appendix C. The interviews with participants are conducted in two stages: Stage I: sixteen participants were interviewed in 2016. The initial contact was made with interviewees at HMRC, CH, and two accountants from accountancy firms while participating in the 5th Brunel Accounting Symposium in London during Summer 2016. The Symposium was a one-day event organized by the Accounting and Auditing Research Centre (AARC) at Brunel Business School, which aimed to promote discussion on contemporary issues in digital accounting, provide continuing professional development, and foster relationships with regulators and the accounting profession. One interview was held with the assistant manager at HMRC; one with the head of digital accounts at CH; one with external consultants of HMRC digital filing; two accountants from commercial filing software providers; seven qualified accountants from accountancy firms; four qualified accountants from three small businesses in the UK. Both accountants who were working in accountancy firms recommended other accountants at the end of each interview. Consequently, we used a snowball sample to identify new interviewees. Stage II: Five participants were interviewed in 2021. We contacted the participants in the first stage, fourteen of those contacted either declined or failed to respond to the request to participate. We received an automatic email showing that the failure to receive replies to the outgoing emails was caused by messages delivered to unmonitored mailboxes. Some interviewees may have a conscious decision not to participate in the study. Only two accountants agreed to participate again in the follow-up interviews. They also recommended further three qualified accountants and provided us their contact details. One interview was held with a qualified accountant from accounting software vendors, two with qualified accountants working in small businesses, and two with qualified accountants was working in practice and had at least one small businesses client. The findings from this stage were to validate and test our findings from the first stage. The two participants from government agencies in the first stage confirmed that accountants in small business and practice represent most of those filing digital business information at HMRC and CH. Interviewee 1 from HMRC illustrated this point clearly, by stating: "The professional accountants currently file almost 85% of digital reports for small companies". Interviewee 2 from CH agreed with Interviewee 1 by saying: "At least 70% of all accounts coming to us are generated by the accountant". Our evidence showed that the accountants are currently using the digital data services available at the CH website. Therefore, all qualified accountants were asked two sets of questions as they are involved in developing the SBR initiatives in two ways. The first set of questions were designed for filers of the statutory accounts and returns and the second for those using the digital services at the CH website. The findings are based on eighteen views from filers and twentyone views from digital services users. A relatively good level of saturation was reached and achieved at sixteen interviews with the filers. As Vasileiou et al. (2018) recommended, the saturation level is reached where the further interview cannot identify any additional issues and new insights. 3.2. Interviews All interviews in two stages were semi-structured. The interview questions were open-ended as their answers will be longer and will provide more details. They also enabled the respondents to think and allowed the researcher to obtain further information about the phenomena (Collis & Hussey, 2014). We added some probes to collect in-depth insights and a new understanding of digital filing by small firms. As Flick (2002) recommended, the interview questions list was sent before one week to the interviewees to give them enough time to think and provide the answers based on their experiences. The critical incident technique was used to encourage the interviewee to tell their story based on their experience. The interviews were based on a qualitative research protocol. They mainly discussed the relative costs and benefits of digital filing and the main factors that may drive and inhibit the take-up of the SBR initiatives in the UK. The interviews in the first stage took place between June and October 2016. Ten of them were faceh Vol. 22 to-face, and six were by telephone. Every interview lasted approximately 45 minutes. Some interviews were recorded and transcribed. The participants received a copy of the transcripts to obtain their approval. The interviews in the second stage took place in September 2021. All of them were by telephone and lasted from 20 to 30 minutes. In the second stage, we sent a summary of the main findings from the first stage to the accountants by email before one week to capture the similarities and differences in their views after 2016. The interviewees were then asked to comment on them and suggest any further modifications, including new issues between 2016 and 2021. We updated some of our findings to include the changes mentioned during the follow-up interviews. For example, the annual return was recently replaced by a 'confirmation statement' by CH. The old joint-filing facility at CH and free HMRC software filing were replaced and named the 'CATO' platform between CH and HMRC. 3.3. Data analysis The data were analyzed thematically, aided by NVivo 10.0, a qualitative data analysis software. It can reduce many manual tasks and enable the researcher to derive themes and analyze the data efficiently (Bazeley & Jackson, 2013). Thematic analysis refers to a "method for identifying, analyzing, and reporting patterns (themes) within data, and it helps in organizing and describing the qualitative data in detail" (Braun & Clarke, 2006, p. 6). This method was widely used by several studies on SBR/XBRL literature, as shown in Appendix A. It has three main advantages: firstly, it is easy to learn and no need to have experienced before analyzing the data. Secondly, it helps in describing and summarizing key findings of big data sets systematically. Thirdly, it enables the researcher to find the similarities and differences across the data set and highlight new insights (Miles & Huberman, 1994; Braun & Clarke, 2006; Bryman & Bell, 2015). The interviews were analyzed by taking five steps to analyze the interview data, as Miles and Huberman (1994) recommended. First, the data was read and re-read several times to familiarize the researcher with the data. Second, the data was coded by creating labels (or nodes) to some words, phrases to capture new issues. These codes helped in classifying our data into sub-categories with a common characteristic. Third, all codes were allocated into the specific theme(s), and some comments and reflections were added using memos. Fourth, the codes were derived based on the TOE framework. Fifth, new themes were developed and then presented in order of importance attached by the interviewees. Both authors analyze the data. Together, these steps helped in addressing the construct validity of our findings (Collis & Hussey, 2014). As this study was conducted based in the UK context, we cannot ensure its external validity. All important quotes are presented in the following findings and discussion section. 4. THE EVOLUTION OF SBR INITIATIVES IN THE UK Figure 1 demonstrates a pre-SBR architecture in the UK situation where businesses must file multiple statutory annual reports, accounts, and returns in different data formats to the same or different governmental agencies (OECD, 2009). Some of the reports contain the same information with different descriptions. It was very difficult to address this issue with paper-based reporting (OECD, 2009). Although various types of information technologies have been employed by businesses to meet their compliance with governmental agencies, none drives out all duplicated data and unnecessary descriptions of files and documents. Several studies suggested two scenarios to implement the SBR initiatives (OECD, 2009; Hulstijn et al., 2011; Eierle et al., 2014): The first scenario is shown in Figure 2, called "One-stop shop" architecture. All statutory business reports are filed through a "common gateway" to multiple government agencies, as shown in Figure 2. These agencies can also re-use the data (Hulstijn et al., 2011). This scenario is also described as a multiple reporting model since multiple reports are still required to be filed from businesses to multiple agencies. The second scenario is displayed in Figure 3 that demonstrates a "Store once, report many" architecture where businesses need to store their statutory businesses reports once in a standard format which can generate multiple reports and send them to multiple government agencies. Although the users can re-use the company's report data over different reporting chains, the actual act of reporting remains specifically addressed to one agency (Bharosa et al., 2011). These scenarios' architectures describe two different forms of SBR. As shown in Figure 2, UK businesses can send multiple business reports through this gateway to multiple government agencies; these multiple reports, therefore, lack standardization. On the other hand, Bharosa et al. (2011) argued that the "one-stop-shop" scenario could be too far-reaching because legislation might not allow re-using data collected for one purpose to be used for different purposes. In contrast, the second form of SBR in Figure 3 addresses these issues by using one standard report (or few reports) that could be sent through the gateway to multiple government agencies. The gateway is expected to be managed by "Logius" in choosing which business reports will be routed to a specific. 2 The gateway also carries out other services such as authentication, logging, validation, etc. In 2005, the Hampton Report was commissioned by a regulatory system to reduce administrative burdens on business. It mentioned that 'there are too many, often overlapping forms and data requirements with no scheme to reduce their number' (Hampton, 2005, p. 7). The Carter Report (2006) then recommended that HMRC and CH collaborate to develop SBR services for filing financial reporting and returns. In response, the UK government developed two SBR initiatives that affect mainly micro and small businesses: First, the provision of digital filing of statutory company accounts and returns at CH. 2 Logius term is often used in the Netherlands that refers to the digital government service of the Netherlands Ministry of the Interior and Kingdom Relations to maintain smart ICT solutions and common standard available at www.loguis.nl. The rationale was that digital filing would improve the performance of the administrative and data processing tasks of HMRC and CH and would reduce costs and administrative burdens on small businesses (KPMG, 2006; HMRC, 2009). Second is the introduction of digital services to improve the accessibility of free open data to users (Companies House, 2013). Although SBR has been described repetitively in many web-based governmental reports, most descriptions are either clumsy or difficult to understand (Lim & Perrin, 2014). This study focused on these two SBR initiatives currently developed in the UK to simplify and summarize the current SBR situation, as shown in Figure 4. The first SBR initiative is illustrated on the left side of Figure 4, which exhibits the digital filing mediums for filing the statutory accounts and annual returns available for UK small businesses. These mediums consist of WebFiling, commercial filing software, and joint filing services. In the middle, HMRC and CH are particularly chosen as these governmental agencies are currently participating in the development of SBR. The second SBR initiative represents the digital services encompassing digital company search and data services on the right side. The details of each initiative are described in the following sub-sections. Figure 4. Simplified the current SBR situation in the UK Joint filing (CATO) Software filing WebFiling Company data product Extractives Reports services Companies House Direct (CHD) Companies House (The company registry) Paper-based filing DVD Directory Account data product (XBRl/iXBRL) Digital data products WebCHeck Public Beta Digital search data Digital filing mediums The protected online PROOF XML gateway HM Revenue & Customs (Tax Authority) The person significant control (PSC) Other digital filing services The uniform resource identifier (URI) 4.1. First SBR initiative: Digital filing mediums In 2005, XBRL was granted full approval for digital filing of the corporation tax returns at HMRC (HMRC, 2009). The corporation tax returns include company tax forms (CT 600), corporation tax computations, and statutory accounts (Collis et al., 2018). The year after, CH also moved to the digital filing of statutory accounts and annual returns (Mousa, 2013a). At present, only small companies are voluntary file their statutory accounts and annual returns in digital format. 3 Small businesses in the UK are allowed to use four different mediums to file their statutory accounts and annual returns with CH: 1. Traditional paper-based filing 2. Commercial filing software 3. WebFiling Service 4. Joint-filing between CH and HMRC All companies must file their statutory accounts and annual returns with CH and they can choose either by the traditional paper-based reporting or using digital filing mediums (Companies House, 2013). As the traditional paper-based reporting suffers from manual processing, entry chores and many filing errors, companies in the UK moved to use the electronic mediums such as CD-ROM. Although such mediums were faster and less expensive than paper reporting in distributing large amounts of business information between different stakeholders, they are still distributed by physical means (Lymer et al., 1999). The emergence of the firstgeneration digital reporting addresses these issues and shortcomings of the electronic mediums (Lymer & Debreceny, 2003). The first generation represents the first level of Internet reporting whereby businesses can converting their information into Portable Document Format (PDF) or HyperText Mark-Up Language (HTML), and then able to disseminate their reports online (Debreceny & Gray, 1999). The stakeholders, therefore, can access the business information efficiently on the Internet (Adams & Frost, 2004). HTML files can easily extract and retrieve information. However, HTML files are difficult to print, save, or convert into other formats to conduct further analysis (Lymer et al., 1999). The evolution of second-generation digital reporting takes digital reporting a step further by standardizing the data using open standard and structured format (Dunne et al., 2009). This next generation is underpinned by an eXtensible mark-up language (XML) and its subset XBRL (ICAEW, 2004). XML (and hence XBRL) 3 https://informi.co.uk/business-administration/how-do-i-file-my-company-accountsmkm enables information to be tagged in a standardized manner to capture numbers and the meaning of the information (Doolin & Troshani, 2007). The tags provide a wide range of information for each item in the financial reports, such as a definition, description, unit of measurement, and mathematical relationships between the accounts (Plumlee & Plumlee, 2008). Unlike the first generation, XBRL is fully multi-lingual, an important consideration for business reporting. The XBRL tags facilitate translating financial reports into a wide variety of languages (Lymer et al., 1999). The move towards XBRL also offers two major advantages: firstly, it removes the manual intervention of the information supplied by companies, and secondly, it drives out duplicated business information that is filed to multiple government agencies. The digital statutory accounts filed by small companies at Companies House are dormant, abbreviated audit exempt, full audit exempt, and full audited accounts (Companies House, 2013). The annual digital returns give general information about the company's directors, secretary (if applicable), registered office address, shareholders, and share capital (ICAEW, 2010). After 2016, the annual return with CH was replaced by the confirmation statement under the Small, Business, Enterprise and Employment Act 2015. The confirmation statement contains the same required information in the annual return and requires more details about persons of significant control (PSC). The PSC refers to any person who holds the right to exercise significant influence or control over a small company, such as appoint or remove a director or employee(s) of the company. 4 Since 2007, CH announced that many commercial filing software packages were approved and enabled to facilitate digital filing by small businesses (Mousa, 2013b). The following year, WebFiling was introduced to offer simple, downloadable web forms to provide benefits to the filers, such as savings on postage, 24/7 availability, and improved security (Companies House, 2013). It allows small businesses to submit audited full, audit exempt abbreviated or full accounts or dormant accounts (if applicable) (Companies House, 2015). All companies in the UK are required to file the same information twice to fulfill their statutory obligations to HMRC and CH. Both government agencies introduced the joint filing facility in 2011 to provide a 'one-stop-shop' for micro and small businesses. This facility enables them to submit audit-exempt full accounts 4 https://www.quickformations.com/guides/person-of-significant-control/ simultaneously to HMRC and CH (Alkhatib et al., 2019). The expected benefits of using joint-filing were: time-saving, cost-cutting of £60m for HMRC and CH, and driving out duplicated information, and reducing the number of errors in the filing process resulting from paper-based filing (BIS, 2009). Overall, it reduces the reporting burden to government agencies (OECD, 2009). While joint-filing had been developed, small companies faced one important issue: the small companies with abbreviated accounts that filed with CH were required to file their full accounts to HMRC at the same time (Mousa, 2011). The XBRL standard was unable to absorb a large amount of information on such accounts. This technical issue was the most important reason behind the move from XBRL to inline XBRL (iXBRL) in the UK (Troshani et al., 2015). IXBRL report can generate a series of both the Hypertext Markup Language (HTML) and extended HTML (XHTML) documents; ixbrl, thus, can absorb a large amount of information filed by small businesses. For example, small businesses can use the iXBRL document to file their full accounts with HMRC, the profit and loss account, and the balance sheet file the abbreviated balance sheet with CH simultaneously. The second advantage of iXBRL over XBRL is that iXBRL can present information in a machine-readable and human-readable format. In contrast, XBRL can present it only in a machine-readable format. Thus, the company's information in iXBRL format is presented in what looks like a normal document but with embedded XBRL tags (Eierle et al., 2014). In 2010, iXBRL was used for the submission of CT600 accounts and computations at HMRC. It has been mandatory for most companies for accounting periods ending after 31 March 2010, regardless of size, and tax payments must be made electronically in iXBRL format with HMRC (HMRC, 2010). Since 2015 HMRC and CH have developed a new joint filing service called Company Accounts and Tax Online (CATO). It replaced the old free HMRC filing software developed for the small companies with relatively straightforward financial affairs to file their corporation tax returns jointly with CH. By using CATO service, the micro and small entities have three filing options: 1. Submit the company tax return (CT600) online to HMRC. 2. Submit the company accounts to CH. 3. Submit the company tax return and company accounts to HMRC and Companies House at the same time. The "digital by default" principle has been adopted by CH that commits to increase the take-up percentage of digital filing between 2014 and 2020 (Companies House, 2015). By 2015, CH received information digitally for more than 85% of the accounts and returns filed by companies online (Companies House, 2015). At the end of 2017, the statistics indicate that almost 2.2 million small businesses filed their statutory business information either in XBRL or iXBRL format voluntarily to CH for meeting their corporate reporting requirements (FRC, 2017). In the UK situation, the WebFiling and commercial filing software mediums are similar to that of the multiple reporting model of SBR illustrated in Figure 2, in which small businesses still file their multiple statutory accounts and returns via XBRL/iXBRL to HMRC and CH separately. In contrast, the joint filing medium represents the SBR form shown in Figure 3. The same statutory accounts and returns are filed once by small businesses with HMRC and CH simultaneously. Small businesses also can use other digital filing mediums such as the protected online PROOF service and eBilling portal. The PROOF service is a free service that helps them protect their information filed by WebFiling or software filing from unauthorized and fraudulent changes. eBilling portal helps small entities to manage the credit accounts they have electronically with CH instead of making their payments by post. Once the statutory accounts and annual returns are filed from small businesses to CH through digital filing mediums, they are published on the CH website. The website offers open and free digital services to enable the use of other companies' XBRL/iXBRL data that will be explained in the next subsection. 4.2. Second SBR initiative: Digital services at the CH website Since 2007, CH has engaged with the transformational government program in line with the government's commitment to offering free public data to Internet users by providing digital services (Companies House, 2008). CH introduced digital services and migrated its website content to the GOV.UK website between 2008 and 2013 (Companies House, 2013). In 2014, CH started its new strategy for providing digital services based on two new principles. First, CH replaced old digital services to provide simpler and better new digital services to Internet users. Second, CH is now offering open and free corporate data to Internet users and improving the accessibility of that data (Companies House, 2015). By 2016, the CH website announced two main digital services that enable companies to use other companies' digital data: 5 Company search services and data services, as shown on the right side of Figure 4, and their descriptions are presented in Table 4. By February 2021, Companies House Service (CHS) was expected to replace both Companies House Directory (CHD) and WebCHeck services. It offers a searchable index of millions of companies' names, numbers, or officer names. It enables users free access to change a registered office address, view company data and document images, search for disqualified directors, order certificates and certified documents, and follow companies. Nevertheless, the closure decision of WebCHeck and CHD has been delayed later 2021. 6 5 https://www.gov.uk/guidance/companies-house-data-products 6 https://www.gov.uk/government/news/companies-house-direct-and-webcheck-services-to-close-later-in-2021 Table 4. The types of digital services provided by CH and their descriptions 5. FINDINGS AND DISCUSSION 5.1. Technological context Based on our analysis, the relative advantage of the SBR initiative is considered a major driver to the take-up of the SBR initiatives among UK small businesses. Relative advantage refers to ''the perceived costs and advantages involved in the adoption of an innovation, mostly in terms of economic return, but also in terms of immediacy of reward, social prestige, or savings in time and effort" (Rogers, 1995, p.216). In IT innovation studies, the relative advantage is commonly expressed in economic terms of a perceived cost/benefit analysis (Doolin & Troshani, 2007). In this study, we divided the findings related to the relative advantage of the SBR initiative into two sub-themes: first, the relative advantage of using digital filing mediums by the filers to produce and file statutory accounts and annual returns for small companies. The digital filing mediums include a joint filing facility, WebFiling service, and commercial filing software. Second, the relative advantage of using digital services includes company search data and digital data services for those using other companies' XBRL/iXBRL data provided by CH. By doing so, our evidence takes a coherent approach to the overall standardization benefits of SBR to filers and users of digital accounts and returns for small businesses in the UK. 5.1.1. Relative advantage of digital filing mediums As discussed earlier, most of the filers of the statutory accounts and annual returns in digital formats are accountants in small businesses and practice. They were first asked about their choice to use digital filing mediums to file the statutory accounts at CH and company tax returns at HMRC. They were then asked about their perceptions of the benefits and costs of selected digital filing mediums they usually use, as discussed below. 5.1.2. The relative advantage of joint filing Our interviews data in 2016 revealed that only two accountants in business and one accountant in practice made use of the joint filing facility (or CATO service). They used it only upon their client's request to file their accounts and annual returns once to HMRC and CH simultaneously. However, none of them reported any advantage of using a joint filing facility over WebFiling and commercial filing software. Although two accountants are aware of this facility, none of the accountants interviewed in 2021 have used this service to file digital accounts and returns for their small companies or on behalf of their small business clients. Three possible barriers restrict using the joint filing facility (CATO service) by the filers. First, it is only designed for micro and small businesses exempt from filing audited accounts and has straightforward tax affairs. The types of statutory accountants that can be filed using joint filing are dormant; abbreviated, audit exempt; small full, audit exempt accounts. Small businesses, therefore, will be unable to file their full audited accounts using this service. This finding was supported by interviewee 18, who said: "A CATO service is not for everyone. It is designed for small companies with abbreviated accounts and tax agents are specifically prohibited from using it. If your company is large, the financial accounts require auditing. If you have more complicated tax affairs, you have to rely on commercial filing software by iXBRL vendor to do the filing of accounts and corporation tax returns". Second, small companies with two different digital filing deadlines with HMRC and CH are excluded from using this service. Small businesses could file their tax returns and accounts only for the same accounting periods once at HMRC and CH, respectively. Interviewee 2 raised this issue by saying: "If we are asking companies to file iXBRL with us, this means small businesses have to tag their accounts up to three months earlier than required at HMRC." Interviewee 1 confirmed this issue by saying: "there are still different requirements for using joint filing. They (companies) must make changes in their business reports and then file them separately. It's time-consuming and expensive". The two different filing deadlines are related to both Company Act and tax law, and, therefore, the digital filing deadlines do not concur. Since 2005, the Taxes Act has required UK businesses to submit their statutory business and accounting information to HMRC within 12 months of the accounting year-end (Companies House and HM Revenue & Customs, 2005). At the same time, they have a statutory obligation by the Company Act 2006 to file their statutory businesses and accounting information with CH within nine months of the accounting year-end (Companies House, 2013). Third, the tax agents and external accountants are not allowed by HMRC to use this service on behalf of their clients. Based on our interviews in 2021, interviewee 17 mentioned that: "Since 2015, HMRC announced that the current corporation tax (CT) online filing form would be retired and replaced with a new basic online tool. HMRC is working together with Companies House on a new free online improved facility called Company Accounts and Tax Online (CATO). It will be no longer available for tax agents who are filing on companies' behalf. Smaller entities are required to access using their credentials [company ID and password at HMRC Gateway]". These barriers inhibit the accountants in practice and tax agents from using this service and drive them to use the other alternatives mediums that are WebFiling and software filing on behalf of their small companies' clients. Nevertheless, although these mediums overcome all these barriers, multiple statutory reports and forms are still being sent from small businesses to HMRC and CH separately. These findings indicated a lack of awareness about the advantage of this facility as it is based on iXBRL standards. IXBRL is developed to facilitate statutory filing accounts and annual returns at HMRC and CH simultaneously by re-using the same reports several times (Eierle et al., 2014). This advantage has mainly remained unproven. Thus, the diffusion of this facility will not occur among small businesses and their accountants. 5.1.3. The relative advantage of WebFiling and software filing mediums Most accountants in business and practice often use other digital filing mediums, including commercial filing software and WebFiling. There was a consensus that using WebFiling service or commercial filing software offers three major benefits: costs and time-saving, convenience, and accuracy. For example, interviewee 12 observed that: "The process of filing digital accounts takes from few minutes to sometimes a couple of hours, depending on the accounts type, but paper filing takes up to two weeks to be processed into our system." Another support by accountant 15 commented: "XBRL filing is much faster and cheaper. The paper returns cost £40 while the filing e-returns would cost £13 at CH". Accountants 6 also mentioned that: "You get errors with paper filing as it relies on humans' intervention, but electronic accounts are much more accurate than paper." This finding supports previous studies on XBRL-based reporting (Doolin & Troshani, 2007; Pinsker & Li, 2008) Surprisingly, all of the accountants interviewed believed that the costs of the commercial filing software to produce digital documents are low, and they thus are no longer a burden on small businesses. Interviewee 12 confirmed this finding by saying: "The cost to produce iXBRL documents is not an issue for small companies as the commercial software options are available, simple. They are inexpensive. We normally pay less than £1,000 a year to renew our annual license…". Eleven accountants mentioned that the commercial filing software would cost between hundreds and thousands of British pounds. For example, Interviewee 5 stated: "Filing small accounts with HMRC has changed. It first started with a lot of manual tagging because iXBRL software was quite expensive. The commercial market of the software becomes less expensive for iXBRL products". It indicates that the availability of ready-to-use and low-cost commercial filing software products facilitates the take-up of the SBR initiatives. The finding contradicts those in previous research on XBRL in the UK (Dunne et al., 2013) and Australia (Lim & Perrin, 2014), where the cost of commercial filing software was high, negatively affecting the adoption by large businesses. 5.1.4. Relative advantage of digital services The interviewees were first asked whether they use digital services to access other companies' data (as depicted in Figure 4). Our data showed the most of accountants interviewed frequently used WebCHeck, CHD and beta service. They were then asked about their perceptions of the quality of digital data provided by these digital services at the CH website. Most accountants reported that these digital services make the companies' accounts and data more accessible than paper-based reporting. The reason is that the digital iXBRL format offers continuous and faster access to the company's data and reduces the cost of acquiring the information. Interviewee 1 stated that: "I can directly access and use the company's business reports and then compare them across years and with other companies in the same industry. The computer can process that tagged information at the time that the report is received. So you can look at it, and you can access it any time". Some accountants mentioned that digital reports in iXBRL enhanced the usefulness of the digital data at the CH website. IXBRL or XBRL provides more reliable information due to fewer filing errors, offers a clear definition of each component of the accounts, and enhances the comparability of digital information. However, they had no opinion that these services may enhance the efficiency of their investment decision-making or enhance their understanding of the different elements of the digital accounts provided at the CH website. These findings are similar to those of several studies on SBR/XBRL, where XBRL enhances the accuracy and comparability of business information based on a standardized taxonomy (Baldwin et al., 2006; Vasarhelyi et al., 2012; Eierle et al., 2014). Lim and Perrin (2014) argued that although the quality of accounts and data in XBRL format is an important factor for the long-term success of the SBR in Australia, it has hardly been mentioned or discussed in the literature. The interviewees from HMRC and CH raised this issue related to the quality of tagged data in digital formats. Interviewee 1 mentioned: "One of the issues we had is how we can be assured about the quality of the reports tagged in iXBRL…The only way to answer the question is to go and sit behind the business while they are filing to examine the quality of tagging. To date, we cannot answer this question well, 'What is the quality of the tagging?". Our explanation for this issue is that the quality of the reports filed in digital format to HMRC and CH depends largely on the quality of filing software used by the filers. Some commercial filing software provides poor-quality reports. Bartley et al. (2010) and Debrecency et al. (2010) argued that the inappropriate treatment in documents of underlying debit/credit assumptions in the taxonomy might cause tagging errors in the USA. Nevertheless, none of the accountants interviewed in 2021 addressed this issue when using the CH digital services. We expected that this is because CH recently offered the XBRL/iXBRL Online Validation Service for small companies with audit-exempt accounts. This service is developed to enable the filers of statutory accounts and returns to test their submissions for conformance with iXBRL taxonomy. 7 Small companies with full audited accounts are excluded from using this tagging validation tool. Their auditors can conduct assurance service to their XBRL/iXBRL-based documents before the final submission to CH. Several studies suggested that using the XBRL tagging validation tool could help perform an iXBRL assurance (Boritz & No, 2003; Plumlee & Plumlee 2008; Srivastava & Kogan, 2010). 5.2. Organization context The analysis of data showed that the organizational accountant's readiness was perceived as a driver of the take-up of the SBR initiative among UK small businesses. Organizational readiness refers to the availability of financial and human resources in-house to drive the company to adopt new technology (Tornatzky & Fleischer, 1990). As mentioned before, accountants represent most of those filing digital statutory accounts and returns at HMRC and CH. The accountants were asked how small businesses in the UK normally manage the process of digital filing their statutory accounts and annual returns to CH and HMRC. Most of them pointed out that the digital filing process is entirely managed in-house in most small businesses, while a small minority outsource it with external accountants. This finding is inconsistent with a long history of UK studies that concluded that most small businesses depend on an external accountant for filing their paper-based financial reporting (Collis et al., 2018). Thus, accountants in businesses play an important role in using digital filing for small companies. 7 https://ewf.companieshouse.gov.uk/xbrl_validator The data from interviews suggested three indications of the accountants' readiness to use the digital filing mediums at CH. Firstly, all accountants in business considered the familiarity with the use of e-applications (e.g., e-banking and einvoicing with customers or suppliers) as an important motivator to use digital filing for small businesses. Secondly, they are familiar with digital filing at HMRC as it has been mandated since 2011. For example, interviewee 2 said: "Although the regime is still voluntary, small entities file their electronic accounts since they used to do the same filing with HMRC, and it costs nothing to file with us." From the filers' perspective, eight of the accountants agreed with this finding. Interviewee 8 confirmed that: "The failure to submit the accounts with CH successfully could be attributed to inexperience to do it at HMRC." Lymer et al. (2012) also suggested that most of the tax agents of SMEs already have an online habit and are ready to use further digital filing services. Thirdly, the accountants highlighted that digital filing does not require in-house special technical training or expertise or more specialized training to file business information in XBRL/iXBRL formats. The most of them received some self-training and used online tutorials to learn about using digital filing. Interviewee 4 stated: "Very little technical expertise is essential to file SME accounts because the software package is very handy in creating the necessary iXBRL documents. The filers are required to have different accounting skills because all digital reports are automatically completed. Any web browser then can display them." Interviewee 2 further explained this finding by saying: "Most people have no idea about what XBRL means and how it works. It is the technology underneath the e-filing package, so they don't need to be bothered about it". In contrast, Doolin and Troshani (2007) found that adopting XBRL filing in Australia requires special technical expertise in-house. A plausible justification for our different findings is that HMRC simplified tagging business information by allowing the filers to use the minimum tagging list based on the UK taxonomies (HMRC, 2013). Most accounts filed at CH are abbreviated audit exempt; most of the accountants in small businesses can file those accounts to CH. Thus, the accountants in businesses (in-house) play a more effective role in the diffusion of the SBR initiatives than those in practice (outsource) in filing digital accounts and returns in small companies. The different images emerged from the accountants in practice perspectives. Most of them reported the importance of the accountancy firms' role in taking the SBR initiative by sharing their successful experiences with their clients. Interviewee 8 indicated: "We advised our clients to use simple Web-Filing templates last year, we submitted more than 2m iXBRL documents, representing more than 40% of all outsourced submissions and this made our clients more confident about filing online". Interviewee 17 supported this perspective by saying: "At the beginning of 2012, our clients asked us to file their accounts online, in particular small entities. These days we do not accept any request to file paper accounts from the clients". 5.3. Environment context 5.3.1. Influence from the commercial filing software providers The interviews data showed that the influence of the commercial filing software providers drives the take-up of the SBR initiatives in the UK. For instance, interviewee 13 noted: "Our manager decided to file the documents online after one of their vendor representatives visited our site. They have well-trained experts who are dealing with iXBRL filings daily since 2014". Commercial filing software providers are active in marketing their digital products in the UK. They are also active in running training and workshops to help the filers use the digital filing of the business information. Interviewee 7 stated that: "After I had received some vendor training on XBRL technology and attended some useful and free workshops, I found the process of filing is much easier because I can jog my memory on numerous occasions." Our finding is new and inconsistent with previous studies in Australia (Troshani & Rao, 2007; Lim & Perrin, 2014). There was a lack of filing software providers' support and limited XBRL applications and tools. They argued that this might lead to organizational resistance and inhibit the SBR initiative's adoption in Australia. In contrast, our evidence showed that the most of the filers of digital business information are more likely to use commercial filing software. It, perhaps, reflects that the commercial filing software is highly advanced and affordable that drives small businesses to adopt XBRL or iXBRL to file their information with CH and HMRC. 5.3.2. Critical mass The findings revealed that a limited critical mass hinders the diffusion of the SBR initiative in the UK. Unless there is a critical mass of adopters and stakeholders, technological innovation has little advantage of being adopted by a potential organization (Rogers, 1995). The existence of a critical mass provides potential new adopting organizations with the availability and the facility to access external support and information (Heeks, 2006; Tornatzky & Fleischer, 1990). The first interviewee at HMRC was asked about his perception of the advantage of SBR in sharing iXBRL data with potential new governmental agencies after 2016; he replied: "We did not do SBR in the UK. I don't understand why it has not been taken up anymore. You can see this cooperation in Australia and the Netherlands today. In the UK, companies have to produce accounts and send those accounts to CH and HMRC. So, there was a huge incentive for HMRC and CH to cooperate, which I would say has been done very successfully, but it's a bit strange that there is less cooperation with other agencies. We began talking to the Bank of England and other agencies that might be interested in XBRL, but it doesn't seem that they are ready to do it. I think SBR will happen if the businesses come to the government and say we want this to benefit us. Could you please provide us? It is not something that the government is looking to impose on the business community." This comment reflects the "wait-and-see game" found in Australia and occurs between the filers and users of XBRL reports. It demonstrates that the filers will not produce XBRL-based reports unless the users require these reports, and users will not require XBRL-based reports unless filers can make them available (Doolin & Troshani, 2007). A different picture emerged in the case of CH; interviewee two commented: "We are working with a few government agencies on the possibility for implementing SBR using XBRL/iXBRL. The candidates are the Department of National Statistics, the Charity Commission, and a possibility with the Department of Education. We are working closely to make sure that we all have the same standard". There is a lack of government agencies' engagement to take up the SBR initiative. It, therefore, has been still slow in the UK since 2016. Three barriers might inhibit the diffusion of SBR among governmental agencies. Two of the barriers are associated with the "one-stop-shop" scenario adopted and implemented in the UK. It enables the business information to be provided once to a single-entry point, and then multiple governmental agencies can re-use it once needed (OECD, 2009). Nevertheless, Bharosa et al. (2011) noted that this scenario involves two issues: Firstly, legal constraints of sharing the data between multiple governmental agencies. This issue was reported by interviewee five, who claimed: "HMRC was slow to develop and even understand the idea of sharing data with CH…. It would be a legal constraint. We cannot say for the citizens that we have some data, would you like it? We have to make sure that legally we can do so". As the legislation will not allow the filers using of data for different purposes, this scenario would be too far-reaching. The second barrier is the lack of standardization of the business reports filed from businesses to the government because they still have different functions and may therefore have different contents. Mahler and Rogers (1999) argued that one of the main characteristics that may hinder technological innovations from reaching; would critical mass is the lack of standardization. The standardized reports format removes the need to re-key data manually, which facilitates the efficient re-use of the same data by multiple government agencies for different purposes (Ojala et al., 2018). It also reduces transaction costs and facilitates economies of scale through interchangeability between systems (Kindleberger, 1983). Without widespread adoption among stakeholders, the benefits of standardization arising from the use of the innovation are lost (Zhu et al., 2006). The third barrier is a lack of knowledge and awareness among the stakeholders about the idea of SBR via iXBRL. The most important advantage of the iXBRL standard is enabling the filers of business information to re-use the data efficiently in the reporting supply chain (Eierle et al., 2014). Alternatively, we suggest that moving from the "one-stop-shop" scenario to the proposed "store once, report many" scenario (illustrated in Diagram 2 and 3 respectively, Section 4) could address these issues as suggested in the report by OECD (2009). Multiple reports would be standardized into a single, or few reports can be sent through the gateway to multiple government agencies. The gateway is expected to be managed by "logius" that maintains comprehensive ICT solutions and common standards for a government, which helps choose which business reports will be routed to a specific agency. The Dutch government chose this scenario in implementing the SBR initiative in 2006. 6. CONCLUSION This paper investigates the evolution and diffusion of the SBR initiatives via inline XBRL by small businesses in the UK based on the TOE framework. Drawing on collecting triangulated data by using the contextual and qualitative methods, the findings provide new insights and contribute to the innovation diffusion literature on SBR in three ways: First, this research provides a comprehensive analysis of the evolution of the SBR initiatives in the context of the UK. Some studies call for future research to simplify the idea behind of SBR initiative (Bharosa et al., 2011; Lim & Perrin, 2014). Our study fills in this gap. Second, it enhances the knowledge of the overall relative advantage of the SBR initiative that can be classified into two types: the first relative advantage is from using voluntary digital filing mediums that include joint-filing facility and WebFiling and software filing to file the accounts and returns from small companies to CH. The second relative advantage is that digital services include company search data and digital data services for those using other companies' digital data at the CH website. By doing so, our evidence provides a holistic view of the overall standardization benefits of SBR for small businesses in the UK. Third, our findings demonstrate the TOE framework's applicability and usefulness in studying SBR innovation diffusion among small entities. Unlike the SBR/XBRL literature that mainly focused on large listed companies, we investigate the drivers and inhibitors of the take-up of the SBR initiatives for UK small businesses. In the technological context, the accountants perceived the relative advantages of using WebFiling and commercial filing software as a driver of the take-up of the SBR. However, we found no evidence that they perceived the relative advantage of using the joint-filing facility as a driver of the take-up of this innovation. To date, there is a lack of knowledge about its advantage, and the accountants should extensively use this facility to perceive its advantage. The idea behind using this service is simple, instead of filing the duplicate statutory accounts and returns with HMRC and CH, it enables the filers to re-use the same statutory reports in iXBRL format with both agencies simultaneously. Unless this relative advantage is unproven, the diffusion of this innovation will not occur among the accountants. Further, we found that it is restricted to be used for specific types of small accounts and returns, with the same filing deadlines at HMRC and CH, and is not allowed to be used by the tax agents and external accountants. Together, these restrictions, perhaps, inhibit the filers from using this service and drive them to use other digital filing mediums alternatives like WebFiling and commercial filing software. Although these alternatives overcome all the restrictions, they failed to offer the relative advantage of the joint filing facility as multiple statutory reports and forms are still being sent from small businesses to HMRC and CH separately. We also found the costs of the commercial filing software to produce digital documents are low, and they thus are no longer a burden on small businesses in the UK. Our analysis also demonstrated that most accountants perceived relative advantage of digital services such as WebCHeck, CHD, and and beta service at the CH website. In the organizational context in the TOE framework, our findings suggested that the organizational accountant's readiness in small businesses is considered a driving factor of the take-up of the SBR initiatives at CH. Most small businesses manage the digital filing process in-house, whereas a small minority outsource it with external accountants in most small businesses. Most of the accountants in business already have an online habit as they are ready and familiar with the use of mandatory digital filing mediums with HMRC and other e-applications. We also found that digital filing at CH does not require special technical training, expertise in-house, or more specialist training because iXBRL/ XBRL is the technology that underpins the accounting filling software and is not visible to the filers. Since most accounts filed at CH are abbreviated audit exempt, the accountants in businesses (in-house) play a more influential role in the diffusion of the SBR initiatives than those in practice (outsource) in filing digital accounts and returns in small companies. In the environmental context in the TOE framework, our analysis identified three factors that affect the adoption of SBR initiatives: (a) the influence of commercial filing software providers and (b) limited critical mass. Our findings provide further implications for practice and policymakers: firstly, accountants in business and practice are in the best business position to advise on digital filing mediums. Secondly, HMRC and CH should work together to remove the current barriers that restrict using the joint filing facility. They also should collaborate with other stakeholders (e.g., regulatory agencies, XBRL UK Consortium, accountancy professions) to increase the consciousness about the joint filing platform and its benefits among the accountants. We also suggested that publishing a business case for small companies, organizing seminars, and other training workshops on using and importance of the joint filing with both agencies may increase the awareness of its benefits among the accountants in practice and small businesses. Thirdly, we recommended that moving from the "one-stop-shop" scenario to the "store once, report many" scenario (illustrated in Diagram 3) could address the standardization and legal issues encountered from the first scenario. Lastly, the UK government should extend the current scope of the SBR by including more business reports, different businesses size, and other government agencies involved in the SBR initiatives. By doing so, businesses will perceive more standardized benefits from the SBR initiatives. The major limitation of our study is related to our small sample that is insufficient to generalize the findings to the entire population. We conducted only 21 interviews with participants from HMRC, CH, and qualified accountants involved in developing the SBR initiatives in the UK. However, we based on 39 views: 18 filers and 21 users of digital information as the accountants use digital filing mediums to file statutory accounts and returns to CH and use digital services at the CH website to access other companies' digital data. Further research is recommended to generalize the results to the whole population based on statistical analysis. Further, caution should be considered when comparing the findings with other studies in small businesses as the criteria for classifying small businesses differ across countries. Thus, the views of filers and users will be different from those in the UK. These limitations would be a fruitful area for further research. Future research should investigate the recent development of the Bank of England Electronic Data Submission (BEEDS) portal that was recently proposed and expected to be implemented by 2022. 7. REFERENCES Adams, C. & Frost, G. R. 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European Journal of Information Systems, 15(6), 601–616. https://doi.org/10.1057/palgrave.ejis.3000650 Appendix A SBR/XBRL innovation diffusion studies based on the TOE Framework \| Author(s) \| Other \| Analyzed Variables \| \| \| \| \| Data \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| and date \| theoretical \| \| \| \| \| \| collection \| \| \| \| Technological context \| \| Organizational \| Environmental \| \| \| \| \| bases \| \| \| \| \| \| Sample/ \| \| \| \| \| \| context \| context \| \| \| \| \| \| \| \| \| \| \| Country of \| \| \| \| \| \| \| \| \| study \| \| Doolin and Troshani (2007) \| Stakeholder and Social network theory \| Relative advantage* Complexity* Trialability/ Observability* Stability* \| Innovation champion* Organizational readiness* \| \| Market condition* Trading Partner* Accessible information* Critical mass* Existing support* \| 11 interviews / Australia \| \| \| Troshani and Rao (2007) \| - \| Perceived relative advantage and benefits* Perceived costs* Compatibility* Trialability* Observability* Complexity* Instability of the XBRL specification* \| Human capital and employee education* Management attitudes* Education and training* Lack of resources and expertise * \| \| External pressures* Culture* Legal issues* Industry associations* Successful adoptions* Government mandates* A “wait and see” approach* \| 11 interviews/ Australia \| \| \| Cordery et al. (2011) \| DOI theory \| Relative advantage* Compatibility* Complexity* Trialability* \| Top management support* Organization champion* Organization size and resources* \| \| Trading partners* Regulators and government* Market competition* \| 6 interviews/ New Zealand \| \| Author(s) Other Analyzed Variables Data Analysis \| and date \| theoretical \| \| \| \| \| \| methods \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| Technological context \| \| Organizational \| Environmental \| \| \| \| \| bases \| \| \| \| \| \| \| \| \| \| \| \| context \| context \| \| \| \| \| \| \| \| \| accessibility of information* \| \| \| \| Henderson et al. (2012) \| DOI theory and institutional theory \| Relative advantage* Compatibility* Complexity* \| Expertise Learning from external sources* \| \| Mimetic pressure Coercive pressure Normative pressure \| 65 survey/ Cross countries \| Factor analysis, multiple regressions \| \| Azam and Taylor (2013) \| DOI theory \| Relative advantage Compatibility* Complexity * \| - \| \| Competitive pressure Government pressure \| 54 Survey questionnaire s/ Australia \| Thematic approach \| \| Dunne et al. (2013) \| DOI theory \| Relative advantages* compatibility* XBRL complexity* \| IT Skills and Expertise* Formalization* \| \| XBRL mandate* Critical mass* Access to external support and information* \| Case study 153 survey/ The UK \| Thematic approach \| \| Mousa (2013a) \| DOI theory \| Relative advantages* compatibility* XBRL complexity* \| IT Skills and Expertise* Formalization* \| \| XBRL mandate* Critical mass* Access to external support and information* \| Case study- HMRC 3 interviews/ The UK \| Thematic approach \| \| Mousa (2013b) \| DOI theory \| Relative advantages* compatibility* XBRL complexity* \| IT Skills and Expertise* Formalization* \| \| XBRL mandate* Critical Mass* Access to external support and information* \| Case study- CH 4 interviews/ The UK \| A meta- analysis of the existing SBR/XBRL literature \| Author(s) rch Vol. 22 Analyzed Variables Data Analysis and date Other theoretical \| \| \| Technological context \| \| Organizational \| Environmental \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| bases \| \| \| \| \| \| \| \| \| \| \| context \| context \| \| \| Lim and Perrin (2014) \| DOI theory \| Relative advantage* Compatibility* Complexity* Trialability* Observability* Perceived Costs* SBR forms and reports quality* \| Financial resources* Expertise* Top management support* \| \| External pressure* External support* Software developers* \| Conceptual paper/ Australia \| \| Rostami and Nayeri (2015) \| - \| Easy understanding and fluency of system* Compliance of innovation with prior systems* \| The successful implementation of innovation * existing human and financial resources* Manpower skills and experience* \| \| Regulatory agencies pressure* The competitive pressure* \| Survey 118 survey/ NA \| \| Lakovic et al. (2018) \| Institutional theory \| IT infrastructure ICT integration ICT expertise \| Economic expectations Inter-sectoral expectations Inter- organizational expectation \| \| Mimetic pressure Coercive pressure* Normative pressure* \| 50 survey/ Montenegro \| \| Alkhatib et al. (2019) \| DOI theory \| Relative advantage* Compatibility Complexity* Costs* \| Technology competence* Management support* \| \| Network effect \| 343 members of ACCA in the UK \| collection methods Appendix B Previous studies identified the costs and benefits of XBRL Appendix C Interviews details \| Interviewee # \| \| Job \| Organization \| Main activities \| \|---\|---\|---\|---\|---\| \| \| \| title/position \| \| \| \| 1 \| Assistant manager \| \| HMRC \| Receiving corporations tax returns from small businesses in iXBRL format \| \| 2 \| Head of digital accounts \| \| Companies House \| Receiving the statutory accounts and annual returns from small businesses in XBRL/iXBRL formats \| \| 3 \| Head of accounts \| \| Digital filing software provider A \| Responsible for converting companies’ accounts and returns from Word and Excel to digital iXBRL formats \| \| 4 \| Senior accountant \| \| Digital filing software provider B \| Responsible for filing the annual returns in iXBRL formats with CH and using the digital services at the CH website to access other companies’ digital data \| \| 5 \| Strategy architect in HMRC e- services \| \| External consultant of HMRC digital filing \| Participating in the development of iXBRL at HMRC since 2005 \| \| 6,7,8,9 \| Qualified accountants and auditors \| \| Accountancy firm A \| Filing statutory accounts and returns in paper and digital formats for small businesses at CH and HMRC, and using the digital services at the CH website to access other companies’ digital data \| \| 10,11,12 \| Qualified accountant \| \| Accountancy firm B \| \| \| 13,14 \| Qualified accountants \| \| Small business A \| \| \| 15 \| Qualified accountant \| \| Small business B \| \| \| 16 \| Qualified accountant \| \| Small business C \| \| \| 17, 18 \| Qualified accountant \| \| Small business D \| \| \| 19 \| Qualified accountant \| \| Accountancy firm C \| \| *Interviewees who participated in two stages of the interviews; 2016 and 2021.
Student Handbook Mark Denman Elementary School School hours: 7:45 a.m.– 2:15 p.m. Phone: 217-444-3200 Attendance Line: 217-444-3208 TABLE OF CONTENTS TABLE OF CONTENTS TABLE OF CONTENTS Page 26-27 TABLE OF CONTENTS Stacie Sollars, Principal Dr. Alicia Geddis, Superintendent Mr. John Hart, Assistant Superintendent of Elementary Schools Dr. Elizabeth Yacobi, Assistant Superintendent of Secondary Schools General School Information This handbook is a summary of the school's rules and expectations, and is not a comprehensive statement of school procedures. The policies and procedures contained in this handbook have been approved by the Board of Education and are subject to change as situations arise. The administration reserves the right to interpret and apply the policies set forth in this handbook as deemed necessary by situations that may arise. The Board's comprehensive policy manual is available for public inspection through the District's website (www.danville118.org) or at the School Board office, located at: Danville District #118 516 North Jackson St Danville IL 61832 The School Board governs the school district and is elected by the community. Current School Board Members: Randal P. Ashton, DDS, President Shannon Schroeder, Vice President William Dobbles Johnnie Carey Lon Henderson Shannon Schroeder Pastor Thomas Miller Darlene Halloran Lakesha Robinson, Secretary The School Board has hired the following administrative staff to operate the school: Alicia Geddis, Superintendent – (217)444-1004 email@example.com John Hart, Assistant Superintendent of Elementary – (217)444-1023 firstname.lastname@example.org Elizabeth Yacobi, Assistant Superintendent of Secondary Schools – (217)444-1012 email@example.com Stacie Sollars, Principal – (217)444-3201 firstname.lastname@example.org Derrius Hightower, Assistant Principal-217-444-3232 Eric Nethercott, Assistant Principal –217-444-3202 Mark Denman Elementary School is located at and may be contacted at: 930 N Colfax Danville IL 61832 Phone: (217)444-3200 Fax: (217)444-3204 As a reminder, the administration reserves the right to interpret and apply the policies set forth in this handbook as deemed necessary by situations which may arise. WELCOME TO MARK DENMAN ELEMENTARY SCHOOL We would like to welcome all students and families to Mark Denman Elementary School. The policies and procedures of Mark Denman Elementary School are contained in this handbook. Students and parents are advised to read the handbook carefully and keep it in a convenient place so that you may use it as a reference. Activities and experiences within our school will help prepare you to live a better life and to find your place in this complex society. Remember, your success will be directly proportional to your efforts. DANVILLE DISTRICT #118 - DISTRICT MISSION STATEMENT To ensure that all District 118 students reach their fullest potential. MISSION STATEMENT Mark Denman Elementary will provide a safe, supportive, and nurturing environment where all individuals will be actively engaged in personal and academic growth. Visitors All visitors, including parents and siblings, are required to enter through the main door of the building and proceed immediately to the main office. Visitors should identify themselves and inform office personnel of their reason for being at school. During the 2021-2022 school year all visitors must wear a mask while in the building. Visitors must sign in, identifying their name, the date and time of arrival, and the classroom or location they are visiting. Approved visitors must take a tag identifying themselves as a guest and place the tag to their outer clothing in a clearly visible location. Visitors are required to proceed immediately to their location in a quiet manner. All visitors must return to the main office and sign out before leaving the school. Any person wishing to confer with a staff member should first contact that staff member to make an appointment. Conferences with teachers are held, to the extent possible, outside school hours or during the teacher's conference/preparation period. Visitors are expected to abide by all school rules during their time on school property. A visitor who fails to conduct himself or herself in a manner that is appropriate will be asked to leave and may be subject to criminal penalties for trespassing and/or disruptive behavior. No person on school property or at a school event shall perform any of the following acts: 1. Strike, injure, threaten, harass, or intimidate a staff member, board member, sports official or coach, or any other person. 2. Behave in an unsportsmanlike manner or use vulgar or obscene language. 3. Unless specifically permitted by State law, possess a weapon, any object that can reasonably be considered a weapon or looks like a weapon, or any dangerous device. 4. Damage or threaten to damage another's property. 5. Damage or deface school property. 6. Violate any Illinois law or municipal, local or county ordinance. 7. Smoke or otherwise use tobacco products. 8. Distribute, consume, use, possess, or be impaired by or under the influence of an alcoholic beverage, cannabis, other lawful product, or illegal drug. 9. Be present when the person's alcoholic beverage, cannabis, other lawful product, or illegal drug consumption is detectible, regardless of when and/or where the use occurred. 10. Use or possess medical cannabis unless he or she has complied to Illinois' Compassionate Use of Medical Cannabis Act and district policies. 11. Impede, delay, disrupt, or otherwise interfere with any school activity or function (including using cellular phones in a disruptive manner). 12. Enter upon any portion of school premises at any time for purposes other than those that are lawful and authorized by the board. 13. Operate a motor vehicle: (a) in a risky manner, (b) in excess of 20 miles per hour, or (c) in violation of an authorized district employee's directive. 14. Engage in any risky behavior, including rollerblading, roller-skating, or skateboarding. 15. Violate other district policies or regulations, or a directive from an authorized security officer or district employee. 16. Engage in any conduct that interferes with, disrupts, or adversely affects the district or a school function. Arrival & Dismissal Procedures Students are to remain in the school building once they arrive at school until they are dismissed from school at the closing of the day. Students may arrive at 7:25 a.m. for school breakfast. Car Riders will be dropped off in the back of the school and enter the school through the car rider's door. Bus riders and Walkes will enter through the door number 7 and go to breakfast or the gym (unless arriving after 7:50 a.m.). Students are not to leave the cafeteria without permission from the supervising adult. Students need to clean up their areas before leaving the cafeteria. As students wait to enter the building, the playground is off-limits due to safety and supervisory reasons. Students who arrive after 7:50 a.m. will need to enter through the main doors and go straight to the attendance office to receive a tardy slip to be admitted to class. Regular dismissal is 2:15 p.m. in the afternoon. Students who need to change their mode of transportation for the day must have a written note from their parent/guardian or a parent/guardian needs to call the main office at 444-3200 or 3208 prior to 1:45 p.m. If a note does not accompany the child or a phone call has not been placed to the office prior to 1:45 p.m., the student will be sent home in the usual way. All change of transportation requests must be made at least 30 minutes before dismissal. All students entering the building after 7:50 a.m. must check-in at the attendance office and receive a tardy pass to be permitted into class. ATTENDANCE Illinois law requires that whoever has custody or control of any child between six (6) (by September 1 st ) and seventeen (17) years of age (unless the child has already graduated from high school) shall assure that the child attends school in the district in which he or she resides, during the entire time school is in session. Illinois law also requires that whoever has custody or control of a child who is enrolled in the school, regardless of the child's age, shall assure that the child attends school during the entire time school is in session. There are certain exceptions to the attendance requirement for children who: attend private school, are physically or mentally unable to attend school (including a pregnant student suffering medical complications as certified by her physician), are lawfully and necessarily employed, are between the ages of 12 and 14 while in confirmation classes, have a religious reason requiring absence, or are 16 or older and employed and enrolled in a graduation incentive program. Make-Up Work If a student's absence is excused or if a student is suspended from school, he/she will be permitted to make up all missed work, including homework and tests, for equivalent academic credit. Students who are unexcused from school will not be allowed to make up missed work. Release Time for Religious Instruction/Observance A student will be released from school, as an excused absence, to observe a religious holiday or for religious instruction. The student's parent/guardian must complete the Vacation/Leave Request Form and give written notice to the building principal at least 10 calendar days before the student's anticipated absence(s). Students excused for religious reasons will be given an opportunity to make up any examination, study, or work requirement. Student Absences There are two types of absences: excused and unexcused. Excused absences include illness, observance of a religious holiday or event, death in the immediate family, family emergency, situations beyond the control of the student, circumstances that cause reasonable concern to the parent/guardian for the student's mental, emotional, or physical health or safety, attending a military honors funeral to sound TAPS, or other reason as approved by the building principal. Additionally, a student will be excused for up to 5 days in cases where the student's parent/guardian is an active-duty member of the uniformed services and has been called to duty for, is on leave from, or has immediately returned from deployment to a combat zone or combat-support postings. The Board of Education, in its discretion, may excuse a student for additional days relative to such leave or deployment. A student and the student's parent/guardian are responsible for obtaining assignments from the student's teachers prior to any excused absences and for ensuring that such assignments are completed by the student prior to his or her return to school. All other absences are considered unexcused. The school may require documentation explaining the reason for the student's absence. In the event of any absence, the student's parent/guardian is required to call the school at (217) 444-3208 before 7:50 a.m. to explain the reason for the absence. If a call has not been made to the school by 9:30 a.m. on the day of a student's absence, a school official will call the home to inquire why the student is not at school. If the parent/guardian cannot be contacted, the student will be required to submit a signed note from the parent/guardian explaining the reason for the absence. Failure to do so shall result in an unexcused absence. Upon request of the parent/guardian, the reason for an absence will be kept confidential. Tardy to School Students who are tardy to school must receive a late slip from the office before being admitted to class. There are no distinctions made between unexcused and excused tardies to school. Students are allowed two tardies, for any reason, per semester, before time after school is assigned. Tardies per Semester: First Offense = Parent notified, and signature required Second Offense= Warning before detention Third Offense = 15-minute detention Fourth Offense = Up to 30-minute detention Subsequent Offense = May lead to DPPC (Dismissal Pending Parent Conference) Tardies due to doctor and dentist appointments should be verified by a note from the doctor or dentist. Further violations will be referred to the Truancy Officer. Transfer to another School If a student is a victim of a violent crime that occurred on school grounds during regular school hours or during a schoolsponsored event, the parent/guardian may request a transfer to another public school within the district. Truancy Student attendance is critical to the learning process. Truancy is therefore a serious issue and will be dealt with in a serious manner by the school and district. Students who miss more than 1% but less than 5% of the prior 180 regular school days without valid cause (a recognized excuse) are truant. Students who miss 5% or more of the prior 180 regular school days are considered chronic truants. Students who are chronic truants will be offered support services and resources aimed at correcting the truancy issue. If chronic truancy persists after support services and other resources are made available, the school and district will take further action, including: Referral to the truancy officer Reporting to officials under the Juvenile Court Act Referral to the State's Attorney Appropriate school discipline A student who misses 15 consecutive days of school without valid cause and who cannot be located or, after exhausting all available support services, cannot be compelled to return to school is subject to expulsion from school. A parent or guardian who knowingly and willfully permits a child to be truant is in violation of State law and may be convicted of a Class C misdemeanor, which carries a maximum penalty of thirty days in jail and/or a fine of up to $1500.00. Withdrawal from School The office should be notified of any student's withdrawal from school regardless of the reason or length of absence. A parent must sign a record-release form in order to transfer student records from this school district to another school district. NO records will be sent until all obligations to the school have been met, return of all school owned property has been verified, and all fines are paid. LEARNING AND ASSESSMENT Grading & Promotion School report cards are issued to students on a quarterly basis. Report cards are distributed at the close of each nine weeks of school. Parents must pick up the report card for the first and third quarter at a parent-teacher conference. Report cards for the second and fourth quarters will be sent home with the student. For questions regarding grades, please contact your child's teacher. Parents always have online access to their child's grades via www.teacherease.com. Academic Achievement levels in grades K-4, based on Illinois Learning Standards are as follows: 4 (Exceeds Standard), 3 (Meets Standard), 2 (Approaching Standard), and 1 (Below Standard). The decision to promote a student to the next grade level is based on successful completion of the curriculum, attendance, performance on standardized tests and other testing. A student will not be promoted based upon age, or any other social reason not related to academic performance. Homework Homework is used as a way for students to practice what they have learned in the classroom. The time requirements and the frequency of homework will vary depending on a student's teacher, ability, and grade level. Standardized Testing Students and parents/guardians should be aware that students in grades 1 st and 4 th will take CogAT testing. All students in grades 3 rd and 4 th will participate in IAR testing. Parents/Guardians are encouraged to cooperate in preparing students for the standardized testing, because the quality of the education the school can provide is partially dependent upon the school's ability to continue to prove its success on the state's standardized tests. Parents can assure their students achieve their best performance by doing the following: 1. Encourage students to work hard and study throughout the year. 2. Ensure students get a good night's sleep the night before exams. 3. Ensure students eat well the morning of the exam, particularly ensuring they eat sufficient protein. 4. Remind and emphasize for students the importance of good performance on standardized tests. 5. Ensure students are on time and prepared for tests, with appropriate materials. 6. Teach students the importance of honesty and ethics during the performance of these and other tests. 7. Encourage students to relax on testing day. GENERAL BUILDING CONDUCT Ownership in Education Handbook: Rules, Rights and Responsibilities A joint committee consisting of parents, staff and community members has created the rules within this manual. Each parent/guardian is asked to review this manual with their child(ren) and return the sign-off sheet in the back of the manual stating they have discussed this manual with each child. The form is to be returned to the classroom teacher. Grievance Procedure When you have concerns, questions and/or complaints: Please follow this Chain of Command so that differences may be resolved quickly and fairly: 1. Please call the appropriate staff member who was directly involved to make an appointment to discuss your concern. This may be the classroom teacher or another staff member. 2. If there are still concerns, contact the principal. 3. If the concern is still not resolved, contact the associate superintendent to discuss the problem. 4. Finally, if there is still no resolution, contact the school board. School Dress Code / Student Appearance Danville School District #118 has implemented a standard code of dress. Student and school dress code policies can be found in the Board Policy. Please refer to the Board Policy, which can be found on the district's website, when referring to student and school dress. Student Discipline Student discipline policy notification is in accordance with the OWNERSHIP IN EDUCATION HANDBOOK. Please refer to the Ownership in Education Handbook when referring to student discipline. Preventing Bullying, Intimidation, and Harassment Bullying, intimidation, and harassment diminish a student's ability to learn and a school's ability to educate. Preventing students from engaging in these disruptive behaviors and providing all students equal access to a safe, non-hostile learning environment are important school goals. Bullying on the basis of actual or perceived race, color, national origin, immigration status, military status, unfavorable discharge status from the military service, sex, sexual orientation, gender identity, gender-related identity or expression, ancestry, age, religion, physical or mental disability, order of protection status, status of being homeless, or actual or potential marital or parental status, including pregnancy, association with a person or group with one or more of the aforementioned actual or perceived characteristics, or any other distinguishing characteristic is prohibited in each of the following situations: 1. During any school-sponsored education program or activity. 2. While in school, on school property, on school buses or other school vehicles, at designated school bus stops waiting for the school bus, or at school-sponsored or school-sanctioned events or activities. 3. Through the transmission of information from a school computer, a school computer network, or other similar electronic school equipment. 4. Through the transmission of information from a computer that is accessed at a non-school-related location, activity, function, or program or from the use of technology or an electronic device that is not owned, leased, or used by the school district or school if the bullying causes a substantial disruption to the educational process or orderly operation of a school. Bullying includes cyber-bullying (bullying through the use of technology or any electronic communication) and means any severe or pervasive physical or verbal act or conduct, including communications made in writing or electronically, directed toward a student or students that has or can be reasonably predicted to have the effect of one or more of the following: 1. Placing the student or students in reasonable fear of harm to the student's or students' person or property. 2. Causing a substantially detrimental effect on the student's or students' physical or mental health. 3. Substantially interfering with the student's or students' academic performance; or 4. Substantially interfering with the student's or students' ability to participate in or benefit from the services, activities, or privileges provided by a school. Cyberbullying means bullying through the use of technology or any electronic communication, including without limitation any transfer of signs, signals, writing, images, sounds, data, or intelligence of any nature transmitted in whole or in part by a wire, radio, electromagnetic system, photo-electronic system, or photo-optical system, including without limitation electronic mail, Internet communications, instant messages, or facsimile communications. Cyberbullying includes the creation of a webpage or weblog in which the creator assumes the identity of another person or the knowing impersonation of another person as the author of posted content or messages if the creation or impersonation creates any of the effects enumerated in the definition of bullying. Cyberbullying also includes the distribution by electronic means of a communication to more than one person or the posting of material on an electronic medium that may be accessed by one or more persons if the distribution or posting creates any of the effects enumerated in the definition of bullying. Examples of prohibited conduct include name-calling, using derogatory slurs, stalking, sexual violence, causing psychological harm, threatening or causing physical harm, threatened or actual destruction of property, or wearing or possessing items depicting or implying hatred or prejudice of one of the characteristics stated above. Students are encouraged to immediately report bullying. A report may be made orally or in writing to the district complaint manager or any staff member with whom the student is comfortable speaking. Anyone, including staff members and parents/guardians, who has information about actual or threatened bullying is encouraged to report it to the district complaint manager or any staff member. Anonymous reports are also accepted by phone call or in writing. A reprisal or retaliation against any person who reports an act of bullying is prohibited. A student's act of reprisal or retaliation will be treated as bullying for purposes of determining any consequences or other appropriate remedial actions. A student will not be punished for reporting bullying or supplying information, even if the school's investigation concludes that no bullying occurred. However, knowingly making a false accusation or providing knowingly false information will be treated as bullying for purposes of determining any consequences or other appropriate remedial actions. Students are encouraged to immediately report bullying. A report may be made orally or in writing to the building principal, nondiscrimination coordinator, district complaint manager or any staff member with whom the student is comfortable speaking. All school staff members are available for help with a bully or to make a report about bullying. Anyone, including staff members and parents/guardians, who has information about actual or threatened bullying is encouraged to report it to the district complaint manager or any staff member. Anonymous reports are also accepted by phone call or in writing. NONDISCRIMINATION COORDINATOR: STACIE SOLLARS , 930 COLFAX, 217-444-4301, email@example.com COMPLAINT MANAGERS: MR. JOHN HART OR MRS. KIMBERLY PABST, 110 E. WILLIAMS ST., DANVILLE, IL PHONE: 217-444-1000, EMAILS: firstname.lastname@example.org AND email@example.com A reprisal or retaliation against any person who reports an act of bullying is prohibited. A student's act of reprisal or retaliation will be treated as bullying for purposes of determining any consequences or other appropriate remedial actions. A student will not be punished for reporting bullying or supplying information, even if the school's investigation concludes that no bullying occurred. However, knowingly making a false accusation or providing knowingly false information will be treated as bullying for purposes of determining any consequences or other appropriate remedial actions. Students and parents/guardians are also encouraged to read the following school district policies: 7:20, Harassment of Students Prohibited and 7:180, Prevention of and Response to Bullying, Intimidation and Harassment. STUDENT FEES The school establishes fees and charges to fund certain school activities. Some students may be unable to pay these fees. Students will not be denied educational services or academic credit due to the inability of their parent or guardian to pay fees or certain charges. Students whose parent or guardian is unable to afford student fees may receive a fee waiver. A fee waiver does not exempt a student from charges for lost and damaged books, locks, materials, supplies and/or equipment. The school will provide written notice of the school district's school fee policy in English or the home language of the parents/guardians, if needed, to ensure the parents'/guardians' understanding of the policy. The notice must be provided to parents/guardians of all students enrolling in the school district for the first time. Notifications for fee waivers may be submitted by a parent or guardian of a student who has been assessed a fee. A student is eligible for a fee waiver if at least one of the following prerequisites is met: 1. The student currently lives in a household that meets the free lunch or breakfast eligibility guidelines established by the federal government pursuant to the National School Lunch Act; or 2. The student or the student's family is currently receiving aid under Article IV of the Illinois Public Aid Code (Aid to Families of Dependent Children). The building principal will notify the parent/guardian promptly as to whether the fee waiver request has been granted or denied. Questions regarding the fee waiver application process should be addressed to the building principal. Cafeteria There are specific procedures followed during the lunch hour. We also expect student behavior in the cafeteria to be based on courtesy and cleanliness. Students are expected to abide by the rules and procedures listed. Failure to comply may result in discipline at the discretion of the administration as stated in the OWNERSHIP IN EDUCATION HANDBOOK. Material Fees The Board of Education, prior to the opening of school, sets the material fees. For the 2021-2022 school year fees have been waived. School Breakfast and Lunch Program A healthy breakfast and lunch will be available at no charge to all students, regardless of income. No forms are necessary to participate. All students are encouraged to participate in the free meal program to enhance the learning environment. Breakfast is served every day beginning at 7:25. There is no charge for breakfast, but additional milk and juice are available for purchase for thirty (30) cents. Lunch is served every full school day, and menus will denote days when lunch is not served due to early dismissal. There is no charge for lunch, but additional milk and juice are available for purchase. For additional purchases outside of the complete meal that is free to students, parent/guardians may add money to student's accounts by paying in line, in advance on your student's account via check or online. Textbooks Textbooks are furnished to each student without charge. The student should take care of them. The student responsible for them will pay for all damaged books. For his/her own protection, a student should put his/her name in ink in each of his/her books. IMMUNIZATION, HEALTH, EYE AND DENTAL EXAMINATIONS Communicable Diseases The school will observe recommendations of the Illinois Department of Public Health regarding communicable diseases. 1. Parents are required to notify the school nurse if they suspect their child has a communicable disease. 2. In certain cases, students with a communicable disease may be excluded from school or sent home from school following notification of the parent or guardian. 3. The school will provide written instructions to the parent/guardian regarding appropriate treatment for the communicable diseases. 4. A student excluded because of a communicable disease will be permitted to return to school only when the parent/guardian brings a letter from the student's doctor stating that the student is no longer contagious or at risk of spreading the communicable disease. Dental Examination All children entering kindergarten, second, sixth, and ninth grades, must present proof of having been examined by a licensed dentist before May 15 of the current school year (the exam must be within 18 months prior to May 15 th ). Failure to present proof allows the school to hold the child's report card until the student presents: (1) a completed dental examination, or (2) that a dental examination will take place within 60 days after May 15. Case by Case Exemptions A student will be exempted from the above requirements for: 1. Medical grounds if the student's parent/guardian presents to the building principal a signed statement explaining the objection. 2. Religious grounds if the student's parent/guardian presents to the building principal a completed Certificate of Religious Exemption. 3. Health examination or immunization requirements on medical grounds if a physician provides written verification. 4. Eye examination requirement if the student's parent/guardian shows an undue burden or lack or access to a physician licensed to practice medicine in all of its branches who provides eye examinations or a licensed optometrist; or 5. Dental examination requirement if the student's parent/guardian shows an undue burden or a lack of access to a dentist. Eye Examination All students entering kindergarten or the school for the first time must present proof before October 15 of the current school year of an eye examination performed within one year prior to entry of Kindergarten or the school. Failure to present proof by October 15, allows the school to hold the student's report card until the student presents: (1) a completed eye examination, or (2) that an eye examination will take place within 60 days after October 15. Prior to conducting any vision screenings, the district will provide written notice to parents/guardians that specifically states: "Vision screening is not a substitute for a complete eye and vision evaluation by an eye doctor. Your child is not required to undergo screening if an optometrist or ophthalmologist had competed and signed a report form indicating that an examination had been administered within the previous 12 months. Head Lice 1. Parents are required to notify the school nurse if they suspect their child has head lice. 2. Infested students will be sent home following notification of the parent or guardian. 3. The school will provide instructions to parent or guardian regarding appropriate treatment for the infestation. 4. A student excluded because of head lice will be permitted to return to school only when the parent or guardian brings the student to school to be checked by the school nurse and the child is determined to be free of the head lice and eggs (nits). Infested children are prohibited from riding the bus to school to be checked for head lice. Health & Wellness The Board of Education is committed to providing a learning environment that supports and promotes wellness, good nutrition, and an active lifestyle and recognizes the positive relationship between good nutrition, physical activity and the capacity of students to develop and learn. The entire school environment shall be aligned with healthy school goals to positively influence students' beliefs and habits and promote health and wellness, good nutrition and regular physical activity. In addition, school staff shall be encouraged to model healthy eating and physical activity as a valuable part of daily life. Guidance & Counseling The school provides a guidance and counseling program for students. The school's social worker is available to those students who require additional assistance. Required Health Examinations and Immunizations All students are required to present appropriate proof that the student received a health examination and immunizations against and screenings for preventable communicable diseases within one year prior to: 1. Entering kindergarten or first grade. 2. Entering the sixth and ninth grades; and 3. Enrolling in an Illinois school for the first time, regardless of the student's grade. Proof of immunization against meningococcal disease is required for students in grades 6 and 12. A diabetes screening must be included as part of the health exam (though diabetes testing is not required). Students between the age of one and seven must provide a statement from a physician assuring that the student was "risk-assessed" or screened for lead poisoning. Beginning with the 2017-2018 school year, an age-appropriate developmental screening and an age-appropriate social and emotional screening are required parts of each health examination. Failure to comply with the above requirements by October 15 of the current school year will result in the student's exclusion from school until the required health forms are presented to the school, subject to certain exceptions. A student will not be excluded from school due to his or her parent/guardian's failure to obtain a developmental screening or a social and emotional screening. New students who register mid-term have 30 days following registration to comply with the health examination and immunization requirements. If a medical reason prevents a student from receiving a required immunization by October 15, the student must present, by October 15, an immunization schedule and a statement of the medical reasons causing the delay. The schedule and statement of medical reasons must be signed by an appropriate medical professional. Social & Emotional Wellness Student social and emotional development shall be incorporated in the District's educational program and shall be consistent with the social and emotional development standards contained in the Illinois Learning Standards. The objectives for addressing the needs of students for social and emotional development through the educational programs are to: 1. Enhance students' school readiness, academic success and use of good citizenship skills. 2. Foster a safe, supportive learning environment where students feel respected and valued. 3. Teach social and emotional skills to all students. 4. Partner with families and the community to promote students' social and emotional development. Student Medication Taking medication during school hours or during school-related activities is prohibited unless it is necessary for a student's health and well-being. When a student's licensed health care provider and parent/guardian believe that it is necessary for the student to take a medication during school hours or school-related activities, the parent/guardian must request that the school dispense the medication to the child by completing a "School Medication Authorization Form." No school or district employee is allowed to administer to any student, or supervise a student's self-administration of, any prescription or non-prescription medication until a completed and signed School Medication Authorization Form is submitted by the student's parent/guardian. No student is allowed to possess or consume any prescription or nonprescription medication on school grounds or at a school-related function other than as provided for in this procedure. Self-Administration of Medication: A student may possess and self-administer an epinephrine injector (e.g., EpiPen®) and/or an asthma inhaler or medication prescribed for use at the student's discretion, provided the student's parent/guardian has completed and signed a School Medication Authorization Form. Students who are diabetic may possess and self-administer diabetic testing supplies and insulin if authorized by the student's diabetes care plan, which must be on file with the school. Students with epilepsy may possess and self-administer supplies, equipment and medication, if authorized by the student's seizure action plan, which must be on file with the school. Students may self-administer (but not possess on their person) other medications required under a qualified plan, provided the student's parent/guardian has completed and signed a School Medication Authorization Form. The school district shall incur no liability, except for willful and wanton conduct, as a result of any injury arising from a student's self-administration of medication, including asthma medication or epinephrine injectors, or medication required under a qualifying plan. A student's parent/guardian must indemnify and hold harmless the school district and its employees and agents, against any claims, except a claim based on willful and wanton conduct, arising out of a student's self-administration of an epinephrine injector, asthma medication, and/or a medication required under a qualifying plan. Administration of Medical Cannabis: In accordance with the Compassionate Use of Medical Cannabis Program, qualifying students are allowed to utilize medical cannabis infused products while at school and school events. Please contact the building principal for additional information. Discipline of a student for being administered a product by a designated caregiver pursuant to this procedure is prohibited. The District may not deny a student attendance at a school solely because he or she requires administration of the product during school hours. Undesignated Medications: The school may maintain the following undesignated prescription medications for emergency use: (1) Asthma medication; (2) Epinephrine injectors; (3) Opioid antagonists; and (4) Glucagon. No one, including without limitation, parents/guardians of students, should rely on the school or district for the availability of undesignated medication. This procedure does not guarantee the availability of undesignated medications. Students and their parents/guardians should consult their own physician regarding these medication(s). Emergency Aid to Students: Nothing in this policy shall prohibit any school employee from providing emergency assistance to students, including administering medication. Students with Food Allergies State law requires our school district to annually inform parents of students with life-threatening allergies or lifethreatening chronic illnesses of the applicable provisions of Section 504 of the Rehabilitation Act of 1973 and other applicable federal statutes, state statutes, federal regulations, and state rules. If your student has a life-threatening allergy or chronic illness, please notify the building administrator or nurse. Federal law protects students from discrimination due to a disability that substantially limits a major life activity. If your student has a qualifying disability, an individualized Section 504 Plan may be developed and implemented to provide the needed supports so that your student can access his or her education as effectively as students without disabilities. Not all students with life-threatening allergies and/or chronic illnesses may be eligible under Section 504. Our school district also may be able to appropriately meet a student's needs through other means. Care of Student with Diabetes If your child has diabetes and requires assistance with managing this condition while at school and school functions, a Diabetes Care Plan must be submitted to the school principal. Parents/guardians are responsible for this and must: Inform the school in a timely manner of any change which needs to be made to the Diabetes Care Plan on file with the school for their child. Inform the school in a timely manner of any changes to their emergency contact numbers or contact numbers of health care providers. Sign the Diabetes Care Plan. Grant consent for and authorize designated school district representatives to communicate directly with the health care provider whose instructions are included in the Diabetes Care Plan. ATHLETICS & EXTRA-CURRICULAR ACTIVITIES Participation in extra-curriculars is a privilege. Those who participate in extra-curricular activities have a responsibility to favorably represent the school and community. Students are expected to conduct themselves both in and out of school in a manner appropriate to their responsibilities as representatives of the school and district. Refer to the OWNERSHIP IN EDUCATION HANDBOOK for further information. Absence from School on Day of Activity A student who is absent from school on the day of an activity is ineligible for any activity on that day unless the absence has been approved in writing by the principal. Exceptions may be made by the coach: 1) for a medical absence pre-arranged with the coach or 2) for a death in the student's family. An athlete who is truant or who has been suspended from school may be suspended from participation in athletic activities by administration. An athlete who is absent from school on a Friday before a Saturday event may be withheld from Saturday activities at the sole discretion of the coach. Concussions and Head Injuries Student athletes must comply with Illinois' Youth Sports Concussion Safety Act and all protocols, policies and bylaws of the Illinois High School Association before being allowed to participate in any athletic activity, including practice or competition. A student athlete who exhibits signs, symptoms, or behaviors consistent with a concussion in a practice or game will be removed from participation or competition at that time. A student athlete who has been removed from an interscholastic contest for a possible concussion or head injury may not return to that contest unless cleared to do so by a physician licensed to practice medicine in all its branches in Illinois or a certified athletic trainer. If not cleared to return to that contest, a student athlete may not return to play or practice until the student athlete has provided his or her school with written clearance from a physician licensed to practice medicine in all its branches in Illinois or a certified athletic trainer working in conjunction with a physician licensed to practice medicine in all its branches in Illinois. A student who was removed from practice or competition because of a suspected concussion shall be allowed to return only after all statutory prerequisites are completed, including without limitation, the School District's return-to-play and return-to-learn protocols. Travel All athletes shall travel to athletic events and return home from athletic events with the team on which the athlete competes by use of school approved means of transportation. A written waiver of this rule may be issued by a coach or administrator upon advance written request of an athlete's parent or guardian and provided the parent or guardian appears and accepts custody of the athlete. In no case shall a waiver be issued unless the alternate means of transportation anticipated by the waiver will be provided by the parent. Oral requests shall not be honored, and oral permissions shall not be valid. Any student athlete found to be in violation of this policy shall be subject to discipline in accordance with the school district's athletic discipline policies, rules and regulations as provided herein. SPECIAL PROGRAMS Accommodating Individuals with Disabilities Individuals with disabilities will be provided an opportunity to participate in all school sponsored services, programs or activities. Individuals with disabilities should notify the superintendent or building principal if they have a disability that will require special assistance or services and, if so, what services are required. This notification should occur as far in advance as possible of the school-sponsored function, program or meeting. The parent/guardian of a student receiving special education services, or being evaluated for eligibility, is afforded reasonable access to educational facilities, personnel, classrooms, and buildings. The same right of access is afforded to an independent educational evaluator or a qualified professional retained by or on behalf of a parent or child. Behavioral Interventions Behavioral interventions shall be used with students with disabilities to promote and strengthen desirable behaviors and reduce identified inappropriate behaviors. The School Board will establish and maintain a committee to develop, implement, and monitor procedures on the use of behavioral interventions for children with disabilities. Discipline of Special Education Students The District shall comply with the Individuals with Disabilities Education Improvement Act of 2004 and the Illinois State Board of Education's Special Education rules when disciplining special education students. No special education student shall be expelled if the student's particular act of gross disobedience or misconduct is a manifestation of his or her disability. Education of Children with Disabilities It is the intent of the district to ensure that students who are disabled within the definition of Section 504 of the Rehabilitation Act of 1973 or the Individuals with Disabilities Education Act are identified, evaluated and provided with appropriate educational services. The school provides a free appropriate public education in the least restrictive environment and necessary related services to all children with disabilities enrolled in the school. The term "children with disabilities" means children between ages 3 and the day before their 22nd birthday for whom it is determined that special education services are needed. It is the intent of the school to ensure that students with disabilities are identified, evaluated, and provided with appropriate educational services. A copy of the publication "Explanation of Procedural Safeguards Available to Parents of Students with Disabilities" may be obtained from the school district office. Students with disabilities who do not qualify for an individualized education program, as required by the federal Individuals with Disabilities Education Act and implementing provisions of this Illinois law, may qualify for services under Section 504 of the federal Rehabilitation Act of 1973 if the student (i) has a physical or mental impairment that substantially limits one or more major life activities, (ii) has a record of a physical or mental impairment, or (iii) is regarded as having a physical or mental impairment. For further information, please contact: Stacie Sollars 217-444-3201 Related Service Logs For a child with an individualized education program (IEP), the school district must create related service logs that record the type of related services administered under the child's IEP and the minutes of each type of related service that has been administered. The school will provide a child's parent/guardian a copy of the related service log at the annual review of the child's IEP and at any other time upon request. English Learners The School offers opportunities for resident English Learners to achieve at high levels in academic subjects and to meet the same challenging State standards that all children are expected to meet. Parents/Guardians of English Learners will be informed how they can: (1) be involved in the education of their children; (2) be active participants in assisting their children to attain English proficiency, achieve at high levels within a well-rounded education, and meet the challenging State academic standards expected of all students; and (3) participate and serve on the District's Transitional Bilingual Education Programs Parent Advisory Committee. For questions related to this program or to express input in the school's English Learners program, contact Mrs. Brandie Kuchefski at 217-444-1062. For questions related to this program or to express input in the school's English Language Learners Program, contact the Director of Educational Supports at (217) 444-1062. Parent Notices Required by the Every Student Succeeds Act I. Teacher Qualifications A parent/guardian may request, and the District will provide in a timely manner, the professional qualifications of your student's classroom teachers, including, at a minimum, whether: a. The teacher has met the State qualifications and licensing criteria for the grade levels and subject areas in which the teacher provides instruction. b. The teacher is teaching under emergency or other provisional status. c. The teacher is teaching in the field of discipline of the certification of the teacher. d. Paraprofessionals provide services to the student and, if so, their qualifications. II. Testing Transparency The State and District requires students to take certain standardized tests. For additional information, see handbook procedure 12:20 2 A parent/guardian may request, and the District will provide in a timely manner, information regarding student participation in any assessments mandated by law or District policy, which shall include information on any applicable right you may have to opt your student out of such assessment. III. Annual Report Card Each year, the District is required to disseminate an annual report card that includes information on the District as a whole and each school served by the District, with aggregate and disaggregated information for each required subgroup of students including: student achievement on academic assessments (designated by category), graduation rates, district performance, teacher qualifications, and certain other information required by federal law. When available, this information will be placed on the District's website at http://www.danville118.org/schools/school_report_cards. IV. Parent & Family Engagement Compact 4 V. Unsafe School Choice Option The unsafe school choice option allows students to transfer to another District school or to a public charter school within the District under certain circumstances. For additional information, see handbook procedure 12:100. 5 VI. Student Privacy Students have certain privacy protections under federal law. For additional information, see handbook procedure 12.105. 6 VII. English Learners The school offers opportunities for resident English Learners to achieve at high levels in academic subjects and to meet the same challenging State standards that all children are expected to meet. For additional information, see handbook procedure 12:60. 7 VIII. Homeless Students For information on supports and services available to homeless students, see handbook procedure 12:30. 8 For further information on any of the above matters, please contact the building principal. Exemption from Physical Education Requirement In order to be excused from participation in physical education, a student must present an appropriate excuse from his or her parent/guardian or from a person licensed under the Medical Practice Act. The excuse may be based on medical or religious prohibitions. An excuse because of medical reasons must include a signed statement from a person licensed under the Medical Practice Act that corroborates the medical reason for the request. An excuse based on religious reasons must include a signed statement from a member of the clergy that corroborates the religious reason for the request. A student in grades 7-8 may submit a written request to the building principal requesting to be excused from physical education courses because of the student's ongoing participation in an interscholastic or extracurricular athletic program. The building principal will evaluate requests on a case-by-case basis. Students with an Individualized Education Program may also be excused from physical education courses for reasons stated in Handbook Procedure 10.30.1 Special activities in physical education will be provided for a student whose physical or emotional condition, as determined by a person licensed under the Medical Practices Act, prevents his or her participation in the physical education course. State law prohibits the School District from honoring parental excuses based upon a student's participation in athletic training, activities, or competitions conducted outside the auspices of the School District. Students who have been excused from physical education shall return to the course as soon as practical. The following considerations will be used to determine when a student shall return to a physical education course:2 1.The time of year when the student's participation ceases; and 2.The student's class schedule. Home and Hospital Instruction A student who is absent from school, or whose physician, physician assistant or licensed advance practice registered nurse anticipates his or her absence from school, because of a medical condition may be eligible for instruction in the student's home or hospital. Appropriate educational services from qualified staff will begin no later than five school days after receiving a written statement from a physician, physician assistant, or licensed advanced practice registered nurse. Instructional or related services for a student receiving special education services will be determined by the student's individualized education program. A student who is unable to attend school because of pregnancy will be provided home instruction, correspondence courses, or other courses of instruction before (1) the birth of the child when the student's physician, physician assistant, or licensed advanced practice nurse indicates, in writing, that she is medically unable to attend regular classroom instruction, and (2) for up to 3 months after the child's birth or a miscarriage. For information on home or hospital instruction, contact: 217-444-1083. Homeless Child's Right to Education When a child loses permanent housing and becomes a homeless person as defined at law, or when a homeless child changes his or her temporary living arrangements, the parent or guardian of the homeless child has the option of either: (1) continuing the child's education in the school of origin for as long as the child remains homeless or, if the child becomes permanently housed, until the end of the academic year during which the housing is acquired; or (2) enrolling the child in any school that non-homeless students who live in the attendance area in which the child or youth is actually living are eligible to attend. For information regarding homeless child's right to education, contact the Director of Educational Support Programs at (217)444-1062. Internet Acceptable Use Student Acceptable Use Policy is in accordance with the OWNERSHIP IN EDUCATION HANDBOOK. Please refer to the manual when referring to the Acceptable Use. Parents or guardians must sign the Technology Use Contract before students may access district technology. Students who do not have a Technology Use Contract on file will not be allowed to utilize the technology at their school. School officials may conduct an investigation or require a student to cooperate in an investigation if there is specific information about activity on the student's account on a social networking website that violates a school disciplinary rule or policy. During the course of an investigation, the student may be required to share the content that is reported in order to allow school officials to make a factual determination. Non-School-Sponsored Publications/Websites Students are prohibited from accessing and/or distributing at school any pictures, written material, or electronic material, including material from the Internet or from a blog, that: 1. Will cause substantial disruption of the proper and orderly operation and discipline of the school or school activities. 2. Violates the rights of others, including but not limited to material that is libelous, invades the privacy of others, or infringes on a copyright. 3. Is socially inappropriate or inappropriate due to maturity level of the students, including but not limited to material that is obscene, pornographic, or pervasively lewd and vulgar, or contains indecent and vulgar language. 4. Is primarily intended for the immediate solicitation of funds; or 5. Is distributed in kindergarten through eighth grade and is primarily prepared by non-students, unless it is being used for school purposes. Nothing herein shall be interpreted to prevent the inclusion of material from outside sources or the citation to such sources as long as the material to be distributed or accessed is primarily prepared by students. The distribution of non-school-sponsored written material must occur at a time and place and in a manner that will not cause disruption, be coercive, or result in the perception that the distribution or the material is endorsed by the school district. Access to Student Social Networking Passwords and Websites Public Act 98-129 requires schools to publish their disciplinary rules circumstances in which the school may require access to social networking passwords or websites. Refer to the Danville District #118, Ownership in Education Manual for this policy. Request to Access Classroom or Personnel for Special Education Evaluation or Observation The parent/guardian of a student receiving special education services, or being evaluated for eligibility, is afforded reasonable access to educational facilities, personnel, classrooms and buildings. This same right of access is afforded to an independent educational evaluator, or a qualified professional retained by or on behalf of a parent or child. Response to Intervention (RtI)/Multi-Tiered System of Support (MTSS) Through RtI, we provide high-quality classroom instruction to all students. We assess all students and provide tiered instruction and interventions matched to individual student needs. Through ongoing assessment, student progress is continually monitored. Family involvement in this process helps to enhance student outcomes. RtI is an opportunity to bring about meaningful change in family-school relationships, allowing for engaged partnerships between educators and families through collaborative, structured problem-solving. Positive Behavior Interventions and Supports (PBIS) The Positive Behavior Interventions and Supports (PBIS) program is an effort to help students build a positive attitude, develop strong character skills and to continue to expand on the skills necessary to become productive citizens. Students are taught and asked to adhere by these expectations: We are safe, We are Kind, and We are Responsible. The PBIS program is an extension of our efforts to provide students with a positive environment in which to learn and succeed. Visit the PBIS section in our monthly newsletter for on-going communication and information regarding PBIS at our school. Title I Program The Title I program is a federally funded program that provides additional support to the educational process. This program also provides support for students who demonstrate an academic need. GENERAL INFORMATION Agenda Books/Daily Communication Student in grades 3-4 will receive an agenda book at the beginning of the school year to assist with organizational skills. Parents are asked to review and sign-off on student agendas daily. Students in grades K-2 will receive a folder at the beginning of the school year to assist with organizational skills. Parents are asked to check the folder daily and return any forms or notes to school in the folder. Accidents Every accident in the school building, on the school campus, at practice sessions, or at any athletic event sponsored by the school must be reported immediately to the person in charge and to the principal's office. Bicycles Students who ride bicycles to school must park them in the racks provided. Students are required to walk bicycles to and from the racks while on school property. The school will assume no responsibility for the safety of your bicycles. All bicycles should be locked to deter theft. Birth Certificates State law requires that parents must furnish the school district with a certified copy of their child's birth certificate. This can be obtained from the Records office of the Vermilion County Courthouse. If your child was born outside Vermilion County, you will need to contact the Vital Records Office of the county where your child was born. The school will photocopy the birth certificate for our new records and return the original to the parents. This law became effective January 1, 1987 and applies to all students who are new to District 118 schools. Birthday Parties Our goal is to promote healthy lifestyle principles, replacing unhealthy food offerings with healthy ones. Treats for class celebrations must be store-bought in pre-packaged containers. Designated dates, one per month, will be given to celebrate birthdays for that month. All families will be provided information regarding celebration dates, healthy snacks, and nonfood alternatives for celebrations. Due to allergies, balloons are not allowed in the building. Please note: All food items must be store bought and still in closed containers. We ask that invitations for home birthday parties not be distributed at school. Bus Transportation The district provides bus transportation to and from school for all students living 1.5 miles or more from the school. A list of bus stops will be published at the beginning of the school year before student registration. Parents will be assigned a bus stop at the beginning of the school year at which a student is to be picked up and dropped off. Students are not permitted to ride a bus other than the bus to which they are assigned. Exceptions must be approved in advance by the principal. While students are on the bus, they are under the supervision of the bus driver. In most cases, bus discipline problems can be handled by the bus driver. In the case of a written disciplinary referral, student bus problems will be investigated and handled by the building principal. Parents will be informed of any and all inappropriate student behavior on a bus. Parents are encouraged to discuss bus safety and appropriate behavior with their children before the beginning of the school year and regularly during the year. Students may be suspended from riding the school bus for up to 10 consecutive school days for engaging in gross disobedience or misconduct. If a student is suspended from riding the bus for gross disobedience or misconduct on a bus, the school board may suspend the student from riding the school bus for a period in excess of 10 days for safety reasons. The district's regular suspension procedures shall be used to suspend a student's privilege to ride a school bus. Video and audio cameras may be active on buses to record student conduct and may be used for the purposes of investigating misconduct or accidents on the bus. For questions regarding school transportation issues, contact the Associate Superintendent of Danville District 118 at (217)444-1023. Change of Clothes Each kindergarten and first grade student is asked to have a complete change of clothes to keep in the classroom (underwear, socks, pants/shorts, shirt). They are to be sent in a plastic bag, clearly labeled with your child's name. When your child's school clothes become soiled due to illness, mud puddles, spilled milk, etc., your daily schedule will not have to be interrupted to bring a change of clothes. The soiled clothes will be sent home in a plastic bag. When this happens, please send another outfit to school the next day. Custody/Arrangements If you have any legal custody/divorce settlement information that the office should be aware of regarding your child(ren), please be sure to let us know verbally and in writing. It is extremely important that the school knows if a student is not to be released to a specific person. Please bring this information to our attention each year as situations change. Parents who are separated, but not legally divorced, are advised that the school finds itself in a difficult position when determining who should be allowed to remove the child from the school premises. Unless there is assigned custody or other court papers indicating that one parent cannot have access to their child, the school will release the child to either parent. Electronic Equipment Students are NOT to bring any of the following equipment to school (CD/MP3 players, radios, earphones, pagers, cell phones, gaming devices, etc.) Please make sure your child leaves these items at home. In addition, please discourage your child from bringing toys and possessions to school. Invariably, an item is lost, and the school is not able to replace lost possessions. Please help us avoid such occurrences. Field Trips Field trips are a privilege for students. Students must abide by all school policies during transportation and during fieldtrip activities and shall treat all field trip locations as though they are school grounds. Students who fail to abide by school rules and/or location rules during a field trip may be subject to discipline. All students who wish to attend a field trip must receive written permission from a parent or guardian with authority to give permission. Students may be prohibited from attending field trips for any of the following reasons: * Failure to receive appropriate permission from parent/guardian or teacher. * Failure to complete appropriate coursework. * Behavioral * Reasons as determined by the school. Classroom teachers are not required to dispense medication on field trips. If your child must receive medication during the school day and you cannot accompany them on the field trip, please contact the principal to see what alternate arrangements can be made. Instructional Materials A student's parent/guardian may inspect, upon their request, any instructional material used as part of their child's educational curriculum within a reasonable time of their request. The school will provide not less than 5 days' written notice to parents/guardians of students in kindergarten through 8 th grade before commencing any class or course providing instruction in recognizing an advoiding sexual abuse to afford the parents/guardians an opportunity to submit a written objection to their child's participation. MATS (Motivating Academically Talented Students) The MATS Program serves identified gifted children in grades 2-12. All students are screened for identification. Students who exhibit a score of 90% or higher in reading or math on the ITBS, and score 120 or higher on any area of the CogAT are further screened. The scores from a teacher inventory and the Naglieri Nonverbal Ability Test are submitted to a committee of district administrators for final selection of participating students. The final selection committee is comprised of the Gifted Coordinator and the administrators of the buildings who host the self-contained gifted programs. Parents have the right to appeal the decisions to the Gifted Coordinator. The grades 2-4 program is held at Mark Denman. The grades 5-6 program is held at Southview Upper Elementary, with grade 7-8 at Northridge. At the High School, MATS classes are called Honors courses. Notes Required The school requires notification from parents or guardians for: 1. Absence (call or send a note) 2. Tardiness (call or send a note) 3. Requests for special or early dismissal (call or send note by 2:00 p.m.) 4. In reply to notices of unsatisfactory work 5. Field trips Parking The school has a location(s) available for school visitor parking. Those dropping off and picking up children may do so in the parking lot(s) available during school hours. Vehicles may not be parked or located in the bus lanes or fire lanes at any time. Bus lanes and fire lanes are clearly marked. Vehicles located in these locations may be ticketed and/or towed by the police. Parent/Teacher Conferences Parent-teacher conferences are scheduled two times per year for every student. We urge you to make every effort to attend conferences. We find that regular communication between teacher and parent benefits the student in many ways. Additional parent conferences may be requested at any time during the school year. Parent/Teacher Conference Dates: * Tuesday, November 9. 2021 * Tuesday, April 5, 2022 * Wednesday, November 10, 2021 * Thursday, April 7, 2022 Patrols Safety patrol crossing guards are assigned posts from 7:20 – 7:50 a.m. and again from 2:20 – 2:40 p.m. Students should not cross the streets without a crossing guard's direction and should only do so at specified corners. Pledge of Allegiance Students who choose not to recite the pledge may remain silent but should in no way disrupt those who wish to participate. Recess Recess is scheduled daily for a total of 30 minutes for all students. We do not go outside if it is raining or if the temperature is 20 degrees Fahrenheit or below. Children who have been ill must have a note from their parents requesting that they not go outside. If children are to stay in from recess for more than three consecutive days, a doctor's note is required. School Volunteers All school volunteers must have a background check completed and be approved by the principal prior to assisting in the school. Teachers who desire parent volunteers will notify parents. For school-wide volunteer opportunities, please contact the building principal. Search and Seizure In order to maintain order safety and security in the schools, school authorities are authorized to conduct reasonable searches of school property and equipment, as well as of students and their personal effects. "School authorities" includes school liaison police officers. School Property and Equipment as well as Personal Effects Left There by Students School authorities may inspect, and search school property and equipment owned or controlled by the school (such as, lockers, desks, and parking lots), as well as personal effects left there by a student, without notice to or the consent of the student. Students have no reasonable expectation of privacy in these places or areas or in their personal effects left there. The building principal may request the assistance of law enforcement officials to conduct inspections and searches of lockers, desks, parking lots, and other school property and equipment for illegal drugs, weapons, or other illegal or dangerous substances or materials, including searches conducted through the use of specially trained dogs Seizure of Property If a search produces evidence that the student has violated or is violating either the law or the school or district's policies or rules, evidence may be seized and impounded by school authorities, and disciplinary action may be taken. When appropriate, evidence may be transferred to law enforcement authorities. Student Searches School authorities may search a student and/or the student's personal effects in the student's possession (such as purses, wallets, knapsacks, book bags, lunch boxes, etc.) when there is a reasonable ground for suspecting that the search will produce evidence the particular student has violated or is violating either the law or the school or district's student rules and policies. The search will be conducted in a manner that is reasonably related to its objective of the search and not excessively intrusive in light of the student's age and sex, and the nature of the infraction. School officials may require a student to cooperate in an investigation if there is specific information about activity on the student's account on a social networking website that violates the school's disciplinary rules or school district policy. During the investigation, the student may be required to share the content that is reported in order for the school to make a factual determination. School officials may not request or require a student or his or her parent/guardian to provide a password or other related account information to gain access to the student's account or profile on a social networking website. Questioning of Students Suspected of Committing Criminal Activity Before a law enforcement officer, school resource officer, or other school security person detains and questions on school grounds a student under 18 years of age who is suspected of committing a criminal act, the building principal or designee will: (a) Notify or attempt to notify the student's parent/guardian and document the time and manner in writing; (b) Make reasonable efforts to ensure the student's parent/guardian is present during questioning or, if they are not present, ensure that a school employee (including, but not limited to, a social worker, psychologist, nurse, guidance counselor, or any other mental health professional) is present during the questioning; and (c) If practicable, make reasonable efforts to ensure that a law enforcement officer trained in promoting safe interactions and communications with youth is present during the questioning. Student Emergency Form At the beginning of each school year, all parents/guardians must fill out a Student Emergency Form for each of their children enrolled in school. Situations may arise that make it necessary for the school to contact a student's parent(s) or guardian(s), i.e., illness, injury, special recognition, or other problems that may arise. Please contact the office with any changes in telephone numbers (both home and work), addresses, emergency contact, and other similar information. Student Records A school student record is any writing or other recorded information concerning a student and by which a student may be identified individually that is maintained by a school or at its direction or by a school employee, regardless of how or where the information is stored, except for certain records kept in a staff member's sole possession; records maintained by law enforcement officers working in the school; video and other electronic recordings (including electronic recordings made on school busses) that are created in part for law enforcement, security, or safety reasons or purposes, though such electronic recordings may become a student record if the content is used for disciplinary or special education purposes regarding a particular student. The Family Educational Rights and Privacy Act (FERPA) and the Illinois Student Records Act afford parents/guardians and students over 18 years of age ("eligible students") certain rights with respect to the student's school records. They are: 1. The right to inspect and copy the student's education records within 10 school days of the day the District receives a request for access. The degree of access a student has to his or her records depends on the student's age. Students less than 18 years of age have the right to inspect and copy only their permanent record. Students 18 years of age or older have access and copy rights to both permanent and temporary records. A parent/guardian or student should submit to the building principal a written request that identifies the record(s) he or she wishes to inspect. Within 10 business days, the building principal will make arrangements for access and notify the parent/guardian or student of the time and place where the records may be inspected. In certain circumstances, the District may request an additional 5 business days in which to grant access. The District charges $.35 per page for copying but no one will be denied their right to copies of their records for inability to pay this cost. These rights are denied to any person against whom an order of protection has been entered concerning the student. 2. The right to have one or more scores received on college entrance examinations included on the student's academic transcript. 1 Parents/guardians or eligible students may have one or more scores on college entrance examinations included on the student's academic transcript. The District will include scores on college entrance examinations upon the written request of the parent/guardian or eligible student stating the name of each college entrance examination that is the subject of the request and the dates of the scores that are to be included. 3. The right to request the amendment of the student's education records that the parent/ guardian or eligible student believes are inaccurate, irrelevant, or improper. A parent/guardian or eligible student may ask the District to amend a record that is believed to be inaccurate, irrelevant, or improper. Requests should be sent to the building principal and should clearly identify the record the parent/guardian or eligible student wants changed and the specific reason a change is being sought. If the District decides not to amend the record, the District will notify the parent/guardian or eligible student of the decision and advise him or her of their right to a hearing regarding the request for amendment. Additional information regarding the hearing procedures will be provided to the parent/guardian or eligible student when notified of the right to a hearing. 4. The right to permit disclosure of personally identifiable information contained in the student's education records, except to the extent that the FERPA or Illinois School Student Records Act authorizes disclosure without consent. Disclosure without consent is permitted to school officials with legitimate educational or administrative 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 and law enforcement unit personnel); a person serving on the School Board; a person or company with whom the District has contracted to perform a special task (such as an attorney, auditor, medical consultant, or therapist); or any parent/guardian or student serving on an official committee, such as a disciplinary or grievance committee, 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 education records without consent to officials of another school district in which a student has enrolled or intends to enroll, as well as to any person as specifically required by State or federal law. Before information is released to these individuals, the parents/guardians or eligible student will receive prior written notice of the nature and substance of the information, and an opportunity to inspect, copy, and challenge such records. Academic grades and references to expulsions or out-of-school suspensions cannot be challenged at the time a student's records are being forwarded to another school to which the student is transferring. Disclosure is also permitted without consent to: any person for research, statistical reporting or planning, provided that no student or parent/guardian can be identified; any person named in a court order; appropriate persons if the knowledge of such information is necessary to protect the health or safety of the student or other persons; and juvenile authorities when necessary for the discharge of their official duties who request information before adjudication of the student. 5. The right to a copy of any school student record proposed to be destroyed or deleted. The permanent record is maintained for at least 60 years after the student transfers, graduates, or permanently withdraws. The temporary record is maintained for at least 5 years after the student transfers, graduates, or permanently withdraws. Temporary records that may be of assistance to a student with a disability who graduates or permanently withdraws, may, after 5 years, be transferred to the parent/guardian or to the student, if the student has succeeded to the rights of the parent/guardian. Student temporary records are reviewed every 4 years or upon a student's change in attendance centers, whichever occurs first. 6. The right to prohibit the release of directory information. Throughout the school year, the District may release directory information regarding students, limited to: Name Address Gender Grade level Birth date and place Parent/guardian names, addresses, electronic mail addresses, and telephone numbers Photographs, videos, or digital images used for informational or news-related purposes (whether by a media outlet or by the school) of a student participating in school or school-sponsored activities, organizations, and athletics that have appeared in school publications, such as yearbooks, newspapers, or sporting or fine arts programs Academic awards, degrees, and honors Information in relation to school-sponsored activities, organizations, and athletics Major field of study Period of attendance in school Any parent/guardian or eligible student may prohibit the release of any or all of the above information by delivering a written objection to the building principal within 30 days of the date of this notice. 7. The right to request that military recruiters or institutions of higher learning not be granted access to your student's information without your prior written consent.1 Federal law requires a secondary school to grant military recruiters and institutions of higher learning, upon their request, access to secondary school students' names, addresses, and telephone numbers, unless the parent/guardian, or student who is 18 years of age or older, request that the information not be disclosed without prior written consent. If you wish to exercise this option, notify the building principal. 8. The right contained in this statement: No person may condition the granting or withholding of any right, privilege or benefits or make as a condition of employment, credit, or insurance the securing by any individual of any information from a student's temporary record which such individual may obtain through the exercise of any right secured under State law. 9. 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: 1 This section is only applicable to high schools. Family Policy Compliance Office U.S. Department of Education 400 Maryland Avenue, SW Washington DC 20202-4605 10. Parents and eligible students may request removal of college entrance exams from the student's academic transcript. 11. Notice must be provided to students and parents/guardians of any other policies related to school student records, including any policy related to the collection of biometric information. Surveys by Third Parties Before a school official or staff member administers or distributes a survey or evaluation created by a third party to a student, the student's parent/guardian may inspect the survey or evaluation, upon their request and within a reasonable time of their request. This applies to every survey: (1) that is created by a person or entity other than a district official, staff member, or student, (2) regardless of whether the student answering the questions can be identified, and (3) regardless of the subject matter of the questions. Parents who object to disclosure of information concerning their child to a third party may do so in writing to the building principal. Surveys Requesting Personal Information School officials and staff members will not request, nor disclose, the identity of any student who completes any survey or evaluation (created by any person or entity, including the school or district) containing one or more of the following items: 1. Political affiliations or beliefs of the student or the student's parent/guardian. 2. Mental or psychological problems of the student or the student's family. 3. Behavior or attitudes about sex. 4. Illegal, anti-social, self-incriminating, or demeaning behavior. 5. Critical appraisals of other individuals with whom students have close family relationships. 6. Legally recognized privileged or analogous relationships, such as those with lawyers, physicians, and ministers. 7. Religious practices, affiliations, or beliefs of the student or the student's parent/guardian. 8. Income other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program. 9. The date and type of any non-emergency, invasive physical examination or screening required as a condition of attendance. The student's parent/guardian may inspect the survey or evaluation and refuse to allow their child to participate in the survey. The school will not penalize any student whose parent/guardian exercised this option. Teacher Qualifications Parents may request information about the qualifications of their child's teachers and paraprofessionals, including: * Whether the teacher has met State certification requirements. * Whether the teacher is teaching under an emergency permit or other provisional status by which State licensing criteria have been waived. * The teacher's college major. * Whether the teacher has any advanced degrees and, if so, the subject of the degrees; and * Whether any instructional aides or paraprofessionals provide services to your child and, if so, their qualifications. If you would like to receive any of this information, please contact the school office. Telephone Students will be allowed to use the office telephone for emergency use only. The use of the phone in the office is a privilege. It should be used only when absolutely necessary. The phone is NOT for routine calls caused by a lack of planning or irresponsibility on the part of the student. LAWS, NOTICES, POLICIES AND FORMS Accommodating Individuals with Disabilities Individuals with disabilities will be provided an opportunity to participate in all school-sponsored services, programs, or activities. Individuals with disabilities should notify the superintendent or building principal if they have a disability that will require special assistance or services and, if so, what services are required. This notification should occur as far in advance as possible of the school-sponsored function, program, or meeting. Animals on School Property In order to assure student health and safety, animals are not allowed on school property, except in the case of a service animal accompanying a student or other individual with a documented disability. This rule may be temporarily waived by the building principals in the case of an educational opportunity for students, provided that (a) the animal is appropriately housed, humanely cared for and properly handled, and (b) students will not be exposed to a dangerous animal or an unhealthy environment. Asbestos Management The E.P.A. is conducting inspections in school districts statewide to determine if they are in compliance with the federal rules and regulations promulgated under the Asbestos Hazard Emergency Response Act. Emergency School Closings In cases of severe weather and other local emergencies, please listen to local radio stations or view local television channels to be advised of school closings or early dismissals. We will also contact you by phone through our Alert Now Notification System. Make sure you keep your contact information current with the school office to receive these messages. Call the weather hotline at 444-1000 for school closings - - please do not call the school. If we dismiss early for an emergency or poor weather conditions, after-school functions may be cancelled. Equal Opportunity and Sex Equity Equal educational and extracurricular opportunities are available to all students without regard to race, color, nationality, sex, sexual orientation, gender identity, ancestry, age, religious beliefs, physical or mental disability, status as homeless, or actual or potential marital or parental status, including pregnancy. No student shall, based on sex or sexual orientation, be denied equal access to programs, activities, services, or benefits or be limited in the exercise of any right, privilege, advantage, or denied equal access to educational and extracurricular programs and activities. Any student or parent/guardian with a sex equity or equal opportunity concern should contact the Superintendent, 516 North Jackson Street, Danville, Illinois 61832, Telephone (217) 444-1000. Invitations & Gifts Party invitations or gifts for classmates should not be brought to school to be distributed. The office is unable to release addresses and phone numbers of students. Mandated Reporters and Reciprocal Reporting of Criminal Activity All school personnel, including teachers and administrators, are required by law to immediately report any and all suspected cases of child abuse or neglect to the Illinois Department of Children and Family Services. Pesticide Application Notice The district maintains a registry of parents/guardians of students who have registered to receive written or telephone notification prior to the application of pesticides to school grounds. To be added to the list, please contact your student's principal. Notification will be given 2 days before application of the pesticide. Prior notice is not required if there is imminent threat to health or property. Safety Drill Procedures and Conduct Safety drills will occur at times established by the school principal. Students are required to be silent and shall comply with the directives of school officials during emergency drills. There will be a minimum of three (3) evacuation drills, a minimum of one (1) severe weather (shelter-in-place) drill, a minimum of one (1) law enforcement drill to address an active shooter incident, and a minimum of one (1) bus evacuation drill each school year. There may be other drills at the direction of the administration. Drills will not be preceded by a warning to the students. School Visitation Rights The School Visitation Rights Act permits employed parents/guardians, who are unable to meet with educators because of a work conflict, the right to time off from work under certain conditions to attend necessary school functions such as parentteacher conferences, academic meetings and behavioral meetings. Letters verifying participation in this program are available from the school office upon request. Sex Discrimination It is the policy of Danville District #118 not to discriminate on the basis of sex in its educational and extra-curricular programs and activities or its employment policies, as required by Illinois PA 79-597 and Title IX of the 1972 Education Amendments. Inquiries regarding compliance with the Illinois sex equity rules and the Title IX regulation may be directed to the Superintendent at 516 N. Jackson Street, Danville, Illinois 61832, Telephone (217)444-1000. Sex Offender Notification Law State law prohibits a convicted child sex offender from being present on school property when children under the age of 18 are present, except for the following circumstances as they relate to the individual's child(ren): 1. To attend a conference at the school with school personnel to discuss the progress of their child. 2. To participate in a conference in which evaluation and placement decisions may be made with respect to their child's special education services. 3. To attend conferences to discuss issues concerning their child such as retention or promotion. In all other cases, convicted child sex offenders are prohibited from being present on school property unless they obtain written permission from the superintendent or school board. Anytime that a convicted child sex offender is present on school property, including the three reasons above, he/she is responsible for notifying the principal's office upon arrival on school property and upon departure from school property. It is the responsibility of the convicted child sex offender to remain under the direct supervision of a school official at all times he/she is in the presence or vicinity of children. A violation of this law is a Class 4 felony. Sex Offender & Violent Offender Community Notification Laws State law requires that all school districts provide parents/guardians with information about sex offenders and violent offenders against youth. You may find the Illinois Sex Offender Registry on the Illinois State Police's website at: http://www.isp.state.il.us/sor/ You may find the Illinois Statewide Child Murderer and Violent Offender Against Youth Registry on the Illinois State Police's website at: http://www.isp.state.il.us/cmvo/ Guidelines for Student Distribution of Non-School-Sponsored Publications A student or group of students seeking to distribute more than 10 copies of the same material on one or more days to students must comply with the following guidelines: 1. The student(s) must notify the building principal of the intent to distribute, in writing, at least 24 hours before distributing the material. No prior approval of the material is required. 2. The material may be distributed at times and locations selected by the building principal, such as, before the beginning or ending of classes at a central location inside the building. 3. The building principal may impose additional requirements whenever necessary to prevent disruption, congestion, or the perception that the material is school endorsed. 4. Distribution must be done in an orderly and peaceful manner and may not be coercive. 5. The distribution must be conducted in a manner that does not cause additional work for school personnel. Students who distribute material are responsible for cleaning up any materials left on school grounds. 6. Students must not distribute material that: a. Will cause substantial disruption of the proper and orderly operation and discipline of the school or school activities. b. Violates the rights of others, including but not limited to, material that is libelous, invades the privacy of others, or infringes on a copyright. c. Is socially inappropriate or inappropriate due to the students' maturity level, including but not limited to, material that is obscene, pornographic, or pervasively lewd and vulgar, contains indecent and vulgar language, or sexting as defined by School Board policy and Student Handbook; d. Is reasonably viewed as promoting illegal drug use; or e. Is primarily prepared by non-students and distributed in elementary and/or middle schools. 7. A student may use the School District's Uniform Grievance Procedure to resolve a complaint. 8. Whenever these guidelines require written notification, the appropriate administrator may assist the student in preparing such notification. A student or group of students seeking to distribute 10 or fewer copies of the same publication on one or more days to students must distribute such material at times and places and in a manner that will not cause substantial disruption of the proper and orderly operation and discipline of the school or school activities and in compliance with paragraphs 4, 5, 6, and Suicide and Depression Awareness and Prevention Youth suicide impacts the safety of the school environment. It also affects the school community, diminishing the ability of surviving students to learn and the school's ability to educate. Suicide and depression awareness and prevention are important goals of the school district. The school district maintains student and parent resources on suicide and depression awareness and prevention. Much of this information, including a copy of school district's policy, is posted on the school district website. Information can also be obtained from the school office. Transportation Reimbursement Eligibility and Dispute Resolution Transportation at district expense will be furnished for all pupils who live 1.5 miles or more from the school they are required to attend. Transportation may be furnished for pupils' ineligible for regular reimbursed transportation under 1.5 miles if parents reimburse the district at a rate established by the Board or if, in the opinion of the Board, and validated by the state Department of Transportation, there exists pedestrian hazards for pupils. Video and Audio Monitoring Systems A video and/or audio monitoring system may be in use on school buses and a video monitoring system may be in use in public areas of the school building. These systems have been put in place to protect students, staff, visitors and school property. If a discipline problem is captured on audiotape or videotape, these recordings may be used as the basis for imposing student discipline. If criminal actions are recorded, a copy of the tape may be provided to law enforcement personnel. Annual Notice to Parents about Educational Technology: Vendors Under the Student Online Personal Protection Act 4 School districts throughout the State of Illinois contract with different educational technology vendors for beneficial K-12 purposes such as providing personalized learning and innovative educational technologies and increasing efficiency in school operations. Under Illinois' Student Online Personal Protection Act, or SOPPA (105 ILCS 85/), educational technology vendors and other entities that operate Internet websites, online services, online applications, or mobile applications that are designed, marketed, and primarily used for K-12 school purposes are referred to in SOPPA as operators. SOPPA is intended to ensure that student data collected by operators is protected, and it requires those vendors, as well as school districts and the Ill. State Board of Education, to take a number of actions to protect online student data. Depending upon the particular educational technology being used, our District may need to collect different types of student data, which is then shared with educational technology vendors through their online sites, services, and/or applications. Under SOPPA, educational technology vendors are prohibited from selling or renting a student's information or from engaging in targeted advertising using a student's information. Such vendors may only disclose student data for K12 school purposes and other limited purposes permitted under the law. In general terms, the types of student data that may be collected and shared include personally identifiable information (PII) about students or information that can be linked to PII about students, such as: Basic identifying information, including student or parent/guardian name and student or parent/guardian contact information, username/password, student ID number * Demographic information * Enrollment information * Assessment data, grades, and transcripts * Attendance and class schedule * Academic/extracurricular activities * Special indicators (e.g., disability information, English language learner, free/reduced meals or homeless/foster care status) * Conduct/behavioral data * Health information * Food purchases * Transportation information * In-application performance data * Student-generated work * Online communications * Application metadata and application use statistics * Permanent and temporary school student record information Operators may collect and use student data only for K-12 purposes, which are purposes that aid in the administration of school activities, such as: * Instruction in the classroom or at home (including remote learning) * Administrative activities * Collaboration between students, school personnel, and/or parents/guardians * Other activities that are for the use and benefit of the school district ______________________________ 4 USE THE SAMPLE TEXT BELOW TO PROVIDE NOTICE TO PARENTS/GUARDIANS ABOUT EDUCATIONAL TECHNOLOGY VENDORS PURSUANT TO THE STUDENT ONLINE PERSONAL PROTECTION ACT, 105 ILCS 85/28(E), ADDED BY P.A. 101-516, EFF. 7-1-21. BEGINNING WITH THE 2021-2022 SCHOOL YEAR, SCHOOL DISTRICTS MUST PROVIDE THIS NOTICE TO PARENTS/GUARDIANS AT THE BEGINNING OF EACH SCHOOL YEAR THROUGH DISTRIBUTION OF SCHOOL HANDBOOKS OR OTHER MEANS GENERALLY USED BY A DISTRICT TO PROVIDE SUCH NOTICES TO PARENTS/GUARDIANS. School Operations During a Pandemic or Other Health Emergency A pandemic is a global outbreak of disease. Pandemics happen when a new virus emerges to infect individuals and, because there is little to no pre-existing immunity against the new virus, it spreads sustainably. Your child's school and district play an essential role, along with the local health department and emergency management agencies, in protecting the public's health and safety during a pandemic or other health emergency. During a pandemic or other health emergency, you will be notified in a timely manner of all changes to the school environment and schedule that impact your child. Please be assured that even if school is not physically in session, it is the goal of the school and district to provide your child with the best educational opportunities possible. Additionally, please note the following: 1. All decisions regarding changes to the school environment and schedule, including a possible interruption of inperson learning, will be made by the superintendent in consultation with and, if necessary, at the direction of the Governor, Illinois Department of Public Health, local health department, emergency management agencies, and/or Regional Office of Education. 2. Available learning opportunities may include remote and/or blended learning. Blended learning may require your child to attend school on a modified schedule. 3. Students will be expected to participate in blended and remote instruction as required by the school and district. Parents are responsible for assuring the participation of their child. Students who do not participate in blended or remote learning will be considered truant. 4. All school disciplinary rules remain in effect during the interruption of in-person learning. Students are subject to discipline for disrupting the remote learning environment to the same extent that discipline would be imposed for disruption of the traditional classroom. 5. Students and parents will be required to observe all public health and safety measures implemented by the school and district in conjunction with state and local requirements. 6. During a pandemic or other health emergency, the school and district will ensure that educational opportunities are available to all students. 7. School personnel will work closely with students with disabilities and other vulnerable student populations to minimize the impact of any educational disruption. 8. Students who have a compromised immune system, live with an individual with a compromised immune system, or have a medical condition that may impact their ability to attend school during a pandemic or other public health emergency should contact school officials. 9. During a pandemic or other health emergency, teachers and school staff will receive additional training on health and safety measures. 10. In accordance with school district or state mandates, the school may need to conduct a daily health assessment of your child. Parents and students will be notified of the exact assessment procedures if this becomes necessary. 11. Parents should not send their child to school if their child exhibits any symptoms consistent with the pandemic or other health emergency. 12. Please do not hesitate to contact school or district officials if you have any concerns regarding your child's education, health or safety. EMERGENCY INFORMATION Emergency Plans and Drills Our school has specific building plans for a variety of emergency situations, and these are reviewed and practiced with students at the beginning of the school year and periodically throughout the year. A copy of our Critical Incidence manual may be viewed in the school office. Evacuation Sites If students need to vacate the school premises, students and staff will walk to the designated areas aligned in the school crisis plan. Parents are asked to not come to the school if an emergency should arise. In order for us to ensure the safety of all students, we need them to be transported to the evacuation site. It will be from the evacuation site that we contact parents/guardians. School Violence Tip-Line The Illinois State Police will administer the School Violence Tip-Line which will provide a means for students to report threats of violence and weapon violations on school grounds. The statewide toll-free number, 1-800-477-0024, will be physically answered at the ISP Communications Center in Springfield. This is an anonymous phone line. State police employees who will forward the information to the local sheriff or police department and the appropriate ISP district will answer calls. The local law enforcement agency will be responsible for notifying the school at which the violent act is supposed to occur. If the school is not in their community, they will ensure that the proper law enforcement agency and school are notified immediately. The Tip-Line is an option in those cases when the caller fears reprisal or if the caller is considering committing acts of violence and is unwilling to sacrifice anonymity. This handbook is only a summary of District 118 Board Policy. Policies may be amended at any time during the year without notice. District 118 Board Policies are available online at www.danville118.org. Communication of policies has been made to all persons expected to comply with them.
Assessment And Mapping Of Land Use/Land Cover, Using Remote Sensing And Gis Techniques; Case Study: Ahable And Wad Grabou Area, Whaite Nile State, Sudan El Gunaid F. Hassan, ElHag A. M. H ABSTRACT: - ———————————————————— THIS study focused on the assessment of and mapping of land use land cover change the White Nile state, Sudan. Through mapping and monitoring, the changes that occurred in land use land cover, due to drought, climate change and mismanagement. The study attempted also to update some information in the study area such vegetation cover and Vegetation density using different methods of data transformation and analysis such as statistical analysis, GIS and remote sensing techniques The Result showed that the White Nile State was rich of forest, agricultural lands and has extensive water resources of 26 million cubic meters from the White Nile water in addition to rain. The state plays a significant role in environmental, social and economic aspects of Sudan. The state has suffered from deforestation and degradation due to natural hazards and human activities. This research conducted by application of remote sensing and investigated the possibility of identification, monitoring and mapping of the land use land cover changes and dynamics in the White Nile state during the last 30 years. The result show that land use land cover structure in the White Nile has obvious Changes and there is strong relations between forest cover changes and land area clearance for agriculture. INTRODUCTION: The terms land cover and land uses used interchangeably in change detection studies, their actual meanings are quite distinct (Seto et al., 2002, Shao and Reynolds, 2006). Land cover refers to the surface cover on the ground, whether vegetation, urban infrastructure, water, bare soil or other. Identifying, delineating and Mapping of land cover are important for global monitoring studies, resource management, and planning activities (Foody and Atkinson, 2002; Aspinall and Hill, 2008). _________________________ El Gunaid F. Hassan, ElHag A. M. H Assistance Professor Field: Natural Resources, Environmental Science Faculty of Agriculture and Natural Resources, Forestry and Range Sciences Department, University of Bakht Er-Ruda Ministry of Higher Education and Scientific Research White Nile state (AD Duwem) Sudan Cell phone 00249911633434 Land use applications involve both baseline mapping and subsequent monitoring, since timely information is required to know which current quantity of land and Which type of use and to identify the land use changes from year to year (Sabins, 1997;Read and Lam, 2002; Campbell, 2002).. Remote sensing techniques are important in acquiring useful data of the earth or its surface by mean of sensors. These remotely collected data will be analyzed to obtain information about the objects, areas or phenomena being investigated (Schowengerdt, 2007; Lillestand et al., 2008). In addition, it includes the analysis and interpretation of the acquired data and imagery, which are the most aspects for environmental scientists to provide relevant information for monitoring earth resources (Landgrebe, 2003; Chuviecoand Huete, 2010). Multi-spectral imagery used for quantification of resources and Monitoring resources during a period. Remote sensing techniques help in developing areas in studying deforestation of changes in vegetation cover. (Barredo and Sendra, 1998).The study objectives are Monitoring, mapping and modelling of land use, land cover change, and explore management tools for forests to maintain the tree component in the farming and the land use system. STUDY AREA: The study has lies in central Sudan, west Elduiem town in El Helba and Wad Gabour area in Elduiem locality, of the White Nile State. The area forms transitional zone between the bank of White Nile River and ElHelba, which is mainly composed of natural rangeland with few scattered relics of the remaining natural forests and few scattered villages and semi-settled areas. The population of the White Nile State in 1998 was around 1,401,895 persons, about 5.8% of the total country population .Those who live in rural centres were 474,682 (39%),those in the rural area were 900,437(64.2%) and the nomads 26,776 (1.9%). The most important tribes are Gemme, Bagara, Seliem, Hassania, Ahameda, Shekhnab, dar moharb (Sabaha and Bini Grare) Shwiahat, Most of the population practicing in the field of traditional farming and grazing, while a few of them practiced trade. The study area lies within two distinctive climatic seasons, the dry warm winter and hot moist summer. The Climate of the area is characterized by a relatively long dry season and a short wet season and the rain ranges from 150 mm/annum in north to 500mm/annum in south. The mean annual rainfall ranges between 200- 300mm and within this range, rainfall increases south words (Gaiballa and Farah, 2004). 194 IJSTR©2013 www.ijstr.org METHODOLOGY: Three false colour composite (FCC) subsets images from Landsat TM and ETM dated (1995, 1988 and 2008) covering the study area (400 Sq hectares for each zone) were used in this study. The fieldwork was conducted during the period 25 to 25th December 2008 aided by GPS receivers (Garmin 12XL). Radiometric and image to ground points geometric corrections were conducted. Global Positioning System (GPS) was used to locate the position of the check sites. Interpretation strategies were applied depending on satellite image interpretation and morphological and differences physical properties (colour, texture, structure…etc). Geo referencing was used to correct and adapt the land sat image geometrically, so that they had comparable resolution and projection as the other data sets. The geometric correction was executed by a first order transformation (affined transformation). Image to image model was used to correct the other images. The Visual interpretation, Change detection, supervised and unsupervised classification was used to classify and define the feature on the satellite imagery. Contrast enhancement, global enhancement and linear Contrast Stretching were used. GIS analyses were used to analyze and recalculated the changes. RESULTS AND DISCUSSION: Visual and digital image interpretation for Zone 1 showed clearly changing forest cover over the period 1988 – 2008. Vast clearance of forests occurred as from 1988 to 1995 indicated by observable difference between the results of year 1988 and year 1995(see figure 1). The major parts of forests extending over the north western and north eastern areas of Zone (I) showed in the classified image of year 1988 have disappeared in 1995 as indicated by the classified image of year 1995. However, some factors in favour of forest recovery might have taken place during the period 1995 – 2008. The forest area lost during 1988 – 1995 has recovered as forest during 1995 – 2008. Figure (1). Indicates that there was increasing areas of scattered trees and shrubs as from 1988 – 1995 and then the area of the scattered trees and shrubs category declined during 1995 – 2008 while Figures (2) and Table (1) showed that the forest cover category declined during 1988 – 1995 and then increased again during 1995 – 2008. The scattered trees and shrubs area was increasing over the period 1988 – 1995 and then decreased during 1995 – 2008. Figure (2) and table (1) show that the agriculture land use in Zone I increased during 1988 – 1995 and the decreased during 1995 – 2008 following the trend of scattered trees and shrubs. On the other hand the bare land decreased in area as from 1988 – 2008. The Result showed that the total area of forest and scattered trees and shrubs In Zone I in 1988 was (90.45 and 74.88 = 165.33 hectare) and at 2005 was (91.98 and 93.78 = 185.76). The net change in forest and scattered trees area during the period 1988 – 2008 was then a positive change of 20.33 hectares resulting from (185.76 165.33 = 20.43 hectares). The change in agricultural and bare land area was negative and equals to (20.43) hectares equivalent to the positive change in area of the forest and scattered trees and shrubs area. This compatibility in forest cover change and agricultural and bare land change is an indication of land use areas exchange between the two groups of categories. The trends of changes in Zone II is to some extent different from that of Zone I. Figure (3) and Figure (4) show that the forest cover change in Zone II increased during 1988 – 1995 and the slightly decreased during 1995 – 2008. On the other hand the scattered trees and shrubs indicate a continuous increase as from 1988 2008. Table (2.) confirmed these trends of forest and scattered trees and shrubs changes in Zone II. However, the forest cover area is very small compared with the area of the scattered trees and shrubs. The agricultural land area over the period 1988 – 2008 did not show large change, indicating a decrease from 181 hectares to 176 hectares during the period 1988 – 2008 but clearly obvious that the bare land area has decreased from 118 hectares in 1988 to 45 hectares in 2008. Figure (4) indicate the net change of cover of forests and scattered trees and shrubs categories is positive and is equal to (78.58 hectares) as obtained from table (2). The net change in the area of agricultural land and bare land is on the other hand negative and equals to (78.58 hectares) table (2). As shown for the case of Zone I, there is also compatibility in forest cover change and agricultural and bare land change and that is an indication of land use areas exchange between the two groups of categories. Result of Zone III is to some extent similar to that of Zone II. Figure (5) and Figure (6) showed that the forest cover change in Zone III increased during 1988 – 1995 and then decreased during 1995 – 2008. On the other hand the scattered trees and shrubs indicate a declining trend as from 1988 - 2008. Table (3) confirmed these trends of forest and scattered trees and shrubs changes in Zone III. The agricultural land area on the other hand indicates an increasing trend over the period 1988 – 2008 while the bare land area seems to show limited change. The net change of cover of forests and scattered trees and shrubs categories in Zone III is on the other hand negative and is equal to (25.39 hectares) as obtained from table (3). However, the net change in the area of agricultural land and bare land categories taken together is positive and is equals to (25.39 hectares) also obtained from table (3). For the case of Zone I and Zone II the net changes of forests and scattered trees and shrubs categories was in both categories a positive, but for the case of Zone III the change was negative. However, there is also compatibility in forest cover change and agricultural and bare land change and that is an indication of land use areas exchange between the two groups of categories. Table (3) indicates that forest cover changes in Zone III is different from that in Zone I and Zone II in that the forest and scattered trees and shrubs areas are declining and the lost area goes for agriculture. CONCLUSION AND RECOMMENDATION: The study revealed different signs of land degradation in the study area due to drought, climate change and miss managements. These changes indicated decrease in vegetation cover and trees productivity, decrease in vegetation cover, expansion bad management from the government around and inside the study area. These signs could be revised with the use of vegetation indicators. Land degradation as reduction in biological productivity can be interpreted from vegetation cover in the study area. The classified images and the represents clear indications of the land use exchanges. These analyses indicate the strong relations between forest cover changes and land area clearance for agriculture. The land area balance for forest and scattered trees and shrubs categories is in all cases equals to the land area balance for the agriculture and bare areas land. 195 IJSTR©2013 www.ijstr.org Based on these finding the following recommendation can be stated: 1. Adoption of development policies popular landscaping. 2. Developing national policies for grazing and forest protection. 3. Encourage people to work for the protection of the natural environment 4. New policies and practices of in the field of forest monitoring and management should be adapted by the government. REFERENCE: [1] Aspinalls, R. J. and Hill, M. j. 2008. Land use change, science policy and magamegent.New York CRC Press, Taylor and Francis Group. [2] Barredo, J. I. and Sendra, J. B. 1998. Multi-criteria evaluation methods for ordinal data ina GIS environment. Geographical Systems, 313-327. [3] Campbell, J. B. 2002. Introduction to remote sensing. (3rd ed.), Taylor and Francis. [4] Chuvieco, E. and Huete, A. 2010. Fundamental of satellite remote sensing, Taylor andFrancis Group, New York. [5] Foody. G. M. and Atkinson, P. M. 2002. Uncertainty in remote sensing and GIS, JohnWiley and Sons, London. [6] Gaiballa.A.K.andFarah,A.M.2004.Aproposed plan for research in deserrtification in Sudan:White Nile State,proceeding in the National Forum of Scientific Research on Desertification on Sudan,University of Khartoum.(2004). [7] Landgrebe, D. A. 2003. Signal theory methods in multispectral remote sensing. HobokenN. J. Wiley. [8] Lillesand, M. T., KIefer, W. R. and Chipman, N, J. 2008. Remote sensing and imageinterpretation (6th ed). John Wiley and Sons, Inc, New York. [9] Read, J. M. . Lam, N. S. N. 2002. Spatial methods for characterizing land cover and detecting land cover changes for the tropics. International Journal of RemoteSensing, 23 (12): 2457-2474. [10] Sabins, F. F. 1997. Remote sensing, principles and interpretation. (3rd ed). W. H. Freemanand Company, New York. [11] Schowengerdt, R. A. 2007. Remote sensing, models and methods for image processing. (3rd ed), Elservier Inc. New York, USA. [12] Seto, K. C., Woodcock, C. E., Song, C. Huang, X., LU. andKaufmann,R. K. 2002.Monitoring landscape change in the Pearl River Delta using Landsat TM.International Journal of Remote Sensing, 23 (10): 1985-2004. [13] Shao, and Reynolds, K. M. 2006. Computer applications in sustainable forestmanagement: including perspectives on collaboration and integration. Springer Netherlands. IJSTR©2013 www.ijstr.org 196 Figure (4) land use areas (1988 – 2009) Zone II IJSTR©2013 www.ijstr.org 197 TABLE (2) AND USE CHANGES OVER THE PERIOD L 1988 – 2008, Z ONE II IJSTR©2013 www.ijstr.org 198
Candidate brief for the position of: Audit Director (Accounts) – Welsh desirable August 2022 Page 1 of 8 - Foreword By the Auditor General for Wales Hello. Thank you for taking an interest in Audit Wales. I hope that as you learn more about who we are and what we're aiming to achieve, you'll want to come and join us. I've been the Auditor General for Wales and Chief Executive of Audit Wales for over four years now. It's an amazing job: appointed by the Queen, entirely independent of government, with a unique perspective across the whole of the public service. I am privileged to lead a team of 286 superb professionals who are passionate about driving change and improvement in public services and democratic accountability. What struck me most when I took up the role was not only the quality of what we do already, but our simply enormous potential to influence positive change across the whole of the public service in Wales. We audit the financial accounts and performance of most of the Welsh public sector: organisations spending around £24 billion each year including the Welsh Government, the NHS, police and fire, local government and numerous other public bodies. We also have an important role in auditing the way that public bodies are implementing the ground-breaking Well-being of Future Generations Act. So, if you are passionate about driving accountability and improvement in public services; if you want to work with great people who are dedicated to making a difference; if you have the interpersonal skills to inspire and empower others; and if you want to have fun along the way, please read on because I'd love you to apply. Adrian Crompton Audit Wales The Organisation Audit Wales is the umbrella term describing the Auditor General for Wales and the Wales Audit Office (which are separate legal entities). Audit Wales aims to assure the people of Wales that public money is well managed; explain how public money is being used to meet people's needs; and inspire and empower the Welsh public sector to improve. The Auditor General is the statutory external auditor of most of the Welsh public sector, encompassing local government, police, fire and rescue authorities, national parks, community councils, Welsh Government and its sponsored and related public bodies, the Senedd Commission and NHS Wales. The Auditor General's role includes examining how public bodies manage and spend public money, including how they achieve value in the delivery of public services. The Auditor General publishes reports on that work, some of which are considered by the Senedd's Public Accounts and Public Administration Committee. He also reports every year on how well individual local authorities are planning for improvement. The Office of Auditor General for Wales was created in 2005 and the current incumbent, Adrian Crompton has been in the post since July 2018. The post is independent of the Welsh Government and Senedd and can be held by an individual for a maximum of 8 years. Audit Wales' core activity includes: * Auditing over 800 Welsh public bodies each year (scheduled financial and unscheduled performance audits) * Supporting effective scrutiny including the work of the Senedd Committees * Delivering a programme of value for money examinations and studies * An extensive programme to share good practice and learning across the public sector * Certifying grant schemes worth c£2.5 billion * Facilitating the detection of fraud and error through the National Fraud Initiative * Approving c£1 billion of payments from the Welsh Consolidated Fund every month Audit Wales audits around £24 billion of income and expenditure annually which is over 25% of Welsh GDP. Increasingly, they are considering the stewardship of human and natural resources, alongside consideration of financial resources and the way in which public bodies account for their use. They also identify good practice from across their audit work and disseminate this through their Good Practice Exchange and other media. Today, the organisation employs 286 staff across 3 sites, Cardiff, Penllegaer and Abergele. Audit Wales has an annual budget of c£24m which is generated mostly from audit fee income (70%) and from payment directly from the Welsh Consolidated Fund (30%). Strategy Audit Wales' aims are to: * Assure – the people of Wales that public money is being managed well * Explain – how public money is being used and how it meets people's needs * Inspire – and empower the Welsh public sector to improve Audit Wales have an Annual Plan 2022-2023 which sets out what they plan to do in the coming year to achieve their organisational ambitions, which are to: * Fully exploit Audit Wales' unique perspective, expertise and depth of insight * Strengthen Audit Wales' position as an authoritative, trusted and independent voice * Increase Audit Wales' visibility, influence and relevance * Be a model organisation for the public sector and beyond Culture Underpinning their culture at Audit Wales are the values and behaviours: To find out more about our organisation, please visit https://www.audit.wales The Role We are looking to recruit an Audit Director (Accounts) role, holding primary responsibility for a portfolio of audit work, including delivery of financial accounts and proper arrangements work. As a Director within Audit Services, you would be accountable to the Executive Director for Audit Services and to the Auditor General for Wales. The collective Director Team supports the Executive Leadership Team by providing strategic leadership and direction across the organisation. The appointee will model the values and behaviours that underpin Audit Wales, motivate colleagues through a culture of coaching and development and bring the dynamism and strategic leadership needed to realise their potential as a driver of improvement in Welsh public services. Our Audit Services employment model is as follows: * Financial Audit – 160 staff comprised of 5 Accounts Audit Directors (to include this vacant role); 19 Audit Managers; 17 Audit Leads; plus, Senior Auditors, Auditors, Trainees, Data Analysts, and Apprentices * Performance Audit – 57 staff comprised of 3 Performance Audit Directors, 12 Audit Managers; 22 Audit Leads; plus, Senior Auditors and a Performance Support Officer. General Responsibilities (Accounts) * Engagement Director on a number of audits / audit projects, with responsibility for the overall direction and quality of those audits, including dealing with correspondence from the public. * Responsible for delivery of a significant budgeted fee income and / or draw down of Consolidated Fund financing across a varied portfolio of audited bodies. * Be the senior point of contact in Audit Wales for our work on those audits. * Responsible for building and maintaining effective relationships with key internal and external stakeholders at a senior level, including representing Audit Wales and the Auditor General at relevant external forums and events. * Actively support the delivery of the Audit Wales Annual Plan, contributing to the work of Director Team and other forums as necessary. * Provide direct line management for audit managers on projects and as part of cluster management arrangements. * Have lead responsibility for one financial audit cluster (approximately 30 staff in each). * Undertake lead roles on other functional activities as directed by the Executive Director Audit Services. * Champion the strategic importance of people, talent management and development issues, building a strong culture of continuous learning and knowledge sharing. Specific Responsibilities * Deliver a portfolio of audit work efficiently and within Audit Wales' quality expectations. * Develop constructive professional relationships with senior officers and non-executives, members, etc at audited bodies and in other stakeholders. * To act as a role model for the values and behaviours of Audit Wales. * Embed a culture of value-for-money in Audit Wales, working collaboratively and collegiately across Audit Wales to ensure that Audit Wales maximises its strategic outcomes within the resourcing available. * Develop and actively protect the reputation of the Auditor General and Audit Wales creating a sense of pride in all work undertaken. * Build a performance culture to deliver high-quality and timely outcomes. Knowledge, Skills and Experience * Educated to degree level or equivalent. * CCAB professional qualification and up to date CPD accreditation. * Strong audit and accounting technical skills. * Extensive knowledge of audit legislation, regulatory environment and professional standards. * Good Understanding of the Welsh Public Sector, the related political environment and the AGW / Audit Wales' place within it. * Strong leadership skills which promote collaboration, continuous improvement, customer focus, motivate and develop staff and ensure delivery of high-quality audits and a positive organisational culture. * Ability to build, develop and maintain positive organisational reputation with key clients. * Excellent communication skills. * Ability to produce clear reports, presentations, and guidance for both internal and external audiences and explain clearly, complex, technical issues. * Ability to portray the organisation in a positive light in all forms of communication. * Experience of dealing with external media and press releases in both written and verbal formats, providing clear and concise information. * Internally to motivate and support staff from multi-disciplinary backgrounds. * Ability to develop and maintain positive and professional working relationships with people at all levels at audited bodies and internally. * Ability to respond professionally and promptly to all internal and external requests for factual information. * Ability to carefully and patiently explain, discuss and clear audit reports with audited bodies and other parties. * Proven line management skills. * Build high performing multidisciplinary engagement teams. * Champion the strategic importance of people, talent management and development issues, building a strong culture of continuous learning and knowledge sharing. * Ability to work under pressure and to respond quickly to changing circumstances, incomplete information and to tight timetables. * Work productively with colleagues across the organisation to ensure a coordinated, efficient, and effective service delivery to clients and stakeholders. * Deliver a large volume of complex tasks to agreed budget, timetable, and quality standards. * Excellent strategic and analytical thinking and skills. * Consistently apply sound judgement in dealing with complex and time-pressured inter-linked issues with imperfect information which could have a significant impact on key audit judgements and consequently on the reputation of the AGW/AW and client bodies. * Manage the delivery of a variety of projects with competing demands and resources to time, cost, and quality. * Autonomy in managing client relationships as the senior point of contact – representing the Auditor General. * Confident operating in a digital environment, using a range of software tools to support project delivery and demonstrating a willingness to learn/develop new skills. Personal Attributes * Able to work flexibly to deliver defined responsibilities. * Able to develop and maintain positive and professional working relationships with both Audit Wales staff and external contacts. * Ability to deal sensitively and discreetly with confidential information. * Be proactive in keeping abreast of issues relating to their work area. * Take clear ownership and accountability for their own continuous learning and professional development. * Tactful yet firm, persuasive and with negotiating skills Terms & Conditions and Location * This appointment is being offered on a permanent basis. * Location –Appointees can be based remotely as long as they are able to travel to their set location of work typically expected to be 2-3 days a week. * Competitive base salary of c£78,000-£82,000 on appointment with progress subject to performance (top of salary band is c£97,000) * 33 days leave plus 8 days public holidays * Pension – the Civil Service Pension Scheme (employee contribution rate 7.35%: employer contribution rate 30.3%) * Relocation of up to £8,000 Process and How to Apply Ann-Marie Harkin, Executive Director for Audit Services will chair the final appointment process. Candidates are invited to apply via our website. The closing date for applications is 18 September 2022 at midnight. For further information, please call Derwyn Owen for a confidential conversation on 02920 320651. The Auditor General has also offered to speak to anyone interested in finding out more about the role. If relevant, please also submit a completed Guaranteed Interview Scheme Form if applying under this scheme. Applications that do not include all the required documents will not be accepted. We welcome applications in Welsh or English. Applications made in Welsh will not be treated less favourably than those made in English. All applications will be acknowledged.
MODERN SUSTAINABILITY APPROACHES IN TRANSFORMATION OF PROTECTED LANDSCAPES INTO LEISURESCAPE: RUSSALKA HOLIDAY VILLAGE, BULGARIA Radosveta Kirova-Delcheva 1, independent scholar Abstract: Details of establishment and construction history of "Russalka Holiday Village" in the context of mass tourism, including its present state following the years after the regime collapse in 1989 contextualize application of environmental strategies implemented in its original modernistic urban, architectural and landscape design. Purged from the regime ideology, the research opens the debate about evaluation and heritage protection within the national legislative framework and preservation of "Russalka Holiday Village" in the context of the Bulgarian post-war modern architecture. Highlighting the influence of nature and environment in its architectural and horticulture agenda, the discussion emphasizes the polarities between the modern architecture's approaches and the contemporary sustainability discourse of designing a resort within a wild protected area on one hand and the quality of comfort and the tourist services addressing the modern paradigm for " leisure for all" on the other. Key words: leisure era, modern architecture and sustainability, natural reserve, sustainable approach, symbiotic architecture, heritage at risk 1. Introduction. Modern architecture and the era of leisure and mass tourism The ideological basis for the development of mass tourism was set up in the pre-war years on the 5 th International Congress of Modern Architecture (CIAM 5, 1937) held in Paris with the proclamation of leisure that had been already defined as one of the four functions of modern urbanism for "an obligation of the community for all". Thus the postwar optimism envisaged leisure as a social attainment of modernity and postulated the right for holidays and access to recreation for everyone. The new social-life model of the leisure era 2 claimed the onetime pre-war elitе-reserved privileges for the middle working class addressing at the same time the potential of the landscape for relaxation, pleasure and healthy living. [1] [2] 1 Radosveta Kirova-delcheva, PhD, Sofia, firstname.lastname@example.org 2 Focus of the 5th International Congress of Modern Architecture (CIAM 5) held in Paris from June 28 to July 2 of 1937 was precisely on the consequences of leisure in the design of the functional city demonstrated by its topic Logis et Loisirs [Dwelling and Leisure] and Le Corbusier's (1887–1965) proclaimation of housing and leisure as essential goods that should be guaranteed as public services, "an obligation of the community for all". [2] 2. Establishment of "Holiday Village Russalka" operated by "Balkantourist" and part of the „Club Méditerranée" Ironically, establishment of the Bulgarian state monopolist tour operator "Balkanturist" that later played a major role in Bulgarian touristic policy for development of international tourism was founded by the Communist government in 1948 as a selfsustaining enterprise of the Ministry of Railways in order to provide barter vacations for Czechoslavakian citizens as compensation for the nationalized Czech enterprises in Bulgaria. 3 [3] Although founded as a part of the governmental programme for attracting foreign tourists in Bulgaria and operated by the state monopolist "Balkantourist", the exclusive services of "Russalka" were not accessible for all but only for western tourists. Since its establishment in 1968 until 1990 Russalka Holiday village used to served exclusively foreign tourists, members of „Club Méditerranée"– predominantly French, but later also Italian, Belgian, Spanish and Austrian tourists. Access to the holiday village was prohibited for Bulgarians, exceptions were made only for the resort personnel and administration. Within a short time the mass tourism on the Black sea became a leading business sector in Bulgaria, attracting many tourists not only from the Czech Republic but also from the whole former Eastern bloc - Soviet Union, East Germany, Poland, Hungary, Romania and even tourists from West Germany. Gradually "Balkantourist"'s services expanded from predominantly seaside to include also mountain and cultural tourism. By launching the construction of the Bulgarian mega Black sea resorts in the mid 50-s – "Suuny beach" (1956-66) and "Golden sands" (1957-74), inspired by other countries such as Greece, Yugoslavia and Romania for development of own seaside resorts, the period of major international tourism in Bulgaria was initiated. [4] In contrast to the tourist concept of the voluminous and also operated by the monopolist "Balkantourist" Bulgarian Black sea resorts "Druzhba", "Golden Sands" and "Sunny Beach", the small-scale, located in the wilderness "Russalka" followed the model of the headquartered in France all-inclusive vacation „Club Méditerranée". Establishment of "Russalka holiday village" in 1968 pioneered about two decades the construction of resorts of the type "Duni" and "Elenite" in the mid-1980s. [5] In fact, the first attempt of setting up a „Club Méditerranée" in Bulgaria in 1966 within the "Sunny beach" resort failed. The secluded location of the present "Russalka holiday village" situated close to cape Kaliakra, North to Varna and respectively its airport, was carefully chosen by the French tourist managers as a result of investigating the whole length of the Bulgarian Black sea coastal line by helicopter. [6] The innovative touristic agenda of "Russalka" which followed the model the French „Club Méditerranée" vacation club provided all-inclusive packages. Besides food and accommodation the service package also included various ultimate entertainment and sport services and facilities, that in general the other Bulgarian mega resorts were deprived of: diving, riding and yachts clubs, tennis and children's playgrounds, a shopping center, pelloid and mineral baths. The ancient and prehistoric rock-dwellings and wineries, as well as the Byzantine archeological remains in Yailata (Kamen briag) along with the natural underwater museum accessible by the divers contributed for the high quality of the provided cultural touristic product. 3 The idea for the favourable for Bulgaria cash-saving barter was suggested by the Czechoslavakian leader Klement Gottwald to the prime minister of the burdened with heavy war reparations Bulgaria Georgi Dimitrov and it included free vacation for his fellow citizens on the Black Sea in exchange for the nationalized by the communist authorities of the Czech industrial enterprises in Bulgaria. [3] A team of Bulgarian architects, landscape architects and civil engineers prepared the master plan, the architectural, landscape and horticulture design of the holiday village under French guidance and counselling. The architecture team responsible for the architecture design and the masterplan was led by Marin Marinov and also included Simeon Dimitrov and Venelin Zhechev, Krastan Karakashev was responsible for the landscape design as well as the horticulture. [7] Construction of "Russalka" started in the beginning of 1968 and lasted only several months as the resort was opened in the summer of the same year. "Russalka holiday village" become very popular in Europe, attracting annually between 6000-7000 foreign tourists during its long-season operation from May to October. Until today it stays quite unpopular on a national level among Bulgarians and is a favourite place for holiday due to the well preserved wilderness for tourists from Romania, Russia and Central Europe. 3. Modern sustainability approach and the concept of symbiotic architecture of "Russalka holiday village" "Russalka Holiday Village" pioneered establishment of the specific type of leisure architecture in Bulgaria and distinguished itself among the portfolio of the Bulgarian state monopolistic tour operator "Balkantourist" by its unique touristic and architectural agendas due to the involvement of „Club Méditerranée". The masterplan of "Russalka" follows organically the terrain and consists of seafacing bungalows or villas of different types carefully grouped in mosaic volumes set within the existing forest frame in order to save as much as possible of the existing trees. For the same reason the sport facilities, the shopping centre and the panoramic-terrace restaurant are situated on the bare coastal cliffs. Outstanding features of its architectural and landscape design are the implementation of innovative sustainable strategies such as the organic masterplan, acupunctural landscape and horticulture design long before they were commonly used in 21 st century architecture. The concept of symbiosis between architecture and nature of "Russalka Holiday village"'s masterplan and landscape design was preconditioned by the exclusiveness of its location within the Kaliakra natural reserve of steppe, cliff and marine habitats, the local mineral-spring and peloid resources. The secluded coastal spot of rather Mediterranean character features a cut rocky coastline, picturesque caves, small tucked away inlets and coves, limited fine golden sand and pebble stripes framed by a century-old oak forest alternated by abundant steppe vegetation. The wilderness of the Birds' wharf on Via Pontica migration bird highway provides feeding, nesting and wintering of numerous waterfowls such as little bitterns, small loons, cormorants, hoopoes, thick–billed larks, black-backed wheatears, kingfisher, ducks, waders, gulls, etc., various steppe grass inhabitants and reptiles. [8] The design team tackled rather successfully the architectural and landscape design challenges concerning transformation of the natural reserve into a modern leisurescape implementing innovative sustainable strategies providing for its guests literally fulfilled the modern paradigm for "direct contact with nature". Since nowadays natural reserves are prohibited for construction areas, the idea for situating a holiday village within a natural reserve is at least disputable from contemporary point. Construction of "Russalka" in the second half of the 20 th century addressed the claim for collective happiness and the right to holidays proclaimed by CIAM 5 in 1937 on the assumption that "the environment forms the individual". The innovative landscape design of Krastan Karakashev implements afforestation of the bare seacoast and gentle for the existing wild verdure micro interventions such as saving as much as possible of the existing wild verdure and oak forest and supplement of the removed trees with Mediterranean coniferous and deciduous species, preservation of the indigenous vegetation in both the micro-horticulture and macro-masterplan scale instead of designing the ubiquitous flower parterres, stepping-stones pedestrian promenades leading from the villas to the seashore and a breakwater protection of the central cove used by the yacht club. The original masterplan of "Russalka" includes measures as prohibited for motor vehicles resort area, a few main cobble-stone pedestrian and low-velocity vehicles alleys for maintenance and direct access from the lawn of the bungalows. The unique characteristic ring seashore terraces of "Russalka Holiday Village" were designed by Krastan Karakashev for enlarging the limited sand stripes and serve both as sand pools and micro swimming pools. The modernistic urban and architectural agenda "Russalka holiday village" consists of 525 mainly one- and two- but maximum three-storey villas, each with own bathroom and provided accommodation of simple yet high level of comfort for about 1000 tourists. The minimalistic, human scale architecture of "Russalka" villas features traditional materials such as white lime coating, wood and stone cladding and wooden banisters in combination with modernistic flat roofs. Repetitive modular design mimics the rocky terrain and interprets the terraced architectonics of the traditional settlements from the Bulgarian Revival period such as Veliko Tarnovo, Nessebar and Kovachevitsa in a modernistic way, providing panoramic view for each villa. The archeological remnants of a fortress's wall were integrated in the panoramic seaside restaurant designed by Venelin Zhechev who intentionally incorporated the idea of a shipwreck on the cliffs in its design. "Russalka"'s architectural appearance characterizes of the aesthetic of clarity and utility of the modern architecture but also features of contemporary sustainable strategies unusual for the second half of 20 th century such as maximal reversibility of the concrete plots and structures, white lime coatings and light colour of the original flat roof coverages, adequate-orientated rooms protected by semi-opened terraces and verandas and big eaves for advanced sun protection and climatic sustainability. Interesting comparison could be made with the modern architecture approaches in construction of "Golden sands" where the existing small swamp inhabited by water turtles was removed for the erection of the high-raise hotel "International" that was possible only due to the constant work of the water pumps installed in its basement. . b) The virgin cliffy cape before its afforestration and construction of "Russalka"'s panoramic restaurant © Raschev, S., Die Bulgarische Schwarzmeerkuste, Sofia Press, 1968, p. 21 [9] a) The seaside panorama restaurant "Russalka" designed by Venelin Zhechev © R. Kirova, 2019 c) The renovated villas of "Russalka" were added veranda appendixes © R. Kirova, 2019 d) Part of the originally designed characteristic ring seashore terraces of "Russalka Holiday Village" were removed© R. Kirova, 2019 Finally, despite of the delicate and adequate design approach of "Russalka" still the local virgin ecosystem was negatively affected by its construction and rare protected species such as the ruddy shelduck (Tadorna ferruginea) and the monk seal (Monachus monachus) eventually became extinct. 4. Preservation of "Russalka holiday village" as an outstanding piece of modern architecture heritage in Bulgaria Soon after the regime fall in 1989 "Balkantourist" has become a private enterprise and its property including "Russalka holiday village" was sold. Renovation of the situated close to the sea part of the holiday village includes enlargement of the villas by utilization of the verandas' volumes and adding of new verandas, maintenance of the flat roof details, installation of roof solar water heaters, replacement of the existing decrepit furniture and replacement of the shabby wooden banisters of the verandas with metal railings. Owned by a private owner "Russalka" is managed today as less than 20% of the 522 villas of "Russalka" are renovated аnd function and enjoy touristic attention due to the unique virgin-nature environment. Although left in deterioration with decrepit cladding and isolation details, the rest of the villas still keep the original interiors from the late 1960s. Still, except from the partial removal of the originally designed characteristic ring seashore terraces and the central-cove pier of the yachts club together with the later constructed large beach swimming pool in 2010-11, in general the original masterplan is still intact. [7] After "Russalka" had become private enterprise it turned out that there were certain misses in its inherited from "Balkantourist" construction papers concerning part of the originally designed sea shore infrastructure which was difficult to stay concerning the profound changes in the eco-legislation. Regardless the alert need for overall conservation and overhaul of exterior and interior spaces, the acupunctural, wilderness-preserving landscape design and masterplan as well as the architectural authenticity of the oldest Bulgarian holiday village, the already half-century old "Russalka" demonstrates the highest degree of architectural authenticity and is the best preserved among the "Balkantourist" resorts today. 4. Conclusion "Russalka Holiday Village" is an outstanding sample of modern architecture in Bulgaria which represents the successful yet adroit and acupunctural implementation of the bold and extraordinary idea for incorporating a resort into a natural reserve and the dextrous transformation of a wilderness into a modern leisurescape. Regardless of or namely owing to the poor management of "Russalka" which embodies the modern credo from the era of leisure for "direct contact with nature", its architectural, urban, and landscape authenticity are preserved to a practically utmost level. Architectural and landscape agendas of "Russalka" are of outstanding value for Bulgarian modern architecture heritage as the oldest Bulgarian Black sea holiday village is undoubtedly a product of modern architecture and embodies its principle for "direct contact with nature" born on CIAM 5, but at the same time is a precursor of various contemporary sustainable approaches. Since in 2019 "Russalka holiday village" is expecting to change soon its owner, it is important the public attention for its preservation and conservation as valuable example of modern architecture in Bulgaria to arise: a balanced and ideologically devoided debate for the legacy of modern holiday architecture in Bulgaria from the second half of 20 th century, a discussion about the preservation, maintenance and re-use of modern buildings and sites in accordance with a responsible evaluation of the landscape in environmental and sustainable terms. REFERENCES [2] Lobo, S. From paid holidays to mass tourism: a typological evolution, Architecture of the Sun: DOCOMOMO Journal 60, 2019, 5-7 [1] Tostoes, A. The right to holidays or the emergence of an era of optimism, Architecture of the Sun: DOCOMOMO Journal 60, 2019, p. 4 [3] Moussa, M., Constructing Tourism in Greece in 50s and 60s: The Xenia Hotels Project, - Journal Of Tourism Research 2241 – 7931, 2017, 264-279 [5] Троянска, Н. Русалка – история между две хилядолетия, https://bratbg.com/bg/interesting/bg-incognita/on-sea/resorts/5893-rusalka-istoriya-mezhdu-dve- [4] Иванов, Д. Създаване на държавно-организираният туризъм в България, „От Девети до Десети" http://monitor.bg/, https://www.fixstay.com/bg/article/216/soc.html hilyadoletiya [7] Petkov, N., G. Katsarski, Varna: Architecture and Construction 1944-1990 [in Bulgarian],Varna, Fil, 2018, p. 93, 111,118 [6] Kovachev, А., Gradoustroistvo: Osnovi na Teoriata i Praktikata na Gradoustroistvoto [in Bulgarian], Part I, Sofia-Moscow, Pensoft, 2003, 277-278 [8] Plan za upravlenie na rezervat Kaliakra [in Bulgarian], accessed on February 25, 2019, http://bbf.biodiversity.bg/Management-Plans, p. 392 [9] Raschev, S., Die Bulgarische Schwarzmeerkuste, Sofia Press, 1968, p. 21
OPEN Research Rates of colonization with extended-spectrum β-lactamase– producing Escherichia coli in Canadian travellers returning from South Asia: a cross-sectional assessment Gisele Peirano PhD, Daniel B. Gregson MD, Susan Kuhn MD, Otto G. Vanderkooi MD, Diego B. Nobrega DVM, Johann D.D. Pitout MD Abstract Background: A previous study in Calgary showed that travel to India was associated with high risk of community-onset infections with extended-spectrum β-lactamase (ESBL)–producing Escherichia coli. We performed a follow-up study to determine the rate of rectal acquisition of ESBL-producing E. coli among travellers to South Asia and to identify the behaviours putting such travellers at high risk for acquiring ESBL-producing E. coli. Methods: The study was performed at a travel clinic in Calgary. Travellers 18 years or older who were planning to visit South Asia for a period of at least 5 days were included. Three rectal swabs were obtained, and 2 questionaires were administered (before and after travel). Results: A total of 149 travellers participated between January 2012 and July 2014; of these, 116 (78%) provided rectal swabs upon return to Calgary and completed both pre- and post-travel questionaires. Of the 109 travellers without colonization with ESBLproducing E. coli upon enrollment, 70 (64%) acquired ESBL-producing E. coli during travel. Of the 90 participants who visited India, 66 (73%) were positive for ESBL-producing E. coli upon their return to Calgary. Most ESBL-producing E. coli specimens were identified as producing the enzyme CTX-M-15. Behaviours associated with a statistically significant risk of acquiring ESBL-producing E. coli included visiting India (odds ratio [OR] 19.9, 95% confidence interval [CI] 4.5–88.8), consuming meals with the local population (OR 6.9, 95% CI 1.2–39.6), taking any type of antibiotic during travel (OR 4.3, 95% CI 1.3–14.3) and travelling for any purpose other than business (OR 12.4, 95% CI 2.8–55.2). Interpretation: In this study, travel to India was associated with the highest risk of acquiring ESBL-producing E. coli relative to travel to other countries in South Asia. Nonbusiness travel, consuming foods with the local population and the use of antibiotics while travelling were associated with an increased risk of acquiring these antibiotic-resistant organisms while in India. Trial registration: ClinicalTrials. gov, no. NCT01296165. T he World Health Organization (WHO) has cited antimicrobial drug resistance as one of the major challenges to global health. 1 The WHO is especially concerned about the global spread of drug-resistance in Escherichia coli because this species is the most common gram-negative bacterium associated with bloodstream and urinary tract infections in both developed and developing countries. 2 Before the 2000s, most E. coli strains were susceptible to first-line antibiotics (e.g., cephalosporins and fluoroquinolones), which are often used to treat infections due to E. coli. 3 However, a 2014 WHO report stated that resistance to the cephalosporins and fluoroquinolones among E. coli is widespread, and in many parts of the world, these agents are now ineffective for more than half of E850 CMAJ OPEN, 5(4) patients. 1 Global resistance to the cephalosporins among E. coli is mainly due to the production of extended-spectrum β-lactamases (ESBLs), especially the enzyme CTX-M-15. 4 Since the late 1990s, international travel has grown by about 6% per year. 5 According to the International Air Transport Association, 6 about 1.333 billion passengers were trans- Competing interests: None declared. This article has been peer reviewed. Correspondence to: Johann Pitout, firstname.lastname@example.org CMAJ Open 2017. DOI:10.9778/cmajo.20170041 © 2017 Joule Inc. or its licensors ported over international borders during 2014 6 and about 320 million people visited Asia, northern Africa and the Middle East per year. 7 Overseas travel as a risk factor for the acquisition of infections due to antibiotic-resistant E. coli , including resistance involving ESBLs, is a relatively recent phenomenon. 3 A previous study from Calgary during the mid-2000s showed that travel to India was associated with high risk of community-onset infection with ESBL-producing E. coli among returning travellers. 8 India is an important overseas destination for Canadians because of migration patterns, and reports have indicated that more than 70% of E. coli isolated from the Indian community in Canada produce ESBLs. 9 Therefore, it is conceivable that foreign travel to India potentially plays an important role in the spread of antibiotic resistance, more specifically resistance due to ESBLs, in Canada. We designed a follow-up study to determine the rate of rectal acquisition of ESBL-producing E. coli among travellers to South Asia (including India) and to identify the potential behaviours putting these travellers at high risk for rectal acquisition of ESBL-producing E. coli. Methods Setting and participants We did not approach travellers directly to participate in the study. Instead, posters were displayed in the waiting room of the travel clinic asking patients who intended to travel to South Asia to approach a clinic staff member if they were interested in participating in the study. The inclusion criteria were age 18 years or older and planned visit to South Asia (i.e., Afghanistan, Bangladesh, Bhutan, India, Iran, Maldives, Nepal, Pakistan, Sri Lanka) for at least 5 days. We excluded travellers younger than 18 years and those not visiting South Asia. Participants completed a detailed travel itinerary, and we collected a rectal swab specimen before travel. Fourteen couples and a group of 3 who travelled together were given specific instructions on specimen collection and how to avoid cross-contamination. The study was performed at the Odyssey Travel and Tropical Medicine Clinic in Calgary, Alberta, which accommodates about 1500–2000 patients per year. This travel clinic provides comprehensive travel medicine services, including preventive vaccinations and prescriptions for antimalarial drugs. Of travellers attending the clinic during the study period, about 20% were planning travel to visit friends and relatives, about 70% were tourists, and 10% were business travellers. The study was performed over a 31-month period (January 2012 to July 2014) with the aim of enrolling 150 participants. The primary outcome measure was the proportion of patients acquiring ESBL, so we did not undertake a formal sample-size calculation. On the basis of previous preliminary data, we estimated that about 40% of patients (60/150) would acquire ESBL-producing E. coli, which would allow us to estimate the risk with a margin of error of 7.8 percentage points. This study was registered with ClinicalTrials. gov, within the Protocol and Results Registration System (registration number NCT01296165). Research We asked the participants to return to the travel clinic within 7 days after their return to Canada, at which time they completed a detailed questionnaire about their behaviour and activities during the visit. The completed questionnaires were forwarded to Calgary Laboratory Services and entered into a central Excel database. The following information was requested: main reason or reasons for visiting South Asia, whether the participant was with a tour group, type of area visited (remote, rural, urban or city), participation in camping or swimming (open water or the sea), use of public transport, cost and types of accommodation, consumption of food and beverages, occurrence of diarrhea, consumption of antibiotics and seeking of medical care. A second rectal swab specimen was obtained within 7 days after each participant's return to Canada, and a third rectal swab specimen was collected 6 months after return. The rectal swabs were immediately submitted to Calgary Laboratory Services and frozen at –20°C until further analysis. Rectal swab cultures and bacterial isolates Rectal swab samples were cultured using chromID-ESBL and chromID-CARBA SMART (Solutions to Manage the Antimicrobial Resistance Threat) selection media (bioMérieux Canada Inc.). Rectal swabs were also inoculated on blood agar plates as a quality control measure, to ensure that stool flora were present within the swab samples. Five colonies per plate were subcultured and identified using matrix-assisted laser desorption ionization–time-of-flight mass spectrometry (Vitek AMS spectrometer, bioMérieux Vitek Systems Inc.). β-Lactamase identification and screening for major clones We confirmed ESBL production phenotypically using criteria of the Clinical and Laboratory Standards Institute for ESBL screening and disk confirmation tests. 10 We determined antimicrobial susceptibility with the VITEK 2 instrument (Vitek AMS; bioMérieux Vitek Systems Inc.). We determined minimum inhibitory concentration for the following drugs: amoxycillin–clavulanic acid, piperacillin–tazobactam, mero penem, ertapenem, amikacin, gentamicin, tobramycin, ciprofloxacin and trimethoprim–sulfamethoxazole. Throughout this study, results were interpreted using the Clinical and Laboratory Standards Institute criteria for broth dilution. 10 Polymerase chain reaction amplification and sequencing for blaCTX-Ms, blaOXAs, blaTEMs, blaSHV and blaCMY genes were carried out on the isolates with a GeneAmp 9700 ThermoCycler instrument (Applied Biosystems) using conditions and primers as previously described. 11 Statistical analysis Participants harbouring ESBL-producing E. coli before departure were excluded from all analyses. For initial selection of risk factors, we used generalized linear mixed-effects models, where the outcome was the presence of ESBLproducing E. coli. Each factor was evaluated individually, and couple-specific random effects were introduced to deal with the hypothetical lack of independence due to isolates CMAJ OPEN, 5(4) E851 Research being obtained from the same couple (or family). We fitted the models to the data via maximum likelihood with 50 quadrature points per scalar using the adaptive GaussHermite quadrature. 12 Measured predictors (age, duration of travel) were centred at the lowest value. Predictors associated with the estimated logit of harbouring an ESBLproducing E. coli at the 15% significance level were considered for further analyses. Before performing the multivariable analyses, we tested factors for multicollinearity by looking at nonparametric correlation matrices and the variance inflation factor of all terms. Because of the strong negative correlation between travelling for business purposes and travelling during holiday periods, only the former was retained for further analyses. We evaluated generalized linear mixed-effects models containing different predictors (travel to India, use of antimalarial drugs, travel for nonbusiness purposes, use of public transportation, having meals with the local population and use of any anti microbials), where the observed effects were initially assumed to be common to all the other terms present in the model. Predictors were dropped one at a time according to their respective p values and confounding of the remaining terms. Factors that were not selected in the initial screening were then added one at a time to verify whether their presence was associated with the outcome, conditional on the presence of the model terms. We tested all possible 2-way interaction terms between the final predictors to evaluate the presence of effect modification. We estimated odds ratios (ORs) with 95% confidence intervals (CIs) from the final model. For all analyses, there was the implicit assumption that the observed effects were not confounded or modified by variables not considered in the model. Statistical significance was defined as p < 0.05. All analyses were done in R version 3.4.1. Ethics approval This study was approved by the Conjoint Health Research Ethics Board at the University of Calgary (E-23726). Results Overall, 209 travellers visited the clinic between January 2012 and July 2014 with the intention of travelling to South Asia. Of these, 168 approached the clinic to participate in the study, 149 (71% of the initial 209) were enrolled, and 116 (78% of those enrolled) provided rectal swabs upon their return to Canada and completed the pre- and post-travel questionnaires (Figure 1). The remaining 33 travellers who enrolled in the study either cancelled their travel plans (n = 8) or did not complete the study requirements (did not provide a second rectal swab on their return to Canada or did not complete the post-travel questionnaire or both) (n = 25); these were excluded from further analysis. The characteristics of travellers excluded from analysis are shown in Appendix 1 (available at www.cmajopen.ca/content/5/4/E850/suppl/DC1). Of the 116 travellers who provided a second rectal swab upon returning to Canada and who completed both pre- and post-travel questionnaires, 7 (6%) had colonization with E852 CMAJ OPEN, 5(4) ESBL-producing E. coli before leaving Canada (Table 1). Four of these travellers had previously visited India, and 6 of them had colonization with E. coli producing CTX-M-15; the remaining isolate was positive for TEM-52. These participants were excluded from the analysis of travel activity associated with acquisition of ESBL-producing Enterobacteriaceae. Of the 109 travellers who did not have colonization with ESBL-producing E. coli on enrollment, 70 (64%) acquired such organisms during travel; only 2 (2%) acquired AmpCproducing E. coli, neither of whom had concurrent colonization with ESBL-producing E. coli. None of the travellers had colonization with carbapenem-resistant gram-negative bac teria. Of the 70 participants who acquired ESBL-producing E. coli during travel, 15 (21%) still had colonization 6 months after their return. At least 1 episode of diarrhea occurred in 68 (62%) of these 109 travellers; diarrhea was not associated with a statistically increased risk of acquisition of ESBL-producing E. coli (OR 3.12, 95% CI 0.89–99.01). The mean age of the other 109 travellers was 34.7 (standard deviation 19.4) years; 71 (65%) were women, 106 had postsecondary education, 89 had been born in Canada, 3 lived on a rural property or farm, 6 had a history of urinary tract infection within 1 year before travel, 12 had taken antibiotics in the 6 months before travel, 21 had had contact with a health care facility in the 6 months before travel, and 35 had pets. None of these participants had been admitted to hospital within the 6 months before enrollment in the study. The majority of these 109 participants travelled to India (n = 90 [83%]), whereas the remaining travellers visited Nepal (n = 9), Pakistan (n = 1), Bangladesh (n = 1) and Sri Lanka (n = 8). Most of the participants who visited India (66/90 [73%]) were positive for ESBL-producing E. coli upon their return to Canada, mainly due to the CTX-M-15 enzyme (58/66 [88%]). The remaining ESBL types were TEM-26, TEM-52, SHV-2 and SHV-5. A total of 124 isolates were cultured from participants' swab samples. All of these isolates were multidrug-resistant, showing the following levels of non susceptibility (i.e., intermediate or complete resistance): 105 (85%) were nonsusceptible to trimethoprim– sulfamethoxazole, 80 (65%) to amoxycillin–clavulanic acid, 37 (30%) to piperacillin–tazobactam, 102 (82%) to ciprofloxacin, 84 (68%) to tobramycin, 72 (58%) to gentamicin and 7 (6%) to amikacin. No resistance to ertapenem or meropenem was detected. The single traveller to Pakistan and 2 of the 9 who visited Nepal acquired E. coli producing CTX-M15. None of the travellers who visited Sri Lanka acquired ESBL-producing E. coli. The behaviours that were associated with a statistically significant change in odds of acquiring ESBL-producing E. coli are shown in Table 2. Travellers who visited India (OR 19.9, 95% CI 4.5–88.8), consumed some meals with the local population (OR 6.9, 95% CI 1.2–39.6), took antibiotics while away (OR 4.3, 95% CI 1.3–14.3) or travelled for nonbusiness purposes (OR 12.4, 95% CI 2.8–55.2) were more likely to have colonization with ESBL-producing E. coli upon their return to Canada. There was a strong correlation between taking antimalarial drugs and going to India. Accordingly, we observed a significant association between ESBL colonization and antimalarial drugs in the univariable analyses. Use of public transportation was confounded by other variables that were present in the final model. with friends or family members were not significantly associated with ESBL acquisition in our study population. Interpretation In this study, almost two-thirds of participants acquired multidrug-resistant ESBL-producing E. coli during travel. Of the 90 travellers who visited India, nearly three-quarters were positive for ESBL-producing E. coli upon their return to Calgary, mainly because of CTX-M-15. The behaviours that were associated with statistically significant risk of acquiring ESBL-producing E. coli were visiting India specifically, consuming meals with the local population, taking any type of antibiotic during travel and travelling for any purpose other than business. Having diarrhea, eating street food and staying Visiting South Asia, older age, use of antibiotics during travel (especially the β-lactams), and gastroenteritis or other gastrointestinal symptoms were previously identified as risk factors for the acquisition of ESBL-producing Enterobacteri aceae. 13–15 In a study from Finland, traveller's diarrhea (adjusted OR 31.0, 95% CI 2.7–358.1) and antibiotic therapy for traveller's diarrhea (adjusted OR 3.0, 95% CI 1.4–6.7) were the most important risk factors for acquiring ESBLproducing E. coli. 16 The same author group showed that use of loperamide alone to treat mild traveller's diarrhea was not associated with an increased risk of colonization with ESBLproducing E. coli. 17 The largest and most comprehensive travel study investigating multidrug-resistant E. coli colonization among returning travellers was performed in the Netherlands. 18 The authors studied more than 1800 travellers who were negative for ESBL-producing E. coli before travel; of CMAJ OPEN, 5(4) E853 Note: E. coli = Escherichia coli, ESBL = extended-spectrum β-lactamase, SD = standard deviation. *Except where indicated otherwise. †Destination cities in parentheses. For India, destination cities included Agra, Jaipur, Baihar, Amritsar, New Delhi, Mumbai, Pune, Nagpur, Chennai, Kochi, Hyderabad, Kolkata and Panjim. ‡Percentages are based on the 109 participants without ESBL-producing E. coli before travel. E854 CMAJ OPEN, 5(4) these, 633 (34.3%, CI 32.1%–36.5%) acquired ESBLproducing E. coli during international travel. 18 Of the 181 travellers who visited South Asia, 136 (75.1%, CI 68.4%–80.9%) were positive for ESBL-producing E. coli upon their return to the Netherlands. In that study, the strongest predictors for acquisition of ESBL-producing E. coli were geographic destination (notably South Asia), antibiotic use during travel, traveller's diarrhea and pre-existing chronic bowel disease. 18 Eating at street food stalls, consumption of raw vegetables, contact with orphan children, staying in a hostel or guest house, visiting local markets and staying in rural areas were additional strong predictors of colonization with ESBL-producing E. coli. 18 Limitations Our study had some limitations. We included only travellers to South Asia and thus might have missed travellers to other "high-risk" destinations. We made this choice because a previous Calgary study identified visiting India as a risk factor for infection with ESBL-producing E. coli. 8 Most of the travellers who participated in this study visited India, which might have influenced the high rate of rectal colonization among returning travellers. However, India is an important overseas destination for Canadians because of migration patterns and vacation port of call. The design of the study precluded any guarantee of appropriate randomization. Therefore, there was a risk of selection bias toward travellers to India, and the results of this study might not be applicable to travellers outside South Asia. Our results may have been influenced by volunteer bias, given that those who are more cautious about their health and activities may be more likely to attend a travel clinic and to agree to participate in a study such as this one. One limitation of our analyses was that the OR estimates had low precision. The final model was relatively unstable, which resulted in large standard errors of the estimates and wide confidence intervals for the ORs. Nevertheless, in the logit scale, all standard errors were at least 2-fold lower than the regression estimates. Conclusion In this study, a significant number of Canadian travellers acquired multidrug-resistant ESBL-producing E. coli while visiting India, especially those travelling for reasons other than business, those taking antibiotics while away and those who consumed meals with the local population. Therefore, Canadian primary care, emergency and infectious disease physicians should be aware that travellers returning from destinations such as India are likely to have colonization with multidrug-resistant E. coli. When such travellers present with bloodstream and urinary tract infections due to gram-negative bacteria, treatment with cephalosporins and fluoroquinolones might not be effective. It is important to counsel patients in the pre-travel setting (e.g., travel clinics). The implications of our findings for the traveller, the traveller's immediate household and the local community are not well defined at this stage; however, spread of ESBLproducing E. coli (especially those with CTX-M-15) to the local health care and community settings is a distinct possibility. Our results suggest that returning travellers have con tributed to the emergence and spread of CTX-M-producing E. coli in Calgary. References 1. Antimicrobial resistance: global report on surveillance 2014. Geneva: World Heath Organization; 2014. Available: www.who.int/drugresistance/documents/ surveillancereport/en/ (accessed 2016 Dec. 12). 3. van der Bij AK, Pitout JD. The role of international travel in the worldwide spread of multiresistant Enterobacteriaceae. J Antimicrob Chemother 2012;67: 2090-100. 2. Pitout JD. Extraintestinal pathogenic Escherichia coli: a combination of virulence with antibiotic resistance. Front Microbiol 2012;3:9. 4. Mathers AJ, Peirano G, Pitout JD. The role of epidemic resistance plasmids and international high-risk clones in the spread of multidrug-resistant Enterobacteriaceae. Clin Microbiol Rev 2015;28:565-91. 6. Annual review 2015. Montréal: International Air Transport Association; 2015. Available: https://www.iata.org/about/Documents/iata-annual-review-2015.pdf (accessed 2016 Dec. 12). 5. Airline industry overview. Cambridge (MA): Massachusetts Institute of Technology, Global Airline Industry Program. Available: http://web.mit.edu/airlines/ analysis/analysis_airline_industry.html (accessed 2017 Dec. 6). 7. UNWTO world tourism barometer. Madrid (Spain): World Tourism Organization. Available: http://mkt.unwto.org/en/barometer (accessed 2016 Dec. 12). 9. Hawser SP, Bouchillon SK, Hoban DJ, et al. Emergence of high levels of extended-spectrum-beta-lactamase-producing gram-negative bacilli in the Asia-Pacific region: data from the Study for Monitoring Antimicrobial Resistance Trends (SMART) program, 2007. Antimicrob Agents Chemother 2009;53: 3280-4. 8. Laupland KB, Church DL, Vidakovich J, et al. Community-onset extendedspectrum beta-lactamase (ESBL) producing Escherichia coli: importance of international travel. J Infect 2008;57:441-8. 10. Performance standards for antimicrobial susceptibility testing. CLSI document M100-S20. Wayne (PA): Clinical and Laboratory Standards Institute; 2010. 11. Peirano G, Laupland KB, Gregson DB, et al. Colonization of returning travellers with CTX-M-producing Escherichia coli. J Travel Med 2011;18:299-303. 13. Ostholm-Balkhed A, Tarnberg M, Nilsson M, et al.; Travel Study Group of Southeast Sweden. Travel-associated faecal colonization with ESBL-producing Enterobacteriaceae: incidence and risk factors. J Antimicrob Chemother 2013; 68:2144-53. 12. Bates D, Mächler M, Bolker B, et al. Fitting linear mixed-effects models using lme4. J Stat Softw 2015;67:48. 14. Tängdén T, Cars O, Melhus A, et al. Foreign travel is a major risk factor for colonization with Escherichia coli producing CTX-M-type extended-spectrum beta-lactamases: a prospective study with Swedish volunteers. Antimicrob Agents Chemother 2010;54:3564-8. 16. Kantele A, Laaveri T, Mero S, et al. Antimicrobials increase travelers' risk of colonization by extended-spectrum betalactamase-producing Enterobacteri aceae. Clin Infect Dis 2015;60:837-46. 15. Weisenberg SA, Mediavilla JR, Chen L, et al. Extended spectrum β-lactamaseproducing Enterobacteriaceae in international travelers and non-travelers in New York City. PLoS One 2012;7:e45141. 17. Kantele A, Mero S, Kirveskari J, et al. Increased risk for ESBL-producing bacteria from co-administration of loperamide and antimicrobial drugs for travelers' diarrhea. Emerg Infect Dis 2016;22:117-20. 18. Arcilla MS, van Hattem JM, Haverkate MR, et al. Import and spread of extended-spectrum beta-lactamase-producing Enterobacteriaceae by international travellers (COMBAT study): a prospective, multicentre cohort study. Lancet Infect Dis 2017;17:78-85. Affiliations: Division of Microbiology (Peirano, Gregson, Pitout), Calgary Laboratory Services; Departments of Pathology and Laboratory Medicine (Peirano, Gregson, Vanderkooi, Pitout), of Medicine (Gregson, Kuhn), of Paediatrics (Kuhn, Vanderkooi) and of Community Health Sciences (Vanderkooi), Cummings School of Medicine, University of Calgary; Department of Production Animal Health (Nobrega), Faculty of Veterinary Medicine, University of Calgary, Calgary, Alta.; Department of Medical Microbiology (Pitout), University of Pretoria, Pretoria, South Africa Contributors: Daniel Gregson, Susan Kuhn, Otto Vanderkooi and Johann Pitout planned the study. Gisele Peirano, Susan Kuhn, Otto Vanderkooi and Johann Pitout contacted travellers and collected their data. Gisele Peirano performed the laboratory aspects of the study, and Diego Nobrega performed the statistical analysis; Johann Pitout wrote the first draft of the manuscript. All of the authors revised the article for important intellectual content, gave final approval of the version to be published and agreed to be accountable for all aspects of the work. Funding: This study was funded by Merck & Co., Inc. Canada (grant number RT630190). The funder had no role in planning the study, collection of data or interpretation of results. Acknowledgements: The authors are grateful to the staff at the Odyssey Travel and Tropical Medicine Clinic for their assistance with the study. Supplemental information: For reviewer comments and the original submission of this manuscript, please see www.cmajopen.ca/content/5/4/ E850/suppl/DC1. CMAJ OPEN, 5(4) E855
Legislative Bill Tracking Board of Chiropractic Examiners January 2014 - The Official California Legislative Information websites are: (http://www.leginfo.legislature.ca.gov) – legislative sessions beginning 1999 to present or (http://www.leginfo.ca.gov) – legislative sessions prior to 1999, maintained by the Office of Legislative Counsel, provides bill language, status, Using keywords such as chiropractor, chiropractic, manipulation, healing arts, history, votes, analyses and a bill subscription service to help track specific bills. etc., will aid in locating bills specific to the chiropractic profession. - A Legislative Index and a Table of Sections Affected (http://www.leginfo.ca.gov/legpubs.html) allows a bill to be searched by subject matter and California Codes. - The Department of Consumer Affairs' (DCA) Budget Office frequently contacts the BCE to obtain information on the fiscal impact of bills upon the BCE. Oftentimes, these bills affect multiple regulatory boards such as those related to health care, healing arts, etc. It is important to note whether these bills pertain to the BCE and whether the bill conflicts with the BCE's Initiative Act. (i.e. legislation requires a temporary or special license) - Professional associations, such as the California Chiropractic Association (CCA) and the International Chiropractors Association of California (ICAC) track legislative bills that affect the profession and provide a list of bills and their position on their websites. 1. CCA - http://capwiz.com/calchiroassn/issues/bills/ 2. ICAC - http://www.icacweb.com/ - The Governor's web page (http://www.governor.ca.gov/state/govsite/gov_homepage.jsp) contains bill signing and bill veto messages. - Legislative Committees that hear legislation relevant to the BCE. 1. The Senate Business and Professions Committee and Economic Development (http://sbp.senate.ca.gov/ ) 2. The Assembly Business and Professions and Consumer Protection Committee (http://abp.assembly.ca.gov/ ) 3. The Senate Health Committee (http://shea.senate.ca.gov/ ) 4. The Assembly Health Committee (http://ahea.assembly.ca.gov/ ) 5. The Senate Committee on Appropriations (http://sapro.senate.ca.gov/) 6. The Assembly Committee on Appropriations (http://apro.assembly.ca.gov/) 3.0 Legislative Bill Analyses: This section illustrates how to read and analyze a bill using the following steps: - Understanding the anatomy of a bill. - Identifying intent. - Indentifying the prohibition, permission, or requirement statements. - Understanding the bill's context. - Identifying changes in existing law. - Estimating impact. - Developing recommendations. This section includes a description of the choices for positions on legislation and other considerations for inclusion in the bill analysis. (An, analysis checklist, and sample bill analysis are included as Attachments at the end of this document.) The bill analysis may also contain key components which assist the Board members in deciding the appropriate action to take on a bill. 3.1 Anatomy of a Bill: Understanding the components of a bill will help in identifying key information quickly. The first page of a bill, as shown on the Anatomy of a Bill attachment, contains the date of introduction, the date of each amendment, including the last amendment, the added or amended code sections, the vote requirement, the bill's fiscal implications, and whether there is any State-mandated local cost. Bill analyses should always be based on the most current version of the bill. Additionally, the "PDF" format should be used, rather than the "HTML" format, as it will provide an exact copy of the document as officially printed. 3.2 Bill Analysis: A bill impact assessment checklist and a sample BCE bill analysis are provided as attachments at the end of this document. The key components of a bill analysis are: - Bill Number - - Author - Bill Version (Date) - Subject – Title of Bill - Sponsor - Status of Bill – Did it pass from one committee to another? Provide the date and results of the most recent vote and by whom and where the bill was referred following the vote. - Summary – Brief summary of the purpose of bill. - Existing Law – Specific provisions affected by the bill and their current purpose - This Bill Would: – Summary of how the bill changes current law, the bill's intent and major provisions. (Does the bill impose reporting requirements, change existing programs, implement a new program, or require coordinated implementation with multiple agencies?) - Background – Brief description of the purpose of the bill addresses and how it addresses the issues(s). - Fiscal Impact – Specifies the bill's operational and fiscal impact on the BCE (and other significant stakeholders). Defines whether the bill will increase revenue, change/impose fines or penalties, repeal/ reduce/add fees, and identifies resources needed by affected parties and the BCE to implement and comply with the provisions in the bill. - Support/Opposition – List of parties/interested persons/organizations who have taken a formal position on the bill. - Arguments (Pro/Con) – This portion should contain the BCE's arguments based on the bill's effect and the fiscal impact. - Staff Recommended Position – The recommendation should be based on all the arguments discussed with the Executive Officer prior distribution to the Board members for a vote. Analyses may be required numerous times throughout the life of a bill as the content can change significantly from one draft to the next. Furthermore, spot bills may be introduced which may not have any significant effect upon its inception and become highly controversial as the content is changed throughout its life. The California Legislative Information website allows the user to subscribe to bills of interest and receive e-mail notification whenever there is legislative action on a subscribed bill for the current session. It is also advisable to periodically contact the author and/or sponsor of a bill to enquire about the status of the bill and whether any amendments are forthcoming. 4.0 Board Action on Bills: As part of the normal legislative cycle, the Board Members take positions on specific bills that address issues within the BCE's purview or that would have a fiscal or programmatic impact on the BCE. Legislation affecting the chiropractic scope, consumer safety or BCE funding, resources and workload are of particular interest to the BCE. For time sensitive legislation, the Government Affairs Committee reserves the right to call an emergency meeting if action is required. 4.1 Board Motions: An analysis, bill impact assessment checklist and complete text of a bill should be presented to the Board for consideration at a Government Affairs Committee meeting. The Committee will present their recommendations for a vote at a Board meeting to take one of the following positions: - Support – This bill has favorable fiscal or operation impact upon the BCE and is consistent with the laws, regulations or policies. - Support if Amended – This bill is generally beneficial, but would be improved if amended. The bill analysis and letter to author should include recommended amendments. - Oppose – The bill mandates unjustified costs, interferes with efficient administration or operation of the BCE, is in conflict with the policies, laws or regulations of the BCE. - Oppose Unless Amended – This bill is undesirable as written, but can be made palatable by amendment. The bill analysis and letter to author should included recommended amendments. - Neutral - The bill has no significant effect on the BCE; however this bill may be of interest to the board members. A letter to the author is not needed in this case. - Watch – The bill has no significant effect on the BCE; however, there may be components which are likely to change and may impact the BCE in the future. This is not a formal position; therefore, a letter to the author is not needed at this time. 4.2 Board Position Letters: Once the full board has taken a formal position on a legislative bill, the Executive Officer or staff should draft a letter to the author of the bill for the Executive Officer or Board Chair's signature. The letter should identify the version of the bill and explain the BCE's position, including a summary of the reasons which led to the position and specific changes if amendments are recommended. A letter should also be sent to the Chair and Members of each legislative committee in which the bill will be subsequently heard. 6 6 Board of Chiropractic Examiners Sample Bill Analysis Bill Number: SB 541 Author: Senator Curren Price Bill Version: Amended April 13, 2011 Subject: Contractors' State License Regulatory boards: expert consultants Sponsor: Contractors State License Board Medical Board of California STATUS OF BILL: Passed Senate Committee on B. P. & E.D (8-0), referred to Committee on Appropriations. SUMMARY: This bill would allow boards and bureaus within the Department of Consumer Affairs, the State Board of Chiropractic Examiners and the Osteopathic Medical Board of California to utilize expert reviewers, without going through a formal contracting process. EXISTING LAW: - Provides for the licensure and regulation of various professions and businesses within the Department of Consumer Affairs - The Chiropractic Initiative Act of California provides for the licensure and regulation of the chiropractors. - The Osteopathic Act provides for the licensure and regulation of osteopathic physicians and surgeons. - Requires persons who apply for licensure under the various licensing acts to pass an examination approved by the board/bureau and investigate complaints and violations of the law, as well as take disciplinary action against licensees for violations of the law. - Establishes standards relating to personal service contracts in state employment. THIS BILL WOULD: - Authorize these boards and bureaus to enter into an agreement with an expert consultant, subject to the standards regarding personal service contracts, to provide enforcement and examination assistance. - Require each board/bureau to establish policies and procedures for the selection of these consultants. - Declare that it is an urgency statute and is to take effect immediately. BACKGROUND: According to the sponsors, Public Contract Code requires state agencies to go through the formal contracting process for utilization of consultants. The boards and bureaus named in this bill utilize consultants for critical components of their regulatory authority including enforcement and examinations. Going through the formal contracting process would create a backlog for the boards and bureaus which would significantly impact the time required to complete the initial review and investigate complaints filed with boards/bureaus. This process would severely limit a board's/bureau's ability to take disciplinary actions against licensees and the delay imposed by this process could also result in losing cases due to expiration of the statute of limitations. FISCAL IMPACT: This bill will have a positive fiscal impact upon our Board, if any. The number of cases referred to experts and the amount paid to experts would not change as a result of this bill. However, if this bill does not take effect, the board will have to start entering into formal contracts with the 35 consultants it utilizes. Some of these consultants are only utilized on rare occasion due to their geographical location and/or area of expertise. Nonetheless, the board would have to spend significant time and resources preparing and executing a formal contract. If this bill is not enacted, the board will likely need additional funding and staff to absorb the increased workload. SUPPORT & OPPOSITION: Support: Contractors State License Board Medical Board of California Court Reporters Board of California Opposition: None on record ARGUMENTS: Pro: The proponents argue that: 9 * This bill will enable licensing and regulatory boards/bureaus to continue enlisting the expertise of their licensees to assist with evaluation of investigation documents, applications, educational and examination materials on an as-needed basis, primarily based on an hourly fee for services rendered. * This bill will exempt specific boards and bureaus from formal contract requirements, which are laborious, cumbersome and time-consuming to execute. * This bill will protect consumers by reducing the delays in enforcement cases by allowing these boards/bureaus to enter into an agreement directly with the consultant. * Consultants are utilized for various purposes which depend greatly upon their area of expertise and the types of enforcement cases; therefore, it is difficult for a board/bureau to estimate a dollar amount for execution of a contract for each consultant. * It is difficult to anticipate the extent to which the board will utilize an individual expert, and, therefore, the contract amount for each expert may not meet the board's needs. Under current law, the board will need to enter into a contract for a specified dollar amount with each expert without yet knowing the frequency with which we'll need the expert or the difficulty of the cases that will be referred to the expert. If the board underestimates the contract amount, we will have to cease utilizing an individual expert or go through the time-consuming process of amending the contract. If the board overestimates the contract, we will be encumbering funds that are needed for other essential board functions. Con: None STAFF RECOMMENDED POSITION: SUPPORT (As Introduced/Amended on ____________) BCE Committee Recommended position of SUPPORT on _____________ Full Board Voted to Take Position of SUPPORT on ________________ * Also include the text of the bill with the Bill Analysis 10
Wide-Area IP Network Mobility Xin Hu † Li (Erran) Li § Z. Morley Mao † Yang Richard Yang ‡ §Bell Labs, Alcatel-Lucent, Murray Hill, NJ †University of Michigan, Ann Arbor, MI ‡Yale University, New Haven, CT Abstract—IP network mobility is emerging as a major paradigm for providing continuous Internet access while a set of users are on the move in a transportation system. The intense interest on its support has led to the establishment of the NEMO IETF working group and a test-deployment by a major airline equipment vendor – Boeing – on major airline routes. However, the previously proposed solutions are either inefﬁcient or may cause instability to the global Internet. In this paper, we propose WINMO, a simple, systematic, novel solution for wide-area IP network mobility using techniques including route aggregation, scoped update propagation, and packet mobility states. Our solution provides efﬁcient routing when users travel both across autonomous systems (ASes) and within a single AS, generates minimal global routing overhead to prevent global instability, ensures good location privacy, and helps to defend against denial-of-service attacks. Furthermore, our basic scheme (without packet mobility state) is transparent to both clients and servers. Our extensive evaluations demonstrate the effectiveness of our mobility solution. to the mobile host will be intercepted by its home agent and tunneled to its foreign agent which in turn forwards the trafﬁc to the mobile host. However, mobile IP and its variants have several problems which make them unsuitable for network mobility. First, mobile IP depends on public home agents, but many users of transportation systems may not have static home addresses or home agents deployed at home. Second, the redirection by the home agent in Mobile IP introduces triangular routing. The extra delay caused by triangular routing can cause serious performance degradation, and can be unacceptable to some important applications [2]. I. INTRODUCTION Seamless mobility is a major challenge facing the Internet. As the Internet becomes a basic infrastructure of our information-based society, the ability to access the Internet anywhere anytime becomes particularly important. Many people depend on the transportation systems (e.g., trains, airplanes, ships,etc ) to achieve physical mobility, and increasingly the common transportation systems are ﬁtted with data connectivity (e.g., hotspot networks). We refer to a network on a mobile transportation device as a mobile network. With increasing commute time and growing mobility, a higher percentage of the population will spend more time on the move. Since using mobile networks provided by the transportation systems presents minimal safety hazard (i.e., users are not drivers or in charge of the vehicle) and can signiﬁcantly increase productivity, their popularity can only increase. To address the preceding issues, Boeing developed Connexion [2], a commercial service to use BGP to support network mobility. This service removes inefﬁcient routing and leads to positive user experiences (e.g., [3]). Despite its successful real-ﬁeld technical test by major airlines on major ﬂight routes, there are serious concerns on the scalability of the Connexion approach. This could be one of the reasons contributing to the discontinuation of this service. With increasing deployment of mobile networks, BGP announcements by these roaming mobile networks will generate a large number of BGP updates to the whole Internet. This may cause global instability. Furthermore, Connexion handles only mobility when a mobile network moves across ASes (autonomous systems). The common case, when a mobile network moves within an AS, is not addressed. In this paper, we design WINMO, an efﬁcient mobility protocol to support wide-area Internet network mobility. Our protocol addresses IP network mobility both when a mobile network moves across ASes and when it moves within an AS. However, there are signiﬁcant challenges in implementing mobile networks. As a mobile network moves (i.e., a train, an airplane or a ship), its attachment point to the Internet also moves, changing to different base stations or even to base stations of different service providers. Given the current routing architecture of the Internet, this leads to disruption to applications. However, people expect that their Internet data sessions (e.g., streaming video, or instant messaging) continue seamlessly, just as people expect that a cellular phone conversation continues uninterrupted while they are in transit. The importance of the problem has motivated proposals to extend the Internet architecture to provide seamless session mobility for mobile networks. The predominant one is to directly use or extend the mobile IP protocol [1], which is designed for host mobility, to support network mobility. In mobile IP, each mobile host (MH) has a home address. If the host has moved out of its home network, trafﬁc destined Our basic scheme handles network mobility across ASes. In this client and server transparent scheme, we exploit the hierarchical structure of the Internet to design an efﬁcient mobility solution to forward packets to a mobile network to its current AS. Using techniques including route aggregation and scoped update propagation, our solution removes routing inefﬁciency while generating minimal global routing overhead to prevent global instability. We further extend the basic scheme to optimize performance when a mobile network roams within an AS. We design a novel technique based on packet mobility states to allow efﬁcient routing without generating routing overhead. Furthermore, the packet states serve as capability and alleviate potential denial-of-service problems. We conduct extensive evaluations to demonstrate the effectiveness of WINMO. Our results show that, in terms of average path length, WINMO is only 11% more than Connexion which uses BGP as it is. On the other hand, mobile IP based network mobility solution has an average path length which is 89% more than Connexion. In terms of BGP update overhead, WINMO is orders of magnitude smaller than Connexion. 978-1-4244-2026-1/08/$25.00 © 2008 IEEE Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. The rest of this paper is organized as follows. In Section II, we discuss related work. In Section III, we present our design rationale and overall architecture. Our interdomain and intradomain techniques are discussed in Sections IV and V respectively. In Section VI, we analyze the properties of our solutions. In Section VII, we discuss some implementation issues. In Section VIII, we present evaluation results. Our conclusion and future work are in Section IX. II. RELATED WORK The importance of supporting mobility in the Internet has motivated many studies lately. The previous work on mobility spans all layers of the Internet layer hierarchy: the link layer, the network layer (e.g., [4], [5], [1], [6], [7]), the transport layer (e.g., [8]), and/or the application layer. Furthermore, there are recent proposals based on P2P (e.g., [9], [10]) or VPN (e.g., [11]). However, the focus of the aforementioned studies is on host mobility, while our focus is on the mobility support of a mobile network, where a set of hosts belonging to the same network move collectively as a unit. Since most host mobility protocols depend on link layer handoffs to trigger mobility support, but such handoffs may not be seen by all nodes moving as part of a mobile network, they may not be applicable for network mobility support. Furthermore, although it is possible to apply some host mobility protocols to each host individually, this leads to signiﬁcant inefﬁciency and requires individual infrastructure support for each host. There are recent studies extending beyond host mobility to network mobility (e.g., [12]). For a survey, please see [13]. In particular, given the importance of the problem and the interests of the industry, IETF has commissioned the Network Mobility (NEMO) working group [14] to extend the existing host mobility protocols or develop new ones to support network mobility in an IPv6 network. As a ﬁrst step, the IETF NEMO Working Group has developed a basic protocol [15] to ensure uninterrupted connectivity to the mobile network nodes. However, this protocol does not address important issues such as route optimization and handoff. Since network mobility support without route optimization can cause unacceptable delay performance, several techniques are recently proposed (e.g., [16]). In [2], Dul presents the implementation of Connexion, a commercial service offered by Boeing to use BGP to support network mobility. Although the paper shows that Connexion removes inefﬁcient routing, a serious concern is that the approach may cause globally visible BGP updates. On the other hand, our approach reduces BGP updates and at the same time resolves the issue of route optimization. In [17], the authors propose an SIP based technique for route optimization for network mobility. However, it applies only to applications using SIP. In [18], [19], the authors propose methods to address route optimization. However, the protocols are based on the NEMO basic protocol and do not handle interdomain mobility well. Another major issue of network mobility is handoff. Various handoff improvements for network mobility have been proposed [20], [21]. III. OVERVIEW A. Design Decisions We make the following functional design decisions. * Global Network Architecture: A key scalability feature of the Internet is its decentralized architectureconsisting of a large number of interconnected ASes. We design our mobility solution for this architecture. As a result, the mobility pattern we handle is that a mobile network roams most of the time within a single AS. However, it may switch to connect to another AS (e.g., when it moves to a different region). This design choice allows the maximum ﬂexibility for the mobile networks and users. * Addressing Scheme for Mobile Networks: We assign a mobile network with a ﬁxed network preﬁx. Each mobile host obtains, for example, using DHCP, a speciﬁc IP address (home address) from the preﬁx, for the duration when the mobile host is part of the mobile network. We focus on IPv4 networks for better deployment possibility, although extensions to IPv6 is also possible. * Infrastructure Support: If an AS provides direct attachment points to mobile networks, we refer to the AS as a mobile ISP or MISP for short. We require that only base stations and routers in an MISP contribute to mobility infrastructure support (e.g., tunneling and forwarding). The service providers of an MISP may also contribute limited support (in BGP routing). As a contrast, mobile IP with host addresses requires that home agents be deployed globally to be effective, and this has been a major barrier for its deployment. * End-host Support: We require that our solution be incrementally deployable in the Internet. Thus, there should be a clear upgrade path for the mobile hosts and the correspondent hosts (e.g., application servers). To support mobile devices with varying capabilities, we require that our solution be transparent (i.e., no need for modiﬁcations) to mobile hosts acting as information access clients in data sessions. Operating systems support of correspondent hosts as data servers should improve performance, but communications with legacy servers should always be possible. * Security Association: We make the explicit design decision that there is no security association between a mobile host and its correspondent host. The existence of such associations would simplify network design, but establishing such associations faces substantial security challenges or requires fundamental change to the Internet architecture (e.g., HIP [5]). Each MISP has at least one AAA server, which has a security association with each mobile network who has signed up the mobility service in the MISP. The AAA server also has a security association with each base station and router inside the speciﬁc MISP. The AAA also distributes a group key to the routers. B. Performance Requirements We impose the following performance requirements. For the network infrastructure, we require: * There should be no or minimal routing overhead as a mobile network moves across attachment points. We ﬁrst present our high-level design and basic architecture. The detailed design will be presented in Sections IV and V. * The impact of denial of service from outside the network should be substantially reduced, as such wireless networks typically have relatively low internal bandwidth. Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. For the end hosts, we require: * Path inﬂation be minimal to support low-latency applications. There are tradeoffs in satisfying the preceding performance requirements. In particular, to completely avoid path inﬂation, the routing system would need to know the exact location of each mobile network at all time. That is, each handoff, regardless of within the same AS or across AS, would trigger a global routing update. This would allow computing shortest paths to each mobile network, but it would certainly cripple the control plane in terms of routing updates. It also conﬂicts with hierarchical routing to make the routing system scalable. * The location privacy of a mobile host be protected. C. Architecture and Technique Overview Given the preceding design decisions and performance requirements, our basic architecture (Fig. 1) is as follows. Our global network architecture is the current Internet structure: a set of ASes interconnected at peering points by BGP gateway routers; a large number of mobile networks distributed in multiple ASes. Each mobile network has a ﬁxed network preﬁx allocated from the address space of its home mobility service provider. There is a mobility router (MR) inside each mobile network. Each mobile host inside the network obtains an address within a preﬁx from the MR of the mobile network. The objective of our architecture is to design a scalable routing update scheme with minimal routing overhead and at the same time providing good data path performance. We use the following novel techniques to achieve our objectives. Mobility community to reduce state kept by ASes: A major challenge caused by mobile networks is global routing updates when mobile networks move across ASes. Thus, we limit the number of affected ASes by introducing a mobility community attribute in BGP updates to control the propagation of update messages only to providers and stop the update at the ﬁrst AS which is a common provider of both new and previous AS. Note that this modiﬁcation does not introduce routing policy conﬂicts but may cause slightly longer paths. Mobile preﬁx and aggregation routers to aggregate routing state of multiple mobile networks: Even with mobility community which limits the scope of ASes involved, an AS may still have to keep routing state for a large number of mobile networks. Thus we need the capacity to aggregate routing state for a large number mobile networks. We introduce the notion of mobile preﬁxes, which allows effective aggregation of a large number of individual preﬁxes of mobile networks that otherwise may be difﬁcult to aggregate. That is, mobile There are two issues if we use standard BGP. The ﬁrst is that it may increase BGP routing table size signiﬁcantly since there can be a large number of mobile networks. The second, which could be more serious, is that standard BGP may generate a large number of updates when mobile networks move around, possibly resulting in global routing instability. Furthermore, due to the withdrawal and re-announcement of a mobile IP preﬁx, some routers could temporarily lose their routes to the preﬁx, leading to packet losses and performance degradation to applications. Thus, for both global stability and application performance, we need to limit the propagation of BGP updates without causing incorrect forwarding decisions at routers that do not receive those updates. We design and adopt several techniques to address the preceding issues: mobile preﬁxes, aggregation routers, mobility community, scoped BGP updates, and tunnel mapping. The overall objectives of these techniques are actually pretty simple: to reduce the number of ASes which need to keep routing state for a mobile network; to allow an AS to aggregate the routing states for multiple mobile networks; and to reduce the number of routers in an AS which need to keep routing state for a mobile network. Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. networks will be assigned preﬁxes from a small number of large mobile preﬁxes. This makes it feasible to achieve effective routing and at the same time only a small fraction of the routers in the Internet need to contain detailed routing information on each individual mobile network. We further use techniques including default routes, aggregation routers and tunneling to aggregate mobile preﬁxes. Authenticated packet state to eliminate border router's routing state: The essence of our technique is common case optimization. In particular, since a mobile network is likely to move within a single mobile AS, we should substantially reduce intradomain routing updates. Furthermore, a common case is that a mobile host communicates with a correspondent host (e.g., a server) from another AS. Thus, when the packets from the correspondent host enter the MISP at one of the border gateway routers, the border gateway router needs to know the current care-of-address of the mobile host to avoid triangular routing. Requiring each border gateway router to store the current location of each mobile network would require signiﬁcant control overhead and is not scalable for large MISPs. To resolve this issue, our key technique is to use authenticated packet state to avoid triangular routing inside an AS. The mobility state is a secure token that can be decrypted and veriﬁed by all BGP routers inside the AS. It carries the encrypted care-of-address and is sent by the mobile host and echoed back from the correspondent host. By decrypting the mobility state, the gateway router can forward the packet directly to the care-of-address, avoiding triangular routing. Note that if a correspondent does not understand the packet state, our protocol still performs correctly, but with slightly worse performance gain. IV. BASIC SCHEME: INTER-DOMAIN MOBILITY In this section, we present the details of our basic scheme: mobility support when a mobile network moves across ASes (e.g., switching to a different mobility service provider when it enters a different country or region). To correctly deliver trafﬁc to its new location, BGP requires that the new provider announce the newly arrived IP preﬁx, and the previous provider withdraw its announcement of the preﬁx. Some of the techniques have been also proposed to improve the scalability of BGP routing (e.g., CRIO[22]). A. Mobile Preﬁxes The key to reducing routing table size is to introduce certain structure on the preﬁxes assigned to mobile networks. To this purpose, we introduce the notion of mobile preﬁxes. We assume that each tier-1 ISP designates a set of preﬁxes as its mobile preﬁxes. To simplify presentation, we assume that each tier-1 ISP i allocates a single large preﬁx mi as its mobile preﬁx. We refer to mi as the root mobile preﬁx of ISP i. Let M be the union of all root mobile preﬁxes of all ISPs. There should be a small number of root mobile preﬁxes on the Internet. Note that our discussion uses tier-1 ISP to mean more generally large ISPs providing network mobility services. An ISP can allocate sub-preﬁxes from its root mobile preﬁx to its customers, who may further divide the sub-preﬁxes to their mobile network customers. When a mobile network becomes the customer of an ISP, the ISP allocates a sub-preﬁx (e.g., a /24 preﬁx) from its root mobile preﬁx to this mobile network as its home network preﬁx. Since mobile networks change attachment points, the sub-preﬁxes of an ISP's root mobile preﬁx may be scattered all across the Internet. B. Aggregation Routers and Mobility Community To reduce the number of routers keeping explicit routing state for mobile networks, a tier-1 ISP conﬁgures that only a subset of its routers advertise its root mobile preﬁx and know how to reach each sub-preﬁx of its root mobile preﬁx. We refer to these routers as aggregation routers (ARs). Note that it is not necessary for an aggregation router to maintain routing states for all mobile networks. Aggregation routers can partition the address space so that each is responsible for only a subset of mobile networks. Such partition can approximate geographic distribution of the home location of mobile networks to minimize suboptimal routing. To allow non-aggregation routers to install routes to mobile networks, each aggregation router of a given tier-1 ISP will create a BGP UPDATE message, for each root mobile preﬁx, with the next hop set to its own address. This UPDATE message is propagated to the non-aggregation routers in the ISP. Thus, each non-aggregation router should have a routing entry for each root mobile preﬁx default to its closest aggregation router. To reduce excessive path inﬂation, we require that each POP of a tier-1 ISP have an aggregation router. The partition of routers in a tier-1 ISP into aggregation routers and non-aggregation routers requires that the ISP limit the propagation of BGP update messages only among aggregation routers, as non-aggregation routers should not be aware of such routing states. To achieve this, we design a new BGP community attribute called mobility community. Speciﬁcally, a BGP UPDATE message with the mobility community should not be propagated to non-aggregation routers. To guarantee correct routing, we assume that aggregation routers of a tier-1 ISP form a connected topology (not necessarily a complete topology). This can be achieved through either direct connectivity (physical) or tunneling (logical). C. Scoped Interdomain BGP Updates and Tunnel Mapping The mobility community attribute not only limits routing states to aggregation routers in tier-1 ISPs, but also controls the propagation of BGP UPDATE and WITHDRAWAL messages, and the creation of tunnel mapping. BGP UPDATE: When a mobile network with preﬁx p switches to a new AS, the new base station will inject a BGP announcement on the preﬁx p with a mobility community attribute. The mobility community attribute controls that a BGP UPDATE is not propagated to customers or non-tier-1 peers. Thus, a BGP UPDATE message may propagate up along the AS hierarchy and reach a tier-1 ISP. If it reaches a non-aggregation router ﬁrst, that non-aggregation router will forward it to its closest aggregation router. This will trigger an update for p that may propagate across all aggregation routers in all tier-1 ISPs. However, the UPDATE message may arrive at an provider AS with a previous route to p. This suggests that the AS is a common provider to both the previous AS and the current AS which the mobile network attaches to. In this case, the AS suppresses the update message so that a change of base station by a mobile network does not trigger updates among any tier1 ISPs. Note that it may not always be possible to identify the common provider as the previous route may already have been removed by a BGP WIDTHDRAWAL message. BGP WITHDRAWAL: When a mobile network leaves an AS, the designated border router will announce a BGP WITHDRAWAL message for that preﬁx p with the mobility community attribute. Again, this message propagates only to providers. The message will stop at the common provider which has a new route (different from the one in the WITHDRAWAL message). It is possible that some routers at the common provider have not received the new route. In this case, some WITHDRAWAL messages can go all the way up to tier-1 ISP, triggering updates among tier-1 ISPs. Tunnel Mapping: The existence of mobility community in a BGP message may also trigger the creation of a tunnel mapping. Speciﬁcally, assume that a tier-1 ISP's border router, referred to as PE (Provider Edge), receives a BGP UPDATE message for a speciﬁc mobile preﬁx p from its customer border router, referred to as CE (Customer Edge). When PE propagates the BGP UPDATE to aggregation routers in the same ISP or aggregation routers in other tier-1 ISP, the BGP UPDATE message should keep CE's IP address, and each router should create a tunnel using CE's IP address as the tunnel endpoint. This allows any aggregation router in any tier-1 ISP to tunnel packets destined to p to CE. This ensures packets can reach the CE, given that non-aggregation routers have only a default route to its closest aggregation router. In summary, with scoped BGP updates, our scheme reduces the routing table size by requiring only ASes in the propagation path from the current attachment point of a mobile network to the top tier to have regular (not tunneled) routing entries for the speciﬁc preﬁx of the mobile network. The tunnel information for mobile preﬁxes is maintained at all aggregation routers inside tier-1 ISPs to ensure that each aggregation router knows how to reach the mobile network. With this hierarchical architecture, all other non-tier-1 ISPs need not maintain detailed routes to the mobile preﬁxes. Instead, they can set up default routes and forward packets (destined to the mobile preﬁxes) to its provider, so that the packets can still be correctly delivered via aggregation routers to the destination. Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. ISP 2 D. An Example Let us illustrate the whole process using an example shown in Fig. 2. Assume that 220.127.116.11/16 is the allocated mobility preﬁx for ISP 1. A subpreﬁx of 18.104.22.168/16 i.e. 22.214.171.124/24 is currently attached to the CE 3 which belongs to another tier-1 ISP (ISP 3). The base station where the preﬁx is attached will inject a BGP update for the preﬁx with mobility community that causes the update to be propagated to an aggregation router inside ISP 3 (i.e. AR 3). AR 3 installs the route into its routing table and advertises this mobile preﬁx to other aggregation routers (AR 1 and AR 2) in other tier-1 ISPs. Assuming some customer inside ISP 1 wants to send packets to a destination within 126.96.36.199/24 and the packet is received by CE 1. Because CE 1 does not have any entry for 188.8.131.52/24 in its routing table (the mobile preﬁxes are only advertised among aggregation routers) except for a default route to its provider ISP 1, it forwards the packet toward the aggregation router AR 1. When AR 1 receives the packet, it looks up its routing table and ﬁnds that the next hop for the packet is AR 3. Thus it tunnels the packet to AR 3 in ISP 3 which has a local route to the mobile preﬁx 184.108.40.206/24. Therefore AR 3 detunnels the packet and locally forwards it to the ﬁnal destination. V. INTRADOMAIN MOBILITY In this section, we present the detailed design of mobility support when a mobile network moves within an MISP. This will be a common case optimization. The components of a MISP are shown in Fig. 1. A. Infrastructure Support To prevent iBGP routing changes due to roaming within an AS, we require that, only a designated BGP speaking router (DBR) act as the origin of the preﬁx of the mobile network and announces the mobile network preﬁx. We require that a mobile network always update this router of its care-of-address. For redundancy, multiple DBRs are selected. We leave out the detailed protocols on selecting DBR and registering care-ofaddress with DBR, as these protocols can be proprietary. ``` Process(p) – On receiving a packet p 1. if insideAS(dest(p)) 2. if presentMOS(p) 3. if hasKey() 4. if (validMOS(p)) 5. decrypt to get COA and stripMOS(p) 5. tunnel p to COA 6. else drop(p) 7. else forward(p) 8. else 9. if mobilePreﬁx(dest(p)) 10. if origin(dest(p)) 11. tunnel p to nexthop 12. else sendInlowPriQ(p) 13. else forward(p) 14. else forward(p) ``` Fig. 3. Packet processing procedure in routers. B. Packet Mobility State The key to our intradomain mobility support is packet mobility states. These states serve three purposes: removal of triangular routing, guarantee of location privacy, and also prevention of denial-of-service to the mobile networks. The packet mobility states of a mobile network encode the binding of the home preﬁx and the visiting care-of-address of the mobile network. Thus, the state will be updated when the mobile network changes its attachment point. Speciﬁcally, when a mobile network switches to a new base station, it needs to authenticate itself before a care-of-address can be allocated to it. Furthermore, the mobile network needs to be sure that it is not attaching to a bogus base station. Speciﬁcally, after a successful authentication, the AAA server returns to the base station a token t which encodes the binding of the mobile network's home network preﬁx (HoP) and care-ofaddress(COA). For location privacy and integrity, the binding is encrypted by the current mobility router group key Kmrg, The mobility router group includes all BGP (iBGP and eBGP included) speaking routers and some additional internal routers for performance improvement. The mobility router group key should be managed by a scalable group key management system [23] and be refreshed periodically to avoid replay attacks. On the data path, the token will be stamped by the base station into the IP packets originated from the mobile network. A correspondent host should bounce the opaque token back to the mobile host, if its OS is updated with our proposed mobility support. Thus, we refer to the token as the packet mobility state (MOS). Note that the MOS ﬁeld can be implemented as either an IP option or a shim layer between the IP layer and the transport layer. If IPSec is used, the IP option or shim layer will not be used in integrity checks. We assume that routers can be conﬁgured to carry out speciﬁc processing based on the ﬂags set in the routing table entry. We require a ﬂag denoting whether a preﬁx is originating within an AS (insideAS() in Fig. 3), a ﬂag denoting whether a given router originated a preﬁx (origin()), and a ﬂag denoting whether a destination preﬁx is a mobile network (mobilePrefix()). We assume that routers have different priority queues, as is the case for most routers today. We require packets to mobile networks without capability be sent on a low priority queue. For incremental deployment, the correspondent host always uses the home address of the mobile host for data packets from a correspondent host to the mobile network. The MOS ﬁeld becomes effective when a correspondent host bounces the ﬁeld back (i.e., attached to the reply packets). We consider three cases. The pseudo-code of the complete router processing is given in Fig. 3. The ﬁrst case is that the correspondent host is outside the AS and the correspondent host bounces back the packet state. When the packet enters the AS, since the packet has Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. been stamped with the token (obtained from the mobile host), regardless of through which border gateway router the reply comes back to the MISP, the border gateway router can use the mobility router group key to verify whether the secure token is valid (the home address is within the decrypted network preﬁx). If it is valid, the destination of the packet will be changed to the care-of-address (from the decrypted token); the router will strip the MOS ﬁeld and tunnel the packet to the care-of-address of the mobile network (line 4-6 in Fig. 3). When the BS receives the tunneled packet, it will de-tunnel and hand over the packet to the gateway of the mobile network. The packet will be dropped, if its mobility state is not valid. The third case is that the correspondent host is inside the AS. The initial routers along the path then may not have the mobility router group key. In this case, the packet will be routed toward the DBR based on the routing information. If the packet encounters any router in the mobility router group, it will be tunneled to the current care-of-address before reaching DBR. If the packet does not have the MOS ﬁeld (e.g. it initiated the connection ﬁrst or the correspondent host is a legacy host which can not echo the MOS ﬁeld back), the packet will be routed to the designated BGP speaking router (DBR) which announced the preﬁx. Because the mobile network always updates this router of its care-of-address, this router knows the care-of-address. When it receives a packet destined to the mobile network's IP preﬁx, it will tunnel the packet to its care-of-address (line 10-11 in Fig. 3). VI. WINMO PROPERTIES In this section, we analyze the correctness, optimality, and security/privacy properties of WINMO. A. Global Reachability Our reduction of the set of ASes to receive the BGP announcement about a speciﬁc mobile preﬁx p is based on three observations. First, each tier-1 ISP maintains routing information on how to reach p. Second, a non-tier-1 AS has a default routing conﬁguration. That is, instead of dropping an arrival packet when it does not have an explicit routing entry for the IP address of the packet, it forwards the packet to a provider. This is achieved by using a default preﬁx 0.0.0.0/0, with the next-hop being the chosen provider. Third, if a nontier-1 AS announces a preﬁx q such that p ⊂ q, then it must have routing information to reach every mobile network p ⊂ q. Proposition 1: If one tier-1 AS i receives a route to a mobile preﬁx p from its customers, all tier-1 ASes will know how to reach p. With these observations, it is sufﬁcient to guarantee that packets originated from any AS in the Internet can reach the AS A that the mobile network p is currently visiting, if the providers of A receive the BGP announcement, the providers of each preceding provider receive the BGP announcement, and this propagation continues until each update branch reaches a tier-1 ISP. Below we show that this is enough to guarantee the correctness of BGP routing. Proof: See appendix for the proof. Proof: See appendix for the proof. Given the preceding results, since the average hop count from any customer AS to tier-1 ISP is around 4 as shown empirically, the BGP updates can be efﬁciently limited to within only a few ASes, thus leading to low update overhead. B. Routing Optimality Our inter-domain solution potentially introduces the following path segments. (1) An AS using default route has to go through a tier-1 AS. In normal BGP routing, the AS may not traverse tier-1. There could be routes through lower tier providers. (2) A non-AR receiving packets has to tunnel to the closest AR. (3) Routing from tier-1 to a mobile preﬁx p assigned to a mobile network is via tunneling. The tunnel endpoints then detunnel and route the packet natively. For (1), due to commonly adopted hot-potato routing, the path inﬂation to a tier-1 router should not be too large. That is, if the correspondent host is in the east coast, it should reach a router of tier-1 in the east coast. For (2), its closest AR is within the same POP. Therefore, this segment introduces very little path inﬂation. For (3), the tunneling part is using normal Internet routing, albeit the destination is a tunnel endpoint. The native part is done using hot-potato routing. Therefore, the total path inﬂation should be qualitatively small compared with normal BGP routes. Our intra-domain solution does not introduce any iBGP or eBGP routing change. If the correspondent host is outside the visiting AS i of a mobile network, its packets to the mobile host will reach one of i's border router R using hot-potato routing. R then routes optimally within i. Therefore, there is no path inﬂation introduced in this case. However, if the correspondent host is within the same AS as the mobile host, when non-border gateway routers route the packet inside the AS, they may not understand the MOS ﬁeld. In that case, the packet will be routed towards the DBR. When it encounters an iBGP speaking router in the same POP (as routing among POP are done using iBGP, this must happen) it will get tunneled to the COA. Therefore, the triangular routing is very limited. Note that only the ﬁrst packet from correspondent host to mobile host may get routed to DBR. C. Security and Privacy A major challenge in removing triangular routing is to avoid security attacks. In order to remove triangular routing, mobile IPv4 depends on a security authentication between the correspondent host and the mobile host in the network layer. This is challenging to bootstrap without a PKI infrastructure. Mobile IPv6 relies on the out-of-band return routability test. Below we show that our scheme has strong security and privacy properties. First, we list our security assumptions. We assume that border gateway routers and AAA servers are secure. They share the group key (which we assume to be secure) used for generating the packet states. To increase the resistance to security analysis, we require that the temporary group key be changed periodically. This duration depends on the strength of the key. We do not assume that the base stations are secure (i.e., they are more likely to be compromised). Defense against connection hijacking: If the token is secure, then no one can hijack an ongoing connection between a correspondent host and mobile host because the trafﬁc between Theorem 1: The scoped BGP propagation and tunnel endpoint information propagation among tier-1 ASes guarantee that every AS on the Internet has a route to the mobile preﬁx p. Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. a correspondent host and mobile host cannot be redirected. This is because the forged token will not pass veriﬁcation at border gateway router and will be dropped. Replaying the token by a malicious attacker will induce trafﬁc from the correspondent host to the mobile host. The trafﬁc will not reach the attacker. We note that our scheme is in contrast to the mobile IP solution, in which case if an attacker is on the path between correspondent host and the home agent of the mobile host, the attacker can hijack the connection. Resilience to DDoS attack: For a packet destined to mobile networks, if it does not carry the packet state, it will be demoted to a low priority queue. Only attackers on the path between a legitimate correspondent host and the mobile network can spoof the packet state. Therefore, the attackers' ability to DDoS the mobile network is limited. Note that this means that the ﬁrst packet from a correspondent host will be sent in the low priority queue. Note also that, if a correspondent host is inside an AS, its packets with a packet state will be not be veriﬁed until it either reaches the DBR or a BGP speaking router. Forging a packet state for an attacker inside the AS doesn't help. This is because it will be dropped as soon as it reaches a router with the group key before reaching the mobile network. Our DDoS solution is speciﬁc to packets to mobile networks. We remark that it can be combined with other schemes such as TVA so that a complete solution can defend against DDoS attacks to any host. Preservation of location privacy: Since the correspondent host only communicates with the home address of a mobile host when it roams across an AS (the correspondent host does not understand the secure token), the true location of the mobile host is hidden from the correspondent host. Thus, location privacy is preserved in our solution. VII. IMPLEMENTATION ISSUES We discuss issues related to implementing our proposed changes in router hardware and software as well as required protocol modiﬁcations. To support interdomain mobility, ASes involved in providing the mobility service need to recognize the mobility attributes encoded using the BGP community attributes. Furthermore, routers need to recognize mobile preﬁxes to prevent them from being propagated globally. Such information can be simply conﬁgured similar to bogon preﬁx list, as mobile preﬁxes will be well-known. Thus, to support interdomain mobility, our scheme requires that only router conﬁgurations or software be slightly modiﬁed without any changes on router hardware or the protocols. We believe that this approach is incrementally deployable and imposes minimal overhead. The major requirement for the intradomain optimization is that routers need to efﬁciently verify the correctness of the token or the packet mobility state. Commercial hardware solutions for 10 Gigabit encryption and decryption needed for IPsec already exist, e.g. Cipheroptics [24]. In addition, the requirement of providing different priority queues preventing denial of service attacks is uniformly supported by common commercial routers today. VIII. EVALUATIONS In this section, We evaluate the performance improvement and overhead using realistic AS and ISP topologies in both inter-domain and intra-domain settings. First we compare the three solutions by their average path inﬂation ratio and average path length (in terms of number of AS hops). The path inﬂation ratio of a given path is deﬁned as the path length given by an algorithm over the optimal path length. We conduct 500 rounds of simulations. In each round, we randomly pick one AS as the attachment point AS of a mobile network. For each mobility solution, we compute the average path length between the attachment AS and all other ASes (which is equivalent to all other ASes serving as corresponding networks). For NEMO, since the home agent is also important for calculating AS path length, for each (correspondent AS, attachment AS) pair, we randomly select 500 home agent locations and average the path length. Since Connexion propagates routing information across the entire Internet, it achieves the best route possible under BGP policy constraints. Hence we normalize the path inﬂation of the other two solutions against Connexion. The results on path inﬂation are summarized in Table II. From Table II, the normalized average path length ratio of Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. \| #AS \| #edges \| #P/C \| #Peering \| \|---\|---\|---\|---\| \| 23408 \| 56002 \| 44482 \| 11085 \| TABLE I STATISTICS OF THE AS RELATIONSHIP DATASET. A. Evaluation Methodology We simulate the mobility and routing changes using real Internet topology data For simplicity, we treat each AS as one node in our AS topology graph, with each AS originating a single preﬁx. We assume that each AS selects and exports routes using the standard policy [25] based on AS business relationships (i.e., customer-provider relationship, peer-to-peer relationship and sibling relationship). In particular, the AS route selection policy is the conventional one implementable using local preference values: customer routes have the highest priority while provider routes have the lowest priority. We apply the algorithm in [26] to infer AS relationships from BGP tables obtained from RouteViews. The statistics of the AS topology is summarized in Table I. We use the SSFNet [28] as our main simulation tool. When computing the path inﬂation ratio where the optimal path is calculated based on algorithm in [29], we write a stand-alone program for better efﬁciency. We evaluate our intradomain approach using the POP-level topologies of ﬁve large ISPs. These topologies are constructed from the Rocketfuel data [27]. We annotate each link in the topologies with an approximate delay value. B. Effectiveness of Inter-domain Mobility Support The main goal of our inter-domain solution is to obtain lowstretch or efﬁcient routes to mobile network when compared with native BGP routes, while bounding the BGP overhead due to updates. We demonstrate the effectiveness of our solution by comparing it with two major existing solutions for network mobility: NEMO and Boeing's Connexion. NEMO is a direct extension of mobile IP to support network mobility, which causes no routing updates but suffers from triangular routing and signiﬁcant performance degradation. On the other hand, Boeing's Connexion completely removes triangular routing among ASes by propagating the updates for the mobile network via BGP. However, it introduces updates globally for each mobile preﬁx and hence could lead to serious BGP churns and instabilities. TABLE II AVERAGE AS PATH LENGTH. \| \| Connexion \| NEMO \| \|---\|---\|---\| \| Avg Path length \| 3.951 \| 7.475 \| \| Avg Path Length Ratio \| 1 \| 1.89 \| WINMO is only 11% higher than Connexion, while that of NEMO is 89% higher. An explanation of the result is that in most situations, trafﬁc from a stub AS has to use its provider's route to reach the destination. In WINMO, all trafﬁc will be delivered through tier-1 ASes and the general hop count between an AS and the top tiers is only around 3 or 4; hence the increase in path length in WINMO is very small compared with the BGP optimal Connexion. Path inflation ratio against Connexion Fig. 4. CDF of path inﬂation ratio: WINMO incurs minimal path inﬂation. We also plot the cumulative distribution of the normalized path inﬂation in Fig. 4. A particularly interesting observation from the ﬁgure is that sometimes WINMO selects even a shorter path in terms of AS hop count compared with Connexion, whose path is selected by BGP. This is because the route selection of BGP takes into account various policies and preference (e.g., customer route is preferred over provider route). This sometimes results in suboptimal paths that traverse through an AS's customers. However, in WINMO, the provider route is selected with a shorter AS hop count than the customer route chosen in the Connexion case. We see that, for WINMO more than 80% of the paths has an inﬂation less than 30% when compared with Connexion. However, for NEMO, over 80% of the paths has an inﬂation of 90%. We obtain BGP update count by simulating BGP dynamics using the SSFNet BGP simulator. To evaluate the trends in the number of BGP updates and the BGP convergence time when Internet grows, we extract sub-topologies from the complete AS topology. We vary the number of ASes in a sub-topology from 100 to 1500. For extracted sub-topology, we preserve the business relationships among the ASes. Fig. 5. Disruption time comparing WINMO with Connexion. Fig. 6. Number of BGP updates for WINMO and Connexion. updates grows exponentially as the number of ASes increases. As a contrast, WINMO successfully controls the propagation of BGP updates, and thus generates much fewer updates. Note that we show results only for sub-topologies with size up to 1500 ASes. Connexion generates from 32 to as much as 124 times more BGP updates than WINMO. C. Effectiveness of Intra-domain Mobility Support In the preceding section, our evaluation focusing on ASlevel Internet topology demonstrates WINMO's effectiveness when mobile networks move across ASes. Evaluation using AS-level topology hides the details of intra-domain mobility. In this section, we evaluate the effectiveness of WINMO when mobile networks move within an AS. To achieve this, we use network topologies with ﬁner granularity. We construct ﬁve POP-level topologies (each belongs to one of ﬁve large ISPs) with long distance link delay from Rocketfuel project [27]. We assume that the intra-domain protocol is OSPF and the shortest path is used to route packets. \| ISP \| Telstra \| Tiscali \| Sprintlink \| Ebone \| Exodus \| \|---\|---\|---\|---\|---\|---\| \| #POPs \| 61 \| 50 \| 43 \| 25 \| 23 \| \| Avg path infl \| 2.41 \| 2.217 \| 2.433 \| 2.509 \| 2.35 \| \| Avg delay infl \| 3.453 \| 3.871 \| 6.148 \| 4.042 \| 6.581 \| We assume a mobile host in a mobile network roams within an AS. The correspondent host can be anywhere in the Internet. Assuming the entry point (EP) to the AS where the mobile host currently visits is the same for NEMO and WINMO, while the rest of the Internet topology is irrelevant. For WINMO, packets will be delivered directly to the current attached base station (BS). For NEMO, packets ﬁrst go to the home agent of the mobile host, then get tunneled to the current BS. We focus on this inefﬁciency using performance metrics of path and delay inﬂation ratio. For each correspondent host and mobile host pair, it is the path length (delay) of NEMO over that of WINMO. TABLE III AVERAGE PATH/DELAY INFLATION OF NEMO NORMALIZED BY WINMO. Fig. 5 and 6 depict disruption time and the number of updates for both WINMO and Connexion. The disruption time is deﬁned as the time duration when a router doesn't have a route to reach the mobile preﬁx. The maximum disruption of Connexion is not shown in the ﬁgure because of its two orders of magnitude higher value. Even the worst case of WINMO is still much better than the average cases for Connexion. Of particular interest are the results on the number of BGP updates. We observe that in Connexion, the number of BGP We ﬁrst show the overall inﬂation ratios in Table III using average ratios: For each pair of correspondent host (CH) and mobile host (MH), we calculate the average inﬂation ratio by averaging over all possible entry points; we then compute the average over all possible (CH, MH) pairs. We observe that across all 5 topologies, the path inﬂation of NEMO is consistently at least 2.2 times of our solution. The delay inﬂation of NEMO compared with our solution is even higher: at least 3.4 in all 5 cases. We also compute the cumulative distributions of the path and delay inﬂation ratios. Fig. 7 and 8 show the results. Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply. There is a trade-off between routing optimality measured by path length and the amount of updates introduced. Thus, one concern is that the efﬁcient paths chosen by our solution could have been achieved at the cost of injecting a large number of BGP updates to the inter-domain routing system. Our next results show that our solution obtains near-optimal routing while incurring little BGP update overhead. In particular, for delay inﬂation, we observe that there exist cases where the delay of NEMO is 10 times that of our solution. These cases can lead to substantially reduced user performance. The poor performance of NEMO with respect to WINMO in terms of path length and delay demonstrates the effectiveness of our solution in handling intra-domain mobility. IX. CONCLUSIONS AND FUTURE WORK In this paper, we have proposed WINMO, a simple, systematic, novel solution for wide-area IP network mobility. Through scoped BGP updates, route aggregation and tunneling as well as mobility packet state, we have achieved low stretch global Internet routing for mobile networks roaming across wide areas with minimal inter-domain routing overhead. Our extensive evaluation shows that, the average path length of WINMO is only 11% more when compared with Connexion which uses BGP as it is; the BGP update overhead of WINMO is orders of magnitude smaller than Connexion. Mobility support is one of the major challenges facing the Internet, and there are many avenues for further study. In particular, as a typical engineering design, our design has made a number of tradeoffs. Speciﬁc deployments may need to make different tradeoffs according to user and network requirements. We believe that our design is ﬂexible and adaptable to many settings, and we will evaluate our design in more settings. REFERENCES [1] C. Perkins, "Mobile IP," IEEE Communications Magazine, vol. 35, pp. 84–99, May 1997. [3] T. 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Kubiatowicz, "Supporting rapid mobility via locality in an overlay network," University of California at Berkeley, Berkeley, CA, USA, Tech. Rep., 2002. [8] A. C. Snoeren and H. Balakrishnan, "An end-to-end approach to host mobility," in Proceedings of the Sixth International Conference on Mobile Computing and Networking (Mobicom), Boston, MA, Aug. 2000. [10] S. Zhuang, K. Lai, I. Stoica, R. Katz, and S. Shenker, "Host mobility using an internet indirection infrastructure," Wireless Networks, vol. 11, no. 6, pp. 741–756, 2005. [11] A. Dutta, T. Zhang, S. Madhani, K. Taniuchi, K. Fujimoto, Y. Katsube, Y. Ohba, and H. Schulzrinne, "Secure universal mobility for wireless internet," SIGMOBILE Mob. Comput. Commun. Rev., vol. 9, no. 3, 2005. [12] E. Sakhaee and A. Jamalipour, "The global in-ﬂight Internet," IEEE Journal on Selected Areas in Communications, vol. 24, no. 9, Sep. 2006. [14] IETF, "IETF NEMO working group," http://www.ietf.org/html.charters/ nemo-charter.html. [13] E. Perera, V. 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Hassan, "Performance enhancement of onboard communication networks using outage prediction," IEEE Journal on Selected Areas in Communications, vol. 24, no. 9, Sep. 2006. [19] H. Cho, T. Kwon, and Y. Choi, "Route optimization using tree information option for nested mobile networks," IEEE Journal on Selected Areas in Communications, vol. 24, no. 9, Sep. 2006. [21] Y. Han, J. Choi, and S. Hwang, "Reactive handover optimization in IPv6-based mobile networks," IEEE Journal on Selected Areas in Communications, vol. 24, no. 9, Sep. 2006. the core router-integrated overlay," in ICNP '06, 2006. [23] IRTF, "The secure multicast research group (SMuG)," http://www. ipmulticast.com/community/smug/. [22] X. Zhang, P. Francis, J. Wang, and K. Yoshida, "Scaling ip routing with [24] "The First 10Gig IPSec Encryption Solution," http://www.cipheroptics. com/products/sg10g.html. [26] L. Gao, "On inferring autonomous system relationships in the Internet," IEEE/ACM Trans. on Networking, vol. 9, no. 6, Dec. 2001. [25] L. Gao and J. Rexford, "Stable Internet routing without global coordination," IEEE/ACM Trans. on Networking, vol. 9, no. 6, Dec. 2001. [27] N. Spring, R. Mahajan, and D. Wetherall, "Rocketfuel: An ISP topology mapping engine," Available from http://www.cs.washington.edu/ research/networking/rocketfuel/. [29] X. Dimitropoulos, D. Krioukov, M. Fomenkov, B. Huffaker, Y. Hyun, K. Claffy, and G. Riley, "AS Relationships: Inference and Validation," ACM Computer Communication Review, vol. 37, no. 1, 2007. [28] "SSFNet BGP: SSF implementation of BGP-4," http://www.ssfnet.org/bgp/doc/. APPENDIX Proof of Proposition 1 Proof of Theorem 1 Proof: Let's denote the border router in AS i that received the UPDATE message s with PE. Let's denote the customer border router that sent the message s with CE. PE (whether AR or non-AR) will propagate s to its closest AR. As all ARs are connected, eventually, all ARs will receive s. There are two cases. If a router R is an AR. Since s preserves the tunnel endpoint information of CE, the router will be able to tunnel packets destined to p to CE which in turn detunnels, and knows how to reach p. If a router R is a non-AR, since R has a default route to its closest AR, packets to p will be tunneled to that AR. This becomes case 1. Note that there can be multiple UPDATE messages from a number of routers like CE. There can also be stale entries. However, stale entries will eventually be withdrawn. Afterwards, all tunnel endpoints should be valid. Each AR can choose the best tunnel endpoints. Proof: We assume routing converged in our proof. There are two cases. One is that an AS has a route to q where p ⊂ q. The other is that an AS has only default router to providers. For the ﬁrst case, since an AS announces q, it must know how to reach each subpreﬁx of q. For the second case, packets to p will be sent by default to providers, if packets go through a non-tier-1 AS with a routing entry q such that p ⊂ q, this goes back to case 1; if it reaches all the way to tier-1 AS. The router should either has a routing entry to the root preﬁx r of p or a speciﬁc preﬁx q such that p ⊂ q ⊂ r (by Proposition 1 and properties of scoped BGP updates). For the former, packets will be tunneled to the closest AR which will have a tunnel endpoint for p. For the latter, q's tunnel endpoint (aggregated entry) will reach p. Authorized licensed use limited to: IEEE Xplore. Downloaded on January 6, 2009 at 01:52 from IEEE Xplore. Restrictions apply.
Real Time Static Gesture Recognition using Time of Flight Camera Netra Lokhande Abstract: Hand gesture recognition is challenging task in machine vision due to similarity between inter class samples and high amount of variation in intra class samples. The gesture recognition independent of light intensity, independent of color has drawn some attention due to its requirement where system should perform during night time also. This paper provides an insight into dynamic hand gesture recognition using depth data and images collected from time of flight camera. It provides user interface to track down natural gestures. The area of interest and hand area is first segmented out using adaptive thresholding and region labeling. It is assumed that hand is the closet object to camera. A novel algorithm is proposed to segment the hand region only. The noise due to ToF camera measurement is eliminated by preprocessing algorithms. There are two algorithms which we have proposed for extracting the hand gestures features. The first algorithm is based on computing the region distance between the fingers and second one is about computing the shape descriptor of gesture boundary in radial fashion from the centroid of hand gestures. For matching the gesture the distance between two independent regions is computed for every row and column. Same process is repeated across the columns. The number of total region transitions are computed for every row and column. These number of transitions across rows and columns forms the feature vector. The proposed solution is easily able to deal with static and dynamic gestures. In case of second approach we compute the distance between the gesture centroid and shape boundaries at various angles from 0 to 360 degrees. These distances forms the feature vector. Comparison of result shows that this method is very effective in extracting the shape features and competent enough in terms of accuracy and speed. The gesture recognition algorithm mentioned in this paper can be used in automotive infotainment systems, consumer electronics where hardware needs to be cost effective and the response of the system should be fast enough. Keywords : ToF(Time of flight camera), thresholding, segmentation, hand gesture recognition, static gestures, dynamic gestures, human computer interaction, shape coding, chain coding, fourier descriptors. I. INTRODUCTION Human computer interaction is drawing lot of attention recently due to its applications in robotics, human machine interface, gesture controlled activities. The principal components of any gesture recognition system are data set capturing, hand segmentation and tracking, hand feature identification, feature classification. The classical camera based solution of data acquisition using color cameras have already efficiently employed in gesture recognitions tasks [1]-[2]. The problem with these solutions are, they are Revised Manuscript Received on October 05, 2019 Correspondence Author Dr. Netra Lokhande,School of Computer Engineering & Technology, MIT World Peace University,Kothrud,Pune. Country. Email: firstname.lastname@example.org Retrieval Number: A1232109119/2019©BEIESP DOI: 10.35940/ijeat. A1232.109119 sensitive to lighting conditions, clutter and skin color. The hand motion pose an additional challenge on FPS of camera, to capture detailed motion of gesture. From camera and sensor point of view, the progress of depth sensing devices, like Microsoft Kinect, has greatly promoted the research on HGR. Microsoft Kinect includes a depth camera and a video graphics array (VGA) camera [8]. Both cameras produce image streams at 30 frames per second (fps).The vision based motion capture became barely possible due to Kinect that acquires positional information of individual motion. Depth-based gesture recognition can be categorized into three groups of hand skeleton, spatiotemporal volume of hand, and deep learning-based methods. From hand localization perspective, various approaches can be employed using depth thresholding either using empirical or automated way [1]. The more empirical and automated approaches are required in case of RGB-D camera such as Kinect. However if depth sensor such as PMD ToF camera is used, it reduces the burden of depth thresholding as a depth which can be obtained using PMD camera is more accurate than other depth sensing techniques[10]. Since there are no publicly available PMD datasets for static and dynamic gestures, we used our own dataset using PMD picoflex ToF camera. Though dataset is recorded with the PMD picoflex camera, the gesture recognition approach presented here is not ToF camera model specific. It is generic approach which is extendible to other methods mentioned in literature. After the hand localization next step is to extract the features which are useful for hand gesture recognition. In past research on human action recognition using video is focused on extracting and using the hand-crafted features [6], [22], [23]. If hand-crafted based features are used it generally have two steps, detecting the features and describing them mathematically. Mostly used and popular feature detection methods are Harris3D [18], Cuboids [19] and Hessian3D [24]. For feature descriptors, popular methods are Cuboids [3], HOG/HOF [4], HOG3D [25] and Extended SURF [24]. Wang et al. [26], used dense trajectories with improved motion based descriptors and other hand-crafted features to achieve results on various datasets. Based on the recent flow of work towards gesture recognition, there would be still efficient and successful methods to achieve better results. Vishwas U et.al [33] used random projection and KPCA (kernel PCA) for feature space formation of segmented hand gestures. Published By: 1426 Their method has achieved near real time performance on time of flight camera. However they did not carry out single blind and double blind testing for hand gesture recognition. II. GOALS The end objective of this paper is to develop an, low-complexity, and real-time, platform portable solution for the recognition of both static and dynamic gestures of one hand .The accuracy of gesture recognition come from extracting prominent features for identification of different hand gestures .In particular it is intended to evaluate the algorithms for extracting these features on natural and sign gestures. Also goal here is to compare the proposed method with the recent approaches which are found in literature. computed at whole angle rotation 0 to 360 degrees. Same features are pre computed and used for training and used for matching during runtime. There are two algorithms discussed here for gesture recognition. The first algorithm is for deriving the shape features from the boundary and the other algorithm is based on counting the total number of regions across every row of segmented hand. The accuracy of both algorithms is compared. III. RELATED WORK Due to evolving methods of human machine interaction, events controlling without direct interaction with hardware elements, automotive infotainment, gesture and action recognition is evolving area from researchers. Different temporal models have been proposed. Nowozin and Shotton [27] proposed recognition of simple human actions using a Hidden Markov Model.[6] Wang et al. [28] used a more elaborative inter class separator, hidden-state approach for recognizing human gestures. However, relying on only one layer of hidden states, their model alone is not well efficient to adapt a higher level representation of the data. This is more true when dataset is large. In the deep learning based approaches Ji et al. [29] proposed using 3D Convolutional Neural Network for automated recognition of human actions in surveillance videos. Their model is based on feature extraction in spatial and the temporal domain by performing window based 3D convolutions. This allows capturing motion and feature information in adjacent frames. Taylor et al. [30] also experimented on using 3D Convolutional Networks for learning spatio-temporal features for gesture data. The methods and work in [31] show that averaging using multiple DNN works better than a single network and larger nets will generally perform better than smaller nets. If enough data is provided to network, averaging multi-column nets [32] applied to action recognition can also further improve the performance. IV. PROPOSED WORK The proposed solution for dynamic hand gesture recognition is as shown in Fig.1. Raw image data coming from ToF camera is first captured. Since hand is the nearest object to camera, it is easier to extract the hand boundary using the depth information. A thresholding based on image content is applied to segment the hand region. The unwanted regions or the pixels contributing to noise are eliminated by using region labeling and region filtering as segmented hand is the single contributing region and assumed to be the biggest region. The gradient of the segmented region is computed and then magnitude of gradient is thresholded to obtain the boundary of gesture region (hand region). The centroid of the contours is computed as shown in Fig.1. This centroid is used as a reference point for computation of all the distances of the pixels lying on the contour. The feature which we have used is the distance between the centroid and the contour boundary Fig. 1. Proposed method and approach block diagram for hand gesture recognition Depth and image data from ToF camera Image preprocessing Thresholding and region filtering Segmented hand region Hand boundary detection for shape coding Shape coding by approach first or second Store gesture features and train using Naïve Bayes classifier Matching/Reco gnition A. Hand segmentation Hand segmentation is carried out by using depth image and thresholding. It is assumed that hand is the closest object to camera and hence single threshold is sufficient to segment the hand. The only problem is that the unwanted noise which is not part of the segmented region needs to be filtered out. This is achieved by using 8 bit region labeling. Here are the details step to carry out the hand segmentation. B. Hand boundary detection The shape of an object in image is characterized by the complete object area surrounded by closed contour. The shape can be described by closed contour or region-based shape descriptor [14]. The approaches which we have presented in this paper extracts the shape boundary features. Hence we have relied up on the gesture shape descriptor of hand gesture boundary. Hand boundary is more accurate if segmentation is more accurate. For detecting the boundary of hand, gradient is computed on segmented region. Since segmented hand region is uniform, the gradient inside the boundary region is always zero. The non-zero gradient lies only on hand boundary, we utilize this fact. Hence thresholding is applied to gradient magnitude and hand boundary is retained, as output of gradient thresholding. The result is as shown in Fig. 3. Retrieval Number: A1232109119/2019©BEIESP DOI: 10.35940/ijeat. A1232.109119 1427 C. Hand centroid computation For computing the hand centroid we considered the positions of pixels lying on hand boundary. Then traversing in we compute the distances between the centroid and shape boundary. This forms a feature vector for us. D. Shape feature extractions There are two major algorithms which we have investigated for extracting the shape boundary features. First algorithm is based on finding the occurrences of multiple regions in each row and column.as shown in Fig. 2. Second algorithm is based on forming a shape code based on distances of every pixel lying on shape boundary from centroid. We compute the distances of nearest occurring pixels in radial way from the centroid at given angle. This is as shown in Fig.3. There are multiple methods which are addressed in the literature, such as chain coding, fourier descriptors, skeleton [14,15]. For representing the shape by code. In our implementation we used the total number of regions found per row and per column. This is shown in following figure. For every row we found total number of independent regions and found length of every independent region. This forms the feature vector for matching. Fig. 3.Proposed region counting across the rows and columns for forming the shape descriptor from the hand shape boundary. Centroid computed for given gesture boundary and the distances taken at different angles Retrieval Number: A1232109119/2019©BEIESP DOI: 10.35940/ijeat. A1232.109119 1428 Algorithm 1 Hand Segmentation and Boundary Computation Input: Im:Input image Th: Threshold Output: SegOut: Segmented Image ImOut: Image with hand boundary For each element x of Im If x> Th SegIm=255; Else SegIm=0 End If End For nRegions = CountRegions( SegIm) For each region r =1 To nRegions Locations= findRegionLocations(r) Cnt_locations= CountTotalLocations(Locations) End for For each element c of Cnt_location Indx=findIndexBiggestCntLocation(c) End For SegOut (Indx)=255 Shape descriptor Algorithm 2 Computing the radial features for each angle i ∈1,..., 360 do for r=1:MAX_RAD If Feature(r,i) = break; 1; endloop endloop Feature(r,i)= Feature(r,i)/max(Feature(r,i)) Published By: Blue Eyes Intelligence Engineering & Sciences Publication end V. EXPERIMENTAL RESULTS Many experiments were done in order to test the presented approach for hand boundary detection and the localization of the palm center. The approach is tested and evaluated over a series of 150 dynamic gestures for which the results are reported in the literature to enable performance comparisons. In our implementation we used few sign numbers and popular gestures for matching, in which the precomputed features were stored and same were used for recognition. For recognition we used naïve bayes classifier. Table I to Table V shows the average accuracy obtained against sign and popular gestures. There are total eight popular gestures and nine sign number gestures, we used for testing our implementation. It was checked on live video. 150 frames of video were given for testing the algorithm. Table I shows the correct number of gestures recognized out of 150 frames. We tested our implementation on Intel i7 5 th generation platform with 16GB RAM. The average time taken for recognition is 0 seconds for recognizing particular gesture. In results discussed below accuracy for Victory and OK gestures is lesser than others because, while testing subject slightly tilted the gesture, since our implementation is rotation variant. Retrieval Number: A1232109119/2019©BEIESP DOI: 10.35940/ijeat. A1232.109119 1429 Table- I: Recognition rates for popular gestures using radial shape descriptors [single blind] For comparison we studied the various approaches which uses depth sensor, Microsoft Kinect sensor and checked for the accuracy we obtained on sign language gestures. We found that the average accuracy obtained was better than the approaches we compared. We tested the proposed solution in case of single blind (The person knows which gesture is recognized by system) and double blind (The person doesn‟t know which gesture is recognized by the system). The comparison is done against standard approaches mentioned in the literature. The accuracy results are summarized in Table I and Table II. We also tested our implementation on popular gestures mentioned in Table III and Table IV and compared the results with the standard methods mentioned in literature. Table -4 : Recognition rates comparison for popular gestures using radial shape descriptors [single blind] \| Gesture \| No Of correctly matched \| Accuracy \| Time(s) \| \|---\|---\|---\|---\| \| Open hand \| 150 \| 100% \| 0.1864 \| \| Victory \| 149 \| 99.33% \| 0.1877 \| \| OK letter \| 121 \| 80.66% \| 0.1855 \| \| Letter L \| 150 \| 100% \| 0.1901 \| \| Letter four \| 147 \| 98% \| 0.1797 \| \| Left \| 150 \| 100% \| 0.1712 \| \| Thumbs up \| 149 \| 99.33% \| 0.1855 \| \| Thumbs down \| 124 \| 82.67% \| 0.1677 \| Table – II: Recognition rates for popular gestures using radial shape descriptors [double blind] e Table- V: Recognition rates comparison for sign number gestures using radial shape descriptors [single blind] Table- III: Recognition rates for popular gestures using row and column region features [single blind] Retrieval Number: A1232109119/2019©BEIESP DOI: 10.35940/ijeat. A1232.109119 Published By: 1430 Real Time Static Gesture Recognition using Time of Flight Camera In the final test we tested our system from the point of view of naturally controlling the software using gestures. This has been shown in Fig.7. We used thumbs down gesture to close the application. Gesture „L‟ is trained to open the excel application and Gesture victory is used for opening windows media player and play the song. VI. CONCLUSION A method for dynamic recognition of hand gestures using Time of Flight camera is presented in this paper. There are two algorithms we proposed ,first one was based on computing row wise and column wise features and second one is based on traversing at different angles from 0 to 360 degrees it finds the radial distance between centroid and hand boundary. We formed the features vectors using radial distances for these angles. Our system is able to perform with average accuracy 95% with single hand dynamic gestures with eight natural gestures and nine sign language gestures. Since we have used Time of Flight camera in the implementation, lighting condition, clothing, skin color have little impact on the results obtained using current implementation. In the proposed implementation first Retrieval Number: A1232109119/2019©BEIESP DOI: 10.35940/ijeat. A1232.109119 algorithm is dependent on hand size and distance from the camera whereas second approach is independent on the hand size of the user. This is one of the major advantages of our method as compared to [1].The proposed solution has many applications in human machine interaction, augmented reality, automotive infotainment and natural control of a software application. In future the results can be more improved by using large dataset for training. In the first algorithm we discussed, it can be made size and distance independent from camera by normalizing the row wise and column wise region lengths. This can be normalized by dividing the length of maximum region found in given gestures shape. Multiple gestures can also be used to widen the application areas of our implementation. REFERENCES 1. Guillaume Plouffe and Ana-Maria, , Static and Dynamic Hand Gesture Recognition in Depth Data Using Dynamic Time Warping,IEEE Trans. Instrumentation and Measurement,2015 2. A. R. Várkonyi-Kóczy and B. Tusor, "Human–computer interaction for smart environment applications using fuzzy hand posture and gesture models," IEEE Trans. Instrum. Meas., vol. 60, no. 5, pp. 1505–1514, May 2011. 3. P. Scovanner, S. Ali, and M. Shah, "A 3-dimensional sift descriptor and its application to action recognition," in International Conference on Multimedia. ACM, 2007. 4. I. 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Li, "Multi-scenario gesture recognition using Kinect," in Proc. IEEE Int. Conf. Comput. Games, Jul./Aug. 2012, pp. 126-130. 12. Z. Ren, J. Yuan, and Z. Zhang, "Robust hand gesture recognition based on finger-earth mover‟s distance with a commodity depth camera," inProc. ACM Int. Conf. Multimedia, 2011, pp. 1093–1096. 13. Z. Ren, J. Meng, and J. Yuan, "Depth camera based hand gesture recognition and its applications in human-computer-interaction," in Proc. IEEE Conf. Inf., Commun. Signal Process., Dec. 2011, pp. 1–5. 14. N. Pugeault and R. Bowden, "Spelling it out: Real-time ASL fingerspelling recognition" in Proc. IEEE Intl. Conf. Comput. Vis. Workshops(ICCV Workshops), Barcelona, Spain, Nov. 2011, pp. 1114–1119 15. I. Oikonomidis, N. Kyriazis, and A. A. Argyros, , "Efficient model-based 3D tracking of hand articulations using Kinect," in Proc. Brit. Mach. Vis. Conf., 2011, pp. 101.1–101.11. 16. K. Otiniano-Rodríguez and G. Cámar a-Chávez, "Finger spelling recognition from RGB-D information using kernel descriptor ," in Proc. IEEE Conf. Graph., Patterns Images, Arequipa, Peru , Aug. 2013, pp 1-7 17. F. Pedersoli, S. Benini, N. Adami , and R. Leonardi, "XKin: An open source framework for hand pose and gesture recognition using Kinect," Vis. Comput., vol. 30, no. 10, pp. 1107–1122, Oct. 2014. 18. D. Wu and L. Shao, "Silhouette analysis-based action recognition via exploiting human poses," IEEE Transactions on Circuits and Systems for Video Technology, vol. 23, no. 2, pp. 236-243, 2013. Published By: 1431 19. I. Laptev, "On space-time interest points," International Journal of Computer Vision, 2005.[5] P. Doll´ar, V. Rabaud, G. Cottrell, and S. Belongie, "Behavior recognition via sparse spatio-temporal features," in Visual Surveillance and Performance Evaluation of Tracking and Surveillance. IEEE, 2005. 20. Qingxiao Niu, Hua Zhang, "A Shape Contour Description Method based on Chain Code and Fast Fourier Transform", 2011 Seventh International Conference on Natural Computation 21. S. Belongie, J. Malik, and J . Puzicha, "Shape Matching and Object Recognition Using Shape Contexts", IEEE Trans. on Pattern Analysis and Machine Intelligence, vol. 24, 2002, pp. 509–522 22. L. Shao, X. Zhen, D. Tao, and X. Li, "Spatio-temporal laplacian pyramid coding for action recognition," IEEE Transactions on Cybernetics,vol. 44, no. 6, pp. 817-827, 2014. 23. L. Liu, L. Shao, F. Zheng, and X. Li, "Realistic action recognition via sparsely-constructed gaussian processes," Pattern Recognition, doi: 10.1016/j.patcog.2014.07.006., 2014. 24. G. Willems, T. Tuytelaars, and L. V. Gool, "An efficient dense and scale-invariant spatio-temporal interest point detector," in European Conference on Computer Vision. Springer, 2008. 25. A. Klaser, M. Marszalek, and C. Schmid, "A Spatio-Temporal Descriptor Based on 3D-Gradients," in British Machine Vision Conference, 2008. 26. H. Wang, A. Kl¨aser, C. Schmid, and C.-L. Liu, "Dense trajectories and motion boundary descriptors for action recognition," International Journal of Computer Vision, 2013. 27. S. Nowozin and J. Shotton, "Action points: A representation for low-latency online human action recognition," Tech. Rep., 2012. 28. S. B. Wang, A. Quattoni, L.-P. Morency, D. Demirdjian, and T. Darrell,"Hidden conditional random fields for gesture recognition," in Computer Vision and Pattern Recognition, 2006 IEEE Computer Society Conference on, vol. 2. IEEE, 2006, pp. 1521–1527. 29. S. Ji, W. Xu, M. Yang, and K. Yu, "3d convolutional neural networks for human action recognition," Pattern Analysis and Machine Intelligence, IEEE Transactions on, 2013. 30. G. W. Taylor, R. Fergus, Y. LeCun, and C. Bregler, "Convolutional learning of spatio-temporal features," in European Conference on Computer Vision. Springer, 2010. 31. D. Wu and L. Shao, "Deep dynamic neural networks for gesture segmentation and recognition," European Conference on Computer Vision and Pattern Recognition Workshops, 2014. 32. D. Ciresan, U. Meier, and J. Schmidhuber, "Multi-column deep neural networks for image classification," in IEEE Conference on Computer Vision and Pattern Recognition, 2012. 33. Vishwas Udpikar,Jitesh Butala,"Static gesture recognition using PMD ToF camera," 2014 InternationalConference on Advances in Computing,Communicationsand Informatics (ICACCI) AUTHORS PROFILE Dr. Netra Lokhande, received her B.E degree from Karnatak University. M.E from Govt. College of Enginnering(COEP), Pune University, and her Ph.D. from JJTU, Rajasthan. She has 22 years of teaching experience from various well known institutes from Pune University. Presently she is working as an Associate Professor in School of Computer Engineering and Technology, MIT World Peace University, Pune, Maharashtra, India. She has worked as Head of Dept.and Dean Academics in previous institute. She is also UG and PG guide for students. She has published more than 30 research papers in International/National conferences and Journals.She is the member of Editorial Board of number of International Journals. Retrieval Number: A1232109119/2019©BEIESP DOI: 10.35940/ijeat. A1232.109119 1432 Published By:
cancer.org \| 1.800.227.2345 EASY READING If You Have Anal Cancer Jump to a topic What is anal cancer? G How does the doctor know I have anal cancer? G Are there different kinds of anal cancer? G How serious is my cancer? G What will happen after treatment? G What kind of treatment will I need? G What is anal cancer? Cancer that starts in the anus is called anal cancer. It starts when cells in the anus grow out of control and crowd out normal cells. Cancer cells can spread to other parts of the body. Cancer cells in the anus can sometimes travel to the liver and grow there. When cancer cells do this, it's called metastasis. To doctors, the cancer cells in the new place look just like the ones from the anus. Cancer is always named for the place where it starts. So when anus cancer spreads to the liver (or any other place), it's still called anal cancer. It's not called liver cancer unless it starts from cells in the liver. Ask your doctor to use this picture to show you where the cancer is. The anus The anus is the end of the digestive tract – the channel that food moves through as it's used by the body. Solid waste (poop) comes out of the anus. Are there different kinds of anal cancer? There are many types of anal cancer 1 . Most are rare. Your doctor can tell you more about the type you have. The most common type is called squamous cell cancer. This type of tumor starts in the cells that line the inside of the anus and have grown into the deeper layers of the anus. Anal cancer is also often put into 2 groups depending on where it starts in the anus - the anal canal or the perianal area. They are sometimes treated differently. Questions to ask the doctor Why do you think I have anal cancer? G Would you please write down the kind of cancer you think I might have? G Is there a chance I don't have cancer? G What will happen next? G How does the doctor know I have anal cancer? Some anal cancers cause no symptoms at all. But symptoms of anal cancer 2 can include changes in your poop, bleeding, itching, and pain or a lump at the anal opening. The doctor will ask you questions about your health and do a physical exam. The doctor will also look at your anus and may put a gloved finger inside to check for lumps. (This is called a rectal exam. The rectum is the part of the large intestine that connects to the anus.) If signs are pointing to anal cancer, more tests will be done. Here are some of the tests you may need 3 : Anoscopy: For this test, a hollow firm tube about 3 to 4 inches long (called an anoscope) is covered with a gel and gently put into the anus. A light at the end of this tube lets the doctor see the inside of the lower rectum and anus. A sample of tissue (a biopsy) can be taken and then tested in the lab. You will be awake for this test, but it should not hurt. Endoscopy: For this test, a flexible (not firm) tube with a tiny video camera and light on the end (called an endoscope) is put into the anus, rectum, and sometimes the entire colon to look inside. This flexible tube is much longer than the anoscope and might be used to make sure that an anal cancer symptom, such as bleeding, is not coming from another area like the rectum or colon. It can also be used to take out cells (a biopsy) from inside these areas. You will be given medicine to stay drowsy or asleep during this test. Ultrasound: For this test, a small thin probe is put into the anus and rectum. This can be uncomfortable, but should not hurt. The probe gives off sound waves to make pictures of the inside of the body. This test can be used to see how deep the cancer has grown into the tissues around the anus. CT scan or CAT scan: A CT scan is like an x-ray, but the pictures of your insides are more detailed. CT scans can also be used to help do a biopsy and can show if the cancer has spread. MRI scan: This test uses radio waves and strong magnets instead of x-rays to make detailed pictures. This test may be used to check the nearby lymph nodes 4 or the liver for cancer spread. Chest x-ray: X-rays may be done to see if the cancer has spread to the lungs. PET scan: PET scans use a special kind of sugar that can be seen inside your body with a special camera. If there is a cancer, this sugar shows up as "hot spots" where the cancer is found. This test can help show if the cancer has spread. Sometimes, a PET scan is done with a CT scan to see areas of cancer better. Anal biopsy In a biopsy, the doctor takes out a small piece of tissue where the cancer seems to be. The tissue is checked for cancer cells. A biopsy is the only way to know for sure if you have cancer. For anal cancer, a biopsy is most often done during an endoscopy. If the tumor is very small and is only on the lining of the anus, the doctor may be able to take out all of the tumor during the biopsy. There are many types of biopsies 5 . Ask your doctor what kind you will need. Each type has reasons for and against doing them. The choice of which type to use depends on your own case. Questions to ask the doctor What tests will I need to have? G Where will they be done? G Who will do these tests? G Who can explain them to me? G Who will explain the results to me? G How and when will I get the results? G What do I need to do next? G How serious is my cancer? If you have anal cancer, the doctor will want to find out how far it has spread. This is called staging. Your doctor will want to find out the stage 6 of your cancer to help decide ____________________________________________________________________________________ what type of treatment is best for you. The stage describes the growth or spread of the cancer through the anus. It also tells if the cancer has spread to nearby organs or to organs farther away. Your cancer can be stage 1, 2, 3, or 4. The lower the number, the less the cancer has spread. A higher number, like stage 4, means a more serious cancer that has spread beyond the anus. Be sure to ask the doctor about the cancer stage and what it means. Questions to ask the doctor Do you know the stage of the cancer? G Would you explain to me what the stage means in my case? G If not, how and when will you find out the stage of the cancer? G Based on the stage of the cancer, how long do you think I'll live? G What will happen next? G What kind of treatment will I need? There are many ways to treat anal cancer 7 , including surgery, radiation, chemotherapy, and immunotherapy. Surgery and radiation are used to treat only the cancer. They do not affect the rest of the body. Chemo drugs and immunotherapy go through the whole body. They can reach cancer cells almost anywhere in the body. The treatment plan that's best for you will depend on: The stage of the cancer and where it started in the anus (anal canal or perianal area) G Your age G The chance that a type of treatment will help G Other health problems you have G Your feelings about the treatment and the side effects that might come with it G Surgery for anal cancer Most people with anal cancer do not need surgery. If surgery is needed, the kind of surgery depends on the type of tumor and where it is. Local resection A local resection may be done if the cancer is small and has not spread. Only the tumor and a small rim of tissue around it are taken out. In most cases, the muscle that opens and closes the anus is not damaged. If so, you'll be able to control your poop and have it come out the anus. Abdominoperineal resection (APR) Abdominoperineal resection is not used a lot, but it may be an option if other treatments don't get rid of the cancer. For this surgery, the doctor makes 2 cuts: 1 through the belly and 1 around the anus. Then the anus and part of the rectum are taken out, and sometimes nearby lymph nodes are taken out, too. After an APR you'll have an opening on your lower belly where poop will come out. (This is called a colostomy 8 .) Side effects of surgery Any type of surgery can have risks and side effects. Be sure to ask the doctor what you can expect. Ask how you will poop after surgery. If you have problems, let your doctors know. They should be able to help you with any problems you might have. Radiation treatments Radiation uses high-energy rays (like x-rays) to kill cancer cells. In anal cancer, it's most often given along with chemotherapy. Radiation can also be used to relieve symptoms such as pain, bleeding or other problems that happen when the anal cancer has grown very large or has spread to other areas like the bones. It's often given in small doses every day for many weeks. There are 2 main ways radiation can be given. It's most often aimed at the anus from a machine outside the body. This is called external beam radiation. In some cases, a tube of radioactive seeds might be put right into the anus near the cancer. This is called brachytherapy. Side effects of radiation treatments If your doctor suggests radiation treatment, ask about what side effects might happen. The most common side effects of radiation are: Skin changes where the radiation is given G Bowel movements may hurt G Feeling very tired (fatigue) G Nausea G In women, radiation can irritate the vagina. This may hurt and can cause vaginal discharge. G Diarrhea G Most side effects get better after treatment ends and many can be treated. Some might last longer. Talk to your cancer care team about what you can expect. Chemotherapy Chemo is the short word for chemotherapy – the use of drugs to fight cancer. The drugs may be given into a vein or taken as pills. These drugs go into the blood and spread through the body. Chemo is given in cycles or rounds. Each round of treatment is followed by a break to give the body time to recover. Most of the time, 2 or more chemo drugs are given. Treatment often lasts for many months. Chemo given along with radiation therapy is often the first treatment for most anal cancers. This is called chemoradiation. It may cure the cancer without surgery. Side effects of chemo Chemo might make you feel very tired, sick to your stomach, and cause your hair to fall out. But these problems go away after treatment ends. There are ways to treat most chemo side effects. If you have side effects, talk to your cancer care team so they can help. Immunotherapy Immunotherapy is treatment that boosts your own immune system to attack the anal cancer cells. These drugs may be given into a vein. Side effects of immunotherapy Immunotherapy can cause different side effects depending on which drug is used. These drugs may make you feel tired, sick to your stomach, or cause a rash. Most of these problems go away after treatment ends. There are ways to treat most of the side effects caused by immunotherapy. If you have side effects, talk to your cancer care team so they can help. Clinical trials Clinical trials are research studies that test new drugs or other treatments in people. They compare standard treatments with others that may be better. Clinical trials are one way to get the newest cancer treatment. They are the best way for doctors to find better ways to treat cancer. If your doctor can find one that's studying the kind of cancer you have, it's up to you whether to take part. And if you do sign up for a clinical trial, you can always stop at any time. If you would like to learn more about clinical trials that might be right for you, start by asking your doctor if your clinic or hospital conducts clinical trials. See Clinical Trials 9 to learn more. What about other treatments that I hear about? When you have cancer you might hear about other ways to treat the cancer or treat your symptoms. These may not always be standard medical treatments. These treatments may be vitamins, herbs, special diets, and other things 10 . You may wonder about these treatments. Some of these are known to help, but many have not been tested. Some have been shown not to help. A few have even been found to be harmful. Talk to your doctor about anything you're thinking about using, whether it's a vitamin, a diet, or anything else. Questions to ask the doctor What treatment do you think is best for me? G Will treatment include surgery? If so, who will do the surgery? G What's the goal of this treatment? Do you think it could cure the cancer? G What will the surgery be like? How will I poop after surgery? G What side effects could I have from these treatments? G What's the goal of these treatments? G What can I do about side effects that I might have? G Is there a clinical trial that might be right for me? G How soon do I need to start treatment? G What about special vitamins or diets that friends tell me about? How will I know if they are safe? G What should I do to be ready for treatment? G What's the next step? G Is there anything I can do to help the treatment work better? G If you need more information about possible side effects of treatment, visit Managing Cancer-related Side Effects 11 . What will happen after treatment? You'll be glad when treatment is over 12 . For years after treatment ends, you will still need to see your cancer doctor. Be sure to go to all of these follow-up visits. You will have exams, blood tests, and maybe other tests to see if the cancer has come back. Follow-up doctor visits after treatment may be needed as often as every 3 to 6 months for at least 3 years. They will be less often after 3 years or so. During these visits, your doctor will ask about any symptoms you're having and will do a physical exam. Blood tests, rectal exams, anoscopy, and imaging tests (like CT scans) might be done. Having cancer and dealing with treatment can be hard, but it can also be a time to look at your life in new ways. You might be thinking about how to improve your health. Call us at 1-800-227-2345 or talk to your cancer care team to find out what you can do to feel better. You can't change the fact that you have cancer. What you can change is how you live the rest of your life – making healthy choices and feeling as good as you can. For connecting and sharing during a cancer journey Anyone with cancer, their caregivers, families, and friends, can benefit from help and support. The American Cancer Society offers the Cancer Survivors Network (CSN) 13 , a safe place to connect with others who share similar interests and experiences. We also partner with CaringBridge 14 , a free online tool that helps people dealing with illnesses like cancer stay in touch with their friends, family members, and support network by creating their own personal page where they share their journey and health updates. Hyperlinks www.cancer.org/cancer/anal-cancer/about/what-is-anal-cancer.html 1. www.cancer.org/cancer/anal-cancer/detection-diagnosis-staging/howdiagnosed.html 3. www.cancer.org/cancer/anal-cancer/detection-diagnosis-staging/signs-andsymptoms.html 2. www.cancer.org/treatment/understanding-your-diagnosis/lymph-nodes-andcancer.html 4. www.cancer.org/cancer/anal-cancer/detection-diagnosis-staging/staging.html 6. www.cancer.org/treatment/understanding-your-diagnosis/tests/testing-biopsy-andcytology-specimens-for-cancer/biopsy-types.html 5. www.cancer.org/cancer/anal-cancer/treating.html 7. www.cancer.org/treatment/treatments-and-side-effects/clinical-trials.html 9. www.cancer.org/treatment/treatments-and-side-effects/treatmenttypes/surgery/ostomies/colostomy.html 8. www.cancer.org/treatment/treatments-and-side-effects/treatmenttypes/complementary-and-integrative-medicine.html 10. www.cancer.org/cancer/anal-cancer/after-treatment/follow-up.html 12. www.cancer.org/treatment/treatments-and-side-effects/physical-side-effects.html 11. csn.cancer.org/ 13. www.cancer.org 15. www.caringbridge.org/ 14. Words to know Adenocarcinoma (AD-no-KAR-suh-NO-muh or AD-uh-no-KAR-suh-NO-muh): Cancer that starts in the gland cells that line certain organs and make and release substances into the body, such as mucus, digestive juices, or other fluids. Abdominoperineal resection (ab-DAH-muh-no-PAIR-uh-NEE-uhl re-SEK-shun): Often shortened to AP resection or APR. This is surgery to take out the anus, rectum, and part of the colon (large intestine). A permanent colostomy is needed after this surgery. See colostomy. Biopsy (BY-op-see): Taking out a small piece of tissue to see if there are cancer cells in it. Carcinoma (CAR-sin-O-muh): Cancer that starts in the lining layer of organs. Most cancers are carcinomas. Colostomy (kuh-LAHS-tuh-me): An opening made in the skin on the belly to make a new path to get rid of poop or stool. A small pouch is used to cover the opening to collect the poop. Endoscopy (en-DOS-koh-pee): The use of a tube with a lens or tiny video camera on the end (called a scope) to look inside the body. Can be used to do a biopsy. See biopsy. Lymph nodes (limf nodes): Small, bean-shaped sacs of immune system tissue found all over the body and connected by lymph vessels; also called lymph glands. Metastasis (muh-TAS-tuh-sis): Cancer cells that have spread from where they started to other places in the body. How can I learn more? We have a lot more information for you. You can find it online at www.cancer.org (www.cancer.org) 15 . Or, you can call our toll-free number at 1-800-227-2345 to talk to one of our cancer information specialists. Last Revised: September 9, 2020 Written by The American Cancer Society medical and editorial content team (www.cancer.org/cancer/acs-medical-content-and-news-staff.html) Our team is made up of doctors and oncology certified nurses with deep knowledge of cancer care as well as journalists, editors, and translators with extensive experience in medical writing. American Cancer Society medical information is copyrighted material. For reprint requests, please see our Content Usage Policy (www.cancer.org/aboutus/policies/content-usage.html). cancer.org \| 1.800.227.2345
Newark and Sherwood Amended Core Strategy DPD Post-Hearing Matter 14 Statement Newark and Sherwood District Council February 2018 1.0 Context 1.01 Following the close of the hearings the Inspector has requested that the Council provide a response to paragraphs 17-34 of Dr Angus Murdoch's hearing statement. The Council would wish to highlight that despite twice being directly invited to do so the objector did not take the opportunity to positively engage in the plan-making process, via the making of representations over the soundness of this aspect of the plan within the statutory representation period (17 th July – 1 st September 2017). Whilst it is regrettable that the Council did not have the chance to address the objectors detailed criticisms at an earlier stage it now welcomes this opportunity to provide a reasoned response. 1.02 Whilst the specific circumstances supporting the approach of any given Local Plan will need to be justified at examination it is still relevant, and prudent, to look at how recently adopted Local Plans elsewhere have proposed to meet gypsy and traveller needs. Throughout the statement attention is therefore drawn to the practice adopted in the Gypsy and Traveller Accommodation Assessments (GTAA's) which support the recently sound Local Plans of six Local Planning Authorities (LPA's), adopted following the introduction of the definition of gypsies and travellers within the Planning Policy for Traveller Sites in August 2015: * Adur District Council – Local Plan adopted in December 2017, supported by GTAA's undertaken in 2013 and 2014; * Basingstoke & Deane Borough Council – Local Plan adopted in May 2016, supported by GTAA's prepared in 2015 and 2017; * The London Borough of Hammersmith and Fulham – Local Plan found sound in November 2017, supported by a GTAA undertaken in 2016; * The London Borough of Newham - Gypsy and Traveller Development Plan Document found sound in January 2017, underpinned by a GTAA produced in 2016; * Luton Borough Council – Local Plan adopted in November 2017, supported by GTAA's prepared in 2015 and 2016; and * Warwick District Council – Local Plan adopted in September 2017, supported by a GTAA produced in 2012. These case studies are referred to solely in the context of responding to the objector's criticisms, and the statement does not seek the introduction of new evidence into the examination. 1.03 Importantly the conclusions reached through this additional statement support the Council's view, as presented within its earlier Hearing Statement on Matter 14, that the submitted Gypsy and Traveller Accommodation Assessment (GTAA) (GT/01) 1 represents the proportionate evidence base envisaged within the tests of soundness. Furthermore the GTAA and resulting pitch requirements in Core Policy 4 are deemed to represent a sound and objective assessment of the 'likely accommodation needs' (Councils emphasis) of the gypsy and traveller community, meeting the requirements of the national Planning Policy Framework (the Framework) and Policies A and B in the Planning Policy for Traveller Sites (PPfTS), 2015. This evidence has then been used to plan positively, with the proposed approach provided by Core Policies 4 and 5 ensuring that those likely needs will be met. 2.0 Response Existence of residual unmet need coming into the new GTAA period (2013 – 2028) 2.01 The appeals (hearing dates and decisions) referred to by the objector pre-date the later stages, examination and adoption of the Allocations & Development Management DPD (A&DM DPD) (adopted June 2013). Importantly the DPD provides an up-to-date supply position as at the point of submission (September 2012), at paragraph 2.7 (relevant excerpt provided in Appendix A). This confirms that by the time of the DPD's examination (December 2012) the 84 pitches identified in the previous (GTAA 2007 – 2012) had been met and exceeded with 93 pitches having been secured. 2.02 As outlined in para 2.7 of the Allocations & Development Management DPD (A&DM DPD) the Council then projected forward based on the approach taken in the previous GTAA, concluding that a further 21 pitches would be required over the next 5 year period. Importantly at the point of examination there was an extant permission which fulfilled that need. This supply position and approach was considered at examination and found to be sound. The relevant section of the Inspectors report can be found in Appendix B, with the following being concluded at paragraph 36: 'The current requirement for Gypsy and Traveller provision has now been met and exceeded with 93 pitches having been secured. This requirement covers the period to the end of 2012. Projecting forward based on the existing Needs Study it is anticipated that an additional 21 pitches will be required over the next 5 years. There is a site with planning permission which would meet this need and currently the Council is in negotiation to buy the land, having formally resolved to use compulsory purchase powers if necessary.' 1 1 It should be noted that subsequent to the adoption of the Allocations & Development Management DPD the Council engaged with landowners and highlighted its willingness to use its compulsory purchase powers. As a result the sites have now been brought back into use, as confirmed at the hearings, without compulsory purchase being necessary. 2.03 Importantly the rolling forward of a five year requirement from the previous GTAA period (2007-2012) ensured there remained a basis against which to consider planning applications during the period of time the Nottinghamshire joint methodology was produced, and then applied to generate new pitch requirements. It is through this approach that the pitch requirements within the submitted GTAA have been derived. Notwithstanding the short-term rolling forward it should be noted that the submitted GTAA has in any case reverted to 2013 for its base year, providing a contiguous unbroken period of assessment from 2007 – 2028. It would also perhaps be useful to outline that where temporary consents contribute towards the supply identified in the submitted GTAA then the assessment has taken account of their projected lapse, factoring them in as 'forecasts of pitch need' post 31 st March 2018. This means that the pitches become added back into the requirement when that lapsing occurs. 2.04 Consequently the Council does not recognise the existence of any residual need, either as a result of previous unmet need or from any gap in assessment. The objector's assertion is therefore strongly contested. Based on the supply position as at September 2012, and notwithstanding any shortfall generated within the current GTAA period, no residual requirement existed. Indeed an excess in provision was seen. The proactive approach to addressing the shortfall which has emerged during the new GTAA period is outlined in Core Policy 4 of the Amended Core Strategy (ACS) (CS/04). The need for an allocations policy 2.05 The legislation and guidance referenced in the objector's Statement is no longer in force. Circular 01/2006 was withdrawn on 07 March 2014. The Planning Policy for Traveller Sites, March 2012 was archived in 2015. The new Planning Policy for Traveller Sites was published in August 2015. This, alongside the National Planning Policy Framework (the Framework) sets out the statutory policy requirements for gypsies and travellers. 2.06 The objector suggests that the lack of an allocations policy renders the Plan unsound and at variance with the relevant requirement in the PPfTS. In making this claim the existence of Core Policy 5 in the ACS appears to have been overlooked. The proposed policy establishes a range of criteria to guide the process of allocation in the Allocations & Development Management DPD, and to help inform decisions on proposals reflecting unexpected demand. Notably this policy will provide the basis for the identification of a site, or sites, through the approach to which the Council has underlined its commitment in Core Policy 4 of the ACS. This is outlined at para 14.09 of the Councils Hearing Statement on Matter 14, but can be summarised as the resolution to take all necessary steps to secure appropriate provision of Gypsy and Traveller sites to meet anticipated need. This includes the option of directly purchasing land. It should also be noted that site allocation through a subsequent site specific Development Plan Document is consistent with how the Council has approached its bricks and mortar housing requirements, save for the identification of the strategic sites within the Core Strategy. This also reflects the approach adopted elsewhere by other LPA's who have adopted / are progressing Core Strategies rather than single unified Local Plans. 2.07 Turning now to three specific examples of practice adopted by LPA's elsewhere. Adur District Council identified need for 4 additional gypsy and traveller pitches over the plan period. The Adur Local Plan, adopted in December 2017 contains two gypsy and traveller policies to address this need. Policy 23 provides a commitment to provide for the future needs and sets out a criterion based approach to assess applications as they come forward. Policy 24 protects the existing site at Withy Patch in Lancing from other types of development. The Inspectors Report (IR), 2017 sets out that: "It is proposed to relocate the pitches and include the additional four pitches required to meet the identified need. The landowner supports this approach and there is no reason to doubt that the pitches will all be delivered." (IR, p. 24, 2017) It was recognised that, whilst there is not a specific allocation in the Local Plan, the Council will be able to deliver its gypsy and traveller need. As a result, the IR concludes that "Policy 24 sets out the criteria for assessing proposals for gypsy, traveller and travelling showpeople sites and Policy 25 seeks to ensure the retention of such sites. On the evidence submitted I am satisfied that these two policies are justified." (IR, p. 24, 2017) 2.08 The London Borough of Hammersmith and Fulham Local Plan was found sound by the Inspector in November 2017. It had an identified need of 6 pitches over the plan period. The Hammersmith and Fulham Local Plan, 2016 contains the Policy HO10 which sets out that the Council will work closely with the Royal Borough of Kensington and Chelsea, and any other relevant partners to protect, improve and, if necessary, increase the capacity of the existing gypsy and traveller site at Westway. The Local Plan, 2016 does not allocate sites. However, it does contain a commitment to do so over the plan period. The Inspectors Report, December 2017. "At present Hammersmith and Fulham Borough Council has not been able to identify how this need will be met, so as far as it affects its interests, which is not in accordance with national policy. However, the Council has identified a clear strategy to address the issue which will involve a site appraisal study and the production of an options paper with the intention of having a suitable land supply identified during 2018 to meet the needs". (IR, p. 10, 2017). 2.09 Warwick District's Local Plan was adopted in September 2017. It has a need for 31 pitches over the plan period. It contains Policy H7 which outlines that the Council will allocate sufficient land on sustainable sites to meet the permanent needs of its gypsy and traveller community to satisfy the need for 31 pitches over the plan period (25 of which should be in the first 5 years). Policy H8 provides a criteria based policy to determine G&T applications. Policy H9 outlines that the Council will consider compulsory purchase powers to assist in the delivery of gypsy and traveller sites. 2.10 The Inspector's Report, July (2017) sets out that, "Policy H7 sets out a clear, positive and proactive commitment to meeting all of the identified needs through the production of a Gypsy and Traveller Site Allocations Plan and determining planning applications in line with criteria in Policy H8. It will enable a 5 year supply of deliverable sites to be achieved. The Council envisage that the Site Allocations Plan will be published for consultation in November 2017. Policy H8 sets out appropriate and justified criteria to assess proposals for Gypsy and Traveller sites." (IR, p.84, 2017) 2.11 Drawing the above together it is clear that given the difficulty that can be involved with allocating land supply for gypsy and travellers, to avoid delay, it has been concluded to be a sound approach elsewhere for gypsy and traveller pitches to be achieved through subsequent Development Plan Documents – as is proposed here. 2.12 In this respect it should be noted that the Council has a strong and consistent record of gypsy and traveller pitch provision. As noted above in paragraph 2.01 the land supply target of 84 pitches was exceeded by 9 pitches in the last plan period. Whilst referring back to the three most recent January counts of traveller caravans (2015, 2016 and 2017) recorded by Housing, Communities and Local Government, the Council can point to a consistently high number of pitches subject to permanent planning permission. The track record of the Council, in providing land supply to meet the needs of gypsy and traveller community is therefore exceptionally good in the context of provision across England. The evidence within the GTAA is out of date and not robust 2.13 The relevance of the objector's reference to the first five year period of the GTAA being effectively over is questioned. Using 2013 as a base date is considered appropriate, given that this forms the start of the Plan Period (2013-2033) for the Amended Core Strategy. Furthermore given that the previous GTAA period ended in 2012 this also allows for a contiguous period of assessment and avoids any potential 5 gap in the assessment of pitch requirements. It should be noted that the base date for the Council's objectively assessed bricks and mortar housing need (OAN) as set out in the Strategic Housing Market Assessment (HOU/01) is also 2013. The GTAA is consistent with this and has drawn upon robust data. Significantly the study has undergone several iterations, been subject to public consultation and the availability of new information responded to. Through this process the definitional change within national policy has also been positively addressed. Notably the Study was most recently re-visited in June 2016. At each stage consideration has been given as to whether the baseline data remained justifiable, and the Council is comfortable that this was the case. 2.14 Criticism that only travellers in the west were interviewed is considered unfair. Significant effort was expended in the pursuit of primary data to support the generation of future pitch requirements, with returns being gained from the west of the District and data from the bi-annual caravan counts being utilised elsewhere. However where it was not possible to obtain primary data then the assumptions made have been well-reasoned and drawn on robust sources of secondary data such as the previous GTAA, the census and Council housing records. It is considered that the combination of primary data and reasoned assumptions represents the proportionate evidence base envisaged within the tests of soundness, and generates a sound assessment of the 'likely' future pitch requirements as referred to within the PPfTS, 2015. 2.15 In terms of recent GTAA practice in England the Council can refer to six Local Plans which were successfully supported by such evidence. This includes the GTAA's of Adur Council (2014), Basingstoke and Deane Borough Council (2015), The London Borough of Hammersmith and Fulham (2016), The London Borough of Newham (2016), Luton Borough Council (2016) and Warwick District Council (2012). The Council has not under calculated the gypsy and traveller population needs in its approach. 2.16 The primary role of face to face interviews, from looking at the six GTAA's referred to above, was to assess if gypsy and travellers met the new definition of a traveller. Under the PPfTS the new definition states that: "For the purposes of this planning policy 'gypsies and travellers' means persons of nomadic habit of life whatever their race or origin, including such persons who on grounds only of their own or their family's or dependants' educational or health needs or old age have ceased to travel temporarily, but excluding members of an organised group of travelling showpeople or circus people travelling together as such." (DCLG, 2015). The gypsy and traveller population, for the purposes of assessing future pitch requirements, was reduced through the face-to-face interviews conducted by those six Local Planning Authorities by 60 – 100% (see table below). Interviews were not carried out with the community in bricks and mortar. The opportunity to be interviewed was advertised to those in bricks and mortar accommodation, however the assumption was that their need would be addressed through the standard OAN. \| Adur Council \| 12 \| 4 \| New definition not applied. \| \|---\|---\|---\|---\| \| Basingstoke and Dean Borough Council \| 17 \| 16 \| 9 \| \| London Borough of Hammersmith and Fulham \| \| 15 \| 6 \| \| Luton Borough Council \| 31 \| 24 \| 0 \| \| London Borough of Newham \| 15 \| 4 \| 0 \| \| Warwick District Council \| 43 \| 31 \| New definition not applied. \| 2.17 The bricks and mortar calculation undertaken by the Council is to take the census figure, multiply this by 2 on the basis that there may be hidden households, and to take 33% of this. This is clearly a formula which would result in a much higher figure than to discount this population entirely unless the households come forward, as identified as practice in the above examples. Where families did come forward in the examples provided above, they were also then interviewed against the traveller definition. A high percentage of these did not meet that definition. This methodology was developed by Tribal Group who undertook a detailed needs assessment and demographic profile across Ashfield District Council, Broxtowe Borough Council, Gedling Borough Council, Mansfield District Council, Nottingham City, Rushcliffe Borough Council as well as Newark & Sherwood District Council in 2007. 2.18 It is noted that the objector's hearing statement draws specific attention to the main source of population information being the bi-annual caravan counts, which are deemed to be an unreliable source of information. The use of count data from 2013 is argued against on the basis of being out-of-date. In support of this line the objector points to an increase within the count from 292 caravans in 2013 to 354 in 2017. The fact that the assessment draws on 2011 census data is similarly criticised. 2.19 In terms of the general criticisms the Council acknowledges that many GTAA's do not directly draw on data from the census and bi-annual counts in order to calculate need. This is however not for the reasons implied in the objectors statement and rehearsed at the hearing – i.e. that they result in artificially reduced levels of need. Rather it is because of the risk that such data sources will overestimate need, principally due to neither data source taking account of the traveller definition within the PPfTS. In addition there is also the chance that caravan counts can be prone to double counting given the complexities around site layout etc. The Council's use of this data within its needs assessment methodology can therefore be described as both positive and ambitious, ensuring a high level of land supply over the GTAA period. 2.20 Turning now to the detailed objections over the caravan count data. The table below details the total caravans recorded since January 2013 up to that most recently published in July 2017. 2.20 This shows there to have actually been 292 total caravans in January 2013, and that by July 2017 there were 396 total caravans. This demonstrates a degree of fluctuation year to year, and across many subsequent years the figure recorded was actually below that of January 2013. Furthermore the provisional figure for January 2018 is likely to be in the region of 333 caravans, a decrease on the previous year's count. It should also be noted that a significant proportion of the increase could be attributable to those long-term voids which have been brought back into use post2013 (see later in the statement). Notwithstanding this fluctuation, between Jan 2013 and July 2017 the average total caravan count equates to 311.1 which is close to the 292 recorded in January 2013. \| \| Date of Count \| Total Caravans \| \|---\|---\|---\| \| January 2013 \| \| \| \| July 2013 \| \| \| \| January 2014 \| \| \| \| July 2014 \| \| \| \| January 2015 \| \| \| \| July 2015 \| \| \| \| January 2016 \| \| \| \| July 2016 \| \| \| \| January 2017 \| \| \| \| July 2017 \| \| \| \| Average \| \| \| 2.21 It is noted that the figures contained are higher than those recorded within the published HCLG returns. This is due to 'bricked-in' caravans 2 not being included within the data return. The Council does however count this form of accommodation for its own purposes. With respect to the GTAA the decision to count bricked in caravans reflected the recognition that this represents a form of accommodation available to gypsies and travellers within recognised gypsy and traveller sites. This approach is consistent with one which assumed all residents of gypsy and traveller sites to meet the PPfTS definition (therefore forming part of the baseline population). Appendix C provides details from the Councils January 2013 count. 2.22 The objector's statement then proceeds to make the argument that on the basis of the revised definition of travellers in the PPfTS the Authority has 'sought to reduce the extent of need'. Firstly the Council would reject the inference made here, when it has merely implemented the definition handed down through national policy. Regardless of its merits this is the definition which we are required to work with and implement. Significantly as will be outlined later the amended definition has in fact been implemented in a conservative and even-handed manner. The objector's specific criticism is that all of the travellers in bricks and mortar have been assumed to have ceased travelling. However this is patently incorrect as clearly outlined within the GTAA. 2.23 The Council's assessment firstly doubles the bricks and mortar figure on the basis that there may be hidden households (stage 2 of the assessment). The Council's formula allows for this total figure to apply without discounting households on the grounds of the new PPfTS, 2015 definition. The formula secondly applies a 33% allowance on this on the basis that such residents would take up a place on a site if offered (again stage 2 of the assessment). Application of this allowance adds significant numbers of pitches to the requirement. 2.24 None of the recent GTAA's for the six LPA's referred to in Section 1 of this statement took such a moderate approach with respect to the settled community. These assessments operated on the assumption that all those living in bricks and mortar do not fall into the need analysis, unless they indicate otherwise. Those that do come forward are interviewed against the PPfTS definition and in some cases are not categorised as meeting it. From the face to face survey work undertaken in 2014 (west of the district only) and the Council's housing register & homelessness records no such desires have been recorded. On this basis applying a 33% allowance can be seen as a probable significant overstating of likely need. 2 Caravans that have had a brick skirt added. 2.25 Staying on the matter of the PPfTS the analysis provided by the objector has made an additional significant oversight in making no reference (for obvious reason) to the fact that the assessment has accepted all residents on gypsy and traveller sites as meeting the definition. As referred to within the Council's Statement of Case for the recent appeal at Land east of Beck Lane, Blidworth (APP/B3030/W/17/3168135) the Council is aware of research undertaken by DLP Planning Ltd and Opinion Research Services (ORS), a reputable consultancy heavily involved in the production of GTAA's nationwide. This collaborative work drew on interviews with over 1,100 households carried out by ORS since the change in definition in 2015. The conclusions reached suggest that overall between 10-20% of households interviewed met the new definition, and in some Authorities 100% did not meet the definition. It is again worth noting that the Inspector dismissed the appeal and, in considering the GTAA (as submitted), concluded there to be nothing unreasonable in its methodology or assumptions (decision letter appended to the Councils original Matter 14 statement). The research referred to formed part of the Council's supporting case. 2.26 On this basis it is highly likely that a lower proportion of households in Newark and Sherwood would meet the definition, if interviews were conducted. If only 20% of the potential 84 pitch requirement from the GTAA 2015 (pre definition rather than 2016 update) met the new definition the future household formation component would reduce from 84 to 17 pitches between 2013-2028. This pitch figure is less than 50% of the current GTAA (2016). 2.27 Given this the only conclusion the objective observer could reach is that the Authority has approached the matter of the definitional change (both from the perspective of residents in bricks and mortar and on gypsy and traveller sites) in an extremely moderate way, particularly when compared to what has taken place elsewhere. Importantly the implication of this approach is that it has in all probability resulted in greatly increased pitch requirements. When taken alongside the proposed approach to identifying sites and securing a land supply sufficient to meet these requirements (Core Policies 4 and 5 in the ACS) it can be concluded, with a reasonable level of assurance, that the 'likely' accommodation needs of the gypsy and traveller community will be more than met over the GTAA period. 2.28 The objector has argued against the carrying forward of the methodology and assumptions from the previous GTAA, again this is suggested as rendering the assessment out-of-date. There is no standardised methodology prescribed in the PPfTS for undertaking GTAA's. As a result, there are different approaches which have been deemed robust in the context of examination. For instance the Hammersmith and Fulham GTAA (2016) was undertaken in house, whilst the GTAA's of Luton and Newham were undertaken by Opinion Research Services consultants. 2.29 As outlined in its Duty to Cooperate Statement (CS/15), Regulation 18 and 22 Statements (CS/11 and CS/08) and Hearing Statement on Matter 14 the Council has undertaken an early and comprehensive programme of engagement on its methodology for generating pitch requirements, the outcomes from its application and the wider proposed policy approaches to meeting the future needs of the gypsy and traveller community. 2.30 The methodology has gone through a number of stages of production, including a stakeholder workshop and formal consultation exercises involving community representatives, prior to its application. Notably no objections were raised to the methodology, although some technical improvements to the calculations were suggested. These amendments were accepted and the methodology applied to generate the GTAA in its various iterations. Beyond the methodology itself ongoing cooperation with travellers, their representative bodies and other stakeholders has occurred both as part of the preparation of the GTAA and plan-making process. 2.31 The key change in the government's most recent gypsy and traveller guidance is the new definition of traveller under the PPfTS. The Council's GTAA methodology makes allowance for the new definition. 2.32 Consequently the submitted GTAA is considered to represent the most robust source of data available, and a reasonable approach to follow given the need for the evidence base to be proportionate. Nevertheless the assumptions carried forward from the previous assessment include – * 1.7 caravans to a household; * 3.3 average household size; * 33% of gypsy and travellers in bricks and mortar accommodation would take a place on a site if offered (addressed above); * Bricks and mortar gypsy and travellers identified in the census are likely to only represent 50% of the overall of the overall bricks and mortar gypsy and traveller population; and * Household growth rate of 2.10%. 2.33 Taking each in turn - to establish an assumed number of caravans per household the figure of 1.7 is considered appropriate. Whilst the DCLG guidance, Designing Gypsy and Traveller Sites, Good Practice Guide (2008) was withdrawn on 1 st September 2015 it remains common practice to consider this as a useful guide in the absence of other information. The document advised (page 40) that "there is no one-size-fits-all measurement of a pitch as, in the case of the settled community, this depends on the size of individual families and their particular needs". But that there are family and smaller pitches. Family pitches should include "an amenity building, a large trailer and touring caravan, (or two trailers, drying space for clothes, a lockable shed (for bicycles, wheelchair storage etc.), parking space for two vehicles and a small garden area" (page 40). Small pitches should include "an amenity building, a large trailer, drying space for clothes and parking for at least one vehicle (page 40). It is difficult to see how the split between requirements for family and small pitches would have fundamentally altered since September 2015. Notably where the six GTAA's identified in Section 1 adopted an average pitch size then they varied from 1.7 – 2. It is therefore considered that an average of 1.7 caravans accurately reflects the fact that there will be a split between small and family pitches, and on this basis is a reasoned assumption. 2.34 The average gypsy and traveller household size varies from authority to authority. Local past trends are a robust way to develop assumptions on this. For example, the Hammersmith and Fulham GTAA, 2016 identifies a household size of 2.63. The Council's assessment has taken the previous GTAA household size of 3.3 which was derived from detailed survey work undertaken. This is a fair and reasonable assumption. There has been no evidence to suggest that there have been any fluctuations in household sizes. 2.35 The assessment has adopted the assumption within the previous GTAA that bricks and mortar gypsy and travellers identified in the census represent only 50% of the overall bricks and mortar gypsy and traveller population. This figure was based on the consideration of the results of the surveys undertaken and discussion with local community representatives and the Local Authority contends that this continues to be an appropriate approach. Through the GTAA the Census figure of 198 is first doubled to 396. Secondly 33% is taken from the total number of households to reflect those who wish to live on gypsy and traveller pitches. The treatment of bricks and mortar gypsy and travellers does not remove any households in light of the PPfTS definition. The assumptions here are both extremely fair and supportive of the resident gypsy and traveller community in the Newark and Sherwood District. 2.36 Tribal's 2007 GTAA applied a household growth rate of 2.10%, which has been rolled forward into the new assessment, on the basis that this has previously been accepted as sound for the purposes of the former Regional Plan, and that when compared to other recent studies undertaken by other local authorities the assumption appeared reasonable. In this respect the decision is supported by previous research and specific examples of practice elsewhere. The research published in 2003 on behalf of the, then, Office of the Deputy Prime Minister entitled 'Local Authority Gypsy and Traveller Sites' supported government policy by strengthening the evidence base and providing up-to-date and statistically reliable information on the current network of gypsy and traveller sites and the need for new site provision. This identified that household growth rates of 2%-3% a year were appropriate when projecting future formations. The Council is unaware of any reason why this would have drastically changed in the time since. The approach advocated through the research is reflected in Basingstoke and Deane District Council's 2015 GTAA which applied a household formation rate of 2%, as did Luton Borough Council's 2016 GTAA. 2.37 Moving on, the objector's statement proceeds to question the availability of the 300 pitches at stage 4 of the GTAA. The LPA is then "put to proof on these figures". As outlined within the assessment this figure comes from records of approved planning permissions and the bi-annual caravan count, and are permanent in nature. Details of those sites which contribute towards the 300 pitches are provided in Appendix D. Whether these pitches are subject to a condition restricting occupation of the site to travellers is also queried. However as the objector would likely accept, Tolney Lane has been the long-term focus of gypsy and traveller accommodation within Newark. Indeed the "Take a walk down my lane…" Gypsy & Traveller information resource (extract appended at E) includes a brief history of Tolney Lane which quotes local elders talking about living on the lane in the 1960s. Many of the consents which contribute towards the 300 pitches are long-term in nature, having been originally granted as long ago as the late 1970s (see Appendix D). This predates the common use of such conditions and so to criticise the Council for their absence appears somewhat unrealistic. 2.38 Some of these pitches may be occupied by non-PPfTS defined travellers. The assessment has however assumed the opposite (i.e. that all residents on sites meet the definition). This is likely to be a significant over estimate, but such pitches are clearly suitable and capable of future accommodation by residents who would meet the definition should they become available – and some degree of fluidity in occupation is assumed (see 'turnover' rate). Aside from issues of practicality, to remove such pitches from the calculation of need would have a deflationary effect on requirements, and not as the objector believes drive figures upwards. Presently these non-PPfTS defined travellers influence household formation rates within the assessment, were this to no longer be the case then a reduction in future pitch requirements would follow. 2.39 Use of a 10% turnover rate has been deemed 'fanciful' by the objector, and given the lack of a public site it is suggested that any reliance on turnover would be unreliable. The justification for the approach taken within the GTAA is provided in the notes at stage 5, step 15 in the first five year tranche of the assessment. This is that based on the 2014 survey data in the west of the district a turnover rate of approximately 40% was recorded, though it was accepted that these sites are commonly transitory in nature. For the east of the district an analysis of Council tax data was undertaken resulting in a turnover rate of 45%, this data however does not identify whether this was a result of site to site transfer or new residents. The previous GTAA applied a turnover figure of 8% which was based on consideration of the results of the survey undertaken, anecdotal evidence and evidence from other research. Recent studies undertaken by other local authorities have used turnover assumptions ranging from 4-12%. Elsewhere the Hammersmith and Fulham GTAA, 2016 identified an overall need of 12 pitches. The assessment assumes a pitch turnover 3 pitches (25%) with the resultant need of 9 pitches. Given the turnover recorded in the west of the District and the Council tax data elsewhere it is considered that the 10% applied is a conservative assumption, and in line with the approaches adopted elsewhere. 2.40 The final area of criticism is that stage 4 of the assessment for the first five year tranche factors in 31 pitches as being available, when these are suggested to be long-term voids that cannot be used and physically not able to be lived on. In response stage 4, step 12 subtracts those long terms voids, which existed at the 2013 base date, to establish a total number of pitches currently available to gypsy and travellers of 203. As already stated subsequently these long-term voids have in fact gone on to be brought back into use (most significantly the 34 pitches at Church View, as recorded in the most recent caravan count). Were the assessment to be amended to take account of this then those pitches which are no longer void would contribute towards an increase in the available supply. The implication being that this would then reduce pitch requirements. Notwithstanding this for the reasons outlined earlier in this statement the Council believes 2013 to represent an appropriate base date for the assessment, given that this forms the start of the plan period. The assessment is considered to provide a robust and proportionate assessment of future pitch requirements, it is therefore important that it retains its internal consistency. Altering key inputs in an ad-hoc and isolated manner with no regard for the potential knock-on effects elsewhere within the assessment would not support the generation of a robust output. OTH/04 'Figures from Dr Angus Murdoch re GTAA calculations' 2.41 The additional evidence circulated at the hearing session builds on the objector's criticisms of various aspects of the submitted GTAA to produce a revised pitch requirement. Whilst as set out above these revisions are in the view of the Council unnecessary it would still wish to draw attention to a fundamental error of judgement. Setting aside its validity the objector seeks to include the 33% allowance for travellers residing in bricks and mortar housing back into the baseline figure. However this is quite clearly not 'baseline' and would be more correctly categorised as future demand. Demand, which in any event is appropriately accounted for at Stage 3 Step 2 of the assessment. 3.0 Conclusion 3.1 The Council considers the following to provide the context for assessing the soundness of its proposed approach to establishing and meeting gypsy and traveller requirements through the Amended Core Strategy: 1. Does the submitted GTAA represent the proportionate evidence base envisaged in the tests of soundness; 2. Does the assessment equate to a sound and objective assessment of the 'likely accommodation needs', in line with the requirements of the PPfTS; and 3. Has this data been used to plan positively to ensure that those likely needs will be satisfied? 3.2 As demonstrated through this Statement the Council considers that it has brought together a sound evidence base concerning the future accommodation needs of the Gypsy and Traveller community. This has drawn on primary data where available and made reasoned judgements from justifiable sources of secondary data elsewhere. The Council is therefore of the view that this element of the Amended Core Strategy is supported by the proportionate evidence base required by national policy. 3.3 Beyond this the Authority has adopted a particularly moderate approach to the implementation of the revised traveller definition within the PPfTS. Given the evidence provided in this statement it is clear that this approach will have contributed towards the generation of increased pitch requirements, in all likelihood far exceeding the 'likely accommodation needs' of the District's gypsy and traveller community. 3.4 Together Core Policies 4 and 5 provide a positive approach towards the identification and securing of additional sites to deliver the land necessary to meet these likely requirements. This includes the proactive action already being taken by the Council, as outlined in its original Hearing Statement on Matter 14. Given the combination of overstated need and an appropriate and effective approach to site identification mean that it can be concluded, with some degree of assurance, that a scale of land supply will be promoted which exceeds that necessary to meet likely gypsy and traveller accommodation needs between 2013-2028. 3.5 It is the view of the Council that none of the arguments presented by the objector are sufficiently valid to render either the approach to identifying and meeting future gypsy and traveller requirements contained in Core Policies 4 and 5, or in consequence the whole Amended Core Strategy unsound. Matter 14 – Newark & Sherwood Post-Hearing Statement Appendix A Appendix A – Allocations & Development Management DPD Excerpt 16 Newark Urban Area 2.5 The Newark Urban Area comprises the main built up areas of Newark-on-Trent, Balderton and Fernwood. Newark-on-Trent itself is the District's largest settlement and is significant as a centre of commerce and trade with strong links to the surrounding villages, farms and countryside. The area has excellent communication links with quick rail connections to London, Leeds, Edinburgh and Nottingham and its proximity to the A1(T) ensures that the area is also well connected to the trunk road network. 2.6 The Core Strategy identifies Newark as a Sub-Regional Centre and reaffirms its status as a Growth Point. The Core Strategy therefore directs significant levels of growth to the Newark Urban Area, with 70% of the overall District housing growth and the majority of the Newark Area's employment land requirement, between 80 to 87 hectares, to be provided in the area during the plan period. The Core Strategy addresses the majority of this growth in allocating three Strategic Sites, however a residual requirement of 1,544 dwellings and 25 to 32 hectares of employment land still remains to be planned for in this DPD. 2.7 The current requirement for Gypsy and Traveller provision in the Core Strategy of 84 pitches has now been met and exceeded with 93 pitches having been secured. This requirement covers the period to the end of 2012. Projecting forward based on the existing needs study it is anticipated that an additional 21 pitches will be required over the next 5 years. Currently the District Council is in negotiation to buy an existing site which has planning permission, but is not in use, to create additional capacity which should meet such a target. Cabinet has resolved that if necessary Compulsory Purchase Order powers can be used for this purpose. More fundamentally the District Council is updating its evidence base, in partnership with other Local Authorities, to reflect the substantial increase in pitch numbers that has occurred and will seek to secure any further allocations based on this information through a Gypsy & Traveller DPD over the next two years. 2.8 It is considered that this growth will strengthen Newark's role as a Sub-Regional Centre and build a critical mass that enables the area to support and provide a range of retail, commercial, employment, leisure and other services to people living in the town and the surrounding villages and facilitate the cost-effective provision of infrastructure. Housing Allocations Policy NUA/Ho/1 Newark Urban Area - Housing Site 1 Land at the end of Alexander Avenue and Stephen Road has been allocated on the Policies Map for residential development providing around 20 dwellings. In addition to the general policy requirements in the Core Strategy and the Development Management Policies in Chapter 7, with particular reference to Policy DM2 Allocated Sites, and Policy DM3 Developer Contributions and Planning Obligations, development on this site will be subject to the following: Provision of an appropriate landscaping scheme submitted as part of any planning application to screen the site from the A46 Newark Bypass; Newark & Sherwood Allocations & Development Management DPD Matter 14 – Newark & Sherwood Post-Hearing Statement Appendix B Appendix B – Allocations & Development Management DPD Inspectors Report Excerpt i 36. The current requirement for Gypsy and Traveller provision has now been met and exceeded with 93 pitches having been secured. This requirement covers the period to the end of 2012. Projecting forward based on the existing Needs Study 23 it is anticipated that an additional 21 pitches will be required over the next 5 years. There is a site with planning permission which would meet this need and currently the Council is in negotiation to buy the land, having formally resolved to use compulsory purchase powers if necessary. MM17 introduces text indicating that the Council is updating its evidence base in partnership with other surrounding local authorities to identify requirements from 2012 until the end of the plan period and makes a commitment to seek further allocations based on this information through a separate Gypsy and Traveller Development Plan Document within 2 years. This, together with a criteria based policy contained in the CS (core policy 5), will ensure that Gypsy and Traveller requirements will be met. 37. Retail. The CS sets out a retail hierarchy (core policy 8) in accordance with the spatial policies for growth sought throughout the District. The overall quantum of retail development, included within the CS at paragraph 5.31, was based on the findings of the 2009 Retail Assessment 24 . Following consultation on the Options Report 25 and the emergence of an additional site the Council commissioned additional retail advice 26 . The results of this study were that elements of the retail capacity were not as great as assumed by the 2009 Retail Assessment. The retail study concluded that the comparison goods capacity was 15% lower than originally estimated (18,459 square metres) and was now 15,690 square metres net floor space 27 . To clarify the Council's position on retail, MM13 introduces text within the introduction of the Plan explaining the basis of the new figures. 38. Taking into account existing commitments (including a post submission planning permission for retail development at the Northgate site) and completions, as things currently stand an over-provision of retail is predicted. The convenience retail oversupply relates to existing permissions. There is a residual comparison retail requirement for the latter part of the Plan. Although some minor retail floor space has been allocated in smaller centres, the majority of comparison retail space is be provided within Newark Urban Area on one, mixed use site (NUA/MU/3) as part of a wider regeneration scheme for the area. 39. The NUA/MU/3 allocation for 'retail up to 10,000 square metres (net)' predates the Northgate permission. MM55 is proposed reducing the level from 10,000 to 4,000 square metres, to reflect the revised figures for existing commitments. Although this may affect the viability of the allocation (addressed further in paragraph 46 of the report), without the modification or with a lesser reduction, the provision would not be justified. At this stage, in order to ensure that the plan is flexible and in the event that some of the committed sites and types of retail (including within SUEs) do not come forward in time, MM15 is proposed. This adds a paragraph committing the 23 EB4 Gypsy and Traveller Accommodation Needs Assessment 25 ADM16 Options Report 24 EB18 Newark and Sherwood Retail and Town Centre Study 26 EB19 Retail Capacity and Retails Proposal Advice 27 EB19 para 10 Matter 14 – Newark & Sherwood Post-Hearing Statement Appendix C Appendix C –Newark & Sherwood Caravan Count, Total Caravans (January 2013) Appendix D –Newark & Sherwood Caravan Count, Permanent Pitches (January 2013) i \| Site Name \| \| Planning Permission Date \| Number of Permanent \| \|---\|---\|---\|---\| \| \| \| (Year) \| Pitches \| \| Ropewalk Farm, Tolney Lane, Newark \| 1977 \| \| \| \| Castle View, Tolney Lane, Newark \| 1985 \| \| \| \| Bowers Caravan Site, Tolney Lane, Newark \| 1986 \| \| \| \| Riverside Park, Tolney Lane, Newark \| 1989 \| \| \| \| The Burrows, Tolney Lane, Newark \| 1992 \| \| \| \| Church View, Tolney Lane, Newark \| 1993 \| \| \| \| The Paddocks, Tolney Lane, Newark \| 2000 \| \| \| \| Sandhills Sconce, Tolney Lane, Newark \| 2001 \| \| \| \| Dunromin, Wellow Rd, Ollerton \| 2001 \| \| \| \| Land North of Ropewalk, Tolney Lane, Newark \| 2002 \| \| \| \| Horners Paddock, Tolney Lane, Newark \| 2009 \| \| \| \| The Paddock, Newark Rd, Ollerton \| 2009 \| \| \| \| Shannon Caravan, Wellow Rd, Ollerton \| 2010 \| \| \| \| Hirams Paddock, Tolney Lane, Newark \| 2011 \| \| \| \| The Bungalow, Harrow Lane, Boughton \| 2012 \| \| \| \| The Stables, Caravan Park, Wellow Road, Ollerton, \| 2012 \| \| \| \| Hoes Farm, Tolney Lane, Newark, \| 2012 \| \| \| Matter 14 – Newark & Sherwood Post-Hearing Statement Appendix E i Appendix E – 'Take a Walk Down My Lane…' Excerpt
Bibliotha Ques Du Monde Dictionnaire de Bibliologie Catholique National library buildings Prestigieuses bibliothèques du monde Building Libraries for the 21st Century Bibliothèque Choisie de Littérature Française Catalogue de la bibliothèque de feu M. Baron. [Preceded by a biographical sketch.] Ouvrages sur la Société des nations catalogués à la bibliothèque du Secrétariat 1920-1925 ... Euro-Librarianship From Royal to National Catalogue des Livres imprimés et manuscrits, composant la bibliothèque de ... L. M. J. Duriez. [A sale catalogue. With the prices in MS.] Catalogue raisonné de la bibliothèque du Ministère de la Marine. Section des livres en langues étrangères Publications International Labor Conference Transactions Intergenerational solidarity in libraries / La solidarité intergénérationnelle dans les bibliothèques Francia, Band 48 Massimo Listri Répertoire Collectif Des Publications en Série Des Bibliothèques Du Ministère de L'agriculture Du Canada Actes du Conseil Général / Proceedings of the General Council Bibliothèques du monde FID Publication Libraries as Places: Buildings for the 21st century A List of Geographical Atlases in the Library of Congress Guide to Iranian Studies in Europe Histoire et description de la Bibliothèque Publique de Genève. ... Extrait de la Revue Suisse, année 1865 The Anglo-American Agreement on Cataloging Rules and Its Bearing on International Cooperation in Cataloging of Books A List of Geographical Atlases in the Library of Congress Actes du Conseil Général Proceedings of the General Council Essai Sur Les Bibliothèques Administratives Catalogue des Livres de la Bibliothèque publique de Rennes. (1er, 2e Supplément.). The Perraults Library Tracts Marketing Libraries in a Web 2.0 World Bibliotheca Americana Catalogue des manuscrits de la bibliothèque de la ville de Chartres [by V.E.P. Chasles and L.M.A. Rossard de Mianville.]. Catalogue de la Bibliothèque de Neuchâtel World Views and Worldly Wisdom · Visions et expériences du monde Gensiskhana ... Catalogue anecdotique, bibliographique, ... et facétieux des livres de la Bibliothèque du Comte A. Rastapchine; accompagné d'une vinaigrette de notes. ... Avec un portrait de l'auteur, etc Catalogue de livres ... composant la bibliothèque de feu M. H. M. Erdeven, ... dont la vente aura lieu, etc. [With the prices in MS.] The Canadian Railway Employees' Monthly Bibliotha Ques Du Monde PERKINS DUDLEY Dictionnaire de Bibliologie Catholique Walter de Gruyter Rapid and intensive changes in the information landscape cause changes in social relationships and, consequently, in relations between generations. Within their social role libraries should work actively to reduce age segregation and isolation, and build cohesive society through intergenerational services and programmes. The authors speak about the intergenerational dialogue in libraries - theories, research and practice - and about reading as a link between generations, thus oﬀering to libraries strategies for establishing social cohesion. National library buildings Walter de Gruyter In The Perraults, Oded Rabinovitch takes the fascinating eponymous literary and scientiﬁc family as an entry point into the complex and rapidly changing world of early modern France. Today, the Perraults are best remembered for their canonical fairy tales, such as "Cinderella" and "Puss in Boots," most often attributed to Charles Perrault, one of the brothers. While the writing of fairy tales may seem a frivolous enterprise, it was, in fact, linked to the cultural revolution of the seventeenth century, which paved the way for the scientiﬁc revolution, the rise of "national literatures," and the early Enlightenment. Rabinovitch argues that kinship networks played a crucial, yet unexamined, role in shaping the cultural and intellectual ferment Downloaded from socialmediaweektoronto.com by guest of the day, which in turn shaped kinship and the social history of the family. Through skillful reconstruction of the Perraults' careers and networks, Rabinovitch portrays the world of letters as a means of social mobility. He complicates our understanding of prominent institutions, such as the Academy of Sciences, Versailles, and the salons, as well as the very notions of authorship and court capitalism. The Perraults shows us that institutions were not simply rigid entities, embodying or deﬁning intellectual or literary styles such as Cartesianism, empiricism, or the purity of the French language. Rather, they emerge as nodes that connect actors, intellectual projects, family strategies, and practices of writing. Prestigieuses bibliothèques du monde Leuven University Press Despite calls for electronic, virtual, digital libraries without walls, the walled variety are still being built, some of them massive. This book explores the reasons for this contradiction by examining several notable new library facilities around the world to see how modern expectations for libraries are being translated into concrete and steel. More and more libraries are looking at change not as a dreaded hazard but as an opportunity that can itself be seized to strengthen the library in the areas of mission, technologies, facilities, funding, and organizational structure. Thirteen libraries are discussed—by a librarian or administrator who worked on the project. Each author writes about the design and building concerns that were particularly relevant to that library: philosophy, political issues, or any other concerns that aﬀected planning, building, and services in the new facility. Introductory and concluding chapters identify underlying values and themes, tying everything together. The unique combinations of issues, constraints, and opportunities show how libraries are planning to ﬁt into the approaching era of virtual information delivery. 1 Building Libraries for the 21st Century Walter de Gruyter Toutes les bibliothèques du monde, publiques ou privées, ont la même vocation : préserver, enrichir et mettre en valeur un patrimoine souvent méconnu. Pour la première fois, un photographe de renom s'est intéressé à ces lieux prestigieux, ces enceintes de la mémoire qui sont souvent ellesmêmes des trésors d'architecture. De la bibliothèque du Congrès à Washington à la Bibliothèque nationale de Russie, en passant par le Trinity College de Cambridge ou l'abbatiale de Saint-Gall... une promenade privilégiée et spectaculaire dans l'intimité de vingt-trois hauts lieux du savoir. Portraits de designers, univers singuliers, lieux inspirés... Bibliothèque Choisie de Littérature Française Cornell University Press From the mighty halls of ancient Alexandria to a camel bookmobile on the Kenyan-Somali border, human beings have had a long, enraptured relationship with libraries. Like no other concept and like no other space, the collection of knowledge, learning, and imagination oﬀers a sense of inﬁnite possibility. Massimo Listri travels to some of the oldest and ﬁnest libraries to reveal their architectural, historical, and imaginative wonder. He leads us through outstanding private, public, educational, and monastic libraries, dating as far back as 766. Between them, these medieval, classical, baroque, rococo, and 19th-century institutions hold some of the most precious records of human thought and deed, inscribed and printed in manuscripts, volumes, papyrus scrolls, and incunabula. Featured libraries include the papal collections of the Vatican Apostolic Library, Trinity College Library, home to the Book of Kells and Book of Durrow, and the priceless holdings of the Laurentian Library in Florence, the private library of the powerful House of Medici, designed by Michelangelo. With meticulous descriptions accompanying each featured library, we learn not only of the libraries? astonishing holdings but also of their often lively, turbulent, or controversial pasts. Catalogue de la bibliothèqu e de f euM. Baron. [Preceded by a biographical sketch.]Routledge Euro-Librarianship focuses on strategies for working toward cooperation between libraries throughout Europe and the United States to provide the best access and information to research materials as possible. Chapters by several authors in their original languages (with English abstracts) give this book a unique international appeal. Common diﬃculties such as ﬁscal constraints and rising book and serial prices are discussed. Stressing enhanced communication and shared responsibilities, this new volume helps bring libraries of all countries closer to the resource sharing capabilities that allowa scholars and researchers much wider access to information than is available today. In this timely new book, many of the papers that were presented at the Second Western European Specialists (WESS) International Conference are brought together to be read and studied by everyone. Ouvrages sur la Société des nations catalogués à la bibliothèque du Secrétariat 1920-1925 ... Springer Marketing the 21st century library and information organization to its new age customers using Web 2.0 tools is a hot topic. These proceedings focus on the marketing applications and (non- technical) aspects of Web 2.0 in library and information set ups. The papers in English and French are exploring and discussing the following aspects: General concepts of Web 2.0 and marketing of library and information organizations; How libraries are adopting Web 2.0 marketing strategies; Marketing libraries to clients in using Web 2.0 tools; International trends and Interesting cases of marketing through Web 2.0 tools. Euro-Librarianship McFarland Der Band enthält 36 Beiträge in deutscher, französischer und englischer Sprache. Die Themenvielfalt reicht von der Fredegarchronik des 7. Jahrhunderts und dem Fortleben des römischen Rechts im frühen Mittelalter, den Anfängen diplomatischer Beziehungen und dem Hundertjährigen Krieg über die deutsch-französischen Beziehungen des 17. Jahrhunderts, die Eidleistung französischer Bischöfe unter Ludwig XIV. und die Bibliotheksgeschichte der Frühen Neuzeit bis zum Pariser Musikleben während der Julimonarchie, den Vegetarismus am Vorabend des Ersten Weltkriegs und die aktuelle Genderdebatte in Afrika. Mit der Geschichte des Körpers und seiner politischen Rolle am frühmodernen Hof sowie der Bürokratisierung afrikanischer Gesellschaften befassen sich die Beiträge zweier "Ateliers". From Royal to National Brill Archive The attraction and repulsion between the Roman Catholic Church and modernity in Europe between 1750 and 2000 Emiel Lamberts (1941), professor emeritus of contemporary history at KU Leuven, is an international expert in the political and religious history of Europe in the 19th and 20th centuries. His work and the central themes in his research are the starting point in World Views and Worldly Wisdom. No less than eighteen leading international researchers put diﬀerent aspects of his work in the spotlight. A recurring theme, however, is the attraction and repulsion between the Roman Catholic Church and modernity in Europe between 1750 and 2000. The ambivalent relationship with modernity is therefore the leitmotiv of the ﬁrst part of this volume, whereas the second part focuses on the repositioning of the Church and the tensions between religion, ideology and politics. In this way the volume reﬂects Lamberts's fascination for the history of political institutions as well as his research on Christian democracy. The contributions address – in a comparative way and from a transatlantic viewpoint – this broad period of time in history, which gave rise to diﬀerent social movements and diﬀerent models of society in Belgium and elsewhere. Contributors Winfried Becker (Universität Passau), Bruno Béthouart (Université du Littoral Côte d'Opale), Hans Blom (Universiteit van Amsterdam), Alfredo Canavero (Università degli Studi di Milano), Philippe Chenaux (Pontiﬁcia Università Lateranense, Roma), Andrea Ciampani (LUMSA, Roma), Jo Deferme (KU Leuven), Jan De Maeyer (KADOC KU Leuven), Henk De Smaele (Universiteit Antwerpen), Carine Dujardin (KADOC KU Leuven), Jean-Dominique Durand (Université Lyon 3), Michael Gehler (Jean Monnet Chair, Universität Hildesheim - Institut für Neuzeit- und Zeitgeschichtsforschung, Wien), Susana Monreal (Universidad Católica del Uruguay), Patrick Pasture (KU Leuven), Patrick M.W. Taveirne (The Chinese University of Hong Kong), Peter Van Kemseke (Europese Commissie, KU Leuven), Vincent Viaene (Attaché bij het Huis van Koning Filip), Els Witte (Vrije Universiteit Brussel) Catalogue des Livres imprimés et manuscrits, composant la bibliothèque de ... L. M. J. Duriez. [A sale catalogue. With the prices in MS.] Walter de Gruyter GmbH & Co KG Royal collections of artworks, books, and manuscripts were transformed into national institutions following the French Revolution in 1789 to serve as visible symbols of the new republic. Scholars, specialists, government oﬃcials, and patriots faced vandalism, war, and the Terror to establish great national institutions accessible to the public - the Louvre and the Bibliotheque Nationale - living monuments of French patrimony. Catalogue raisonné de la bibliothèque du Ministère de la Marine. Section des livres en langues étrangères Editions Oxus "Cet ouvrage présente près de soixante bibliothèques, parmi les plus belles et les plus riches du monde. Leurs créateurs étaient des moines, des évêques, des papes, des rois, des mécènes ou des hommes politiques. Tous étaient persuadés que la sauvegarde de la culture et du savoir, et leur transmission au plus grand nombre, étaient nécessaires à l'éducation et à l'élévation des peuples. Les bibliothèques les plus renommées de chaque continent sont décrites, et de splendides photographies agrémentent cette exploration. Même si l'Europe a la part belle, tous les grands berceaux de civilisations de par le monde ont érigé de véritables sanctuaires pour abriter leurs manuscrits les plus sacrés. Ce voyage au cœur des plus grands 'Temples du Savoir' nous mènera de Paris à Tokyo, de Mexico à Pékin, de Coimbra à Tombouctou... Sans oublier les plus grandes bibliothèques disparues : Alexandrie, Cordoue, Pergame ou Celsus. Enﬁn sont présentés quelques manuscrits et incunables, rares et précieux. Le lecteur découvrira les premiers livres imprimés : la Bible de Gutenberg, le Psautier de Mayence, les Chroniques de Nuremberg, mais aussi les mappemondes anciennes ou encore les textes fondamentaux des religions orientales. Un magniﬁque ouvrage, unique en langue française, qui comblera tous les passionnés du livre" [Source : 4e de couv.] PublicationsSpringer Science & Business Media The International Federation of Library Associations and Institutions (IFLA) is the leading international body representing the interests of library and information services and their users. It is the global voice of the information profession. The series IFLA Publications deals with many of the means through which libraries, information centres, and information professionals worldwide can formulate their goals, exert their inﬂuence as a group, protect their interests, and ﬁnd solutions to global problems. International Labor Conference Thorbecke This book contains the proceedings of the 13th seminar of IFLA's Library Buildings and Equipment Section, which was co-organized with IFLA's Public Libraries Section this time. The event took place as one of the satellite meetings of the World Library and Information Congress 2003 in Berlin, and was held in Paris at the end of July 2003. Seminars like this have been held every two years (The Hague 1997, Shanghai 1999, Boston 2001) to allow architects and librarians to share experiences in the ﬁeld of library planning and the building process. The goals of this seminar were to explore the issues aﬀecting the future development of library space, and to help prepare to envision innovative library spaces that are responsive to user needs and community interests. This compilation of 12 papers given at the Paris seminar includes a huge amount of information regarding the state of the art in library building. Transactions Canada. Department of Agriculture Intergenerational solidarity in libraries / La solidarité intergénérationnelle dans les bibliothèques Lexington Books Francia, Band 48 Massimo Listri Répertoire Collectif Des Publications en Série Des Bibliothèques Du Ministère de L'agriculture Du Canada Actes du Conseil Général / Proceedings of the General Council Bibliothèques du monde 2 Bibliotha Ques Du Monde 2019-08-25
2014 IMPROVING COMMUNITY RESPONSE TO WILDFIRE: 2013 FIRE SEASON FINDINGS REPORT 25 MILE FIRE In 2013, the Fire Chasers Research Team at North Carolina State University developed a series of incident performance measures in collaboration with incident response and land management professionals. The goal of this effort was to provide metrics that can help improve interagency coordination and communication during complex, large scale wildfires. In the summer of 2013, data on these incident response outcomes were collected from 22 Type I and Type II wildland-urban interface fires in Idaho, Montana, Oregon, and Washington. This report summarizes the findings from the 25 Mile Fire in the areas of interagency network performance, incident management team performance, use of social media and incident learning and capacity building. This report was prepared by North Carolina State University's Fire Chasers Research Team: Branda Nowell, Ph.D. (Principal Investigator) Toddi Steelman, Ph.D. (Principal Investigator) AJ Faas, Ph.D. Anne-Lise K. Velez, MPA Joy Davis, BA Clare FitzGerald, MPA Mary Clare Hano, MPH 0 25 Mile Fire: Incident Report Study Background This report summarizes findings on incident response outcomes for the 25 Mile Fire that occurred in 2013. The report presents outcomes of the 25 Mile Fire compared to twenty-one other Type I and Type II incidents that occurred in Idaho, Montana, Oregon, Washington, and one pilot incident in Colorado, during the 2013 wildfire season. The goal of this report is to provide disaster, fire response, and land management agencies with feedback on the incident. This feedback is designed to help identify areas of strength, as well as prioritize areas for capacity building to improve incident response in the upcoming fire season. This report summarizes findings on the following areas: 1) interagency network performance; 2) incident management team performance; 3) use of social media; and 4) incident learning and capacity building. All findings are based on surveys completed by key personnel associated with the incident management team, host agency, and cooperating disaster response agencies on each incident. County and municipal elected officials in the affected area were also surveyed. Surveys were generally collected from Type 1/Type 2 incident management team members immediately before they transitioned off the incident. Surveys with host agencies and county disaster response agencies were collected in October/ November of 2013. A total of 14 surveys were completed for the 25 Mile Fire (54 percent response rate). How Should I Interpret the Data in This Report? Incidents differ in their complexity and more complex incidents can create more challenges. The information contained in this report is based solely on the survey data and indicators do not account for differences between incidents. This should be kept in mind when interpreting findings from a single incident in relation to the regional incident averages. Findings with lower response rates should also be interpreted with greater caution as there may be key perspectives that are missing. Recommended questions for reflection in interpreting the findings from this report include: In what areas did we excel during this incident? What strategies and actions did we take that may have contributed to this success? What actions can we take to make sure these practices and lessons are retained for future incidents? In what areas were our ratings comparatively less positive? How do we make sense of those? Were there missed opportunities either before or during the incident that might have improved our outcomes in this area? Are there actions we can take now to help ensure future success in this area? Overview: A brief summary of the 25 Mile Fire The 25 Mile was ignited by human activity on July 6 th , 2013 on Okanogan-Wenatchee National Forest near Chelan County and burned between Deer Point and Mitchell Creek above the north shore of Lake Chelan. The USDA Forest Service and Washington Department of Natural Resources quickly called a Type II Incident Management Team to help ensure containment advanced quickly and minimal structural damage occurred. Chelan County Fire District 5 was ready to respond as part of the delegation of authority in the event that the fire spread onto their jurisdiction, which it did not. The initial threat to 30 residences in Emerson Acres and Greens landing was curtailed several days into the incident, but one structure was damaged. Because it is accessible only by boat, the Mitchell Creek Campground was evacuated. During the first few days of the 25 Mile Fire there were road closures in areas such as Grade Creek and Oss Peak Road, but they were quickly re-opened. According to an Inciweb press release, Lake Chelan, a popular recreation area with lots of summer activity, suffered few adverse effects as tourists continued having fun in clear air for the duration of the 25 Mile Fire. Incident Response Network Performance: 25 Mile Fire What Is an Incident Response Network? Effective incident response to a complex wildfire event involves the coordination of multiple organizations and agencies with formal response responsibilities during the incident. This group of organizations and agencies can be referred to as the incident response network. This network typically includes the incident management team, fire management operations, disaster management operations, county and municipal government, and the media. Diagram 1 shows what this network might look like. Diagram 1. Sample Incident Response Network What is network performance? When working as part of an inter-connected network like the one shown in Diagram 1, the actions of any one agency within the network can affect others in the network. Consequently, incident outcomes are often the result of the combined management actions of the entire network, and the level of communication and coordination within it. Not all agencies are involved in all areas of incident response. However, problems in one area of the network can lead to problems in other areas. As a result, effective incident response is not about the performance of any single organization or agency, but is related to the performance of the network as a whole in the following areas: Interagency coordination & fire response Public information Road closures Evacuation and re-entry Sheltering & mass care Cost share To learn more about network performance, we asked all agency and organizational leaders in the incident response network to rate how things went in each of these six areas. Respondents were asked their level of agreement with a set of statements. Options ranged from (1) "strongly disagree" to (5) "strongly agree." Overall, network performance scores were high. Some areas are also worthy of additional attention prior to fire season 2014. For the twenty-two fires in our sample, overall network performance was the highest for interagency coordination and fire response (average = 4.44) and public information (4.34). On average, lower performance ratings were provided for cost share (3.87), evacuation (3.99), and sheltering/mass care (4.0). See Appendix A for specific questions asked in each category and average level of agreement for each. Network Performance: How did things go on the 25 Mile Fire? Figure 1 shows network performance ratings for the 25 Mile Fire in comparison with the average across all twenty-two fires in our sample. Across all activities, no respondents reported negative perceptions of how well different aspects of incident management were carried out by all parties involved. For all five relevant activity areas, including coordination and fire response, evacuation and reentry, cost share, public information, and road closures, 25 Mile Fire network performance was higher than average. Notably, respondents provided overwhelmingly positive feedback in the area of evacuation and re-entry. While still higher than average in comparison to the region, the item that KEY FINDINGS - In all areas we examined, the 25 Mile Fire network performance topped the 22 incident regional average - While still higher than the regional average, the item that received the lowest scores was in the use of social media during the incident. received the lowest scores was in the use of social media (see Appendix A). According to respondents, sheltering and mass care did not occur on the 25 Mile Fire, so there are no data to report on this network performance factor for this incident. Figure 1. Average Network Performance by Activity: 25 Mile Fire Incident Management Team Performance: Perspectives from host agencies and local cooperators On each incident, we asked representatives of local cooperating agencies, the Forest Service, and other host agencies to reflect on how well the incident management team (IMT) communicated and coordinated with local host agencies and cooperators. IMTs were assessed across 19 areas outlined in Table 1 on the following page. The response options ranged from "No room for improvement" to "A lot of room for improvement," and included "Don't know" and "Not applicable" choices. Across all twenty-two incidents, incident management teams were reported to perform the best in: 1) being accessible; 2) acknowledging cooperation; 3) sharing credit; and 4) serving as positive ambassadors in interactions with the local community. On average, scores were quite positive across all areas. However, host communities reported the greatest room for improvement for IMTs in the areas of: 1) obtaining local context information to inform fire operations; 2) incorporating information about local values at risk into fire management plans; and 3) engaging affected jurisdictions in planning and decision making from the beginning. The first column of Table 1 lists the average room for improvement for incident management teams across all fires. The second column displays average room for improvement for the 25 Mile Fire incident management team. For each item in Table 1, lower numbers indicate less room for improvement . The scale includes (0), indicating "no" room for improvement, (1) "a little," (2) "some," (3) "quite a bit," and (4) "a lot." KEY FINDINGS - On average, Nickey's Type II IMT was rated equal to or better than the regional average in 15 out of 19 areas during the 25 Mile Fire - Particular areas of strength included the IMT's performance at: o sharing credit with local agencies o serving as a positive ambassador in interactions with the local community - Some room for improvement was reported in the areas of: o being sensitive to the local community culture and political climate o obtaining local context information to inform operations o at risk in the management of the fire Average responses for Nickey's Type II IMT on the 25 Mile Fire ranged from 0.7 to 2, indicating a little to some room for improvement. The team was rated equal to or better than the regional average in 15 of 19 areas during the 25 Mile Fire. Nickey's Type II IMT was rated most positively in the areas of sharing credit with local agencies. The team was on par with the region in acknowledging cooperation, using the incident as a training opportunity, and engaging affected jurisdictions in planning and decision making. On average, some room for improvement was reported for the IMT in being sensitive to the local community culture and political climate and obtaining local context information to inform operations. There was a little to some room for improvement reported in incorporating information about local values at risk into the management of the fire. TABLE 1. 25 Mile Incident Management Team Room for Improvement Twitter Use Social networking sites, such as Twitter, have become important tools for sharing information during various emergencies. Researchers are only beginning to study the implications of social media for risk communication and practitioners are often interested in best practices for using social media. As part of our survey, we asked local cooperators and Forest Service personnel whether they knew of an "official" Twitter feed associated with the wildfire incident, whether they subscribed to this feed, and whether or not they found the information on Twitter helpful. Figure 2 shows percentage of Twitter use for 25 Mile Fire compared to the average rate across twenty-one fires in our sample that reported on social media. Inciweb, the National Weather Service, Chelan County Emergency Management, the National Incident Network, and engaged but unofficial fire watchers all tweeted information about the 25 Mile Fire. When compared to the 21 incident average, respondents from the 25 Mile Fire had less knowledge of Twitter but were more likely to find Twitter helpful, although no respondents reported subscribing to an incident Twitter feed. KEY FINDINGS - 25 Mile Fire respondents were less aware of Twitter information resources than respondents across other incidents - No 25 Mile Fire respondents reported subscribing to an incident Twitter feed - 25 Mile Fire respondents found Twitter information sources helpful as did respondents across other incidents Moving Forward: Incident learning and capacity building The field of incident response prioritizes using every incident as an opportunity for learning and relationship building to improve capacity for responding to future events. To assess incident learning and capacity building, respondents were asked to report how personal outcomes were influenced by the incident in the areas of: 1) increased knowledge of other agencies' missions and values; 2) enhanced knowledge of the Incident Command System (ICS); and 3) increased familiarity and strengthened professional relationships within the local network. Respondents were asked to rate KEY FINDINGS - Over all the wildfire incidents we studied, evidence suggests that knowledge of agency missions and values, ICS knowledge, and professional relationships were perceived to have improved - 25 Mile Fire respondents reported slightly lower scores than regional averages in all three areas, but no negative impacts were reported in any area - For the 25 Mile Fire, the greatest positive impact was on professional relationships how each factor was affected by the incident, on a scale ranging from (1) "much worse" to (5) "much better," with (3) indicating "no change." See Appendix B for specific questions asked in each category and average level of agreement for each. Figure 3. Incident Learning and Capacity Building from the 25 Mile Fire Across all the wildfire incidents we studied, evidence suggests that knowledge of other agency missions and values, ICS knowledge, and professional relationships were perceived to have improved. Across all incidents, local cooperators and host agencies reported the greatest improvements in the area of professional relationships, which included respondents reporting strengthened professional relationships with leaders of cooperating agencies, stronger relationships within counties, and better knowledge of the capacities and constraints of cooperating agencies. The least improvement was shown in local cooperator and host agency knowledge of agency missions and values, which included knowledge of the mission and values of state land management agencies and the National Forest. In the middle range is knowledge of the Incident Command System, which includes familiarity with ICS, opportunities to gain additional training in an area of incident response, and understanding how to work with an IMT, including what the IMT can and cannot do to assist your county during an incident. On the 25 Mile Fire, all responses varied between "no change" and "somewhat better" for knowledge of agency missions and values, ICS knowledge, and professional relationships. While improvements in these areas were slightly lower for 25 Mile Fire than across all fires, respondents reported no negative impacts in these areas. APPENDIX A. Network Performance: 25 Mile Fire 22 Incident Average 25 Mile Fire Average Correct citation for this report: Nowell, Branda, Toddi Steelman, A. J. Faas, Anne-Lise Knox Velez, Joy Davis, Clare FitzGerald, and Mary Clare Hano. 2014. Improving Community Response to Wildfire: 2013 Fire Season Findings Report for 25 Mile Fire. http://goo.gl/GBFQ1u. 12 pp. Copyright 2014 North Carolina State University Fire Chasers: Improving Community Response to Wildfire Project firechasers.ncsu.edu 20 Enterprise St., Suite 6 Raleigh, NC 27607 Phone: (919) 576-0843 email@example.com This research is part of a larger initiative funded by the National Science Foundation, Joint Fire Science Program and the USFS Northern Research Station. All views and conclusions in this document are those of the authors and should not be interpreted as representing the opinions or politics of the US Government. Mention of trade names or commercial products does not constitute their endorsement by the US Government. Acknowledgements: The Fire Chasers would like to acknowledge and thank all the emergency and fire management personnel who contributed to this report. This research would not have been possible without the combined efforts of other members of our research team: Deena Bayoumi, Candice Bodkin, Jason Briefel, Jillian Cain, John Diaz, Casey Fleming, Annie Izod, Emily McCartha, Veronica Quintanilla, Holli Starr, Corinne Wilder, and Zheng Yang. Thanks to James Moody for consulting on methodology and to Brian Miedlar for web design, survey administration, and database design. We would also like to thank our research partner Sarah McCaffrey and the USFS Northern Research Station for their support of this project. Research Funding Provided By: USDA FOREST SERVICE: NORTHERN RESEARCH STATION THE NATIONAL SCIENCE FOUNDATION THE JOINT FIRE SCIENCE PROGRAM
Market Conduct Examination CNA Insurance Group 333 S. Wabash Ave, 38S Chicago, Illinois 60604 Companies Reviewed: American Casualty Company of Reading, Pennsylvania NAIC Company Code: 20427 National Fire Insurance Company of Hartford NAIC Company Code: 20478 Transportation Insurance Company NAIC Company Code: 20494 Continental Casualty Company NAIC Company Code: 20443 Valley Forge Insurance Company NAIC Company Code: 20508 NAIC Examination Tracking System: ME008-M27 Examination Period: January 1, 2007 through December 31, 2007 Pursuant to Title 24-A M.R.S.A. § 221, I have caused a Targeted Market Conduct Examination to be conducted of CNA Insurance Group. I hereby accept this Report of Examination and make it an official record of the Bureau of Insurance. ____________________________ Mila Kofman Superintendent of Insurance Maine Bureau of Insurance ___________________ Date Contents The Honorable Mila Kofman Superintendent of Insurance Bureau of Insurance 34 State House Station Augusta, ME 04333-0034 Dear Superintendent Kofman: Pursuant to the certification of findings in accordance with Title 39-A M.R.S.A § 359(2) from the State of Maine Workers' Compensation Board ("WCB") and under the authority of Title 24A M.R.S.A. § 221 and in conformity with your instructions, a targeted market conduct examination has been made of: CNA Insurance Group Composed of the following: American Casualty Company of Reading, Pennsylvania National Fire Insurance Company of Hartford Transportation Insurance Company Continental Casualty Company Valley Forge Insurance Company hereinafter referred to as the "Company". The examination covered indemnity claims that were open between January 1, 2007 and December 31, 2007, for employees residing in the State of Maine or claimants involved in losses in the State of Maine. The on-site phase of the examination was conducted at the offices of the Company located at: 1 Telergy Parkway East Syracuse, NY 13057 The following report is respectfully submitted. HISTORY OF ENGAGEMENT Pursuant to 39-A M.R.S.A. § 153(9), the WCB established a Monitoring, Audit & Enforcement Division ("MAE"). The functions of the MAE division include but are not limited to audits of payment timeliness and claims-handling practices of insurers in accordance with 39-A M.R.S.A. § 359. The WCB audited selected claims of the Company with dates of injury from January 1, 2004 through December 31, 2004, in part to determine whether the Company had violated the questionable claims-handling provision of 39-A M.R.S.A. § 359(2). The results of the audit are reported in a Compliance Audit Report dated March 9, 2006. The report's findings relevant to Title 39-A M.R.S.A. § 359(2) included: * Failure to file or timely file required forms * Failure to pay claims timely (in violation of Section 205(2)) * Section 205(3) penalties * Failure to calculate benefits accurately * Failure to pay mandatory payment * Failure to properly discontinue benefits * Failure to pay benefits due The WCB determined that the pervasiveness and magnitude of the findings constituted a "pattern of questionable claims-handling techniques". In April 2006, the WCB and the Company entered into a Consent Decree which established patterns of questionable claims-handling techniques and assessed fines therefor. In accordance with 39-A M.R.S.A. § 359(2), the WCB certified the audit findings to the Superintendent of Insurance. Title 39-A M.R.S.A. § 359(2) requires the Superintendent of Insurance to take appropriate action to bring such practices to a halt. SCOPE OF EXAMINATION In order to meet the responsibilities set forth in 39-A M.R.S.A § 359(2), the Superintendent of Insurance had to determine whether or not the patterns of questionable claims-handling techniques found by the WCB still existed; therefore, an examination was planned in accordance with the National Association of Insurance Commissioners' Market Regulation Handbook ("Handbook"). The Bureau of Insurance examiners developed compliance verification procedures based on the Handbook to measure whether the Company filed all required WCB forms in a timely manner, accurately calculated indemnity benefits and timely distributed benefit payments as required by the Workers' Compensation Act, Title 39-A M.R.S.A., and the WCB Rules and Regulations issued thereunder. Specifically, the scope of the examination included the review of a statistical sample of all open indemnity claims for the period from January 1, 2007 through December 31, 2007, that had dates of injury on or after January 1, 1993. 1 METHODOLOGY Company records indicated a total of 589 open claims from January 1, 2007 through December 31, 2007. Third Party Administrators ("TPAs") processed 138 of theses claims. The remaining 451 were handled by Company adjusters. The software program ACL was utilized to select a random sample of 50 files from the indemnity claim population. STANDARDS The following Handbook standards were the basis for developing the examination procedure. All references are to either Title 39-A M.R.S.A., WCB Rules and Regulations or WCB Protocols of the Monitoring, Audit & Enforcement Division. (1) Standard G-3 Claims are resolved in a timely manner. Test 1: Determine if initial and subsequent indemnity claim payments are made in a timely manner. Standard G-3 establishes a general framework for the timely payment of claims in accordance with 39-A M.R.S.A. § 205. (2) Standard G-4 The Company responds to claim correspondence in a timely manner. Test 2: Determine if correspondence/WCB forms related to claims are responded to/filed as required by applicable statutes, rules, regulations or protocols. 1 Standard G-4 establishes a general framework for the timely filing of claim-related documents. Failure to file or timely file a required WCB form or other document on time is a violation of 39A M.R.S.A. § 360(1)(A) or (B). (3) Standard G-5 Claim files are adequately documented. Test 3: Determine if quality of the claim documentation is sufficient to support or justify the ultimate claim determination and meets state requirements. Standard G-5 establishes a general framework for the adequacy of claim file documentation to correctly calculate claim payments in accordance with 39-A M.R.S.A. § 102, § 212, § 213 and § 215. APPLICATION OF TESTS This section outlines the application of the tests to the claims selected. The results of testing those open indemnity claims during the examination period are delineated in the following tables: TEST 1: Verify that initial and subsequent indemnity payments were made in accordance with 39-A M.R.S.A. § 205(2). \| \| Paid Timely \| Not Paid Timely \| N/A \| % of Compliance \| \|---\|---\|---\|---\|---\| \| Initial Payment \| 23 \| 6 (B) \| 21 \| 79% \| \| Subsequent Payments \| 340 \| 29 (C) \| NA \| 92% \| A For comparative purposes, these percentages are taken from the WCB Compliance Audit Report. B Three of the six claim files not paid timely resulted from the employer not notifying the Company in a timely manner. C One of the twenty-nine claim files not paid timely resulted from the employer not notifying the Company in a timely manner. TEST 2: Verify the timely filing of the following forms with the Workers' Compensation Board in accordance with the applicable Statute, Rules & Regulations, or MAE Protocol: \| \| Form Type \| Filed Timely \| Not Filed Timely \| Not Filed \| N/A \| % of Compliance \| \|---\|---\|---\|---\|---\|---\|---\| \| Test \| WCB-1 \| 22 \| 19 (B) (G) \| 0 \| 9 \| 54% \| \| Test \| WCB-2 \| 27 \| 11 (C) \| 2 \| 10 \| 68% \| \| Test \| WCB-2A \| 27 \| 11 (D) \| 2 \| 10 \| 68% \| \| Test \| WCB-3 \| 20 \| 10 (E) \| 0 \| 20 \| 67% \| \| Test \| WCB-4 \| 28 \| 0 \| 0 \| 22 \| 100% \| \| Test \| WCB-8 \| 7 \| 0 \| 0 \| 43 \| 100% \| \| Test \| WCB-9 \| 5 \| 4 \| 0 \| 41 \| 56% \| \| Test \| WCB-11 First \| 13 \| 12 \| 1 \| 24 \| 50% \| A For comparative purposes, these percentages are taken from the WCB Compliance Audit Report. B Nine of the nineteen claim files not filed timely resulted from the employer not notifying the Company in a timely manner. C Four of the eleven claim files not filed timely resulted from the employer not notifying the Company in a timely manner. D Three of the eleven claim files not filed timely resulted from the employer not notifying the Company in a timely manner. One of the three filed late was filed over 30 days as a result of employer late notice. E Three of the ten claim files not filed timely resulted from the employer not notifying the Company in a timely manner. TEST 3: Verify that indemnity payments are calculated accurately for both total and partial incapacity. \| \| Paid Accurately \| Not Paid Accurately \| N/A \| \|---\|---\|---\|---\| \| Partial & Total Indemnity Payments \| 13 \| 24 \| 13 \| Numbers in this table represent number of claims rather than each specific calculation or payment. "Not Paid Accurately" represents 24 claim files where one or more payments were not made accurately. The 24 files were composed of ten overpayments and fourteen underpayments. The circumstances relating to the under and overpayments were widely varied and no discernable pattern of causes was noted. COMMENTS AND RECOMMENDATIONS Comment # 1: Test 1 was designed to determine compliance with Title 39-A requirements for timely payment of initial and subsequent benefits. The compliance level for initial indemnity payments at 79% fell below the WCB benchmark of 80%. The Subsequent indemnity payments compliance level was acceptable. Recommendation: It is recommended that the Company should implement policies and procedures to ensure compliance with the Board's benchmark. Comment # 2: Test 2 was designed to determine compliance with Title 39-A's form filing requirements. The overall compliance level in this area continues to be unacceptable. The compliance level for the first report of injury was at 54% and the notice of controversy filing was at 56%. The filing of the memorandum of payment at 67% fell below the benchmark of 75%. Discussions with the Syracuse Claims Manager disclosed circumstances affecting the level of compliance with form filings. For example, in October of 2006, the Company's Quincy, Massachusetts claims office was closed and claims transferred to the Syracuse office. During the first half of 2007, the Syracuse office lost two of their Maine claims handlers. The current primary Maine adjuster started working Maine claims in September 2007. An area of particular concern was the number of first reports being filed as medical only and then being changed to lost time indemnity claims. The Company explained that it uses an independent intake firm whose intake personnel work from a phone script. It would appear that the phone script was inadequately designed to allow accurate determination whether an incoming claim is medical only or a lost time claim. The claim data was forwarded to the Company's data facility in the Midwest and then transmitted back to Syracuse. By the time that the adjusters in Syracuse were assigned the claim, time had elapsed and that resulted in late filings of the first report of injury. The Company indicates that during 2006 and 2007, CNA incorrectly believed that medical only filings served to satisfy the reporting requirements. And, in 2008 the Company no longer maintains that practice and is aware of the proper reporting protocols. Unfortunately, the correction in 2008 does not alter the calculation of errors which occurred during the 2007 audit period. Recommendation: It is recommended that the Company should implement policies and procedures to ensure compliance with the Board's benchmarks. Comment # 3: Test #3 was designed to verify accurate calculation of indemnity payments for both total and partial incapacity. The level of compliance is unacceptable at 35% and the pattern of questionable claims handling techniques continues as to the calculation of payments. Recommendation: The company should implement policies and procedures to ensure that claims adjusters understand Title 39-A and WCB Rules and Regulations, and that managers monitor performance regularly to ensure compliance with Maine law. CONCLUSIONS This examination reviewed a statistical sample of workers' compensation indemnity claims for Maine employees that were open during the period from January 1, 2007 through December 31, 2007, that had dates of injury occurring on or after January 1, 1993. * The compliance ratio for timely initial indemnity payments was at 79%. The benchmark was 80%. * The timely payment of subsequent payments was at an acceptable compliance level. * The overall compliance ratios for the timeliness of form filings were at unacceptable levels. * The compliance ratio for the memorandum of payment was at 67%. The benchmark was 75%. * The accuracy of indemnity payments at 35% was not at an acceptable compliance level. There are two recurring issues that appear to be common in the workers' compensation insurance market to which the Company is no exception. The Company needs to impress upon its TPAs that, although ultimate responsibility for compliance with the Act falls on the underwriting Company, the TPAs are accountable for their own failure to comply with the Act. Both CNA and its TPAs need to communicate to the accounts they serve the vital requirement that employers/clients promptly report injuries so that the insurer and TPAs can timely file required documents and accurate calculations of average weekly wage and compensation rate for both partial and total disability. It is especially important that first reports of injury and wage information be filed timely as these are the basis for calculating indemnity payments. ACKNOWLEDGMENT The courtesy and cooperation extended by the officers and employees of the Company during the course of the Examination is hereby acknowledged. The Examination was conducted and is respectfully submitted by the undersigned. STATE OF MAINE COUNTY OF KENNEBEC, SS Carolee M. Bisson, being duly sworn according to law, deposes and says that in accordance with the authority vested in her by Mila Kofman, Superintendent of Insurance, pursuant to the Insurance Laws of the State of Maine, she has made an examination on the condition and affairs of the CNA INSURANCE GROUP of Chicago, Illinois, for the period January 1, 2007 through December 31, 2007, and that the foregoing report of examination, subscribed to by her, is true to the best of her knowledge and belief. The following examiners from the Bureau of Insurance assisted: Van Sullivan Paul Greenier ________________________________ Carolee M. Bisson AIRC, AIE Market Regulation Supervisor Subscribed and sworn to before me This 4th day of January, 2010 ________________________________ Brenda Cadwallader, Notary Public My commission expires: 1 The Maine Legislature significantly revised the workers' compensation statute effective January 1, 1993.
Abnormal Skin Findings Carson Discher, MS1, Luke Mittelstaedt, MS1, Katherine Shapiro, MS1 ¹ Department of Internal Medicine, University of Illinois at Chicago, Chicago IL, United States Chief Complaint: Boil on the butt Diagnosis Current Research and New Treatments History of Present Illness: 72 y/o male w/ no significant PMH presents to ED from clinic w/ painful, bleeding abscess on L buttock for the past 3 months. Pt states that he used "boil ease" at home when the boil first presented, but the boil reappeared 3 days PTA with yellow, malodorous drainage. Pt states that sitting or applying pressure to the area exacerbates the pain but benzocaine cream relieves the pain. Pt states that he had a boil on his buttock in the past, and that he currently has another boil behind his R ear. Pt also admits to one episode of dizziness described as feeling "drunk" while driving earlier today which resolved without any intervention. Pt denies having any episodes similar to this in the past and denies any difficulty ambulating to the clinic from his car. Pt denies eating breakfast this morning and feels that this could have contributed to his episode of dizziness. Pt also admits to having chills currently in hospital. Pt hopes to have an I&D. No further complaints at this time. Past Medical History: AAA s/p repair 2005. Hypothyroidism. Hypertension. Hyperlipidemia. CAD. CDK stage IIIb. COPD. T2DM. Past Surgical History: Aortic aneurysm repair; 2005, no complications Medications: Rosuvastatin 40mg oral tablet, 2 tab PO QHS. Metoprolol 50mg oral tablet BID. LT4. Plavix 75mg. Glipizide 5mg oral tablet. Temazepam 30mg oral capsule at bedtime. Clopidogrel 75mg oral tablet, PO daily. Gabapentin 100mg capsule, PO TID. Crestor 40mg. Lisinopril 5mg. Triamcinolone cream. Gentamycin cream. Benzocaine. Insulin aspart 100 units/mL injection. Allergies: NKDA Social History: Patient lives alone in a senior housing facility. His preferred language is Polish. Exercises by walking 1-2 times/week. He has smoked cigarettes for 6 years and averages 20-25 cigarettes/day. No EtOH (for the last 30 years), no drug usage. Not sexually active. Review of Systems: General: Fevers, chills. Skin: Right knee rash, no jaundice or pruritis. Head: New headaches, brief selfresolving episode of dizziness, no trauma. Eyes: No diplopia, redness, changes in vision. Ears: No hearing loss, earaches, tinnitus. Nose/sinuses: No bleeding, dryness, pain. Mouth: No bleeding gums, no dry mouth. Throat: No hoarseness, no dysphagia, no sore throat. Neck: No stiffness, no pain. Right post-auricular boil. Respiratory: No hemoptysis, no wheezing. Cardiac: No palpitations or chest pain. Gastrointestinal: No nausea, constipation, or abdominal pain. Urinary tract: No dysuria, no frequency. Musculoskeletal: No muscle pain, no joint pain or stiffness. Central nervous system: No seizures, vertigo, tremor, memory problems. Psychiatric: No depression, no anxiety. OBJECTIVE: Vital Signs: T 36.2C, P 70 bpm, RR 14, BP 130/69, SpO2 99% RA Labs/Imaging: CBC 12/11/19: WBC:10.0RBC: 4.48MCV: 99.7HgB: 15.3HCT: 44.7Plat: 191%NEUT: 76.8%LYMPH: 13.0%MONO: 8.5Lactic acid: 3.5 Electrocardiogram: 12/11/2019 1:26:00 PM: rate 74, normal sinus rhythm, No ST-T changes, no ectopy, normal PR & QRSintervals, EP Interp. Patient is a 72yo male with PMHx of CAD, KCD3, COPD, DM2, AAA, s/p repair (2005), hypothyroidism, and HTN presenting to the ED from clinic due to gluteal abscess that is concerning for cellulitis. #Gluteal abscess Three month hx of left gluteal abscess, worsening over last four days with associated pain and chills •I&D in ED Patient given zosyn, levofloxacin, Bactrim, and flagyl in ED #Cellulitis Poorly demarcated, erythematous region surrounding abscess marked with a marker. Currently 3x5cm #Erisypelas Infection of superficial lymphatics and upper dermis •Low on DD because of poorly demarcated border Plan: Wound consult Start vancomycin/zosyn until culture results come back Deep tissue culture #Dizziness Reports 5 minutes of dizziness this morning with chills, no associated trauma •Patient was administered 2L, IVF in ED, with improvement of symptoms Plan: *Continue antibiotics as above for infection Discussion of Disease Process/Clinical Correlations The most common cause of skin abscesses is Staphylococcus aureus, a catalase-positive, B-hemolytic Gram negative cocci that grows in clusters. S. aureus is part of normal flora of human skin and colonizes the nose. It is the most common cause of septic arthritis, osteomyelitis, and can cause acute bacterial endocarditis. P/O vancomycin is not recommended because of the subsequent low absorption and low serum concentration. The antibiotic cannot pass the gastric lining, so it is administered intravenously to achieve higher bioavailability. P/O vancomycin may be used for Clostridium difficile and enterocolitis. Pt should also be monitored for hypersensitivity reactions The most common is Red Man Syndrome, an infusion-rate-related reaction in which Vancomyocin directly stimulates mast cells to release histamine, as in allergic reaction, without the involvement of IgE. 1 Another reaction to be monitored via eosinophil levels is DRESS. This Pt should be monitored for sepsis, which has symptoms such as hypotension, shock, tachycardia, tachypnea, f/c. Pt is elderly which means his immune system does not function at as high of a level as it did in the past and the infection reaching the blood (bacteremia) is more of a concern. Microorganisms can seed joints during hematogenous dissemination. Staphylcoccus aureus is the main causative agent. Septic arthritis usually involves a single joint, most commonly the knee. Physical Exam: General Appearance – NAD, Well appearing. HEENT – Normocephalic, atraumatic. Neck – Supple, No stiffness, No midline TTP. Cardiovascular – RRR, no M/G/R, normal s1, s2. Lungs – CTAB, no crackles, no wheezing, no distress. Abdomen – Soft, nontender, no distention, BS normal. Back – No ttp, no obvious deformity. Extremities – No cyanosis, no clubbing, no edema. Neurological – AAOx3, moving all extremities against gravity, normal gait. Skin – Warm, dry, TTP 6cm x 4cm area of erythema with central lesion draining yellow fluid to R buttock. Pt has lesions on back as well. Aspirin has been shown to prevent infection-induced coagulopathy in mice during sepsis due to S. aureus. Carestia et al found that mice pre-treated with aspirin had reduced platelet aggregation and intravascular thrombin activity and microvascular occlusion compared to their untreated S. aureus-infected counterparts. 2 Recent reports have outlined new therapeutic avenues and for reducing mortality in severe sepsis. Mouse models have shown positive effects of a pyruvic acid derivative, ethyl pyruvate. Fibrates (fenofibrates) have been shown to reduce mortality rates in experimental studies done on sepsis. Furthermore, levosimendan, a calcium-sensitizing drug, was shown to improve outcomes in sepsis patients. 3 It is recommended that patients with sepsis without shock be treated with empiric broad spectrum antibiotic therapy with one or multiple antimicrobials to encompass all possible pathogens. This means that treatment should be provided against both gram-positive and gram-negative organisms if bacterial sepsis is indicated, against possible fungi if a fungal infection is indicated and against viruses (rare). A cohort study showed that inappropriate antibiotic selection was occurring 32% of the time in those with sepsis and mortality was markedly increased in these patients compared to those with appropriate antibiotic selection. 4 Septic arthritis most commonly arises due to hematogenous seeding of the synovial membrane of joints. The synovial membrane has no limiting basement membrane and this allows microbes to enter the joint space. This is most commonly caused by S. Aureus. 5 Spread of S. Aureus infection is not limited only to septic arthritis of synovial joints. It is important to ask the patient of any other symptoms such as back pain, fever and sweats, LUQ abdominal pain, costovertebral angle tenderness, and headaches. These collectively occur in up to 30% of adults with S. Aureus bacteremia and are indicative of potential vertebral osteomyelitis, endocarditis, splenic infarction, renal infarction, and septic emboli, respectively. 6 CONCLUSIONS This patient presents with clinical signs of S. aureus-mediated superficial abscess on the gluteal region with potential sepsis. The erythematous, warm region of skin with central, pus-filled, tender lesion on the left buttock suggests bacterial infection and the patient's history of unexplained dizziness and reported chills suggest the possibility of hematogenous spread. The patient presents afebrile, without leukocytosis and normal heart rate, which point away from sepsis, so definitive diagnosis cannot be made without the results of wound culture and blood panel. However the patient has moderately elevated lactate, which could indicate tissue ischemia/hypoxia and anaerobic metabolism, which are signs of sepsis/shock. However, usually you would see a lactate of >4. The most immediate action, as a physician, is to provide intravenous antibiotics and to document initial findings of the abscess in order to track its development and progress with time. REFERENCES 1. Weller, Peter F. "Vancomycin Hypersensitivity." UpToDate, 15 Nov. 2019. 2. Carestia, Agostina, et al. "Acetylsalicylic Acid (ASA) Inhibits Intravascular Coagulation during S. Aureus-Induced Sepsis in Mice." Blood, 2020, doi:10.1182/blood.2019002783. 3. Polat, Gizem, et al. "Sepsis and Septic Shock: Current Treatment Strategies and New Approaches." The Eurasian Journal of Medicine, vol. 49, no. 1, 2017, pp. 53â€"58., doi:10.5152/eurasianjmed.2017.17062. 4. Schmidt, Gregory A, and Jess Mandel. "Evaluation and Management of Suspected Sepsis and Septic Shock in Adults." UpToDate, 11 Feb. 2020. 5. Goldenberg, Don L, and Daniel J Saxton. "Septic Arthritis in Adults." UpToDate, 26 Sept. 2019. 6. Fowler, Vance G, and Thomas L Holland. "Clinical Approach to Staphylococcus Aureus Bacteremia in Adults." UpToDate, 10 Jan. 2020. Enormous thanks to both Dr. Bounds and Dr. Twing for their time and contributions towards our education and growth towards becoming physicians ourselves.
Neuropsychopharmacologie Principles and Practice of Neuropsychopharmacology Neuropsychopharmacology Progress in Neurotherapeutics and Neuropsychopharmacology: Volume 2, 2007 Neuropsychopharmacology Neuropsychopharmacology Neuropsychopharmacology Diverse Topics Recent Advances in Canadian Neuropsychopharmacology Recent Progress in Neuropsychopharmacology Progress in Neurotherapeutics and Neuropsychopharmacology: Volume 1, 2006 Neuropsychopharmacology of the Trace Amines Addiction Horizons in Neuropsychopharmacology The Stahl Neuropsychopharmacology Masterclass Access Code Special Areas Neuro-psychopharmacology Neuropsychopharmacology and Therapeutics Pharmacogenetics in Neuropsychopharmacology Neuropsychopharmacology and the Aﬀective Disorders Principles of Neuropsychopharmacology Neuropsychopharmacology From Psychopharmacology to Neuropsychopharmacology in the 1980s and the Story of CINP, as Told in Autobiography Introduction to Neuropsychopharmacology Catecholamines and Behavior · 2 Neuropsychopharmacology Fundamentals of Neuropsychopharmacology An Oral History of Neuropsychopharmacology Catecholamines and Behavior · 2 Neuropsychopharmacology History of the Acnp Principles and Practice of Neuropsychopharmacology Transcultural Neuropsychopharmacology The Biochemical Basis of Neuropharmacology Neuro-Psychopharmacology Pioneers in Neuropsychopharmacology I Working Methods in Neuropsychopharmacology Neuropsychopharmacology: A Tribute to Joseph T. Coyle Brain and Mind Made Simple Neuropsychopharmacology Principles and Practice of Neuropsychopharmacology Neuropsychopharmacologie Downloaded from socialmediaweektoronto.com by guest OSBORNE CHANEL Principles and Practice of Neuropsychopharmacology Waterside Press Horizons in Neuropsychopharmacology Neuropsychopharmacology Pergamon This volume is intended to provide students and investigators of brain-be havior relationships with an understanding of the current concepts of the role of catecholamines in the regulation of behavior. Catecholamines are now believed to be modulators or transmitters in systems regulating a number of important aspects of behavioral function. The present intense interest in catecholamines is reﬂected by the large number of scientiﬁc reports dealing with these compounds. Even those reports which are rele vant to behavior are staggering in number. The contributors to this book have drawn on the salient literature, as well as on their own work, with a view toward clarifying relationships between the basic neurobiology of cate cholaminergic neural systems and normal and abnormal behavioral func tion. Current work in this ﬁeld is heavily dependent on the use of psychotropic drugs to produce model behavioral states, or as biological probes. As a result psychopharmacological studies are generously represented. I n the last chapter of Volume 2 the editor has attempted to further relate and develop the material in the two volumes from the con ceptual and theoretical standpoint. New York AJF Contributors to Volume 2 Wagner H. Bridger, Department oj Psychiatry, Albert Einstein College oj Medicine, Bronx, New York Thomas R. Bozewicz, Department oj Psychiatry, Albert Einstein College oj Medicine, Bronx, New York Doris H. C1ouet, Testing and Research Laboratory, New York State Drug Abuse Control Commission, Brooklyn, New York John M. Progress in Neurotherapeutics and Neuropsychopharmacology: Volume 2, 2007 Academic Press Neuro-psychopharmacology covers the proceedings of the 11th Congress of the Collegium Internationale Neuro-psychopharmacologicum, held in Vienna on July 9-14, 1978. The book focuses on the processes, methodologies, and approaches in neuropsychopharmacology. The selection ﬁrst oﬀers information on the long-lasting eﬀects of electroconvulsive therapy (ECT) on monoaminergic mechanisms and enhanced monoamine behavioral responses following repeated electroconvulsive shock to rats and their relevance to ECT. The book also underscores the ECT eﬀects on mineral metabolism and neuroendocrine functi ... NeuropsychopharmacologySpringer Science & Business Media An essential update of clinical trials in the management of neurological and neuropsychiatric disorders. Neuropsychopharmacology Createspace Independent Publishing Platform THE SERIES The 10 volumes in this series record a ﬁfty year history of neuropsychopharmacology related by 213 pioneer clinical, academic, industrial and basic scientists in videotaped interviews, conducted by 66 colleagues between 1994 and 2008. These volumes include a preface by the series editor placing its contents in an historical context and linking each volume to the next. Each volume is dedicated to a former President of the ACNP and edited by a distinguished historian or Fellow of the College who provides an introduction to its themes and a biography of each scientist's career. The series provides insights into a half century of discovery and innovation with its rewards and disappointments, progress and setbacks, including future expectations and hopes for the ﬁeld as a whole and the ACNP as an organization. IN THIS VOLUME NeuropsychopharmacologyBasel : Karger THE SERIESThe 10 volumes in this series record a ﬁfty year history of neuropsychopharmacology related by 213 pioneer clinical, academic, industrial and basic scientists in videotaped interviews, conducted by 66 colleagues between 1994 and 2008. These volumes include a preface by the series editor placing its contents in an historical context and linking each volume to the next. Each volume is dedicated to a former President of the ACNP and edited by a distinguished historian or Fellow of the College who provides an introduction to its themes and a biography of each scientist's career. The series provides insights into a half century of discovery and innovation with its rewards and disappointments, progress and setbacks, including future expectations and hopes for the ﬁeld as a whole and the ACNP as an organization.IN THIS VOLUMEIn the ﬁrst eight volumes of this series, interviewees reﬂect on their contributions to the development of neuropsychopharmacology. Volume Nine (Update) diﬀers from prior volumes in that it includes a second interview from some of the interviewees that complements and updates the information in their ﬁrst interviews. In Volume Nine, as in Volume Eight, interviewees talk about contributions to diverse areas of research and the Volume as a whole provides prime material for an overview of the changes which have taken place in neuropsychopharmacology since the 1950s. During its ﬁrst ﬁfty years neuropsychopharmacology was a rapidly moving ﬁeld. Starting in the late 1950s with the gradual replacement of behavioral pharmacology by neuropharmacology in the study of psychotropic drugs, by the dawn of the 21st century, the neurotransmitter era, the ﬁrst epoch in the ﬁeld was coming to an end, and succeeded by a molecular genetic era, opening up a new perspective for developing pharmacological treatments. Dedicated to the memory of Nathan S. Kline, President ACNP, 1967, Volume Nine is edited by Barry Blackwell, a distinguished researcher and educator in the ﬁeld. Blackwell's report of the "cheese reaction" with monoamine oxidase inhibitors in the 1960s has had a major impact on the development of pharmacological treatment of depression. Diverse TopicsLittle Brown GBR THE SERIES The 10 volumes in this series record a ﬁfty year history of neuropsychopharmacology related by 213 pioneer clinical, academic, industrial and basic scientists in videotaped interviews, conducted by 66 colleagues between 1994 and 2008. These volumes include a preface by the series editor placing its contents in an historical context and linking each volume to the next. Each volume is dedicated to a former President of the ACNP and edited by a distinguished historian or Fellow of the College who provides an introduction to its themes and a biography of each scientist's career. The series provides insights into a half century of discovery and innovation with its rewards and disappointments, progress and setbacks, including future expectations and hopes for the ﬁeld as a whole and the ACNP as an organization. IN THIS VOLUME Recent Advances in Canadian NeuropsychopharmacologyElsevier Neuropsychopharmacology is a relatively new subject area in the neurosciences. It is a ﬁeld of study that describes the eﬀects of drugs from the molecular to the behavioural level and requires integration and synthesis of knowledge from various disciplines including neuroanatomy, physiology, molecular biology, pharmacology and the behavioural sciences. The principal aims of this book are to provide students with a clear understanding of CNS disorders, and an appreciation of how basic and clinical research ﬁndings can be translated into therapeutics. After an introduction to the subject area, the remaining chapters are focused on reviewing the main psychiatric and neurological disorders that are covered in most courses. They are discussed in terms of their clinical symptoms, epidemiology, pathology, aetiology, underlying neurobiological and neurochemical mechanisms, pharmacotherapy, adjunctive non-pharmacological treatments, and clinical outcomes. Each chapter of the book is a 'stand-alone' chapter and is written in a clear, accessible style. Written by an author with many years teaching and research experience, this textbook will prove invaluable for students of pharmacology, pharmacy and the medical sciences needing a truly integrated introduction to this exciting ﬁeld. Recent Progress in Neuropsychopharmacology Springer Thoroughly updated and completely reorganized for a sharper clinical focus, the Fifth Edition of this world-renowned classic synthesizes the latest advances in basic neurobiology, biological psychiatry, and clinical neuropsychopharmacology. The book establishes a critical bridge connecting new 1 discoveries in molecular and cellular biology, genetics, and neuroimaging with the etiology, diagnosis, and treatment of all neuropsychiatric disorders. Nine sections focus on speciﬁc groups of disorders, covering clinical course, genetics, neurobiology, neuroimaging, and current and emerging therapeutics. Four sections cover neurotransmitter and signal transduction, emerging methods in molecular biology and genetics, emerging imaging technologies and their psychiatric applications, and drug discovery and evaluation. Compatibility: BlackBerry(R) OS 4.1 or Higher / iPhone/iPod Touch 2.0 or Higher /Palm OS 3.5 or higher / Palm Pre Classic / Symbian S60, 3rd edition (Nokia) / Windows Mobile(TM) Pocket PC (all versions) / Windows Mobile Smartphone / Windows 98SE/2000/ME/XP/Vista/Tablet PC Progress in Neurotherapeutics and Neuropsychopharmacology: Volume 1, 2006 Thieme For students old and new, Brain and Mind Made Simple makes sense of the brain, mind and consciousness. The book is packed with examples, patient histories and explanations, exploring for instance the strange case of Phineas Gage who survived brain injury but with a new personality. An expert, scientiﬁc and highly accessible guide. Most people know David Nutt as the UK's sacked Drug Czar – 'kicked out' for speaking truth to power i.e. that UK policy on drugs and alcohol was not ﬁt for purpose, driven by politics not science. But in a life outside politics Nutt is an academic, psychiatrist and researcher who studies the brain to help understand how it goes awry in mental and neurological illnesses. A few years ago, before Covid, he started giving public lectures explaining how the brain works and how alterations of the mind can occur as a result of changes in brain function. They were extremely popular — usually over 150 people at each — with lots of questions. So, he decided to write up the lectures in this book for the general public, and anyone else with an interest in the ﬁeld, especially university students of psychology, medicine and neuroscience. As well as educating these groups, all royalties from Brain and Mind Made Simple will help support the charity Drug Science that David Nutt set-up after his sacking to continue to promote the cause of bringing scientiﬁc evidence to improve drug policy. Neuropsychopharmacology of the Trace Amines Createspace Independent Publishing Platform Neuropsychopharmacology: A Tribute to Joseph T. Coyle is a new volume from Advances in Pharmacology presenting reviews of recent breakthroughs in glutamate pharmacology and a tribute to one of the most inﬂuential neuroscientists of our times. With a variety of chapters and the best authors in the ﬁeld, the volume is an essential resource for pharmacologists, immunologists, and biochemists alike. Features contributions from the best authors in the ﬁeld Provides an essential resource for pharmacologists, immunologists, and biochemists Includes new approaches for diagnosing and treating major neurological and psychiatric diseases Features a tribute to one of the most inﬂuential neuroscientists of our times AddictionElsevier Neuropsychopharmacology is the interdisciplinary science which overlaps psychopharmacology and neuroscience. It attempts to develop and understanding about the impact of drugs on neural mechanism that inﬂuence behavior. It encompasses the research of mechanisms of neuropathology, pharmacodynamics, psychiatric illnesses, and states of consciousness. Studies comprising neurotransmission/receptor activity, bio-chemical processes, and neural circuitry are also conducted within this ﬁeld. The clinical aspect of this ﬁeld encompasses psychiatric as well as neurologic pharmacology-based treatments. This book traces the progress of this ﬁeld and highlights some of its key concepts. Research in this ﬁeld has an impact on the study of various disorders such as anxiety disorders, aﬀective disorder, psychotic disorder, etc. It is a valuable compilation of topics, ranging from the basic to the most complex advancements in this ﬁeld. This book will help the readers in keeping pace with the rapid changes in the ﬁeld of neuropsychopharmacology. Horizons in Neuropsychopharmacology CreateSpace The 5th Neuropsychiatry Symposium of the European Institute of Health care was devoted to neuropsychopharmacology. As in previous meetings, we sought to choose topics that bridge the gap between basic neuroscience and the clinical ﬁelds of neurology and psychiatry. Consequently, the pro ceedings published in this supplement cover a lot of ground. Late breaking data on various neuromodulator and neurotransmitter systems and their implications for the treatment of a number of disorders are reviewed. Jean Charles Schwartz and colleagues set the stage with their paper on constitu tive receptor activity, using the histamine H3-receptor to illustrate the point. The role of neuropeptides and neurotrophins in psychiatric disorders is then reviewed by Florian Holsboer, while Bill Deakin elucidates the role of sero tonin, discovered 50 years ago in the brain, in select psychiatric syndromes. New pharmacological developments in the treatment of migraine, Parkin son's disease and schizophrenia are then presented by Hans Christoph Diener, Eduardo Tolosa and Wolfgang Fleischhacker. In the end David Nutt and colleagues provide future directions in substance dependence research, linking the role of various transmitter systems with ﬁndings from neu roimaging studies. In summary, there is no doubt that progress in the ﬁeld of neuropsychopharmacology is exciting and the prospects of true advances in the treatment of brain disorders are very promising. The Stahl Neuropsychopharmacology Masterclass Access Code Cambridge University Press Principles and Practice of Neuropsychopharmacology: A Clinical Reference for Residents, Physicians, and Biomedical Scientists is a concise yet comprehensive book that discusses the drugs used in the treatment of neurological and psychiatric diseases from the perspective of practicing clinicians. There is a considerable overlap between these two specialties as neurologists often use the medicines used by psychiatrists and vice versa. This book addresses the merger of topics of mutual interest for them in a single volume of contemporary pharmacology. It provides detailed coverage of pharmacotherapy of neurological and psychiatric disorders in general practice. The content has been made more accessible with the judicious use of tables and ﬁgures, case examples, and details of neurochemical alterations. The book is useful for both beginners and advanced readers as it details clinical practices followed in dealing with psychiatric patients in developing nations like India to enhance practice-oriented learning and provides evidence-based guidelines from world's leading medical bodies. Key Features: Lucid description of pharmacokinetic principles and pharmacodynamics of neuropharmacological agents Thoroughly covers currently used medications in treating a spectrum of diseases of the brain and nervous system Separate chapters dedicated for drugs used for treating depression, mania, anxiety, and insomnia Special AreasSinauer Associates, Incorporated Joel Elkes was declared a "Pioneer of Psychopharmacology," at the XXIst CINP Congress in Glasgow in 1998. This prestigious award, one of many he has received, succinctly deﬁnes his groundbreaking contributions in laying the foundations for a discipline before even it existed. The papers included in this volume clearly reﬂect the visionary way in which Elkes ﬁrmly established the close integration of basic science and clinical research that are the hallmarks of modern psychopharmacology. A gifted scientist, innovative thinker, and dedicated teacher, his inﬂuence on the ﬁeld has spanned generations. It is as relevant today, as it was half a century ago. His scientiﬁc contributions paralleled by a rich artistic talent that ﬁnds expression in a sensitive spirit and warm personality that have endeared him to the many students, mentees, and colleagues whose lives he has touched. Neuro-psychopharmacology Collegium Internationale Neuro-Psychopharmacologic Neuropsychopharmacology reviews for readers the principles of pharmacology with focus on the central nervous system and autonomic nervous system. Beyond autonomic and central nervous system pharmacology, this volume uniquely discusses psychiatric disorders and the pharmacological interventions that are available for conditions including depression, schizophrenia, and anxiety disorders. With a focus on these speciﬁc body systems, readers will see end-of-chapter questions that oﬀer real-world case studies, as well as multiple-choice questions for further learning. Beneﬁcial features and content also include two extensive examination tests, which each contain 100 questions for better learning or to be used in teaching, and a glossary. Helpful appendices cover high-alert medications and toxicology eﬀects on the nervous system. Each chapter will contain classiﬁcations of medications, pharmacokinetics, mechanism of action, clinical indications, and toxicities. Neuropsychopharmacology and Therapeutics Springer Science & Business Media Neuro-psychopharmacology covers the proceedings of the 11th Congress of the Collegium Internationale Neuro-psychopharmacologicum, held in Vienna on July 9-14, 1978. The book focuses on the processes, methodologies, and approaches in neuropsychopharmacology. The selection ﬁrst oﬀers information on the long-lasting eﬀects of electroconvulsive therapy (ECT) on monoaminergic mechanisms and enhanced monoamine behavioral responses following repeated electroconvulsive shock to rats and their relevance to ECT. The book also underscores the ECT eﬀects on mineral metabolism and neuroendocrine function. The publication reviews the genetic components in the mechanism of action of lithium; genetics and lithium ion metabolism in aﬀective disorders; and pharmacogenetics and the pharmacologic challenge strategy in clinical research. The text also examines the inﬂuence of peptides in aﬀective disorders and HLA antigens in aﬀective disorders and cycloid psychoses. Discussions also focus on the biological and clinical basis of the therapeutic eﬀects of benzodiazepines; eﬀects of benzodiazepines on the electrical activity of the central nervous system; and diazepam metabolism in healthy subjects and patients with heart failure, renal failure, and hepatic cirrhosis. The selection is a dependable reference for readers interested in neuropsychopharmacology. Pharmacogenetics in Neuropsychopharmacology American Medical Publishers This comprehensive survey of neuropsychopharmacology is unique in its breadth of coverage, from molecular to behavioural pharmacology, and from basic animal studies of drug action to clinical applications. Lavish illustrations and concise chapter summaries reinforce key concepts, while extensive references point the way to further study. The book is intended for advanced undergraduate, graduate and medical students, and neuroscientists seeking current information on psychoactive drugs. Neuropsychopharmacology and the Aﬀective Disorders Oxford University Press This volume is intended to provide students and investigators of brain-be havior relationships with an understanding of the current concepts of the role of catecholamines in the regulation of behavior. Catecholamines are now believed to be modulators or transmitters in systems regulating a number of important aspects of behavioral function. The present intense interest in catecholamines is reﬂected by the large number of scientiﬁc reports dealing with these compounds. Even those reports which are rele vant to behavior are staggering in number. The contributors to this book have drawn on the salient literature, as well as on their own work, with a view toward clarifying relationships between the basic neurobiology of cate cholaminergic neural systems and normal and abnormal behavioral func tion. Current work in this ﬁeld is heavily dependent on the use of psychotropic drugs to produce model behavioral states, or as biological probes. As a result psychopharmacological studies are generously represented. I n the last chapter of Volume 2 the editor has attempted to further relate and develop the material in the two volumes from the con ceptual and theoretical standpoint. New York AJF Contributors to Volume 2 Wagner H. Bridger, Department oj Psychiatry, Albert Einstein College oj Medicine, Bronx, New York Thomas R. Bozewicz, Department oj Psychiatry, Albert Einstein College oj Medicine, Bronx, New York Doris H. C1ouet, Testing and Research Laboratory, New York State Drug Abuse Control Commission, Brooklyn, New York John M. Principles of Neuropsychopharmacology Pergamon This series covers in autobiographical accounts the ﬁrst ﬁfty years in the history of neuropsychopharmacology. The autobiographies in Volume I, (The Rise of Psychopharmacology and the Story of CINP) are from psychopharmacologists who began their professional careers in the 1950s and 1960s; in Volume II (The Triumph of Psychopharmacology and the Story of CINP), from those who started in the 1970s; in Volume III (From Psychopharmacology to Neuropsychopharmacology in the 1980s and the Story of CINP), who started in the 1980s; and in Volume IV (Reﬂections on Twentieth-Century Psychopharmacology), who started in the 1990s. At the core of each volume are personal accounts in which the contributions of the scientists, are at the center of the reﬂections, but also include several sections in which the reﬂections are focused on the mainstream of events, particular areas of research, individuals and organizations. The series was the extension of an eﬀort by CINP's History Committee, during the chairmanship of Tom Ban, to document both the history of the College and the enire ﬁeld. It was co-edited by Ban, David Healy and Edward Shorter. Its publication was supported by the College primarily from non-restricted publication grants received from Pierre Fabre, Janssen Pharmaceutica and Research Foundation,Inc., and Janssen Phamaceutica International in Collaboration with Organon International. 2 Neuropsychopharmacologie 2020-02-25 2
Fraud Insights is published by: ATTEMPT to divert a wire transfer By Lisa A. Tyler National Escrow Administrator Business Email Compromise (BEC) scams continue to plague our industry and the crooks are getting bolder. Recently a title agent in Florida was closing a sale transaction. The buyer was obtaining a FHA insured loan. There were a couple of loan documents the seller needed to sign. Read "FORGERY using an electronic signature" to discover the details that led up to forgery in an attempt to divert a wire transfer of seller proceeds. estate agents involved and she would be available that afternoon to come to her office to deposit the earnest money and sign any necessary documents. Kelly agreed to act as her escrow officer and explained she would begin the process upon receipt of the earnest money. Read "FOR sale by owner (FSBO)" for more details. Kelly Ivy, Assistant Vice President and Senior Escrow Officer for Chicago Title in Houston, Texas, received a phone call from a buyer who stated she was purchasing a property for all cash and wanted to close with Chicago Title. The woman explained there were no real IN THIS ISSUE FORGERY using an electronic signature Share Fraud Insights via email, mail or word of mouth. Identity theft is rampant and protecting our customers' non-public information has become more critical than ever. A seller must provide the settlement agent with their U.S. T.I.N. or Social Security Number to report the sale to the IRS. The IRS guidelines state, "The transferor is required to furnish his or her TIN and to certify that the TIN is correct." So what happens when a seller refuses to provide their U.S. T.I.N.? Does this put a stop to the transaction? Read "REFUSING to provide a T.I.N." to find out. volume 11 issue 11 November 2016 www.fnf.com Publisher Fidelity National Financial Editor Lisa A. Tyler National Escrow Administrator firstname.lastname@example.org or 949.622.4425 volume 11 issue 11 FORGERY using an electronic signature Marilyn Olliver, Division Manager, Vice President of North American Title Company, was covering the desk of a manager out on a much deserved vacation. One of the files she worked on was a sale where the buyer obtained a FHA insured loan. The seller was out of state and had already signed all of their closing documents, and provided written and signed Disbursement Authorization Instructions for the proceeds from the sale. The buyer's loan documents came in. The buyer signed off on the loan documents and left for the bank to initiate a wire of their closing funds. Since the loan was a FHA insured loan a few of the documents required the seller's signature. An assistant at the office emailed the loan documents to the seller to sign. The seller emailed the assistant back stating she wanted to change the account where her proceeds would be wired. The body of the email included the new wiring instructions. The assistant replied with a blank copy of the Disbursement Authorization Instructions and asked the seller to complete them, then send them back with the other documents. Marilyn was copied on the email. She noticed the account name for the new bank account was a company name and not the seller's name. Marilyn notified the seller the proceeds must be wired to an account in her name individually. Something about the email bothered Marilyn so she reviewed it closer. close, but it was not the same. A fraudster was "spoofing" the seller's real email account. Marilyn picked up the phone and called the seller at a trusted phone number. She left her a voicemail and asked her to call regarding her closing so they could finalize everything. While Marilyn waited for the seller to call back, the fraudster sent in revised wire instructions and continually asked for confirmation the wire was sent. The seller returned Marilyn's call and confirmed she had not sent revised instructions. Marilyn explained it appeared fraudsters hacked her email. The seller was very grateful North American Title Company caught this and thus protected her $246,000 in proceeds. This story, however, did not end there because the fraudster did not let up. He again completed another Disbursement Authorization Instruction and signed it electronically in an attempt to divert the wire transfer. Furthermore, the fraudster electronically signed or forged the seller's signature on the loan documents Marilyn provided and returned them. The fraudster kept asking for confirmation the wire was sent. Marilyn replied requesting the fraudster call her. The fraudster replied he was in meetings all day but she could always reach him by email. She replied she would not be able to send the wire until he called her. He did not respond. Marilyn looked carefully at the email address comparing it to the one in the file and discovered the address was not the same. It was very Marilyn shared the emails with her corporate offices. Her corporate attorney then contacted the bank where the fraudster attempted to divert the proceeds. The attorney alerted them their account holder was up to no good. The bank's fraud department is investigating the account. [Continued on pg 3] November 2016 Marilyn sighed in relief. Thank goodness she took the time to trust her gut and review the email. She halted a large loss and a potential claim to the Company's errors and omissions insurance policy and saved the customer. and to pick up the phone and call your customers to insure that all instructions are correct instead of taking the easy route and emailing." In hindsight Marilyn realized how difficult it was to detect forged documents signed electronically since comparing to live signatures she had was impossible. Marilyn said, "It is so important for everyone to be aware of all the fraud schemes out there today, North American Title Company is a title agent for the FNF Family of Companies. National Escrow Administration completely agrees with Marilyn and thanks her for sharing her story. Although we have published many other articles in previous issues, this one features a new twist — the fraudster actually forging the seller's signature to other documents. Thank you Marilyn! FOR sale by owner (FSBO) Kelly Ivy, Assistant Vice President and Senior Escrow Officer for Chicago Title in Houston, Texas, opened the transaction in her production system and receipted in the earnest money. While processing the order Kelly noticed the buyer on her transaction previously owned this property. The buyer of the current transaction actually sold the same property to the current owner in 2012 for $69,000 cash. The new sales price was $160,000. Nothing else in the chain of title appeared out of the ordinary. directly to Chicago Title. The buyer said her bank was located in a foreign country, the same place as the seller. She further claimed, a competitor allowed her to proceed with this payment method and all Kelly needed to do was call the seller to verify the seller received the funds. The transaction progressed and the sellers notified Kelly they appointed an attorney-in-fact to sign their closing documents since they were out of the country. Kelly asked for the powers of attorney to be faxed to her for review and approval. Upon receipt she sent them to Bobbye Harris in the Underwriting Department for review. Bobbye was unable to clearly view the authentication seals, so she asked for the originals. A few days later a very pushy woman showed up at Kelly's office without an appointment and during the lunch hour to drop off the original powers of attorney. She refused to leave unless she spoke to someone and received a receipt for the original documents. The receptionist made a copy of the first page of each of the powers of attorney and then handwrote on the copies "Received by Chicago Title" and noted the date. Satisfied, the pushy woman left. The Underwriting Department approved the powers of attorney and Kelly prepared the closing statements. She sent them out to the principals for review. Additionally, to the buyer, Kelly included her wiring instructions and explained the closing funds must be in the form of a cashier's check or wire transfer. The buyer scheduled the signing appointment. The buyer arrived on time for the closing and brought a friend with her. Kelly began reviewing the closing documents with the buyer and asked her if she wired the closing funds. The buyer stated she had wired the full sales price to the seller directly and outside of escrow. Upon hearing this, Kelly excused herself from closing. She discussed the transaction with one of her colleagues and together they decided they could not proceed unless the buyer wired her closing funds directly to Chicago Title. Kelly returned to the closing and explained the seller needed to return the funds to the buyer. Then the buyer must send the funds Kelly explained she needed the funds in order to properly account for all charges and adjustments, and collect her fees. The earnest money was not enough to cover them. The buyer claimed she had previously discussed this exact proposition with Kelly on the phone. Kelly reminded her, their initial conversation only covered the facts the transaction was a cash sale and no real estate agents were involved. The buyer asked what else could be done. Kelly reiterated the funds had to be received by Chicago Title. The buyer said she would work with the seller to have the funds sent to her account in the U.S. and then forwarded to Chicago Title. As the buyer got up to leave, the buyer's friend asked Kelly a few questions. He asked how the funds would get to the sellers. Kelly explained they would be wired to the sellers or she would send them a check. He also wanted to know if she could simply cut the proceeds check to the attorney-in-fact instead of the actual seller. Kelly explained in great detail why proceeds must be paid to the sellers of record. He seemed satisfied with her explanation and left with his friend. After they left Kelly had a very bad feeling about the transaction. She called her title insurance underwriter to discuss the file further. Together, they agreed there were too many red flags to proceed: 1. The funds were not here in the U.S. They were in a foreign country. 2. Kelly never had direct contact with the seller. 3. The purchase price was being paid outside of escrow. 4. Kelly was asked to pay the sales proceeds to someone other than the seller. Kelly resigned as escrow holder from the transaction. The buyer begged her to close the transaction stating she would have the funds wired to Chicago Title. She even stated there was no need to re-prorate if the closing was delayed a day or two because this was a sale amongst friends. [Continued on pg 4] www.fnf.com [FOR sale by owner (FSBO) - continued] The attorney-in-fact for the seller showed up at the office demanding to talk with Kelly. Kelly asked her colleague to eavesdrop on the conversation so Kelly and Melissa Hull went to the lobby. Melissa made herself look busy while the attorney-in-fact questioned Kelly. The attorney-in-fact asked what was wrong with their powers of attorney and why she thought this was fraud. Kelly simply answered she never said either of those things. Instead, the Company was unwilling to insure the sale thus she resigned as escrow holder. Kelly listed off all the Companies which make up the FNTG Family and instructed them to take their transaction elsewhere. The buyer stated, "That is all the title companies in town, who else is left?" Kelly recommended they contact a real estate attorney to assist them. The attorney-in-fact said her sister should be able to help and left. The attorney-in-fact returned for the original powers of attorney. The branch manager had her sign a receipt for the originals. Kelly reviewed the documents in the 2012 file and discovered the signatures on the powers of attorney did not match the buyer's signatures in that file. Kelly was relieved she did not close the transaction. MORAL OF THE STORY Anytime a transaction is closed where a power of attorney is used the Company faces increased risk. As soon as the settlement agent becomes aware a principal has appointed an attorney-in-fact they should: * Send a copy of the power of attorney to the title officer or underwriting department for review. * Ask if the attorney-in-fact possesses the original power of attorney. * Make contact with the principal to confirm the power of attorney has not been revoked and the principal is aware of the terms of the transaction. * If the principal cannot be contacted, find out why and evaluate (deployed military, in nursing home, deceased, etc.). * Verify with the principal, they executed the power of attorney of their own free will. * Never accept disbursement instructions from an attorney-in-fact diverting proceeds away from the principal. Although Kelly was in receipt of the original power of attorney and they were in proper form to receive approval from the underwriting department, she did not ignore the other red flags. As a result she was rewarded $1,500. Way to go Kelly! REFUSING to provide a T.I.N. What happens when a seller refuses to provide their U.S. T.I.N.? Does this put a stop to the transaction? The short answer is, "No." When a seller refuses to provide their U.S. T.I.N., it does not put an abrupt stop to the transaction. agents should send them a copy of the Refusal Notice and the completed Substitute 1099-S indicating Seller refused to provide a U.S. T.I.N. to email@example.com. Luckily for the buyer, settlement agents can proceed with the closing. The settlement agent still must file the 1099-S. It is filed without a U.S. T.I.N. by informing the IRS, "Seller refused to provide a Taxpayer Identification Number." A settlement agent's obligation is merely to solicit the seller's U.S. T.I.N. If the seller refuses, the file should be documented and the 1099-S should be filed anyway. When the seller refuses to provide their U.S. T.I.N., settlement agents should provide the seller with written notice of their obligation to provide their U.S. T.I.N. and notification the 1099-S will be reported to the IRS indicating their refusal to provide a U.S. T.I.N. A copy of the notice should be maintained in the file. The 1099-S will have to be filed manually. This is done through the National 1099 Department for FNTG direct operations. Settlement Settlement agents can proceed with the transaction without the threat of a fine by the IRS and the seller can deal with the IRS later as to why they refused to cooperate. www.fnf.com
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News about events and exhibits at Discovery Center Museum in Rockford, IL INSIDE: 2 Exhibit news New art exploration for young children Birthday parties Summer fun gallery 3 Fall Events 4 Tot Spot Classes 5 Homeschool Classes Bubble magician to bring magic and science to Discovery Center humble soap bubble! During his shows, Ben demonstrates bubble stunts, shares cool bubble science facts and gets the audience involved in creating amazing feats with the soapy spheres! Enjoy a sudsy day of fusing art and science with a touch of joyful magic! Bubble celebrity Ben Jimenez will amaze people of all ages with his amazing interactive exploration of what can be done with the After his show, pop over to the Bubble-Palooza Playground to practice your own bubbly tricks as you test your soapy skills with bubble art and science activities. Shows are approximately 30 minutes. Morning shows (10:00 and 11:00 am) are geared toward all ages, with more science content in the 1:00 and 2:00 pm afternoon shows. $3 Members; $5 Public (Museum admission extra); free to children ages 1 and younger. Purchase tickets online at DiscoveryCenterMuseum.org or call 815-963-6769. Fall 2022 1 discoverycentermuseum.org 6 Scout badge workshops Summer interns provide great support! Beyond museum walls Mobile Maker Space on the move this summer! 7 Donations needed! Fun for Everyone 8 New at the gift shop Exhibit news As you explore Discovery Center, you will see lots of changes with more to come! Coming up this fall and winter: * New fun matching activity in Discovery Park * New exhibit on our first floor that features a fun way to learn about the viscosity of liquids * New nutrition and genetics exhibits in the Body Shop … and coming in early 2023: * New, permanent Makerspace in the museum! New art exploration for young children Summer fun Family Encourage your young child's interest in art with special projects in the Art Studio each month. Our new "Mini Monets" drop in program will explore a different art medium each month – watercolors, tempera paint, clay, and more. The program is for children ages 2-6, along with their grownups, and will occur from 10-11:30 am on the following dates: Sept. 14, Oct. 12, Nov. 9 and Dec. 7. No registration needed, and cost is included with museum admission. Family Fridays: Pixel Playground Fridays: Family Superheros Unite Family Fridays: Fairy Tale Friday Fridays: We have birthday parties down to a science! Our fun-filled hassle-free parties are $350 ($100 deposit) for up to 20 people. This includes admission into the museum as well as use of our private Discovery Room. We're currently offering parties on Saturdays and Sundays from 10–Noon or 1–3:00 pm. Members receive a 10% discount. Please check our website for more details. Fred Friends and Countdown to Kindergarten Fall 2022 2 discoverycentermuseum.org Teacher workshops Fall Events All events included with museum admission unless otherwise noted: $10 Public and free to Members and children age 1 and younger. Saturday, September 10 Bubble Festival Enjoy a sudsy day of fusing art and science with a 10:00 am, 11:00 am, 1:00 pm, 2:00 pm Saturday, October 8 Junior Scientists 10:00–2:00 pm touch of joyful magic! Bubble celebrity Ben Jimenez will amaze people of all ages with his 30-minute bubble show as he showcases bubble $3 Members; $5 Public (Museum admission extra) stunts, shares cool bubble science facts and gets the audience involved. After his show, pop over to the Bubble-Palooza Playground to practice your own bubbly tricks as you test your soapy skills with bubble art and science activities. Morning shows are geared more toward preschoolers, with more science content in the afternoon shows. Grandparents' Day Celebrate and honor grandma and grandpa on their special day. Roll up your sleeves and get to work creating a keepsake in our Art Studio your grandparents will adore! FREE Grandparent with each paid grandchild; Members and children Sunday, September 11 9:30 am–4:30 pm ages 1 and younger are free. Sunday, September 25 the science and stories of local STEM professionals. Solve STEM challenges, enjoy science demonstrations, and catch a planetarium show at this event dedicated to inspiring young people to consider where their curiosities might take them! Science, Technology, Engineering and Math take center stage on this day devoted to connecting the next generation of potential and aspiring scientists to Sponsored by Thermo Fisher Scientific. Friday, October 28 Spooky Science 6:00–9:00 pm (5–6 pm Fun for Everyone) Come in dressed in your Halloween best for this not-so-scary day of spooktacular hijinks at Discovery Center! Explore the museum and follow the map to find goodies galore from one exhibit to the next! Concoct gooey, glowing, globs of slime, create themed make-and-take projects, and engage in science activities $11 Public; $3 Members; free to children ages 1 and younger. Sponsored by: Fall 2022 11:00 am–2:00 pm Bring your jack-o-lantern for pumpkin-smashing hijinks at Discovery Center. Explore ways to launch, crack, split and smash your pumpkin using the power of simple machine science like levers and pulleys. Used jack-o-lanterns will become parking lot projectiles when catapulted from our giant trebuchet. When the launching ends, pumpkin pieces will be collected and fed to local livestock. For extra fun, build your own mini catapult, play pumpkin games and craft fall creations. Sunday, November 6 Smashing Pumpkins Sponsored by Sjostrom & Sons. December 17-23 & 26-31 Winter Wonderland 10:00 am–3:00 pm that look like mystifying magic! It will be skeletons of fun! Don't forget, all you daddies and mummies, you can come dressed up too! Sponsored by Aetna and Sjostrom & Sons. Enjoy winter adventures without the cold! Test your skating skills at our new indoor Sock Skating Rink! No ice, no shoes, just slipsliding fun with friends on this high-tech synthetic polymer surface. After a few spins around the rink, enjoy creating holiday crafts based on cultures around the world. Friday, December 31 Countdown to Fun Can't stay up 'til midnight? 12:00–4:00 pm We've got you covered! somewhere, and It's midnight – Discovery Center and excitement has all the fun of midnight with Times Square –style ball countdowns and and confetti drops every create a noisemaker, and more. hour! Fabricate a party hat, Don't miss this family tradition as you ring in the New Year! 3 discoverycentermuseum.org Astronomy Day 12:00–4:00 pm Science is looking up as Discovery Center celebrates National Astronomy Day. Enjoy a free planetarium show, design a Mars rover, create Moon art, learn about telescopes with the Rockford Amateur Astronomers Club, and enjoy space-related demonstrations as well as a short presentation by local NASA ambassador "Space Case Sarah" as she discusses NASA's plans to send humans to the Moon and Mars. Sponsored by Aetna. Tot Spot Classes Cost: $12 public/ $10 members (per child, per class). Financial assistance is available (50% rate with EBT, WIC or SNAP and ID). In our classes for 2-year-olds, children must be accompanied by an adult. At this time, we are limiting the number of people in the room for Tot Spot classes (ages 3 – 6) so parents are requested to wait outside and not accompany their child into the Tot Spot classroom. Registration: Preregistration required; payment must accompany registration. Register online at www.discoverycentermuseum.org/education/ classes or call (815) 963-6769. Buggin' Out Buzz on in to explore different types of insects! Go on a bug hunt, sing some bug songs, learn how bugs eat, and create your own insect to fly home with you. Not So Spooky Chemistry Join us for skele-tons of messy fun as we explore Halloween chemistry! Mix up glowing slime, make a pumpkin erupt, and construct your own monster to take home. Sessions for 3- to 6-year-olds: Session 2 Wed., Sept. 7; 9:30 – 10:30 a.m. Session 1 Tues., Sept. 6; 11:00 a.m. – Noon Session 3 Wed., Sept. 7; 11:00 a.m. – Noon Session 5 Thurs., Sept. 8; 11:00 - Noon Session 4 Wed., Sept. 7; 1:00 – 2:00 p.m. Session 6 Fri., Sept. 9; 11:00 a.m.- Noon Session 7 Sat., Sept 10; 9:30-10:30 a.m. Sessions for 2-year-olds: Session 8 Tues., Sept. 6; 9:30 – 10:30 a.m. (With an adult, NO siblings, please.) Session 9 Thurs., Sept. 8; 9:30 – 10:30 a.m. Session 10 Fri., Sept 9; 9:30-10:30 a.m. Be a Maker Join us for a day of imagination and creation as we discover what it takes to make! Create messy art as a group, practice using real tools, read a story about making, and construct something that can roll. What will you make? Sessions for 3- to 6-year-olds: Session 2 Wed., Sept. 21; 9:30 – 10:30 a.m. Session 1 Tues., Sept. 20; 11:00 a.m. – Noon Session 3 Wed., Sept. 21; 11:00 a.m. – Noon Session 5 Thurs., Sept. 22; 11:00 - Noon Session 4 Wed., Sept. 21; 1:00 – 2:00 p.m. Session 6 Fri., Sept. 23; 11:00 a.m.- Noon Session 7 Sat., Sept 24; 9:30-10:30 a.m. Sessions for 2-year-olds: Session 8 Tues., Sept. 20; 9:30 – 10:30 a.m. (With an adult, NO siblings, please.) Session 9 Thurs., Sept. 22; 9:30 – 10:30 a.m. Session 10 Fri., Sept 23; 9:30-10:30 a.m. Math, Math Everywhere Math is all around us! Discover the ways we use math as we practice counting, measure as we scoop and pour, create patterns, and build pizzas to sell in our pretend play pizza shop. Sessions for 3- to 6-year-olds: Session 2 Wed., Oct. 5; 9:30 – 10:30 a.m. Session 1 Tues., Oct. 4; 11:00 a.m. – Noon Session 3 Wed., Oct. 5; 11:00 a.m. – Noon Session 5 Thurs., Oct. 6; 11:00 - Noon Session 4 Wed., Oct. 5; 1:00 – 2:00 p.m. Session 6 Fri., Oct. 7; 11:00 a.m.- Noon Session 7 Sat., Oct. 8; 9:30 – 10:30 a.m. Sessions for 2-year-olds: Session 8 Tues., Oct. 4; 9:30 – 10:30 a.m. (With an adult, NO siblings, please.) Session 9 Thurs., Oct. 6; 9:30 – 10:30 a.m. Session 10 Fri., Oct. 7; 9:30-10:30 a.m. Under the Sea Sessions for 3- to 6-year-olds: Dive in and splash around as we discover what lives under the sea! Catch fish hiding in the water, learn about the ocean, see how you measure up to a shark, and create your own sea creatures to take home. Session 1 Tues., Oct. 18; 11:00 a.m. – Noon Session 3 Wed., Oct. 19; 11:00 a.m. – Noon Session 2 Wed., Oct. 19; 9:30 – 10:30 a.m. Session 4 Wed., Oct. 19; 1:00 – 2:00 p.m. Session 6 Fri., Oct. 21; 11:00 a.m.- Noon Session 5 Thurs., Oct. 20; 11:00 - Noon Session 7 Sat., Oct. 22; 9:30 – 10:30 a.m. Sessions for 2-year-olds: (With an adult, NO siblings, please.) Session 8 Tues., Oct. 18; 9:30 – 10:30 a.m. Session 9 Thurs., Oct. 20; 9:30 – 10:30 a.m. Session 10 Fri., Oct. 21; 9:30-10:30 a.m. Ready, Set, Go Rev those engines and zoom in to explore all things that go! Learn about different types of transportation as we explore cars and ramps, construct something that can fly, and race boats across water. Sessions for 3- to 6-year-olds: Session 2 Wed., Nov. 2; 9:30 – 10:30 a.m. Session 1 Tues., Nov. 1; 11:00 a.m. – Noon Session 3 Wed., Nov. 2; 11:00 a.m. – Noon Session 5 Thurs., Nov. 3; 11:00 - Noon Session 4 Wed., Nov. 2; 1:00 – 2:00 p.m. Session 6 Fri., Nov. 4; 11:00 a.m.- Noon Sessions for 2-year-olds: Session 7 Tues., Nov. 1; 9:30 – 10:30 a.m. (With an adult, NO siblings, please.) Session 8 Thurs., Nov. 3; 9:30 – 10:30 a.m. Session 9 Fri., Nov. 4; 9:30-10:30 a.m. Build It How high can you stack a cup tower? How strong can you build a bridge? Explore engineering and learn about the building process as we use lots of different materials to construct and create towers, castles, and more. Sessions for 3- to 6-year-olds: Session 2 Wed., Nov. 16; 9:30 – 10:30 a.m. Session 1 Tues., Nov. 15; 11:00 a.m. – Noon Session 3 Wed., Nov. 16; 11:00 a.m. – Noon Session 5 Thurs., Nov. 17; 11:00 - Noon Session 4 Wed., Nov. 16; 1:00 – 2:00 p.m. Session 6 Fri., Nov. 18; 11:00 a.m.- Noon Session 7 Sat., Nov. 19; 9:30-10:30 a.m. Sessions for 2-year-olds: (With an adult, NO siblings, please.) Session 8 Tues., Nov. 15; 9:30 – 10:30 a.m. Session 9 Thurs., Nov. 17; 9:30 – 10:30 a.m. Session 10 Fri., Nov. 18; 9:30-10:30 a.m. Sessions for 3- to 6-year-olds: Session 2 Wed., Nov. 30; 9:30 – 10:30 a.m. Session 1 Tues., Nov. 29; 11:00 a.m. – Noon Session 3 Wed., Nov. 30; 11:00 a.m. – Noon Session 5 Thurs., Dec. 1; 11:00 - Noon Session 4 Wed., Nov. 30; 1:00 – 2:00 p.m. Session 6 Fri., Dec. 2; 19:00 a.m.- Noon Session 7 Sat., Dec. 3; 9:30-10:30 a.m. Sessions for 2-year-olds: Session 8 Tues., Nov. 29; 9:30 – 10:30 a.m. (With an adult, NO siblings, please.) Session 9 Thurs., Dec. 1; 9:30 – 10:30 a.m. Session 10 Fri., Dec. 2; 9:30-10:30 a.m. Pajama Party It's party time! Come in your jammies to hear cozy stories, explore light and dark with flashlights, and design your own paper pajamas to take home. Sessions for 3- to 6-year-olds: Session 2 Wed., Dec. 14; 9:30 – 10:30 a.m. Session 1 Tues., Dec. 13; 11:00 a.m. – Noon Session 3 Wed., Dec. 14; 11:00 a.m. – Noon Session 5 Thurs., Dec. 15; 11:00 - Noon Session 4 Wed., Dec. 14; 1:00 – 2:00 p.m. Session 6 Fri., Dec. 16; 11:00 a.m.- Noon Session 7 Sat., Dec. 17; 9:30-10:30 a.m. Sessions for 2-year-olds: Session 8 Tues., Dec. 13; 9:30 – 10:30 a.m. (With an adult, NO siblings, please.) Session 9 Thurs., Dec. 15; 9:30 – 10:30 a.m. Session 10 Fri., Dec. 16; 9:30-10:30 a.m. Toddler Time is held from Being one is FUN! Take advantage of this playgroup designed for children ages 12 months to 24 months as we sing songs, read stories and explore interesting materials while meeting new friends! Toddler Time winter on one Tuesday and Thursday 9:30 – 10:30 am this fall/ each month. Choose from these 13, Nov. 8, Nov. 10, Dec. 6, and Dec. 8 dates: Sept. 13, Sept. 15, Oct. 11, Oct. Enrollment is limited to 6 families. . The class costs $6.00 per child for public, and advance registration is members and $8.00 child for the required. To register, follow the link under Toddler Time meets in the Tot Spot classroom the Education button or call 815-963-6769. (main floor, east end of the building). discoverycentermuseum.org Fall 2022 4 Homeschool Classes 7 and older Dates/Times: Choose a date that works for you! Tuesday from 10:00–11:30 or Thursday from either 10:00–11:30 or 12:30–2:00 pm. Ages: Cost:$12 Members / $14 Non-members per child per class. Financial assistance is available (50% rate with EBT, WIC or SNAP and ID). Advance registration required. Payment must accompany registration. Registration deadline for Homeschool Classes is the Monday prior to the week of class. Register for classes on our website or by calling 815-963-6769. Eye'm Loving It September 6 or 8 November 1 or 3 Let's Put a Spin on It I spy with my little eye... a class all about the eyeball! How do our eyes work? Do animals see the same as people? What does an eye look like on the inside? This class will explore these questions and more as we take a look at one of our most amazing organs, the eyeball! This class will involve dissection of animal eyeballs. Not for the squeamish. Roller Coaster Physics Strap in and hold on to your seats… it's about to be a bumpy ride! Learn the difference between kinetic and potential energy as we design and create roller coasters. Why don't roller coasters fall off during a loop-the-loop? How fast is too fast? Does the weather affect roller coasters? Answer these questions and more in this thrilling class. September 20 or 22 Algorithm Magic Tricks October 4 or 6 Alakazam! Use the power of algorithms to amaze and astound just like a magician! Learn how a few simple math tricks can make you unbeatable at tic-tac-toe, read your friends' minds with a special algorithm game, and discover where algorithms are used everyday in the world around us. Ghostly Goo and Spooky Stuff Bubble, bubble, squish and squeeze, this chemistry class is sure to please! Listen to screaming dry ice, make glow in the dark goo, and create spooky flying ghosts. It's no tricks and all treats with this exciting class! October 18 or 20 Why does a bike stay upright? What keeps a spinning top from falling down? How does a spinning ice skater keep themselves from losing their lunch? Don't get dizzy in this class all about the science of spinning! Robo-Engineering Have you ever wondered what makes a robot work? Have you ever wanted to design your own robot? If the answer is "yes," then we've got the droids you're looking for! Come join us for an introduction to robotics. November 15 or 17 Energized World From bugs, to people, to cars, to trees, it all starts with one thing... energy! Learn where energy comes from and how we use it as we take a look at the energy cycle. Learn about different types of energy and see it in action. November 29 or December 1 Black Holes Blast off with Discovery Center Museum as we launch into space and investigate black holes! What does a black hole look like? How heavy is a black hole? What is spaghettification? Learn the answers to these questions and more as we explore the science behind black holes. December 13 or 15 Fall 2022 5 discoverycentermuseum.org Scout badge workshops at Discovery Center At Discovery Center, scouts play, learn … and earn badges! A range of hands-on badge workshops, led by Museum educators, has been created specifically for scouts. Every one of our programs incorporates hands-on, experiential learning activities with real life skills. Join us for joyful learning while working toward badge requirements! Workshop topics for girl scouts and boy scouts include: Forensics, Space, Robotics, Engineering, Climate and Weather, Chemistry and Air and Flight. In addition, Spa Science is available for girl scouts. For more details, go to our website or email LeeAnn Gill at email@example.com. Olivia Dencker Tashawn Harmon Summer interns provide great support! Thanks to a grant from the Illinois Arts Council Agency and its Youth Employment in the Arts project, Discovery Center was fortunate to hire three local youth to be interns this summer. These recent high school graduates helped plan, prepare and execute all our Family Fridays. They also assisted in our Art Studio and special activities in our Discovery Outdoor Park. You may also have seen them at community events in the region. Our sincere thanks to Olivia Dencker, Tashawn Harmon, and Finch Rathbun. We were also fortunate to have a college intern this summer. Karna Patel served as a marketing assistant producing social media posts, taking photos, and compiling Google analytics reports. All the interns did a fantastic job and we are grateful for their enthusiasm and hard work this summer. We wish them luck in their future endeavors! Beyond museum walls Mobile Makerspace on the move this summer! miles bringing Discovery Center staffers were on the road all summer bringing science play to people all over the region. We provided hands-on science activities to local venues including Rockford City Market, the City of Rockford's Neighborhood Improvement block parties, and National Night Out. We also racked up the Rockford City Market interactive science activities to libraries, camps, and daycares all over northern Illinois and southern Wisconsin to highlight summer reading programs. National Night Out Fall 2022 This summer, Discovery Center's new Mobile Makerspace put lots of miles on its tires! The Mobile Makerspace provides children the opportunity to explore engineering ideas and then design, tinker and invent something using supplied tools and materials. Discovery Center took the Mobile Makerspace to a variety of places including the Boys & Girls Club (see photos). We also were a daily fixture at area Rockford Park District playgrounds thanks to support from the RPS 205's Live, Learn, Play program. discoverycentermuseum.org 6 Fun for Everyone opportunity for children with Fun for Everyone is a fantastic developmental differences and their immediate families to get Discovery Center all to themselvesFREE of charge! These special sessions include expanded museum exploration time as well as hands-on science fun in a sensory-friendly environment. Reservations required. To register and be added to the Fun for Everyone email list, email firstname.lastname@example.org Fall dates: Saturday, September 10; 9:00 am Enjoy a special bubble show at 9:00 am by bubble-celebrity Ben Jimenez! Following the show enjoy the Bubble-Palooza Playground or stay and play in the museum during public hours. Friday, October 28; 5–6:00 pm Come in costume and participate in Spooky Science activities! The museum will be open to the public from 6:00-9:00 pm, so feel free to stay and play! Wednesday, November 16; 5:30–7:30 pm Enjoy open play in the museum. Fun for Everyone events made possible thanks to support from: Donations needed! In order to have a steady supply of materials for use in our Mobile Makerspace and upcoming new permanent Makerspace in 2023, we need your help! Please consider donating any of the items below: * Used, small plastic toys: action figures, dolls, cars, trucks (no electronics, large toys, metal toys) * Prescription drug containers (clean, labels removed) * Buttons * Wood- soft pine, not treated (no treated lumber plywood or hardwood) * Thread or wire spools * Screw-on beverage caps (no bottles, just caps) * Game pieces * Dice INFORMATION: Summer Hours Tuesday–Sunday: 9:30 am–4:30 pm Admission Adult/Child: $10 Children age 1 and younger and Members: FREE! Contact Us Phone: (815) 963-6769 Website: discoverycentermuseum.org * Film canisters * Artificial Christmas trees Please ensure all items are washed, rinsed and safe for children. Donations can be dropped off at our admission desk Tuesday – Sunday from 9:30 am - 4:30 pm. This will be a ongoing need, so please keep saving and donating! Staff Membership CLIMB SuperPass: $190/year Family SuperPass: $135/year Family Membership: $100/year; $190/2 years Grandparent Membership: $100/year; $190/2 years Caregiver Membership: $30/year Group Rates Discounted group rates are available for tours, classes, museum rentals, and birthday parties. Reservations required. Our Mission Create opportunities for playful learning and discovery through hands-on experiences in the sciences and arts. Fall 2022 7 COVID Policies Masks are encouraged but not required. We respect and ask others to respect the choice of guests who choose to continue wearing a mask. discoverycentermuseum.org At Riverfront Museum Park 711 North Main Street Rockford, IL 61103 815.963.6769 www.discoverycentermuseum.org Address Service Requested New items always being added to gift shop Pin with us! educational items for all ages. We carry unique items from Ty, Klutz, Melissa & Doug, Jelly Cat, and Green Toys. Be sure to check out our fun at-home science experiments and our STEM Make sure to stop by our Discoveries to Go gift shop on your next visit. We feature unique toys, games and challenge toys! Members receive 10% off any gift shop purchase. The gift shop is open Tuesdays – Sundays from 9:30 am to 4:30 pm. Fall 2022 Non-Profit Org. U.S. Postage P A I D Rockford, IL Permit No. 1011 Discovery Center is on Facebook Check us out and "like" us today! Discovery Center has lots of great ideas on Pinterest on subjects such as STEM activities; science activities for kids; holiday crafts and experiments; science books for kids, and more. We're on Instagram! @DiscoveryCenterMuseum We tweet! Follow @DiscovCenMuseum now! # Discovery Center Museum discoverycentermuseum.org 082922 11.5m 8
evelyn douek ASSISTANT PROFESSOR OF LAW · STANFORD LAW SCHOOL ACADEMIC EMPLOYMENT STANFORD LAW SCHOOL Assistant Professor of Law, 2022– KNIGHT FIRST AMENDMENT INSTITUTE AT COLUMBIA UNIVERSITY Senior Research Fellow, 2021– HARVARD LAW SCHOOL Lecturer on Law, 2021–20 EDUCATION HARVARD LAW SCHOOL Doctor of Juridical Science (SJD), 2022 Master of Laws (LLM), 2017 UNIVERSITY OF NEW SOUTH WALES Bachelor of Commerce/ Bachelor of Law (BComm/LLB), first class honors, 2013 UNSW Law Journal, executive editor (editor-in-chief) UNSW Council (university's governing body), elected student representative CLERKSHIP HIGH COURT OF AUSTRALIA Associate (Clerk) to the Hon then-Justice (now Chief Justice) Susan Kiefel AC, 2015–16 FELLOWSHIPS & AFFILIATIONS BERKMAN KLEIN CENTER FOR INTERNET & SOCIETY AT HARVARD UNIVERSITY Affiliate, 2019– JOURNAL OF ONLINE TRUST AND SAFETY Editorial Board, 2021– PROFESSIONAL EXPERIENCE CORRS CHAMBERS WESTGARTH Litigator, 2016 HERBERT SMITH FREEHILLS Litigator & banking lawyer, 2014 Summer clerk, 2011–12 VOICELESS (animal rights non-profit) Legal intern, 2011 LEXISNEXIS Editorial assistant, 2010–11 email@example.com +1 617 800 7584 ADMISSIONS TO PRACTICE High Court of Australia, admitted on 18 March 2016 Supreme Court of New South Wales, admitted on 5 December 2014 PUBLICATIONS LAW REVIEW ARTICLES Content Moderation as Systems Thinking, 136 HARV. L. REV. (forthcoming 2022) Governing Online Speech: From "Posts-As-Trumps" to Proportionality and Probability, 121 COLUM. L. REV. 759 (2021) The Limits of International Law in Content Moderation, 6 UCI J. INT'L TRAN'L & COMP. L. 37 (2021) (invited symposium contribution) Australia's 'Abhorrent Violent Material' Law: Shouting 'Nerd Harder' and Drowning Out Speech, 94 AUS. L.J. 41 (2020) Facebook's 'Oversight Board:' Move Fast with Stable Infrastructure and Humility, 21 N.C. J.L. & TECH. 1 (2019) All Out of Proportion: The Ongoing Disagreement about Structured Proportionality in Australia, 47 FED. L. REV. 551 (2019) OTHER ACADEMIC PUBLICATIONS First Amendment Politics Gets Weird: Public and Private Platform Reform and the Breakdown of the Laissez-Faire Free Speech Consensus, U. CHI. L.REV. ONLINE (June, 2022) (with Genevieve Lakier) The Siren Call of Content Moderation Formalism, in NEW TECHNOLOGIES OF COMMUNICATION AND THE FIRST AMENDMENT: THE INTERNET, SOCIAL MEDIA AND CENSORSHIP (Lee Bollinger & Geoffrey Stone eds., forthcoming 2022) The Accidental Origins, Underappreciated Limits & Enduring Promises of Transparency Reporting about Information Operations, 1 J. ONLINE TRUST & SAFETY (2021) (with Camille François) "What Kind of Oversight Board Have You Given Us?", U. CHI. L.REV. ONLINE (May, 2020) Cited by the Supreme Court of Israel in HCJ 7846/19 Adalah -The Legal Center for Arab Minority Rights in Israel v. Israeli State Attorney – Cyber Unit (2021) The Free Speech Blind Spot: Foreign Election Interference on Social Media, in Defending Democracies: Combating Foreign Election Interference in a Digital Age (Duncan B. Hollis & Jens David Ohlin eds., Oxford University Press, 2021) The Rise of Content Cartels, KNIGHT FIRST AMENDMENT INSTITUTE AT COLUMBIA UNIVERSITY (2020) Verified Accountability: Self-Regulation of Content Moderation as an Answer to the Special Problems of Speech Regulation, HOOVER AEGIS PAPER SERIES NO. 1903 (2019) BLOG POSTS Rereading the First Amendment Series, KNIGHT FIRST AMENDMENT INSTITUTE AT COLUMBIA UNIVERSITY Introduction (May 18, 2022) Rereading Alvarez (May 18, 2022) Rereading Herbert v. Lando (May 26, 2022) Rereading Bluman v. Federal Election Commission (June 23, 2022) Rereading Schenck v. United States (July 7, 2022) Facebook's Responses in the Trump Case Are Better Than a Kick in the Teeth, but Not Much, LAWFARE (Jun. 4, 2021) It's Not Over. The Oversight Board's Trump Decision is Just the Start., LAWFARE (May 5, 2021) The Oversight Board Moment You Should've Been Waiting For: Facebook Responds to the First Set of Decisions, LAWFARE (Feb. 26, 2021) The Facebook Oversight Board's First Decisions: Ambitious, and Perhaps Impractical, LAWFARE (Jan. 28, 2021) Facebook Has Referred Trump's Suspension to Its Oversight Board. Now What?, LAWFARE (Jan. 21, 2021) The Facebook Oversight Board Should Review Trump's Suspension, LAWFARE(Jan. 11, 2021) Twitter Brings Down the Banhammer on QAnon, LAWFARE (Jul. 24, 2020) COVID-19 and Social Media Content Moderation, LAWFARE (Mar. 25, 2020) Facebook's White Paper on the Future of Online Content Regulation: Hard Questions for Lawmakers, LAWFARE (Feb. 18, 2020) Members of the House Are on Notice: No Tweeting Deepfakes (Jan. 30, 2020), LAWFARE (with Quinta Jurecic and Jacob Schulz) Facebook's Oversight Board Bylaws: For Once, Moving Slowly, LAWFARE (Jan. 28, 2020) New U.N. Report on Online Hate Speech, LAWFARE (Oct. 25, 2019) How Much Power Did Facebook Give Its Oversight Board?, LAWFARE (Sep. 25, 2019) Why Facebook's "Values" Update Matters, LAWFARE (Sep. 16, 2019) Facebook Releases Civil Rights Audit Progress Report, LAWFARE (Jul. 1, 2019) YouTube's Bad Week and the Limitations of Laboratories of Online Governance, LAWFARE (Jun. 11, 2019) Two Calls for Tech Regulation: The French Government Report and the Christchurch Call, LAWFARE (May 18, 2019) Australia's New Social Media Law Is a Mess, LAWFARE (Apr. 10, 2019) Facebook's 'Draft Charter' for Content Moderation: Vague, But Promising, LAWFARE (Jan. 31, 2019) Facebook's New 'Supreme Court' Could Revolutionize Online Speech, LAWFARE (Nov. 19, 2018) Facebook's Role in Myanmar: New Report Puts the Company on Notice, LAWFARE (Nov. 7, 2018) Facebook's Role in the Genocide in Myanmar: New Reporting Complicates the Narrative, LAWFARE (Oct. 22, 2018) Senate Hearing on Social Media and Foreign Influence Operations: Progress, But There's A Long Way to Go, LAWFARE (Sep. 6, 2018) Transatlantic Techlash Continues as U.K. and U.S. Lawmakers Release Proposals for Regulation, LAWFARE (Aug. 8, 2018) What's in Australia's New Laws on Foreign Interference in Domestic Politics, LAWFARE (Jul. 11, 2018) U.N. Special Rapporteur's Latest Report on Online Content Regulation Calls for 'Human Rights by Default', LAWFARE (Jun. 6, 2018) European Commission Communication on Disinformation Eschews Regulation. For Now. , LAWFARE (May 2, 2018) Why Were Members of Congress Asking Mark Zuckerberg About Myanmar? A Primer. , LAWFARE (Apr. 26, 2018) Zuckerberg's New Hate Speech Plan: Out With the Court and In With the Code, LAWFARE (Apr. 14, 2018) The Supreme Court of Facebook: Mark Zuckerberg Floats a Governance Structure for Online Speech, LAWFARE (Apr. 5, 2018) EU Expert Group on Fake News Releases Final Report, LAWFARE (Mar. 14, 2018) Facebook's Policies Pressed From All Sides as Europe Cracks Down, LAWFARE(Feb. 26, 2018) U.K. Committee Grills Big Tech on Fake News, LAWFARE (Feb. 13, 2018) Summary: Senate Foreign Relations Committee Russia Report, LAWFARE (Jan. 26, 2018) (with Ed Stein) Sen. Cardin's Russia Report Wants to Hold Social Media Companies Accountable, but Its Recommendation Falls Short, LAWFARE (Jan. 19, 2018) Congress' Grilling of Tech Companies in 2017 Foreshadows the Debates of 2018, LAWFARE (Jan. 11, 2018) The Future of Misinformation: A Lesson from 'Access Hollywood', LAWFARE (Dec. 7, 2017) The European Union Steps Up its Fight Against Fake News, LAWFARE (Nov. 14, 2017) Germany's Bold Gambit to Prevent Online Hate Crimes and Fake News Takes Effect, LAWFARE (Oct. 31, 2017) UK's New 'Internet Safety Strategy' Cracks Down on Online Danger, LAWFARE (Oct. 18, 2017) COMMENTARY Running Twitter Is Going to Disappoint Elon Musk, THE ATLANTIC (Apr. 26, 2022) 1 Billion TikTok Users Understand What Congress Doesn't, THE ATLANTIC (Oct. 10, 2021) More Content Moderation Is Not Always Better, WIRED (Jun. 2, 2021) Someone Has to Do It, THE ATLANTIC (May 6, 2021) What Facebook Did for Chauvin's Trial Should Happen All the Time, THE ATLANTIC (Apr. 21, 2021) Trump Is Banned. Who is Next?, THE ATLANTIC (Jan. 9, 2021) The Year That Changed the Internet, THE ATLANTIC (Dec. 28, 2020) Why Isn't Susan Wojcicki Getting Grilled by Congress?, WIRED (Nov. 17, 2020) What Does "Coordinated Inauthentic Behavior" Actually Mean?, SLATE (Jul. 2, 2020) Trump is a Problem Twitter Cannot Fix, THE ATLANTIC (May 27, 2020) The Internet's Titans Make a Power Grab, THE ATLANTIC (Apr. 18, 2020) Finally, Facebook Put Someone in Charge, THE ATLANTIC (Sep. 18, 2019) The Lawless Way to Disable 8chan, THE ATLANTIC (Aug. 6, 2019) Breaking Up Facebook Won't Fix Its Speech Problems, SLATE (May 10, 2019) PODCASTS Host, Views on First, KNIGHT FIRST AMENDMENT INSTITUTE AT COLUMBIA UNIVERSITY (forthcoming 2022) Co-host, Arbiters of Truth Podcast, LAWFARE (2019–22)
Type Package Title Association analysis of genomic regions based on permutation tests Version1.30.0 Date2018-08-14 AuthorAnna Diez-Villanueva<email@example.com>, Roberto Malinverni <firstname.lastname@example.org> and Bernat Gel <email@example.com> MaintainerBernat Gel<firstname.lastname@example.org> Description regioneR offers a statistical framework based on customizable permutation tests to assess the association between genomic region sets and other genomic features. LicenseArtistic-2.0 Depends GenomicRanges Imports memoise, GenomicRanges, IRanges, BSgenome, Biostrings, rtracklayer, parallel, graphics, stats, utils, methods, GenomeInfoDb, S4Vectors, tools SuggestsBiocStyle, knitr, rmarkdown, BSgenome.Hsapiens.UCSC.hg19.masked, testthat VignetteBuilder knitr EncodingUTF-8 biocViewsGenetics, ChIPSeq, DNASeq, MethylSeq, CopyNumberVariation NeedsCompilation no RoxygenNote7.1.2 git_url https://git.bioconductor.org/packages/regioneR git_branch RELEASE_3_16 git_last_commit 52f238d git_last_commit_date 2022-11-01 Date/Publication2023-01-27 Package 'regioneR' January 27, 2023 R topics documented: characterToBSGenome Description Given a character string with the "name" of a genome, it returns a BSgenome object if available. Usage Arguments Value A BSgenome object Note This function is memoised (cached) using the memoise package. To empty the cache, use forget(charecterToBSGenome) See Also getGenomeAndMask, maskFromBSGenome Examples Circular Randomize Regions Description Given a set of regions A and a genome, this function returns a new set of regions created by applying a random spin to each chromosome. Usage 3 ``` a character string uniquely identifying a BSgenome (e.g. "hg19", "mm10" are ok, but "hg" is not) ``` Arguments The set of regions to randomize. A region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) The reference genome to use. A valid genome object. Either a GenomicRanges or data.frame containing one region per whole chromosome or a character uniquely identifying a genome in BSgenome (e.g. "hg19", "mm10" but not "hg"). Internally it uses getGenomeAndMask. The set of regions specifying where a random region can not be (centromeres, repetitive regions, unmappable regions...). A region set in any of the accepted formats by toGRanges (GenomicRanges,data.frame, ...). If NULL it will try to derive a mask from the genome (currently only works is the genome is a character string) and if NA it will explicitly give an empty mask. ``` numeric value a boolean. ``` further arguments to be passed to or from methods. Details This randomization strategy is useful when the spatial relation between the regions in the RS is important and has to be conserved. Value It returns a GenomicRanges object with the regions resulting from the randomization process. See Also randomizeRegions, toDataframe, toGRanges, getGenome, getMask, getGenomeAndMask, characterToBSGenome maskFromBSGenome, resampleRegions, createRandomRegions Examples, Common Regions Description Returns the regions that are common in two region sets, its intersection. Usage Arguments ``` a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) ``` Value It returns a GenomicRanges object with the regions present in both region sets. Note All metadata (additional columns in the region set in addition to chromosome, start and end) will be ignored and not present in the returned region set. See Also plotRegions, toDataframe, toGRanges, subtractRegions, splitRegions, extendRegions, joinRegions, mergeRegions, overlapRegions Create Functions List Description Partially applies (the standard Curry function in functional programming) a list of arguments to a function and returns a list of preapplied functions. The result of this function is a list of functions suitable for the multiple evaluation functions in permTest. Usage Arguments Value It returns a list of functions with parameter param.value pre-set to values. Note It uses the code posted by "hadley" at http://stackoverﬂow.com/questions/6547219/how-to-bindfunction-arguments See Also ``` permTest, overlapPermTest ``` Create Random Regions Description Creates a set of random regions with a given mean size and standard deviation. Usage Arguments A boolean stating whether the random regions can overlap (FALSE) or not (TRUE). Details A set of nregions will be created and randomly placed over the genome. The lengths of the region set will follow a normal distribution with a mean size length.mean and a standard deviation length.sd. The new regions can be made explicitly non overlapping by setting non.overlapping to TRUE. A mask can be provided so no regions fall in a forbidden part of the genome. Value It returns a GenomicRanges object with the regions resulting from the randomization process. Note If the standard deviation of the length is large with respect to the mean, negative lengths might be created. These region lengths will be transfromed to into a 1 and so the, for large standard deviations the mean and sd of the lengths are not guaranteed to be the ones in the parameters. See Also getGenome, getMask, getGenomeAndMask, characterToBSGenome, maskFromBSGenome, randomizeRegions, Examples Empty Cache regioneR Description Empties the caches used by the memoised functions in the regioneR package. Usage Value The cache is emptied Extend Regions Description Extends the regions a number of bases at each end. Negative numbers will reduce the region instead of enlarging it. Usage Arguments ``` a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) an integer. The number of bases to be subtracted from the start of the region. an integer. The number of bases to be added at the end of the region. ``` Value a GenomicRanges object with the extended regions. Note If negative values are provided and the new extremes are "ﬂipped", the function will fail. It does not check if the extended regions ﬁt into the genome. See Also plotRegions, toDataframe, toGRanges, subtractRegions, splitRegions, overlapRegions, commonRegions, mergeRegions, joinRegions ﬁlterChromosomes Description Filters the chromosomes in a region set. It can either ﬁlter using a predeﬁned chromosome set (e.g. "autosomal chromosomes in Homo sapiens") or using a custom chromosome set (e.g. only chromosomes "chr22" and "chrX") Usage Arguments Value A GRanges object containing only the regions in the original region set belonging to the selected chromosomes. All regions in non selected chromosomes are removed. See Also ``` getGenomeAndMask, listChrTypes getChromosomesByOrganism ``` getChromosomesByOrganism Description Function to obtain a list of organisms with their canonical and (when applicable) the autosomal chromosome names. This function is not usually used by the end user directly but through the ﬁlterChromosomes function. Usage Value a list with the organism as keys and the list of available chromosome sets as values See Also getGenome, filterChromosomes Examples getGenome Description Function to obtain a genome Usage Arguments The genome object or genome identiﬁer. Details If genome is a BSgenome (from the package BioStrings), it will transform it into a GRanges with chromosomes and chromosome lengths. If genome is a data.frame with 3 columns, it will transform it into a GRanges. If genome is a data.frame with 2 columns, it will assume the ﬁrst is the chromosome, the second is the length of the chromosomes and will add 1 as start. If genome is a character string uniquely identifying a BSgenome installed in the system (e.g. "hg19", "mm10",... but not "hg"), it will create a genome based on the BSgenome object identiﬁed by the character string. If genome is a GRanges object, it will return it as is. If genome is non of the above, it will give a warning and try to transform it into a GRanges using toGRanges. This can be helpful if genome is a connection to a ﬁle. Value A GRanges object with the "genome" data c(Chromosome, Start (by default, 1), Chromosome Length) given a BSgenome, a genome name, a data.frame or a GRanges. A GRanges representing the genome with one region per chromosome. Note This function is memoised (cached) using the memoise package. To empty the cache, use forget(getGenome) Please note that passing this function the path to a ﬁle will not work, since it will assume the character is the identiﬁer of a genome. To read the genome from a ﬁle, please use getGenome(toGRanges("path/to/file")) See Also getMask, getGenomeAndMask, characterToBSGenome, maskFromBSGenome, emptyCacheRegioneR Examples getGenomeAndMask Description Function to obtain a valid genome and mask pair given a valid genome identiﬁer and optionally a mask. If the genome is not a BSgenome object or a character string uniquely identifying a BSgenome package installed, it will return the genome "as is". If a mask is provided, it will simply return it. Otherwise it will return the mask returned by getMask(genome) or an empty mask if genome is not a valid BSgenome or BSgenome identiﬁer. Usage Arguments the genome object or genome identiﬁer. the mask of the genome in a valid RS format (data.frame, GRanges, BED-like ﬁle...). If mask is NULL, it will try to get a mask from the genome. If mask is NA it will return an empty mask. (Default=NULL) Value A list with two elements: genome and mask. Genome and mask are GRanges objects. Note This function is memoised (cached) using the memoise package. To empty the cache, use forget(getGenomeAndMask) See Also getMask, getGenome, characterToBSGenome, maskFromBSGenome, emptyCacheRegioneR Examples getMask Description Function to obtain a mask given a genome available as a BSgenome. The mask returned is the merge of all the active masks in the BSgenome. Since it uses characterToBSGenome, the genome can be either a BSgenome object or a character string uniquely identifying the a BSgenome object installed. Usage Arguments the genome from where the mask will be extracted. It can be either a BSgenome object or a character string uniquely identifying a BSgenome object installed (e.g. "hg19", "mm10", ...) Value A GRanges object with the genomic regions to be masked out Note This function is memoised (cached) using the memoise package. To empty the cache, use forget(getMask) See Also getGenome, getGenomeAndMask, characterToBSGenome, maskFromBSGenome, emptyCacheRegioneR Examples Join Regions Description Joins the regions from a region set A that are less than min.dist bases apart. Usage Arguments Value It returns a GenomicRanges object with the regions resulting from the joining process. Note All metadata (additional columns in the region set in addition to chromosome, start and end) will be ignored and not present in the returned region set. The implementation relies completely in the reduce function from IRanges package. See Also plotRegions, toDataframe, toGRanges, subtractRegions, splitRegions, extendRegions, commonRegions, mergeRegions, overlapRegions Examples ﬁlterChromosomes listChrTypes Description Prints a list of the available organisms and chromosomes sets in the predeﬁned chromosomes sets information. Usage Value the list of available chrs and organisms is printed See Also filterChromosomes, getChromosomesByOrganism ``` Local z-score ``` Description Evaluates tthe variation of the z-score in the vicinty of the original region set Usage Arguments ``` a region set in any of the formats accepted by toGRanges (GenomicRanges, data.frame, etc...) a permTestResult object a window in wich the local Z-score will be calculated (bp) the number of bp that divide each Z-score evaluation further arguments to be passed to other methods. ``` Value It returns a local z-score object See Also overlapPermTest Examples ,permTest maskFromBSGenome Description Extracts the merge of all the active masks from a BSgenome Usage Arguments a BSgenome object Value A GRanges object with the active mask in the BSgenome Note This function is memoised (cached) using the memoise package. To empty the cache, use forget(maskFromBSGenome) See Also getGenomeAndMask, characterToBSGenome, emptyCacheRegioneR Examples Mean Distance Description Computes the mean distance of regions in A to the nearest element in B Usage 18 Arguments Value The mean of the distances of each region in A to the nearest region in B. Note If a region in A is in a chromosome where no B region is, it will be ignored and removed from the mean computation. Examples Mean In Regions Description Returns the mean of a value deﬁned by a region set over another set of regions. Usage Arguments Value It returns a numeric value that is the weighted mean of "value" deﬁned in x over the regions in A. That is, the mean of the value of all regions in x overlapping each region in A weighted according to the number of bases overlapping. See Also Examples Merge Regions Description Merges the overlapping regions from two region sets. The two region sets are ﬁrst merged into one and then overlapping regions are fused. Usage Arguments a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame ``` , etc...) a region set in any of the accepted formats by toGRanges (GenomicRanges, ``` data.frame, etc...) Value It returns a GenomicRanges object with the regions resulting from the merging process. Any two overlapping regions from any of the two sets will be fused into one. Note All metadata (additional columns in the region set in addition to chromosome, start and end) will be ignored and not present in the returned region set. The implementation relies completely in the reduce function from IRanges package. See Also plotRegions, toDataframe, toGRanges, subtractRegions, splitRegions, extendRegions, joinRegions, commonRegions, overlapRegions Examples Number Of Overlaps Description Returns the number of regions in A overlapping any region in B Usage Arguments Value It returns a numeric value that is the number of regions in A overlapping at least one region in B. See Also overlapPermTest Examples ,permTest Overlap Graphical Summary Description Graphical summary of the overlap between two set of regions. Usage Arguments ``` a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) regions.labels vector indicating the labels for the y axes. regions.colors character vector indicating the colors for the regions. Arguments to be passed to methods, such as graphical parameters (see par). @return A plot is created on the current graphics device. ``` See Also overlapPermTest Examples ,overlapRegions Permutation Test for Overlap Description Performs a permutation test to see if the overlap between two sets of regions A and B is higher (or lower) than expected by chance. It will internally call permTest with the appropiate parameters to perform the permutation test. If B is a list or a GRangesList, it will perform one permutation test per element of the list, testing the overlap between A and each element of B independently. Usage Arguments Value A list of class permTestResults containing the following components: * pval the p-value of the test. * ntimes the number of permutations. * alternative a character string describing the alternative hypotesis. * observed the value of the statistic for the original data set. * permuted the values of the statistic for each permuted data set. * zscore the value of the standard score. (observed-mean(permuted))/sd(permuted) Note IMPORTANT: Since it uses link{permTest} internally, it is possible to use most of the parameters of that function in overlapPermTest, including: ntimes, force.parallel, min.parallel and verbose. In addition, this function accepts most parameters of the randomizeRegions function including genome, mask, allow.overlaps and per.chromosome and the parameters of numOverlaps such as count.once. See Also overlapGraphicalSummary, overlapRegions, toDataframe, toGRanges, permTest Examples ``` Overlap Regions ``` Description return overlap between 2 regios set A and B Usage Arguments a region set in any of the accepted formats by toGRanges data.frame, etc...) a region set in any of the accepted formats by toGRanges (GenomicRanges GenomicRanges ( , , data.frame, etc...) numeric vector indicating which columns of A the results will contain (default NULL) numeric vector indicating which columns of B the results will contain (default NULL) * AinB: the region in A is contained in a region in B * BinA: the region in B is contained in A * within: the region in A or B is contained in a region in the other region set * equal: the region in A has the same chromosome, start and end as a region in B * AleftB: the end of the region from A overlaps the beginning of a region in B * ArightB: the start of a region from A overlaps the end of a region in B Value the default results is a data.frame with at least 5 columns "chr" indicating the chromosome of the appartenence of each overlap, "startA", "endA", "startB", "endB", indicating the coordinates of the region A and B for each overlap "type" that describe the nature of the overlap (see arguments "type") eventually other columns can be added (see see arguments "colA", "colB", "get.pctA", "get.pctB", "get.bases") Note The implementation uses when possible the countOverlaps function from IRanges package. See Also plotRegions, toDataframe, toGRanges, subtractRegions, splitRegions, extendRegions, commonRegions, mergeRegions, joinRegions Permutation Test Description Performs a permutation test to see if there is an association between a region set and some other feature using an evaluation function. Usage Arguments a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) number of permutations function to create random regions. It must return a set of regions. function to search for association. It must return a numeric value. the alternative hypothesis must be one of "greater", "less" or "auto". If "auto", the alternative will be decided depending on the data. if force.parallel is not speciﬁed, this will be used to determine the threshold for parallel computation. If length(A) * ntimes > min.parallel, it will activate the parallel computation. Single threaded otherwise. force.parallellogical indicating if the computation must be paralelized. character. If speciﬁed, the permTestResults object will have this name instead of the name of the randomization function used. Useful specially when using unnamed anonymous functions. character. If speciﬁed, the permTestResults object will have this name instead of the name of the evaluation function used. Useful specially when using unnamed anonymous functions. a boolean. If verbose=TRUE it creates a progress bar to show the computation progress. When combined with parallel computation, it might have an impact in the total computation time. further arguments to be passed to other methods. Details permTest performs a permutation test of the regions in RS to test the association with the feature evaluated with the evaluation function. The regions are randomized using the randomization.function and the evaluation.function is used to evaluate them. More information can be found in the vignette. Value A list of class permTestResults containing the following components: * pval the p-value of the test. * ntimes the number of permutations. * alternative a character string describing the alternative hypotesis. * observed the value of the statistic for the original data set. * permuted the values of the statistic for each permuted data set. * zscore the value of the standard score. (observed-mean(permuted))/sd(permuted) * randomize.function the randomization function used. * randomize.function.name the name of the randomization used. * evaluate.function the evaluation function used. * evaluate.function.name the name of the evaluation function used. References Davison, A. C. and Hinkley, D. V. (1997) Bootstrap methods and their application, Cambridge University Press, United Kingdom, 156-160 See Also Examples Plot localZscore results Description Function for plotting the a localZScoreResults object. Usage Arguments ``` an object of class localZScoreResults. a character specifying the main title of the plot. Defaults to no title. a numeric specifying the number of ticks to label the x axis. The total number will be 2num.x.labels + 1. Defaults to 5. further arguments to be passed to or from methods. ``` Value A plot is created on the current graphics device. See Also Examples ``` Function for plotting the results from a permTestResults object. ``` Description Function for plotting the results from a permTestResults object. Usage Arguments Value A plot is created on the current graphics device. See Also Function for plotting the results from a permTestResultsList object when more than one evaluation function was used. Description Function for plotting the results from a permTestResultsList object when more than one evaluation function was used. Usage Arguments Value A plot is created on the current graphics device. See Also Examples Description Plots sets of regions Usage Arguments ``` list of objects to be ploted. character or numeric value indicating which chromosome you want to plot. numeric value indicating from which position you want to plot. numeric value indicating to which position you want to plot. regions.labels vector indicating the labels for the y axes. It must have the same length as x. regions.colors character vector indicating the colors for the plotted regions. It must have the same length as x. Arguments to be passed to methods, such as graphical parameters (see par). ``` Value A plot is created on the current graphics device. Plot Regions Examples Randomize Regions Description Given a set of regions A and a genome, this function returns a new set of regions randomly distributted in the genome. Usage Arguments Details The new set of regions will be created with the same sizes of the original ones, and optionally placed in the same chromosomes. In addition, they can be made explicitly non overlapping and a mask can be provided so no regions fall in an undesirable part of the genome. Value It returns a GenomicRanges object with the regions resulting from the randomization process. Note randomizeRegions assumes that chromosomes start at base 1. If a chromosome starts at another base number, for example at base 1000, random regions might appear in the [1:1000] interval. This should not affect most uses of randomizeRegions, but might be important in some advanced analysis involving artiﬁcially contructed genomes. See Also toDataframe, toGRanges, getGenome, getMask, getGenomeAndMask, characterToBSGenome, maskFromBSGenome, resampleRegions, createRandomRegions, circularRandomizeRegions Examples Recompute Permutation Test Description Recomputes the permutation test changing the alternative hypotesis Usage Arguments an object of class permTestResults Value A list of class permTestResults containing the same components as permTest results. See Also Examples resampleGenome Description Fast alternative to randomizeRegions. It creates a tiling (binning) of the whole genome with tiles the mean size of the regions in A and then places the regions by sampling a length(A) number of tiles and placing the resampled regions there. Usage Arguments Value a GenomicRanges object. A sample from the universe with the same length as A. See Also toDataframe, toGRanges, randomizeRegions, createRandomRegions Examples Resample Regions Description Function for sampling a region set from a universe of region sets. Usage Arguments ``` a region set in any of the formats accepted by toGRanges (GenomicRanges, data.frame, etc...) a region set in any of the formats accepted by toGRanges (GenomicRanges, data.frame, etc...) per.chromosome boolean indicating if sample must be by chromosome. further arguments to be passed to or from methods. ``` Value a GenomicRanges object. A sample from the univers with the same length as A. See Also toDataframe, toGRanges, randomizeRegions, createRandomRegions Examples Split Regions Description Splits a region set A by both ends of the regions in a second region set B. Usage Arguments ``` a region set in any of the formats accepted by toGRanges (GenomicRanges, data.frame, etc...) a region set in any of the formats accepted by toGRanges (GenomicRanges, data.frame, etc...) numeric value, minimal size of the new regions track.original logical indicating if you want to keep the original regions and additional infor- ``` mation in the output Value A GRanges with the splitted regions. See Also toDataframe, toGRanges, subtractRegions, commonRegions, extendRegions, joinRegions, mergeRegions, overlapRegions 36 Subtract Regions Description Function for subtracting a region set from another region set. Usage Arguments ``` a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) ``` Details This function returns the regions in A minus the parts of them overlapping the regions in B. Overlapping regions in the result will be fused. The implementation relies completely in the setdiff function from IRanges package. Value A GenomicRanges object a GRanges object. (only used when A is a GRanges object) a logical indicating whether a column with the strand information have to be added to the result (Defaults to FALSE) Details If the oject is of class data.frame, it will be returned untouched. Value A data.frame with the regions in A. If A was a GRanges object, the output will include any metadata present in A. See Also Examples toDataframe Description Transforms a GRanges object or a data.framecontaining a region set into a data.frame. Usage Arguments 38 Description Transforms a ﬁle or an object containing a region set into a GRanges object. Usage Arguments Details If A is already a GRanges object, it will be returned untouched. If A is a data frame, the function will assume the ﬁrst three columns are chromosome, start and end and create a GRanges object. Any additional column will be considered metadata and stored as such in the GRanges object. There are 2 special cases: 1) if A is a data.frame with only 2 columns, it will assume the ﬁrst one is the chromosome and the second one the position and it will create a GRanges with single base regions and 2) if the data.frame has the ﬁrst 3 columns named "SNP", "CHR" and "BP" it will shufﬂe the columns and repeat "BP" to build a GRanges of single base regions (this is the standard ouput format of plink). If A is not a data.frame and there are more parameters, it will try to build a data.frame with all parameters and use that data.frame to build the GRanges. This allows the user to call it like toGRanges("chr1", 10, 20). If A is a character or a character vector and it's not a ﬁle or a URL, it assumes it's a genomic position description in the form used by UCSC or IGV, "chr2:1000-2000". It will try to parse the character strings into chromosome, start and end and create a GRanges. The parser can deal with commas separating thousands (e.g. "chr2:1,000-2,000") and with the comma used as a start/end separator (e.g. "chr2:1000,2000"). These different variants can be mixed in the same character vector. If A is a "SimpleRleList" it will be interpreted as the result from GenomicRanges::coverage and the function will return a GRanges with a single metadata column named "coverage". If A is a ﬁle name (local or remote) or a connection to a ﬁle, it will try to load it in different ways: BED ﬁles (identiﬁed by a "bed" extension): will be loaded using rtracklayer::import function. Coordinates are 0 based as described in the BED speciﬁcation (https://genome.ucsc.edu/FAQ/FAQformat.html#format1). * PLINK assoc ﬁles (identiﬁed by ".assoc", ".assoc.ﬁsher", ".assoc.dosage", ".assoc.linear", ".as- soc.logistic"): will be loaded as single-base ranges with all original columns present and the SNPs ids as the ranges names * Any other ﬁle: It assumes the ﬁle is a "generic" tabular ﬁle. To load it it will ignore any header line starting with comment.char , autodetect the ﬁeld separator (if not provided by the user), autodetect if it has a header and read it accordingly. The genome parameter can be used to set the genome information of the created GRanges. It can be either a BSgenome object or a character string deﬁning a genome (e.g. "hg19", "mm10"...) as accepted by the BSgenome::getBSgenome function. If a valid genome is given and the corresponding BSgenome package is installed, the genome information will be attached to the GRanges. If the chromosome naming style from the GRanges and the genome object are different, it will try to change the GRanges styles to match those of the genome using GenomeInfoDb::seqlevelsStyle. Value A GRanges object with the regions in A Note IMPORTANT: Regarding the coordinates, BED ﬁles are 0 based while data.frames and generic ﬁles are treated as 1 based. Therefore reading a line "chr9 100 200" from a BED ﬁle will create a 99 bases wide interval starting at base 101 and ending at 200 but reading it from a txt ﬁle or from a data.frame will create a 100 bases wide interval starting at 100 and ending at 200. This is specially relevant in 1bp intervals. For example, the 10th base of chromosome 1 would be "chr1 9 10" in a BED ﬁle and "chr1 10 10" in a txt ﬁle. See Also Unique Regions Description Returns the regions unique to only one of the two region sets, that is, all parts of the genome covered by only one of the two region sets. Usage Arguments ``` a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) a region set in any of the accepted formats by toGRanges (GenomicRanges, data.frame, etc...) ``` Value It returns a GenomicRanges object with the regions unique to one of the region sets. Note All metadata (additional columns in the region set in addition to chromosome, start and end) will be ignored and not present in the returned region set. See Also toGRanges, subtractRegions, commonRegions, mergeRegions Index ``` BSgenome, 3, 4, 7, 10, 12, 13, 17, 31, 39 characterToBSGenome, 3, 4, 8, 12–14, 17, 32 circularRandomizeRegions, 3, 32 commonRegions, 5, 9, 15, 20, 24, 35, 41 countOverlaps, 24 createFunctionsList, 6 createRandomRegions, 4, 7, 32, 34 data.frame, 4, 5, 7, 9, 10, 12, 14, 16, 18–25, 31, 34–38, 41 emptyCacheRegioneR, 8, 12–14, 17 extendRegions, 5, 9, 15, 20, 24, 35 filterChromosomes, 10, 11, 15 forget, 12–14, 17 GenomicRanges, 4, 5, 7–10, 14, 16, 18–23, 25, 31–36, 41 getChromosomesByOrganism, 10, 11, 15 getGenome, 4, 8, 11, 11, 13, 14, 32 getGenomeAndMask, 3, 4, 7, 8, 10, 12, 12, 14, 17, 31, 32 getMask, 4, 8, 12, 13, 13, 32 GRanges, 10, 12, 14, 17, 37–39 joinRegions, 5, 9, 14, 20, 24, 35 listChrTypes, 10, 15 localZScore, 16, 27 maskFromBSGenome, 3, 4, 8, 12–14, 17, 32 mean, 22, 26 meanDistance, 17 meanInRegions, 18 memoise, 12–14, 17 mergeRegions, 5, 9, 15, 19, 24, 35, 41 NA, 4, 7, 13, 31 NULL, 4, 7, 13, 31 ``` ``` numOverlaps, 20, 22 overlapGraphicalSummary, 21, 22 overlapPermTest, 6, 16, 21, 22, 26 overlapRegions, 5, 9, 15, 20–22, 23, 35 par, 21, 30 permTest, 6, 16, 19, 21, 22, 25, 28, 29, 32, 33 plot.localZScoreResults, 26 plot.permTestResults, 27 plot.permTestResultsList, 29 plotRegions, 5, 9, 15, 20, 24, 30 randomizeRegions, 4, 8, 22, 31, 34 recomputePermTest, 32 reduce, 14, 20 resampleGenome, 33 resampleRegions, 4, 8, 32, 34 sd, 22, 26 splitRegions, 5, 9, 15, 20, 24, 35 subtractRegions, 5, 9, 15, 20, 24, 35, 36, 41 toDataframe, 4, 5, 9, 15, 20, 22, 24, 32, 34, 35, 37, 39 toGRanges, 4, 5, 9, 10, 12, 14–16, 18–25, 31, 32, 34–37, 38, 41 uniqueRegions, 40 ```
TRINITY COLLEGE CAMBRIDGE THE EUCHARIST Tuesday 28 October 2014 6.15 pm The Feast of Simon and Jude, Apostles Common Worship: Services and Prayers for the Church of England, material from which is included in this service, copyright © 2000 The Archbishop's Council. Scripture quotations from The New Revised Standard Version of the Bible, Anglicized Edition, copyright © 1989, 1995 by the Division of Christian Education of the National Council of the Churches of Christ in the United States of America, used by permission. All rights reserved. Welcome to this service sung by the Choir of Trinity College, Cambridge Please ensure that all electronic devices, including cameras, are switched off MASS SETTING Missa 'O quam gloriosum' Tomás Luis de Victoria (1548–1611) THE GATHERING All stand when the choir and clergy enter HYMN NEH 195 TANTUM ERGO GREETING The Lord be with you and also with you. PRAYERS OF PENITENCE Jesus said to his apostles, 'You are my friends if you obey my commands'. Let us now confess our disobedience to him. Lord Jesus, in your love you invite us to be your friends: Lord, have mercy. Lord, have mercy. Lord Jesus, in your joy you choose us to go out and bear fruit: Christ, have mercy. Christ, have mercy. Lord Jesus, in your power you send us to be your faithful witnesses: Lord, have mercy. Lord, have mercy. May the God of love and power forgive you and free you from your sins, heal and strengthen you by his Spirit, and raise you to new life in Christ our Lord. Amen. The choir sings the GLORIA IN EXCELSIS Gloria in excelsis Deo, et in terra pax hominibus bonae voluntatis. Laudamus te, benedicimus te, adoramus te, glorificamus te. Gratias agimus tibi propter magnam gloriam tuam. Domine Deus, Rex cælestis, Deus Pater omnipotens, Domine Fili unigenite Jesu Christe. Domine Deus, Agnus Dei, Filius Patris. Qui tollis peccata mundi, miserere nobis. Qui tollis peccata mundi, suscipe deprecationem nostram. Qui sedes ad dexteram Patris, miserere nobis. Quoniam tu solus sanctus, tu solus Dominus, tu solus altissimus, Jesu Christe, cum Sancto Spiritu, in gloria Dei Patris. Amen. Glory to God in the highest and on earth peace, goodwill towards men. We praise you, we bless you, we worship you, we glorify you. We give thanks to you for your great glory. Lord God, heavenly King, almighty God the Father, O Lord, the only begotten Son, Jesus Christ. Lord God, Lamb of God, Son of the Father. You take away the sins of the world, have mercy on us. You take away the sins of the world, receive our prayer. You sit at the right hand of the Father, have mercy on us. For you only are holy. You only are the Lord. You only are the most high, Jesus Christ, with the Holy Spirit in the glory of God the Father. Amen. COLLECT Let us pray. Almighty God, who built your Church upon the foundation of the apostles and prophets, with Jesus Christ himself as the chief cornerstone: so join us together in unity of spirit by their doctrine, that we may be made a holy temple acceptable to you; through Jesus Christ your Son our Lord, who is alive and reigns with you,in the unity of the Holy Spirit, one God, now and for ever. Amen . THE LITURGY OF THE WORD FIRST READING A reading from the prophet Isaiah. Therefore hear the word of the Lord, you scoffers who rule this people in Jerusalem. Because you have said, 'We have made a covenant with death, and with Sheol we have an agreement; when the overwhelming scourge passes through it will not come to us; for we have made lies our refuge, and in falsehood we have taken shelter’; therefore thus says the Lord God, See, I am laying in Zion a foundation stone, a tested stone, a precious cornerstone, a sure foundation: 'One who trusts will not panic.' This is the word of the Lord. Thanks be to God. All stand GOSPEL ACCLAMATION Alleluia, Alleluia, Alleluia. I do not call you servants but friends, because I have made known to you everything that I have heard from my Father. Alleluia, Alleluia, Alleluia. Isaiah 28: 14–16 GOSPEL READING The Lord be with you and also with you. Hear the Gospel of our Lord Jesus Christ according to John. Glory to you, O Lord. I am giving you these commands so that you may love one another. 'If the world hates you, be aware that it hated me before it hated you. If you belonged to the world, the world would love you as its own. Because you do not belong to the world, but I have chosen you out of the world— therefore the world hates you. Remember the word that I said to you, "Servants are not greater than their master." If they persecuted me, they will persecute you; if they kept my word, they will keep yours also. But they will do all these things to you on account of my name, because they do not know him who sent me. If I had not come and spoken to them, they would not have sin; but now they have no excuse for their sin. Whoever hates me hates my Father also. If I had not done among them the works that no one else did, they would not have sin. But now they have seen and hated both me and my Father. It was to fulfil the word that is written in their law, "They hated me without a cause." 'When the Advocate comes, whom I will send to you from the Father, the Spirit of truth who comes from the Father, he will testify on my behalf. You also are to testify because you have been with me from the beginning.' John 15: 17–end This is the Gospel of the Lord. Praise to you, O Christ. At the end, all sing Alleluia, Alleluia, Alleluia. PRAYERS OF INTERCESSION Encouraged by our fellowship with all the saints, let us make our prayers to the Father through our Lord Jesus Christ. All kneel or sit The priest introduces brief biddings with all responding Lord, in your mercy hear our prayer. At the end Almighty God, grant that your Church may faithfully hold and make known the faith that has come to us through the apostles, that with them and all your saints we may inherit the glories of eternal life; through Jesus Christ our Lord. Amen. All stand THE LITURGY OF THE SACRAMENT THE PEACE We are fellow-citizens with the saints and of the household of God, through Christ our Lord, who came and preached peace to those who were far off and those who were near. The peace of the Lord be always with you and also with you. All may exchange the peace OFFERTORIUM Words: Richard Parsons (1882–1948) Music: Michael Haydn (1737–1806) CCLI Licence No. 176476 THE PRAYER OVER THE GIFTS God our Father, keep us united in the apostles' teaching and fellowship, in the breaking of bread and the prayers, through Jesus Christ our Lord. Amen. THE EUCHARISTIC PRAYER The Lord be with you and also with you. Lift up your hearts. We lift them to the Lord. Let us give thanks to the Lord our God. It is right to give thanks and praise. Father, we give you thanks and praise through your beloved Son Jesus Christ, your living Word, through whom you have created all things; who was sent by you in your great goodness to be our Saviour. By the power of the Holy Spirit he took flesh; as your Son, born of the blessed Virgin, he lived on earth and went about among us; he opened wide his arms for us on the cross; he put an end to death by dying for us; and revealed the resurrection by rising to new life; so he fulfilled your will and won for you a holy people. And now we give you thanks for the glorious pledge of the hope of our calling which you have given us in your saints; that, following their example and strengthened by their fellowship, we may run with perseverance the race that is set before us, and with them receive the unfading crown of glory. Therefore with angels and archangels, and with all the company of heaven, we proclaim your great and glorious name, for ever praising you and singing: The choir sings the SANCTUS and BENEDICTUS Sanctus, sanctus, sanctus Dominus Deus Sabaoth. Pleni sunt cœli et terra gloria tua. Hosanna in excelsis. Benedictus qui venit in nomine Domini. Hosanna in excelsis. Holy, holy, holy, Lord God of power and might. Heaven and earth are full of your glory. Hosanna in the highest. Blessed is he who comes in the name of the Lord. Hosanna in the highest. All kneel or sit Lord, you are holy indeed, the source of all holiness; grant that by the power of your Holy Spirit, and according to your holy will, these gifts of bread and wine may be to us the body and blood of our Lord Jesus Christ; who, in the same night that he was betrayed, took bread and gave you thanks; he broke it and gave it to his disciples, saying: Take, eat; this is my body which is given for you; do this in remembrance of me. In the same way, after supper he took the cup and gave you thanks; he gave it to them, saying: Drink this, all of you; this is my blood of the new covenant, which is shed for you and for many for the forgiveness of sins. Do this, as often as you drink it, in remembrance of me. Jesus Christ is Lord: Lord, by your cross and resurrection you have set us free. You are the Saviour of the world. And so, Father, calling to mind his death on the cross, his perfect sacrifice made once for the sins of the whole world; rejoicing in his mighty resurrection and glorious ascension, and looking for his coming in glory, we celebrate this memorial of our redemption. As we offer you this our sacrifice of praise and thanksgiving, we bring before you this bread and this cup and we thank you for counting us worthy to stand in your presence and serve you. Send the Holy Spirit on your people so that we, in the company of Simon, Jude, and all the saints, and gather into one in your kingdom all who share this one bread and one cup, may praise and glorify you for ever, through Jesus Christ our Lord; by whom, and with whom, and in whom, in the unity of the Holy Spirit, all honour and glory be yours, almighty Father, for ever and ever. Amen. THE LORD'S PRAYER Let us pray with confidence as our Saviour has taught us. 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 trespasses, as we forgive those who trespass against us. And lead us not into temptation; but deliver us from evil. For thine is the kingdom, the power and the glory, for ever and ever. Amen. BREAKING OF THE BREAD We break this bread to share in the body of Christ. Though we are many, we are one body, because we all share in one bread. The choir sings the AGNUS DEI Agnus Dei, qui tollis peccata mundi, miserere nobis. Agnus Dei, qui tollis peccata mundi, miserere nobis. Agnus Dei, qui tollis peccata mundi, dona nobis pacem. Lamb of God, you take away the sin of the world, have mercy on us. Lamb of God, you take away the sin of the world, have mercy on us. Lamb of God, you take away the sin of the world, grant us peace. GIVING OF COMMUNION Behold the Lamb of God who takes away the sin of the world. Blessed are those who are called to his supper. Lord, I am not worthy to receive you, but only say the word, and I shall be healed. The clergy and choir receive Communion after which the congregation is invited to come forward. Those who receive Communion in their own churches are welcome to do so here. Those who do not receive Communion are welcome to come forward for a blessing. During the communion the ANTHEM is sung Justorum animæ in manu Dei sunt, et non tanget illos tormentum mortis. Visi sunt oculis insipientium mori: illi autem sunt in pace. The souls of the righteous are in the hand of God, and there no torment shall touch them. In the sight of the unwise they seemed to die: but they are in peace. Words: Wisdom of Solomon 3 vv. 1–3 (Offertory for All Saints' Day) Music: William Byrd (c. 1540–1623) All remain seated for the NEH 231 HYMN ALL SAINTS POST COMMUNION COLLECT Let us pray. Almighty God, who on the day of Pentecost sent your Holy Spirit to the apostles with the wind from heaven and in tongues of flame, filling them with joy and boldness to preach the gospel: by the power of the same Spirit strengthen us to witness to your truth and to draw everyone to the fire of your love; through Jesus Christ our Lord. Amen. All stand THE DISMISSAL The Lord be with you and also with you. God, who has prepared for us a city with eternal foundations, give you grace to share the inheritance of the saints in glory; and the blessing of God almighty the Father, the Son, and the Holy Spirit, be among you and remain with you always. Amen. Go in the peace of Christ. Thanks be to God. All remain standing as the clergy and choir process out ORGAN VOLUNTARY Fugue in b, BWV 579
Joint Information Center – JIC Release No. 1159 January 9, 2023, 4:35 p.m. (ChST) Report Positive COVID-19 At-home Test Results to DPHSS; Cumulative COVID-19 Test Results: 224 New Cases Reported January 4–9; Nine Hospitalized; Three COVID-19-related Fatalities Reported; Additional COVID-19 Updates Special Note: Joint Information Center (JIC) releases, as they relate to COVID-19 results, are issued on Mondays. Additional JIC releases throughout the week will be issued on an as needed basis, only. To view the most up to date COVID-19 information, including weekday surveillance summary reports, visit http://dphss.guam.gov/covid-19/ Report Positive COVID-19 At-home Test Results to DPHSS Report positive COVID-19 at-home and over the counter (OTC) test results to the Department of Public Health and Social Services (DPHSS) via email: firstname.lastname@example.org. You must report your positive result within 24 hours and provide the following information: * Full Name * Date of Test * Contact Number * Results * Date of Birth * Test Manufacturer For more information, CLICK HERE or visit dphss.guam.gov/covid-19-testing/ Cumulative COVID-19 Test Results: 224 New Cases Reported January 4 – 9 Today, DPHSS reported 224 new cases of COVID-19 from 2,038 specimens analyzed from tests administered January 3–8, 2023: * January 9: 0 of 47 test positive for COVID-19 * January 8: 27 of 238 test positive for COVID-19 * January 7: 31 of 96 test positive for COVID-19 * January 6: 41 of 227 test positive for COVID-19 * January 5: 46 of 446 test positive for COVID-19 * January 4: 79 of 984 test positive for COVID-19 To date, there have been a total of 60,311 officially reported cases, 414 deaths, 111 cases in active isolation, and 59,788 not in active isolation. Nine Hospitalized for COVID-19 \| CENSUS as of 4 p.m. \| GMH \| GRMC \| USNH \| \|---\|---\|---\|---\| \| COVID-19 Admission \| 5 \| 4 \| 0 \| \| Pediatric Admissions \| 1 \| - \| - \| \| ICU \| 0 \| 2 \| 0 \| \| Ventilator \| 0 \| 1 \| 0 \| Three COVID-19-related Fatalities Reported The Joint Information Center was notified of three (3) COVID-19-related fatalities reported: * The 412th COVID-19-related fatality occurred at the Guam Memorial Hospital on January 1, 2023. The patient was an 86-year-old male, unvaccinated, with underlying health conditions, who tested positive on December 25, 2022. * The 413th COVID-19-related fatality occurred at the Guam Regional Medical City on January 3, 2023. The patient was a 58-year-old male, vaccinated without boosters, with underlying health conditions, who tested positive on January 3, 3023. * The 414th COVID-19-related fatality was pronounced dead on arrival at the Guam Memorial Hospital on January 7, 2023. The patient was a 90-year-old female, vaccinated without boosters, with underlying health conditions, who tested positive on January 7, 2023. "We extend our sincerest condolences to their families and friends," said Governor Lou Leon Guerrero. "Although the Public Health Emergency has expired, we must keep in mind those in our community who continue to suffer losses from this deadly virus and do our part to protect one another as best as we can. Recognize symptoms of COVID-19, get tested if you are sick, and seek treatment if needed." Treating COVID-19 with Oral Medications Available by Prescription Oral treatments are available that can reduce your chances of being hospitalized or dying from the disease. Medications to treat COVID-19 must be prescribed by a healthcare provider and must be started within days of when you first develop symptoms to be effective. Paxlovid and Molnupiravir remain effective treatments against currently circulating variants and emerging variants. To receive the oral treatments, you must have a current laboratory confirmed COVID-19 infection and a referral from a prescribing physician. For more information, call 311 and select option 1 on weekdays from 8 a.m. to 9 p.m. and on weekends and holidays from 8 a.m. to 5 p.m. or call 671-998-4527 or 671-998-4547. COVID-19 Testing Available at The Plaza Shopping Center Residents who do not have COVID-like symptoms, may seek free COVID-19 testing at The Plaza Shopping Center in the Dusit Beach Resort from 9 a.m. to 12 p.m. and 2 p.m. to 4 p.m, Monday through Saturday, except on observed Government of Guam holidays. Those who need ADA accommodations for curbside testing in their vehicles may call 671-998-4530. No symptoms are needed for COVID-19 testing at The Plaza Shopping Center. Additional COVID Testing sites are listed below: \| Tuesday & Thursday 9 a.m. - 12 p.m. \| DPHSS Southern Region Community Health Center (SRCHC), Inalåhan By appointment only for individuals with COVID-like symptoms. Four adults per vehicle. Bring a photo ID. Travel-related testing not offered. Call 671-828-7604/5/7518. Closed on observed Government of Guam Holidays: Jan. 16 \| \|---\|---\| \| Monday - Saturday 9 a.m. by appointment \| DPHSS Northern Region Community Health Center (NRCHC), Dededo By appointment only for individuals with COVID-like symptoms. Four adults per vehicle. Bring a photo ID. Call 671-635-7525/6 to schedule an appointment. Closed on observed Government of Guam Holidays: Jan. 16 \| \| Monday - Saturday 9 a.m. - 12 p.m. \| The Plaza Shopping Center - Dusit Beach Resort Guam, Tumon \| 2 p.m. - 4 p.m. For those who do not have COVID-like symptoms. Those needing ADA accommodations for curbside testing in their vehicles may call 671-998-4530. No symptoms are needed for COVID-19 testing. Bring a photo ID. Closed on observed Government of Guam Holidays: Jan. 16 Bivalent COVID-19 Vaccines and Boosters Available Infants 6 months and older are eligible to receive the Moderna COVID-19 bivalent booster at the Guam Community Health Centers in Dededo and Inalåhan. DPHSS encourages residents of all ages to be up to date on their COVID-19 and flu vaccinations and boosters in order to protect their friends and family this holiday season. The Centers for Disease Control and Prevention (CDC) recommends getting an omicron-specific (bivalent) booster, which targets the original strain of the coronavirus as well as more recently circulating variants (BA.4 and BA.5). The original vaccines, called monovalent vaccines, will no longer be available as booster doses. Only the Moderna COVID-19 bivalent booster is available to infants 6 months and older, who completed their Moderna primary series. The Pfizer COVID-19 bivalent vaccine is recommended for individuals 6 months to 4 years of age as the third dose to complete the primary series, at least two months since the second shot in their primary series. A booster dose is not authorized for children in this age group who already completed the Pfizer 3-dose primary series. The Pfizer bivalent booster is also available to individuals 5 years of age or older, regardless of which vaccine was taken for their primary series or monovalent booster as long as it has been at least two months since they have completed their primary vaccination series or since they have received the monovalent COVID-19 booster dose. The Moderna COVID-19 bivalent vaccine is recommended for individuals 6 months to 5 years if they received the Moderna monovalent vaccine as their primary series and it has been at least two months since the last dose in their primary series. The Moderna bivalent booster is also available to individuals 6 years of age or older, regardless of which vaccine was taken for their primary series or booster as long as it has been at least two months since they have completed their primary vaccination series or since they have received the monovalent COVID-19 booster dose. The updated Pfizer BioNTech bivalent vaccine and Moderna bivalent boosters are available at the DPHSS vaccination clinics at The Plaza Shopping Center, NRCHC, SRCHC, and our extended outreach vaccination events. \| Monday - Friday BY APPOINTMENT ONLY \| DPHSS Southern Region Community Health Center (SRCHC), Inalåhan Call 671-828-7604/5/7518 to schedule an appointment. Bring a photo ID. Novavax COVD-19 primary dose and monovalent booster available only at the Community Health Centers in Dededo and Inalåhan Closed on observed Government of Guam Holidays: Jan. 16 \| \|---\|---\| \| Mon-Tues, Thur-Fri 9 a.m. - 12 p.m. 2 p.m. - 4 p.m Wednesdays 9 a.m. - 12 p.m. 1 p.m. - 3 p.m \| The Plaza Shopping Center - Dusit Beach Resort Guam, Tumon Last vaccine will be administered 30 minutes before closing. Walk-ins welcome. Bring a photo ID. Closed on observed Government of Guam Holidays: Jan. 16 \| \| Wednesdays Jan. 11, 18, and 25 4 p.m. - 6 p.m. or until supplies last \| Chamorro Village – Hut No. 4, Hagåtña Last vaccine will be administered 30 minutes before closing. Walk-ins welcome. Bring a photo ID. Available for adults and children 5 years and older \| \| Thursday, Jan. 12 10 a.m. - 2 p.m. or until supplies last \| Inalahan Mayor’s Office Last vaccine will be administered 30 minutes before closing. Walk-ins welcome. Bring a photo ID. Available for adults and children 5 years and older \| \| Friday, Jan. 20 10 a.m. - 2 p.m. or until supplies last \| Mangilao Community Center Last vaccine will be administered 30 minutes before closing. Walk-ins welcome. Bring a photo ID. Available for adults and children 5 years and older \| \| Friday, Jan. 27 10 a.m. - 2 p.m. or until supplies last \| Asan-Ma’ina Community Center Last vaccine will be administered 30 minutes before closing. Walk-ins welcome. Bring a photo ID. Available for adults and children 5 years and older \| \| Saturday, Jan. 28 10 a.m. - 2 p.m. or until supplies last \| Barrigada Community Center Last vaccine will be administered 30 minutes before closing. Walk-ins welcome. Bring a photo ID. Available for adults and children 5 years and older \| COVID-19 Vaccines for Children 6 Months and Older Available at DPHSS CHCs The Moderna and the Pfizer-BioNTech COVID-19 Vaccines are authorized for use in children from six months of age and older. In most children, the Moderna COVID-19 vaccine for children ages six months through five years will be a two-dose primary series with four to eight weeks between dose one and dose two. In most children, the Pfizer-BioNTech COVID-19 vaccine for children ages six months through four years will be a three-dose primary series three to eight weeks between dose one and dose two, and at least eight weeks between dose two and dose three. Requirements for minors to receive the Moderna or Pfizer-BioNTech COVID-19 Vaccine at DPHSS vaccination clinics and outreach events: Parent/legal guardian must provide minor's birth certificate * Parent/legal guardian must have a government-issued photo identification * Minor must be accompanied by a parent or legal guardian * Guardians must present legal guardianship or power-of-attorney documents Guam COVID-19 Vaccination Update – As of January 6, 2023 As of January 6, 2023, 140,870 eligible residents (6 months and older) are fully vaccinated. This total includes 14,355 residents 12 – 17 years old. 9,359 residents 5 – 11 years old received their first dose of a two dose series. 7,710 residents 5 – 11 years old have completed their two-dose series. 353 residents 6 months – 5 years old have received their first dose of a two dose series. 82,927 eligible residents have received their first booster shots. 14,361 eligible residents have received their second booster shots. -###- For the latest information on COVID-19, visit dphss.guam.gov or guamrecovery.com. For inquiries, contact 311 through a local number, or call the Joint Information Center at (671) 478-0208/09/10.
CASE REPORT Open Access Hemoperitoneum in advanced abdominal pregnancy with a live baby: a case report Dismas Matovelo 1* and Nhandi Ng'walida 2 Abstract Background: Abdominal pregnancy is a rare condition which is usually missed during prenatal assessment particularly in settings lacking routine ultrasound surveillance. We report a case of abdominal pregnancy at 32 weeks, which is most likely to have been a tubal abortion with secondary implantation, leading to delivery of a healthy baby girl weighing 1.7 kg. Case presentation: A 22-year-old woman, gravid 3 para 2 was referred to our centre from a district hospital with complaint of generalized abdominal pain and reduced fetal movements. Although the initial abdomino-pelvic ultrasound done at our centre was read as normal, there was subsequently a strong clinical suspicion of abdominal pregnancy, which was confirmed by a second ultrasound. The patient underwent laparotomy and was found to have an intact uterus with a viable fetus floating in the abdominal cavity without its amniotic sac and with hemoperitoneum of 1litre. The baby was extracted successfully; the placenta was found to be deeply implanted on the right cornual side extending to the fundus superiorly. Wedge resection of the cornual area and fundus was performed to remove the placenta. Intraoperatively, one unit of blood was transfused due to severe anemia prior to surgery. Both the mother and the baby were discharged home in good condition. Conclusion: Abdominal pregnancy can be missed prenatally even when an imaging (ultrasound) facility is available. Emphasis should be placed on clinical assessment and thorough evaluation of patients. Keywords: Hemoperitoneum, Advanced abdominal pregnancy, Laparotomy, Live baby Background Abdominal pregnancy is a rare form of ectopic pregnancy in which the implantation takes place in the peritoneal cavity outside the fallopian tube [1]. Despite the use of ultrasound, the diagnosis of abdominal pregnancy is usually missed during antenatal care. It occurs either as a result of tubal abortion or rupture, known as secondary abdominal pregnancy, or more rarely, as a direct implantation on the peritoneum, with normal fallopian tubes, normal ovaries, or without tubal fistula, known as primary abdominal pregnancy [2]. There is a high maternal morbidity and mortality associated with abdominal pregnancy. Its management depends on the gestational age and site where the placenta is attached [1,3]. We report on a successful operative delivery of a healthy baby in a woman with abdominal * Correspondence: email@example.com Department of Obstetrics and Gynecology, Catholic University of Health and 1 Allied sciences, P.O. BOX 1464, Mwanza, Tanzania Full list of author information is available at the end of the article pregnancy at 32 weeks with hemoperitoneum in whom the diagnosis was missed during antenatal care and initial ultrasound. Case presentation A 22-year-old woman, gravida 3 para 2, was admitted to our labour ward as a referral from Magu District hospital at 32 weeks with a one week history of generalized abdominal pain, reduced fetal movements and dysuria. She had been seen initially for antenatal care at a gestational age of 16 weeks, and had a total of two antenatal visits. Her pregnancy was thought to be uncomplicated during these visits. On admission to the labour ward, her vital signs were: blood pressure of 120/80 mmHg, pulse 110 beats/minutes and respiratory rate of 18 breaths/minute. Her abdomen was distended with a fundal height corresponding to 32 weeks with hypogastric tenderness. Fetal heart rate could not be established by fetoscope. Her laboratory results showed hemoglobin of 6 g/dl and urinalysis with 20 leukocytes per high power field. An ultrasound examination revealed a live intrauterine pregnancy at 31 weeks of gestation but the lie of the fetus and location of the placenta were not established. The impression of the admitting doctor was of an intrauterine pregnancy complicated by anemia and urinary tract infection (UTI). The patient received iron supplements, oral nitrofurantoin 500 mg every 8 hours for 5 days and paracetamol; her pain subsided, and she was admitted to the ward for follow-up and further investigation. Two days later, the case was reviewed by senior doctors on the ward, at that time, the patient continued to have generalized abdominal pain, and on examination she was found to have generalized abdominal tenderness with rebound tenderness and easily palpable fetal parts. A provisional diagnosis of abdominal pregnancy was made and an urgent repeat abdomino-pelvic ultrasound examination was performed. The ultrasound revealed an empty bulky uterus, a viable fetus in the abdominal cavity at 31 weeks, and a placenta attached anterior to the uterus. The decision was made to do an emergency laparotomy based on clinical features of peritonitis. Under general anesthesia and through subumbilical midline incision, the uterus was found to be empty and small. A fetus was found floating in the abdominal cavity without an amniotic sac. There was hemoperitoneum of about 1 litre. A baby girl weighing 1.7 kg was extracted with Apgar scores of 8 and 10 at the first and fifth minutes respectively. The placenta was adherent to the omentum and to the right cornual area extending to the fundus superiorly. Both ovaries and the right fallopian tube were healthy. The left fallopian tube had adhesive bands and fimbrial phimosis. Suctioning of the hemoperitoneum was performed, omental adhesions were released, and cornual resection was done at the site where the placenta had implanted. Intraoperatively one unit of blood was given as the patient was severely anemic prior to surgery, and a tourniquet was applied to minimize uterine vessel bleeding prior to resection. The placenta was completely removed and hemostasis was achieved after the removal of the tourniquet 20 minutes later. By day 3 postlaparotomy, the mother could mobilize fully, eat, drink and had normal bowel movements and micturition habits. The baby was breast feeding and eliminating well. The patient was discharged on day 7 after suture removal with iron and folate tablets. During her stay in the hospital, she was counseled on the possibility of recurrence of abdominal pregnancy. She was told to come back for follow-up after 2 weeks, but the patient was lost to follow-up. Discussion Although ultrasound can be useful in diagnosing abdominal pregnancy, it is easier to appreciate the abdominal pregnancy during the end of the first trimester or early in the second trimester, when the pelvic organs are best visualized. In advanced abdominal pregnancy visualization of pelvic organs becomes limited. Other diagnostic tools include plain abdominal radiography and magnetic resonance imaging (MRI) [1,4]. In our patient, initially a diagnosis of advanced abdominal pregnancy was missed by both clinical findings and imaging studies. Thus the diagnosis requires clinical suspicion, as ultrasound will miss almost 50% of abdominal pregnancies in the absence of clinical suspicion [4,5]. There are several risk factors for abdominal pregnancy which include previous history of tubal pregnancies, pelvic inflammatory disease, tubal sterilization, tubal infertility, tubal reconstructive surgery and conceiving with intrauterine contraceptive device (IUCD) in situ [2]. In our case, the possible risk factor could be pelvic inflammatory disease, suspected due to the presence of adhesion bands and fimbrial phimosis on her left fallopian tube. Early diagnosis of abdominal pregnancy depends on a high index of suspicion from the antenatal care providers [3,5]. Several symptoms have been established to suggest the presence of abdominal pregnancy. These symptoms include recurrent abdominal pain, painful fetal movements, and easily palpable fetal parts. Difficulty in establishing fetal lie and presenting part is another sign which should raise suspicion for abdominal pregnancy. Signs and symptoms of peritoneal irritation can be an additional indicator, as this can suggest hemoperitoneum as in our patient [1,3,6,7]. It is vital for the diagnosis of abdominal pregnancy to be made early in pregnancy. Morbidity and mortality are largely due to massive hemorrhage that may arise from complete or partial placental separation [1,8]. The placenta can implant at different sites including but not limited to the uterine wall, adnexal, bowel, omentum, liver, spleen and pouch of Douglas, and the placenta may separate anytime during pregnancy leading to hemorrhage and anemia as illustrated our case. In our case, we found a live fetus floating in the peritoneal cavity due to a ruptured amniotic sac. The survival of this fetus could be in part due to a timely decision for laparotomy, as well as to a placenta that was partially adherent to the fundus and left cornual end which provided enough blood supply and oxygenation to the fetus. In most cases of advanced abdominal pregnancy, fetal outcome tends to be good if the fetus is covered by the amniotic sac [8]. Our patient required emergency laparotomy due to the suspicion of hemoperitoneum, as unstable maternal hemodynamic status is among the criteria for surgery. Other criteria for surgery include fetal congenital malformations, fetal viability, gestational age at presentation and availability of facilities for neonatal care. If the fetus is alive, surgery may be performed regardless of gestational age or fetal status due to difficulties in predicting placental separation leading to massive hemorrhage. If the fetus is dead, surgery is necessary due to the risk of disseminated intravascular coagulopathy (DIC) or sepsis, although a period of 4–8 weeks may be allowed for observation to allow atrophy of placental vessels [3,9]. In our patient, the placenta was easily removed by performing wedge resection at the right cornual end and uterine fundus. Otherwise, the placenta should be left in situ to minimize the risk of massive hemorrhage. Attempts to remove the placenta should only be done when the surgeon is able to ligate all the placental vessels [7,10]. Conclusions The important message of this case report is that abdominal pregnancy can be missed during antenatal care and by ultrasound. Emphasis should be placed on clinical assessment and thorough evaluation of patients. Also, vigilant management of a patient with abdominal pregnancy is required to achieve a favorable maternal and fetal outcome. Consent A written informed consent was obtained from the patient for publication of this case report. A copy of the written consent is available for review by the Editor-inChief of this journal. Competing interests The authors declare that they have no competing interests. Authors' contributions DM performed the surgery, wrote and reviewed the manuscript. NN reviewed the patient prior to surgery and revised several drafts of the manuscript. Both authors read and approved the final manuscript. Acknowledgements The authors acknowledge the help of the operating room, postnatal ward and premature unit personnel who assisted in the care of this patient and her premature baby. Author details 1 Department of Obstetrics and Gynecology, Catholic University of Health and Allied sciences, P.O. BOX 1464, Mwanza, Tanzania. 2 Department of Obstetrics and Gynecology, Bugando Medical Centre, P.O. BOX 1370, Mwanza, Tanzania. Received: 29 July 2013 Accepted: 19 February 2014 Published: 25 February 2014 References 1. Bertrand G: Imaging in the management of abdominal pregnancy: a case report and review of the literature. J Obstet Gynaecol Can 2009, 31(1):57–62. 2. Tutuncu L, Mungen E: Does previous cesarean delivery increase the risk of ectopic pregnancy? Perinatal J 2005, 13(2):105–109. 3. Sarwat A, Nadia A: Abdominal pregnancy: a diagnostic dilema. Professional Med J 2011, 18(3):479–484. 4. Krishna D, Damyanti S: Advanced abdominal pregnancy: a diagnostic and management dilemma. J Gynecol Surg 2007, 23:69–72. 5. Graham D, Johnson T, Sanders R: Sonographic findings in abdominal pregnancy. J Ultrasound Med 1982, 1:71–74. 6. Costa D, Presley J, Bastert G: Advanced abdominal pregnancy. Obstet Gynecol Surv 1991, 46(5):15–25. 7. Dahab A, Aburass R, Shawkat W, Babgi R, Essa O, Mujallid R: Full term extrauterine abdominal pregnancy: a case report. J Med Case Rep 2011, 5:531. 8. Martin J, McCaul J: Emergency management of abdominal pregnancy. Clin Obstet Gynecol 1990, 33(4):437–447. 9. Maas DA, Slabber C: Diagnosis and treatment of advanced extra-uterine pregnancy. S Afr Med 1975, 49:2007–2010. 10. Jianping Z, Fen L, Qin S: Full-term abdominal pregnancy: a case report and review of literature. Obstet Gynecol Invest 2008, 65(2):139–141. doi:10.1186/1756-0500-7-106 Cite this article as: Matovelo and Ng'walida: Hemoperitoneum in advanced abdominal pregnancy with a live baby: a case report. BMC Research Notes 2014 7:106. Submit your next manuscript to BioMed Central and take full advantage of: * Convenient online submission * Thorough peer review * No space constraints or color ﬁgure charges * Immediate publication on acceptance * Inclusion in PubMed, CAS, Scopus and Google Scholar * Research which is freely available for redistribution Submit your manuscript at www.biomedcentral.com/submit
Using High Accuracy Geodesy to Assess Risk from Climate Change in Coastal National Parks Angelica Murdukhayeva, University of Rhode Island, Department of Natural Resources Sci ence, 105 Coastal Institute, Kingston, RI 02881; email@example.com Michael Bradley, University of Rhode Island, Department of Natural Resources Science; mike@ edc.uri.edu Nigel Shaw, National Park Service, Northeast GIS Coordination Office, 15 State Street, Boston, MA 02109; firstname.lastname@example.org Charles LaBash, University of Rhode Island, Department of Natural Resources Science; la email@example.com Heather Grybas, University of Rhode Island, Department of Natural Resources Science; hea - firstname.lastname@example.org Tiffany-Lane Davis, University of Rhode Island, Department of Natural Resources Science; tif email@example.com Peter V. August, University of Rhode Island, Department of Natural Resources Science; pete@ edc.uri.edu Tim Smith, National Park Service, GPS Program Coordinator, National Information Systems Cen ter, PO Box 25287, Denver, CO 80225-0287; firstname.lastname@example.org Roland Duhaime, University of Rhode Island, Department of Natural Resources Science; ro email@example.com Abstract THE PROJECTED EFFECTS OF GLOBAL CLIMATE CHANGE THREATEN HABITATS, INFRASTRUCTURE and resources. In coastal ecosystems, sea level rise and an increase in storm frequency and intensity are two major impacts expected to result from climate change. In the northeastern United States, many coastal national parks are vulnerable to these impacts. To plan future land use and management activities, park managers require information about potential climate changeinduced threats to coastal resources. Currently, inundation risk assessments are limited by the accuracy of the best available elevation data. We address this limitation by using geodetic-grade GPS technology to obtain accurate elevation data for "sentinel sites," areas of important natural, cultural, and infrastructural resources in the national parks. We assess the inundation risk to the parks' sentinel sites from coastal climate change impacts using global and local sea level rise predictions and modeled storm surge elevations. 252 • Rethinking Protected Areas in a Changing World: Introduction An increase in the rate of sea level rise is one of the most serious potential impacts of climate change (IPCC 2007). Globally, sea level rise has accelerated since the nineteenth century due to the expansion of warmer waters and melting glaciers. Around the world, sea level rise has not been uniform due to regional factors such as land subsidence and isostatic rebound (upward movement of land after being pressed down, e.g., when a glacier melts). In the Northeast, as much as 2.4 mm/yr of additional sea level rise is due to land subsidence (Kirshen et al. 2007). The Fourth Assessment of the Intergovernmental Panel on Climate Change projected 0.26 to 0.59 m of sea level rise by 2100 under the "business as usual" greenhouse gas emissions scenario (IPCC 2007). This represents a conservative estimate because it does not consider sea level rise caused by rapid increases in the melting of Greenland and Antarctic ice (Overpeck and Weiss 2009). A less conservative approach is the semi-empirical method proposed by Rahmstorf (2007) which links global sea-level variations to global mean temperature, on time scales of decades to centuries. Using the semi-empirical method to model sea level under the same IPCC "business as usual" scenario, Vermeer and Rahmstorf (2009) projected a global sea level rise of 1.13 to 1.79 m by 2100. Another coastal impact to expect from climate change is an increase in the extent and frequency of severe coastal storms and flooding. Using an ensemble mean of 18 global climate models, the frequency of Saffir-Simpson Category 4 and 5 hurricanes is expected to double by the end of the twenty-first century (Bender et al. 2010). During intense storms, surge is produced when water is forced onto the shore by strong winds moving cyclonically around the storm. Storm surge can cause extreme flooding in coastal areas, especially when it coincides with a high tide. During Hurricane Katrina, surge levels reached 9 m (Fritz et al. 2007) and caused significant damage to the coastal infrastructure and ecosystems on the Louisiana and Mississippi coasts. In the coming century, storm surge will be exacerbated by sea level rise. Coastal national parks in the northeastern United States are extremely vulnerable to sea level rise and storm events. They feature many low-lying areas susceptible to flooding. For example, every park in our study area, except two (Cape Cod National Seashore and Acadia National Park), are located entirely below the 15 m (NAVD88) contour interval (Figure 1). The purpose of our analysis is to determine inundation risk of park assets (ecological, cultural, infrastructure) from sea level rise and storm-induced flooding. To help focus the study, park managers have identified "sentinel sites," or locations of importance near the coast, where assessing risk is extremely important. Sentinel sites include natural resources (e.g., species of concern habitats), cultural resources (e.g., archaeological sites), and infrastructure (e.g., visitor centers). We are using the best available elevation data, and sea level rise and storm surge models to estimate the probability of inundation from sea level rise and storm surge at sentinel sites in coastal national parks in the northeast region of the United States. Digital elevation data In order to initially evaluate resources at risk in coastal areas, we created detailed maps to determine which areas fall within elevations that would be inundated under various risk scenarios from sea level rise and storm surge. We found however, that the elevation data available for coastal parks are not accurate enough to conduct map-based assessments where critical elevations for inundation fall within the range of vertical accuracy of the digital elevation model (Figure 2). The United States Geological Survey (USGS) National Elevation Dataset for the entire country is accurate to within 2.4 m (Gesch 2009). A more recent source of elevation data is from LiDAR (light detection and ranging) acquired from a plane-mounted laser sensor that emits pulses of light energy at the ground, and is accurate to 0.15 to 1 m (Gao 2007). Rethinking Protected Areas in a Changing World: • 253 Figure 1. Study area. Acadia National Park in Maine, Boston Harbor Islands National Recreational Area in Massachusetts, Cape Cod National Seashore in Massachusetts, Ellis Island and Statue of Liberty National Monument in New York and New Jersey, Fire Island National Seashore in New York, Gateway National Recreational Area in New York and New Jersey, Assa teague Island National Seashore in Maryland and Virginia, George Washington Birthplace National Monument in Virginia, and Colonial National Historical Park in Virginia. 254 • Rethinking Protected Areas in a Changing World: The most up-to-date elevation data for the coastal parks in the Northeast consists of LiDAR data, which are managed by the National Park Service Inventory and Monitoring Program. At present, there are LiDAR elevation data for every park in our study area, except Acadia. However, the coverage of these data is sometimes incomplete or in need of updating (Skidds 2011). Given the inconsistencies and irregularities of park elevation data, an accurate measure of risk from sea level rise and storm surge inundation is problematic. Survey (geodetic) grade GPS devices are a promising tool in studying sea level rise and storm surge impacts. These devices are capable of measuring elevation at accuracies of up to 1 to 2 cm vertically, and have the ability to quickly calculate a reference position with highly accurate x, y, and z (longitude, latitude, and elevation) positional information (Trimble Engineering and Construction Group). When sea level rise and storm surge assessments are conducted using a network of many known, highly accurate reference positions (a geodetic control network), the ambiguity arising from error in the elevation data is reduced. Geodetic control network The coastal parks of the northeastern United States of America have had geodetic control monuments established inside the parks by various federal and state agencies. By "geodetic control monuments," we mean locations that are permanently marked with a brass disk, metal rod, cement or stone platform, or other permanent structure for which an accurate survey of location and elevation has been conducted (Smith 2007). Many of the monuments in national parks have been established by the National Oceanic and Atmospheric Administration's National Geodetic Survey (NGS). Additional geodetic control monuments have been added to the parks by the Na tional Park Service (NPS) Denver Service Center for various projects over the decades. state department of transportation (DOT) offices have also been active in establishing geodetic control in and around coastal parks. Unfortunately, there is not a single database that identifies all geodetic control monuments in parks, and their current condition. The initial phase of our project focused on taking an inventory of monumented geodetic control points in the parks. This included an extensive data mining exercise to download all readily available data from the NGS, NPS, and DOT offices. To be useful for our analysis, a control point must be accessible to park personnel and researchers (e.g., not on private property), be clearly Rethinking Protected Areas in a Changing World: • 255 Proceedings of the 2011 George Wright Society Conference on Parks, Protected Areas, and Cultural Sites marked and physically stable (e.g., marked with a steel rod driven to depth, or a brass disk mounted in bedrock), and accessible so GPS equipment can be used at the site. Inaccessible sites such as church steeples or water tanks were not used. Each potential control point's key information (e.g., date surveyed, location, monument ID, description of the site, navigation instructions) was encoded into a database and visited in the field. For each control point that we located, we photographed the site, ensured that the monument was intact and not damaged, prepared explicit descriptions of the monument, and developed instructions for navigating to the site. Any control point that was not found or which appeared to have been damaged or disturbed was so noted and indicated in the database. All of these points will be included in database of geodetic control monuments for each park (Figure 3). Existing monuments that are highly stable and have long-term viability are eligible to be used as backbone monuments for a park. Backbone monuments are the network of monuments spaced at 10 km intervals that provide coverage of all coastal areas in a Park. The 10 km spacing among backbone sites represents the effective area for using geodetic-grade GPS systems that require an active GPS base station (Figure 4) established at a known location (backbone site), and a rover GPS that is used to measure elevations at sentinel sites. Using the database of existing monuments in the parks, as well as the spatial distribution of sentinel sites, we conducted a gap analysis to determine locations where existing monuments can be used, and where new backbone monuments must be installed. These backbone monuments will be surveyed following NGS protocols for benchmark establishment using survey (geodetic) grade GPS technology. NPS managers provided us locations of sentinel sites near the coast where assessing inundation risk is critical. Currently, we are measuring elevations of sentinel sites using survey (geodetic) grade GPS equipment. It is imperative that sentinel sites be fully documented and monumented so they can be revisited in the future. Depending on the sentinel site, nearby geodetic control might suffice for recording accurate measurements of position and elevation for the location. Figure 3. Monumented geodetic control evaluation process for Cape Cod National Seashore. 256 • Rethinking Protected Areas in a Changing World: Where sites consist of hard infrastructure (buildings, roads), positions and elevations can be ob tained from fixed features (building foundations, utility platforms). When sentinel sites do not have stable, permanent reference features to work from (e.g., shorebird nesting sites, salt marsh edges), we will install stable monumentation that will allow revisiting the location in the future. Inundation risk assessment To assess vulnerability from severe storms, we use the NOAA Sea, Lake, and Overland Surges from Hurricanes (SLOSH) model, a forecast model for hurricane-induced water levels (NOAA 2007). We obtained predicted elevations of storm surge for Saffir-Simpson Category 1 to 4 hurricanes in each northeastern U.S. storm basin. The SLOSH model predicts maximum potential storm surge elevation based on hurricane category, forward speed, land- fall direction and landfall location for various locations around the USA. The maximum surge within each grid cell is defined as the maximum of the maximum envelope of water (MOMs) and represents the worst-case, localized surge that will occur for landfall in a given location. The results are location-specific, accounting for local water depths, proximity to bays and rivers, etc., and are accurate to within 20% of the calculated value (NOAA 2007). For each park, we will compare the elevations from a LiDAR-derived digital elevation model to SLOSH surge elevations to create a generalized inundation risk map. The resulting map will show areas of the park which have a high likelihood of inundation. To supplement this, we will also compare the land elevations at sentinel sites (obtained from GPS) to the predicted surge elevations to give us a more accurate assessment of the vulnerability of sentinel sites during each storm event. Using these two methods we can make an informed assessment of probability of inundation risk at each site. To assess vulnerability from accelerated sea level rise in coastal national parks, we use the Sea Level Affecting Marshes Model (SLAMM). The model simulates the dominant processes in volved in wetland conversions and shoreline modifications during sea level rise (Clough et al. 2010). We will use the most recent LiDAR data and National Wetlands Inventory data as baseline inputs. We use historic relative sea level rise and projected eustatic sea level rise (i.e., global changes from changes in ocean, or net ocean basin, volume) rates to simulate processes that affect wetland fate during long-term sea level rise. The resulting maps show expected wetland conversions in each park. These results are used to assess risk to sentinel sites. For example, if a plover nesting beach is predicted to be converted to open water under a certain sea level rise scenario, then we assess that the habitat is at risk. Storm surge and sea level rise models will be based on local tidal datums. To be conservative, we are using surge and sea level rises relative to mean higher high water (MHHW). MHHW is the average of the higher high water height of each tidal day observed over a national tidal datum epoch (i.e., 19-year measurement period adopted by the National Ocean Service, Hicks 1999). Standardizing surge and sea level heights relative to MHHW provides us the maximum extent of flooding during normal high tides. Conclusion Modern sea level rise and storm surge models give us the ability to identify coastal areas at risk in Rethinking Protected Areas in a Changing World: • 257 Proceedings of the 2011 George Wright Society Conference on Parks, Protected Areas, and Cultural Sites the coming century. They allow national park managers to develop proactive adaptation and mitigation strategies. However, we must be aware that the delineated inundation zones predicted by these models are limited by the vertical accuracy of elevation data. The use of geodetic grade GPS technology is extremely valuable for assessing risk to national park resources from sea level rise and storm surge. The technology gives us the most accurate point elevation data for the parks' sentinel sites. These elevation data can also be used as inputs for storm surge risk assessments, and serve as reference points for accuracy assessments of digital elevation models. By including the point elevation data in a National Park Sentinel Site Database, they are available for future use as baseline data for monitoring and vulnerability assessment efforts. As the field of sea level and storm surge modeling matures, more sophisticated methods of predicting inundation will certainly be developed. As models become refined, the accurate elevations at sentinel sites will always permit better assessment of risk inundation. Acknowledgments The research we report here is conducted under the auspices of the North Atlantic Coast Coop erative Ecosystems Study Unit, administered by the University of Rhode Island Coastal Institute. We are grateful for technical guidance provided by Charles Roman (NPS), Dennis Skidds (NPS), Sara Stevens (NPS), Rob Thieler (USGS), Kelly Knee (Applied Science Associates, Inc.), and Curtis Crow (NOAA NGS). References Bender, M.A., T.R. Knutson, R.E. Tuleya, J.J. Sirutis, G.A. Vecchi, S.T. Garner, and I.M. Held. 2010. Modeled impact of anthropogenic warming on the frequency of intense Atlantic hurricanes. Science 327:454–458. Clough, J.S., R.A. Park, and R. Fuller. 2010. SLAMM 6 Technical Documentation. http://war renpinnacle.com/prof/SLAMM6/SLAMM6_Technical_Documentation.pdf. Fritz, H.M., C. Blount, R. Sokoloski, J. Singleton, A. Fuggle, B.G. McAdoo, A. Moore, C. Grass, and B. Tate. 2007. Hurricane Katrina storm surge distribution and ﬁeld observations on the Mississippi Barrier Islands. Estuarine Coastal and Shelf Science 74:12–20. Gao, J. 2007. Towards accurate determination of surface height using modern geoinformatic methods: Possibilities and limitations. Progress in Physical Geography 31:591–605. Gesch, D.B. 2009. Analysis of LiDAR elevation data for improved identification and delineation of lands vulnerable to sea level rise. Journal of Coastal Research 53:49–58. Hicks, S.D. 1999. Tide and current glossary. Silver Spring, MD: NOAA National Ocean Service. http://tidesandcurrents.noaa.gov/publications/glossary2.pdf. IPCC [Intergovernmental Panel on Climate Change]. 2007. Climate change 2007: The physical science basis. In Fourth assessment report of the Intergovernmental Panel on Climate Change, ed. S. Solomon, D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Averyt, M.Tignor, and H.L. Miller. Cambridge, UK: Cambridge University Press. Kirshen, P., C. Watson, E. Douglas, A. Gontz, J. Lee, and Y. Tian. 2008. Coastal flooding in the northeastern United States due to climate change. Mitigation and Adaptation Strategies for Global Change 13:437–451. NOAA, National Hurricane Center. 2007. Hurricane preparedness: SLOSH model. www.nhc.noaa.gov/HAW2/english/surge/slosh.shtml. Overpeck, J.T., and J.L. Weiss. 2009. Projections of future sea level rise becoming more dire. Proceedings of the National Academy of Sciences of the United States of America 106:51, 21461–21462. Rahmstorf, S. 2007. A semi-empirical approach to projecting future sea-level rise. Science 315:368–370. 258 • Rethinking Protected Areas in a Changing World: Skidds, Dennis. 2011. Interview by Angelica Murdukhayeva. March 30. Kingston, RI. Smith, C.L. 2007. Bench mark reset procedures: Guidelines to preserve elevation data for a soonto-be disturbed or soon-to-be destroyed bench mark. www.ngs.noaa.gov/heightmod/Level ing/Manuals/Benchmark_9_13_07.pdf. Trimble Engineering and Construction Group. Trimble R8 GNSS receiver datasheet. http:// trl.trimble.comdocushare/dsweb/Get/Document-140079/022543-079J_Trimble - R8GNSS_DS_1109_LR.pdf. Vermeer, M., and S. Rahmstorf. 2009. Global sea level rise linked to global temperature. Proceed ings of the National Academy of Sciences of the United States of America 106:51, 21527– 21532. Rethinking Protected Areas in a Changing World: • 259
Department of Management St. Petersburg School of Economics and Management Digest №2, 2022 The Digest is a collection of resources that serve to support research productivity and creativity of faculty in the Department of Management, SEM, HSE. 1. Upcoming Deadlines for Conference Submissions In the next few months, you might consider the following conferences for paper or abstract submission: \| Domain \| Name of the Conference \| Submission deadline \| Dates \| \|---\|---\|---\|---\| \| Management, Accounting \| ICMRAA 2022 (International Conference on Management Research and Advances in Accounting) \| July 31, 2022 \| November 24-25, 2022 \| \| Management, Arts \| V-Cybercult 2022: Visuality and Cyberculture International Conference \| July 31, 2022 \| Nov 17- 19, 2022 \| \| Management, Economics \| ICEBTS-2022 (International Conference on Economics, Business, Tourism & Social Sciences) \| July 19, 2022 \| August 21, 2022 \| \| \| \| August 16, 2022 \| September 18, 2022 \| \| Management, Innovation \| ACKIM 2022 (Asia Conference on Knowledge and Innovation Management) \| August 5, 2022 \| December 28- 30, 2022 \| 1 \| Management, IT \| ICCMB2023 (6th International Conference on Computers in Management and Business) \| September 1, 2022 \| January 13-15, 2023 \| \|---\|---\|---\|---\| \| Management, IT \| APIT 2023 (5th Asia Pacific Information Technology Conference) \| September 10, 2022 \| February 9-11, 2023 \| \| Management, Finance \| 5th International Conference on Advanced Research in Management, Business and Finance \| October 7, 2022 \| October 21-23, 2022 \| \| Management, Marketing \| 9th Edition of World Marketing Congress \| - \| November 22-23, 2022 \| \| Management, Social studies \| International Conference on Economics, Management and Social Study \| November 4, 2022 \| November 22-23, 2022 \| \| Management, Economics, Finance \| ICEFS (10th International Conference on Economics, Finance and Statistics) \| November 9, 2022 \| December 9 2022 \| \| Management, IT, Machine Learning, AI \| CFAIS 2022 (International Conference on Frontiers of Artificial Intelligence and Statistics) \| November 20, 2022 \| December 16-18 2022 \| Other calls for papers for conferences with SCOPUS publications you can find HERE within a relevant keyword. 2. Editors' Corner: Advice and Perspectives In these editorials, you can find journal editors' advice and answers to some of your questions: Publishing in the Academy of Management journals by Kevin Rockmann, J. Stuart Bunderson, Carrie R. Leana, Paul Hibbert, Laszlo Tihanyi, Phillip H. Phan, and Sherry M. B. Thatcher, 2021, Academy of Management Perspectives, 35(2), 165–174. https://doi.org/10.5465/amp.2021.005110.5465/amp.2021.0051 Writing an impactful review article: what do we know and what do we need to know? by Justin Paul, Altaf Merchant, Yogesh K. Dwivedi, and Gregory Rose, 2021, Journal of Business Research, 133, 337-340. https://doi.org/10.1016/j.jbusres.2021.05.005 Criteria for evaluating qualitative research by Valerie Anderson, 2017, Human Resource Development Quarterly, 28(2), 125-133. https://doi.org/10.1002/hrdq.21282 3. Useful Readings about Scholarly Research, Writing, and Publishing In the following articles, you can read empirical and non-empirical works around scholarly research and publishing trends, patterns, and issues: "An A is an A": The new bottom line for valuing academic research by Herman Aguinis, Chailin Cummings, Ravi S. Ramani, and Thomas G. Cummings, 2020, Academy of Management Perspectives, 34(1), 135–154. https://doi.org/10.5465/amp.2017.0193 Literature review as a research methodology: An overview and guidelines by Hannah Snyder, 2019, Journal of Business Research, 104, 333-339. https://doi.org/10.1016/j.jbusres.2019.07.039 Convincing qualitative research: What constitutes persuasive writing? by Karsten Jonsen, Jacqueline Fendt, and Sébastien Point, 2018, Organizational Research Methods, 21(1), 30-67. https://doi.org/10.1177/1094428117706533 Good for science, but which implications for business? An analysis of the managerial implications in high-impact B2B marketing articles published between 2003 and 2012 by Enrico Baraldi, Antonella La Rocca, and Andrea Perna, 2014, Journal of Business & Industrial Marketing, 29(7-8), 574 –592. https://doi.org/10.1108/JBIM-09-2013-0200 Building consistency between title, problem statement, purpose, and research questions to improve the quality of research plans and reports by Isadore Newman and Duane M. Covrig, 2013, New Horizons in Adult Education & Human Resource Development, 25(1), 70-79. https://doi.org/10.1002/nha.20009 4. Lost & Found If you don't want your articles to be lost in various publication databases and platforms, check out this one-page handout with hot links to relevant media from one of the largest publishers of academic literature, Sage: "Using Social Media to Enhance Discoverability" https://us.sagepub.com/sites/default/files/author_marketing_social_media_guide_web.pdf ?utm_source=selligent&utm_medium=email&utm_campaign=&utm_content=&utm_ter m=&M_BT=28352788113466 5. Scholarly Writing Style: Tips Adverb hopefully is "often misused as an introductory or transitional word… Hopefully means 'in a hopeful manner' or 'full of hope'; hopefully should not be used to mean 'I hope' or 'it is hoped.' Correct: I hope this is not the case. Incorrect: Hopefully, this is not the case.” (from Publication manual of the American Psychological Association, 2010, p. 83) 6. Faculty Spotlight Aleksandra Bordunos is a lecturer at HSE University teaching seminars in transformational leadership, economics, personnel economics, analytics communication and management, and a research seminar. She is certified as a coach (2020) and corporate trainer (2010), since 2009 expands her professional expertise in human resource management in such companies as Magna Cosma, Rhenus Automotive, Energoform, and Russian Standard, as well as in HR club «Kak delat'». She joined a PhD program in 2014 in GSoM SPU and is getting ready for the defense. She was recognized as an outstanding reviewer by Emerald Publishing in 2019 and 2020. Professionally she is enrolled in consulting projects Selfmama and Mamainsuccess aiming for gender inclusion; she is also ex Vice President of Junior Chamber International in SaintPetersburg and ex Vice President of AIESEC in Russia and Jordan, focused on fostering entrepreneurship among youth. These areas drive her research interests, which include strategic human resource management with a focus on gender inclusion and individual antecedents in entrepreneurship. Her new topics of interest are mindful learning and aesthetic intelligence, as since spring 2021 she serves as a technical consultant for Teach4HSE holding masterclasses on teaching online and consulting on related methodological concerns. 7. Faculty Scholarly Accomplishments Let's celebrate scholarly accomplishments of our colleagues: Receiving new grants: Evgeny A. Antipov and Elena B. Pokryshevskaya received new grants from the Russian Science Foundation, "Young Scholars' Research Initiatives" 2021-2023: [x] Evgeny A. Antipov: Grant 21-78-00100 (Аналитическая поддержка разработки конкурентоспособных цифровых устройств на основе моделирования спроса и потребительских предпочтений методами машинного обучения) [x] Elena B. Pokryshevskaya: Grant 21-78-00099 (Моделирование тяжести последствий дорожно-транспортных происшествий в России на основе методов интерпретируемого машинного обучения для аналитической поддержки выработки превентивных мер снижения смертности на дорогах) Receiving grant extensions: Galina V. Shirokova received an extension of funding from the Russian Science Foundation for her grant, «From start-up to global innovative company: Development of sources of competitive advantage in Russian entrepreneurial firms", for an additional period of 2022-2023. Receiving scholarly recognitions: Galina V. Shirokova, Aleksandra K. Bordunos, and Louisa V. Selivanovskikh with Michael Morris (University of Notre Dame, USA) co-authored a paper, "Unravelling the relationship between dark triad traits and effectuation and causation within SMEs" that was recognized as top 10% by the reviewers at the 2022 Annual Meeting of the Academy of Management. 8. Get Inspired! Looking for an idea for your next research? Check out these Calls for Papers in Special Issues of leading journals in management, which are included in the HSE journal list for academic bonuses: R&D Management– 6 Calls: https://onlinelibrary.wiley.com/page/journal/14679310/homepage/call_for_papers Journal of Marketing Management – 5 Calls: https://www.tandfonline.com/action/newsAndOffers?journalCode=rjmm20 The International Journal of Human Resource Management – 4 Calls: https://www.tandfonline.com/action/newsAndOffers?journalCode=rijh20 Journal of Management Studies – 3 Calls: https://onlinelibrary.wiley.com/page/journal/14676486/homepage/call-for-papers Journal of International Management-2 Calls: https://www.sciencedirect.com/journal/journal-of-international-management/about/call-for- papers The Service Industries Journal– 2 Calls: https://www.tandfonline.com/action/newsAndOffers?journalCode=fsij20 Suggestions? Ideas? News? Resources? Send them to Maria S. Plakhotnik: email@example.com The Digest Team: Maria S. Plakhotnik & Anastasiia Pleshkova
Appendix 2 Systematic Alien Verification for Entitlements (SAVE) Program Instructions Manual Appendix 2: Systematic Alien Verification for Entitlements (SAVE) Program Instructions Manual PREFACE Appendix 2 is a copy of the User Manual created by The Immigration and Naturalization Service in 2000 for the Systematic Alien Verification Entitlements (SAVE) Program. On March 1, 2003 the Immigration and Naturalization Service (INS) was abolished and the functions of INS became part of the Department of Homeland Security (DHS). Therefore any reference in this manual to Immigration and Naturalization (INS) will now mean Department of Homeland Security (DHS). The Department of Homeland Security SAVE program Office in coordination with HUD Headquarters provides authorized HUD users with the User access codes, Computer Based Tutorial (CBT) and Quick Reference Guides needed to access the SAVE database. Questions or comments regarding this Manual or the SAVE Program should be directed to the Department of Homeland Security, SAVE Program, ULLOCO Building, 425 I Street, NW Washington, DC 20536, 202-514-2317. Appendix A and Appendix F of the DHS SAVE User Manual are not included in Appendix 2 of this Handbook. Form G-845 S, Appendix F, is Exhibit 4-2 of this Handbook. 1 TABLE OF CONTENTS TABLE OF CONTENTS 2 Introduction Section 121 of the Immigration Reform and Control Act of 1986 (IRCA), as amended by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA), requires verification of citizenship and immigration status of applicants applying for many federal, state, and local public benefits. Each applicant for benefits must declare in writing whether or not they are a citizen or national of the United States, and if not, that they are in a satisfactory immigration status. The Illegal Immigration Reform and Immigrant Responsibility Act of 1996 requires the Immigration and Naturalization Service (INS) to respond to inquiries by federal, state, and local benefit issuing agencies and institutions seeking to verify or determine the citizenship or immigration status of any individuals within the jurisdiction of the agency for any lawful purpose. If an applicant or recipient for any of the benefits listed in IRCA, as amended, is not a U.S. citizen or national, they must provide the benefit provider with documentation from the INS that contains their Alien Registration Number (A-Number), or verbally provide information from such documentation, that provides reasonable evidence of his or her current immigration status. The INS verifies the immigration status through automated and/or manual methods. The process of verification is known as the Systematic Alien Verification for Entitlements (SAVE) Program. The INS is currently using the SAVE automated and manual verification processes to provide federal, state, and local benefit issuing agencies and institutions with information which will assist them in determining an individual's eligibility under Title IV of PRWORA. 1-1 Purpose and Scope This manual describes the SAVE Program, including its legal basis, automated and manual verification processes, and administrative procedures. Chapter 2 gives general program guidelines and information on administration, and is designed for managers and supervisors at benefit issuing agencies and institutions. Chapter 3 provides a detailed overview of the primary verification process. Chapter 4 provides detailed instructions for performing secondary verification. This manual serves as both a training and reference guide for benefit providers and their managers. 4350.3 REV-1 {Blank} Appendix 2 2. SAVE PROGRAM This chapter of the Systematic Alien Verification for Entitlements (SAVE) Program Manual describes the program and explains its legal basis and measures to safeguard the rights of naturalized citizens and non-citizens. Any questions or comments regarding this chapter of the manual should be directed to the Immigration and Naturalization Service (INS) SAVE Program at (202) 514-2317. 2-1 Background The SAVE Program is an intergovernmental information-sharing initiative designed to aid benefit providers in verifying an applicant's immigration status, thereby ensuring that only entitled applicants receive public benefits. The INS SAVE Program provides an information service for benefit issuing agencies and institutions. The INS does not make determinations on any applicant's eligibility for a specific benefit. The SAVE Program has been in operation since 1987. Significant costs in claims for unentitled non-citizens have been avoided through benefit issuing agencies and institutions' participation in the SAVE Program. 2-2 SAVE Legal Basis In 1986, Congress passed the Immigration Reform and Control Act of 1986 (IRCA), which required INS to establish a system for verifying the immigration status of noncitizen applicants for, or recipients of, certain types of federally funded benefits, and to make the system available to federal, state, and local benefit issuing agencies and institutions that administer such benefits. The IRCA and the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA), mandates the following programs and overseeing agencies to participate in the verification of an applicant's immigration status: the Temporary Assistance to Needy Families (TANF) Program, the Medicaid Program, and certain Territorial Assistance Programs (U.S. Department of Health and Human Services); the Unemployment Compensation Program (U.S. Department of Labor); Title IV Educational Assistance Programs (U.S. Department of Education); and certain Housing Assistance Programs (U.S. Department of Housing and Urban Development). The PRWORA created a very complex set of eligibility requirements that cannot be easily summarized. These requirements continue to be regularly amended by Congress. The PRWORA did not affirmatively make any person eligible for any benefit. Rather, it placed a new set of limitations on non-citizen eligibility on top of any preexisting program requirements (some of which may have limited non-citizen eligibility). With certain exceptions, PRWORA made non-citizens who are not qualified aliens ineligible for federal public benefits, and aliens who are not qualified aliens or lawful non–immigrants or aliens paroled into the United States under Section 212(d)(5) of the INA for less than one year ineligible for state or local public benefits. There are also limitations on the eligibility of qualified aliens for benefits, again with exceptions. The PRWORA, as amended by the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA) and the Balanced Budget Act of 1997 (BBA), defines a "qualified alien" as: * An alien who is lawfully admitted for permanent residence under the Immigration and Nationality Act (INA) * A refugee who is admitted to the United States under Section 207 of the INA * An alien who is granted asylum under Section 208 of the INA * An alien who is paroled into the United States under Section 212(d)(5) of the INA for a period of at least one year * An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980 * An alien whose deportation is being withheld under Section 243(h) of the INA (as in effect prior to April 1, 1997) or whose removal has been withheld under Section 241(b)(3) * An alien who is a Cuban/Haitian Entrant as defined by Section 501(e) of the Refugee Education Assistance Act of 1980 * Certain aliens who have been battered or subjected to extreme cruelty as defined in USC Section 1641 (c) The PRWORA restrictions do not apply to all federal, state, and locally funded activities or programs; they apply only to non-exempted "federal public benefits" and "state and local public benefits." Therefore, benefit providers should first determine whether the particular program they administer is providing a "federal public benefit" or a "state and local public benefit" for which Title IV of PRWORA or other applied laws require alien eligibility. For example, emergency medical care and certain forms of disaster relief are exempt, as are other key benefits. If an agency requires further assistance in determining whether a specific benefit it administers is a federal, state, or local public benefit, it should contact the overseeing federal, state, or local Government agency, as that agency would be in the best position to make that determination. The PRWORA defines "federal public benefit" as: * Any grant, contract, loan, professional license, or commercial license provided by an agency of the United States or by appropriated funds of the United States. * Any retirement, welfare, disability, public or assisted housing, post-secondary education, food assistance, unemployment benefit, or any other similar benefit for which payments or assistance are provided to an individual, household, or family eligibility unit by an agency of the United States or by appropriated funds of the United States. * – AND – The PRWORA's definition of "state and local public benefit" parallels the definition of federal public benefit, except that it substitutes "state or local government" for "the United States." State or local public benefits do not include federal public benefits; therefore, a benefit cannot meet both definitions. If a benefit qualifies as a "federal public benefit," it is not a "state or local public benefit" regardless of whether state or local funding is also involved. The IIRIRA requires INS to respond to inquiries by federal, state, and local benefit issuing agencies and institutions seeking to verify or determine the citizenship or immigration status of any individual within the jurisdiction of the agency for any lawful purpose. The INS is currently using the SAVE Program's automated and manual verification processes to provide federal, state, and local benefit issuing agencies and institutions with information which will assist them in determining an individual's eligibility under Title IV of PRWORA. 2-3 Program Components As mandated by IRCA, INS developed an effective, secure, and cost effective method of verification. The SAVE Program relies on the Alien Status Verification Index (ASVI) database, which contains information on more than 60 million non-citizens. When accessed by the user, ASVI responds within 3 to 5 seconds of the query. The ASVI database is housed and maintained under contract with Lockheed Martin Integrated Business Solutions (LMIBS). The automated process is known as the "primary verification." The following flow chart, Figure 2-1 shows the Primary Verification Process. Figure 2-1: Primary Verification Process SECONDARY VERIFICATION Benefit Issuing Agency institutes secondary verification process by submitting completed Document Verification Request, Form G-845, with a photocopy of supporting documentation or by submitting additional information electronically to appropriate INS field office for thorough search of other INS automated and manual data sources Non-citizen submits application to Benefit Issuing Agency PRIMARY VERIFICATION Status Review and ASVI Query ASVI Match? NO YES YES NO PRIMARY VERIFICATION PROCESS Benefit Issuing Agency makes determination as to applicant’s eligibility for benefit INS either completes Form G-845 or an electronic response and replies to Benefit Issuing Agency In most cases, Benefit Issuing Agencies that use primary verification will query ASVI before instituting secondary verification. In addition, SAVE verification is available through secondary verification if the use of ASVI is not cost–effective. The SAVE Program also requires participating benefit issuing agencies and institutions to use secondary verification when directed by an ASVI system message during primary verification, or when the primary check or initial inspection of a non-citizen's immigration documentation reveals material discrepancies or when verification of a naturalized citizen is required. See Figure 2-2 for a flow chart on the Secondary Verification Process. Figure 2-2: Secondary Verification Process SECONDARY VERIFICATION Benefit Issuing Agency institutes secondary verification process by submitting completed Document Verification Request, Form G-845, with a photocopy of supporting documentation or by submitting additional information electronically to appropriate INS field office for thorough search of other INS automated and manual data sources Non-citizen Submits Application to Benefit Issuing Agency Agency Status Review Benefit Issuing Agency Makes Determination as to Applicant’s Eligibility for Benefit YES NO SECONDARY VERIFICATION PROCESS INS either completes Form G-845 or an electronic response and Replies to Benefit Issuing Agency Agencies that do not access ASVI will proceed directly to the secondary verification process. 2-4 SAVE Program Administration The SAVE Program is administered at the INS Headquarters Office in Washington, DC, by the Office of Files and Forms Management, SAVE Program. User agencies and institutions may contact INS SAVE Program staff at (202) 514-2317. The Data Systems Division of the INS Office of Information Resources Management has responsibility for providing technical support to the SAVE Program. The SAVE Program also provides policy and guidance relating to the secondary verification process to INS field offices. The INS Headquarters Office of Field Operations, Regional and District Offices, and Suboffices have operational responsibility for carrying out policy and guidance provided by the SAVE Program. Figure 2-3 is the INS organization chart as it relates to the SAVE Program. Figure 2-3: INS SAVE Program Organizational Chart INS Commissioner Executive Associate Commissioner for Field Operations Executive Associate Commissioner for Management Files and Forms Management Information Resources Management Data Systems Division - Primary database - Technical system development and maintenance - Contracting Officer’s Technical Representative (COTR) to LMIBS Contract SAVE Program - Program responsibility - Program development - Primary verification policy and procedures - Secondary verification policy and procedures - Liaison with federal, state, and local benefit issuing agencies and institutions District Offices and Suboffices - Secondary Verification - Coordination and liaison with counterparts in benefit issuing agencies and institutions - Update of records Regional Offices - Coordination and liaison with field Immigration Status Verifiers (ISVs) - Liaison with benefit issuing agencies and institutions Although IRCA, as amended by PRWORA, mandates only federal public benefit programs to participate in SAVE, any federal, state, or local benefit issuing agency or institution, or licensing issuing bureau that requires verification of a non-citizen's immigration status may inquire about participation by contacting the INS SAVE Program at (202) 514-2317. 2-5 General Verification Procedures At the time of application, all individuals applying for public benefits listed in IRCA and PRWORA, are required to declare in writing, under penalty of perjury, whether they are a United States citizen or a United States non-citizen national, or that they are in a satisfactory immigration status. If an applicant claims to have a satisfactory immigration status, they must present immigration documentation that the federal benefit provider is required to verify with INS, or that the state and local benefit provider can opt to verify with INS, via automated access to ASVI or through manual submission of a Document Verification Request, or both. Detailed instructions for the primary and secondary verification processes are located in Chapters 3 and 4, respectively. 2-6 Legal Protection and Safeguards Determination of Benefits Award or denial of a benefit based on immigration status and the establishment of a fair hearing process are the responsibilities of the benefit issuing agency or institution. The benefit issuing agency or institution will obtain INS verification of immigration status, and determine whether or not the non-citizen is eligible for a benefit according to its own regulations. Fair Hearing Nondiscrimination Each benefit issuing agency or institution will maintain its own fair hearing and appeals process for individuals who have been denied benefits. The INS will provide the appropriate immigration technical consultation and witness support necessary to the agency or institution during the fair hearing process on a prearranged and approved basis. The INS should be consulted well before the hearing is scheduled to resolve any problems, such as data discrepancies or misunderstandings that might have led to the denial. Various Federal civil rights laws and regulations prohibit discrimination by governmental and private entities on the basis of race, color, national origin, gender, religion, age, and disability. Thus in operating or participating in a federally assisted program and implementing the requirements of the INA, as amended by PRWORA, including those described in this user's manual, a benefit Protection Under Federal Statutes issuing agency or institution should not, on the basis of race, color, or national origin, directly or indirectly differentiate among persons in the types of program services, aids, or benefits it provides or the manner in which it provides them. For example, benefit providers should treat all similarly situated individuals in the same manner, and should not single out individuals who look or sound foreign for closer scrutiny or require them to provide additional documentation of citizenship or immigration status. Certain data that is released during the verification process requires INS to comply with sections of the Privacy Act (5 U.S.C. 552a). Consequently, INS will maintain a Record of Disclosure on all alien registration numbers checked through the verification process for legal permanent residents (LPRs) and naturalized citizens. The following data will be maintained regarding each query, and it will be disclosed in accordance with the Privacy Act: * Alien registration number * Benefit issuing agency or institution requesting immigration status verification * Date and time of disclosure * Non-citizen's immigration status at the time of inquiry The INS will protect an individual's privacy to the maximum degree possible, in accordance with the Immigration and Nationality Act and any other applicable statutes. If an immigration document does not contain an alien registration number, INS will conduct computer checks against all available INS data systems during manual verification to determine the holder's immigration status. The INS will make a record of disclosure when all the following conditions hold true: * It finds that an alien registration number exists for that applicant; * The non-citizen's immigration status requires disclosure accounting. * The document appears bona fide; and The records of disclosure created by checks made against ASVI and other systems of records will be available to any person or agency in accordance with federal statutes. The verification processes maintain an audit trail which is used for purposes of identifying inordinate and extraordinary use of Alien Registration Numbers. Examples of such suspicious activities include non-existent Alien Registration Numbers and numbers checked Safeguards repeatedly from multiple localities within a short period of time. This information may be used by INS and other federal, state, and local law enforcement entities for investigation of possible criminal activity, in accordance with existing federal statutes. The ASVI audit trail will not be used by INS for non–criminal, administrative enforcement of immigration laws. Benefit issuing agencies or institutions that require information from the audit trail should contact the INS SAVE Program at (202) 514-2317. The INS, participating benefit issuing agencies and institutions, and contractors shall protect the individual's rights to the fullest extent of the law. Immigration and Naturalization Service. The SAVE Program has been implemented in a manner that provides for verification of immigration status without regard to sex, color, race, religion, or national origin of the individual involved. The INS stores information in a secure area in order to safeguard its confidentiality. Data usage is restricted to persons whose duties and responsibilities indicate a need for its review. Participating Benefit Issuing Agencies and Institutions . Participating benefit issuing agencies and institutions shall provide a non-citizen applicant with a reasonable opportunity to furnish evidence of satisfactory immigration status. The benefit issuing agency or institution using SAVE should make the determination for itself whether benefits should be provided on an interim or temporary basis to applicants pending completion of the SAVE processes, applying any legal authority that may be relevant to that benefit. For example, IRCA's statutory provisions regarding Medicaid, unemployment compensation, and other Federal benefit programs required to use SAVE generally prohibit benefit issuing agencies and institutions determining eligibility for these benefits from delaying, denying, reducing, or terminating benefits pending SAVE verification. Lockheed Martin Integrated Business Solutions (LMIBS). The database housed and maintained by LMIBS is a "read only" system. No update capability is available to the benefit providers. However, if data discrepancies in ASVI are discovered during manual verification, INS will update the database as necessary. The LMIBS, under contract with INS, stores the database and provides access to authorized benefit issuing agencies and institutions using proper security safeguards. This system avoids dissemination of applicant information to unauthorized individuals or agencies. 3. PRIMARY VERIFICATION PROCEDURES This chapter of the SAVE Program manual provides instructions for primary verification. It gives guidelines for evaluating non-citizen documentation, interpreting ASVI output, and selecting cases for immediate manual verification when necessary. Questions, comments, and changes regarding information in this section of the manual should be directed to the INS SAVE Program at (202) 514-2317. 3-1 Background SAVE Program participants will generally use the Alien Status Verification Index (ASVI) database, which contains information on more than 60 million non-citizens for initial automated status verification. This automated process is known as primary verification. When accessed by the user, ASVI will respond within 3 to 5 seconds of the query. Current users access the ASVI database, which is housed and maintained by Lockheed Martin Integrated Business Solutions (LMIBS), with any one of six access methods. Those methods of access include: 3270-terminal, Personal Computer, Point-of-Sale, Touch-Tone Telephone, Electronic File Transfer, or Remote Job Entry. The touch-tone telephone, point-of-sale, and electronic file transfer access methods are no longer available to new users of the SAVE Program. In addition, SAVE verification is available to benefit issuing agencies and institutions through a manual verification process, known as secondary verification, when the use of ASVI is not cost effective. Secondary verification is also required when primary verification reveals material discrepancies or when the user is so directed by an ASVI system message. 3-2 General Verification Procedures At the time of application, all individuals applying for the public benefit programs listed in the Immigration Reform and Control Act of 1986 (IRCA), as amended by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA), must declare in writing, under penalty of perjury, that they are United States citizens or United States non-citizen nationals and, if not, that they are in a satisfactory immigration status. If an applicant is not a citizen or non-citizen national of the United States, they must present immigration documentation that the benefit issuing agency or institution will verify with INS, through the automated system or by submitting a Document Verification Request, Form G-845, to INS. 3-3 Required Documentation All non-citizens applying for public benefits must present immigration documentation, or in some cases, verbally provide information from such documentation, that the benefit issuing agency or institution determines is reasonable evidence indicating a satisfactory immigration status. The document must be returned to the non-citizen by the reviewing agency. If an applicant presents an expired document or is unable to present any immigration documentation evidencing their immigration status, refer the applicant to the local INS Office to obtain documentation of their immigration status. In unusual cases involving applicants who are hospitalized or medically disabled, or who can otherwise show good cause for their inability to present documentation, and for whom securing such documentation would constitute an undue hardship, if the applicant can provide other identifying documentation i.e., marriage records, court orders, etc., the benefit issuing agency or institution may submit the Document Verification Request and, if applicable, a copy of any expired INS document presented, to the local INS Office to verify the applicant's immigration status. Section 264 of the Immigration and Nationality Act (INA), 8 U.S.C. 1304, states noncitizens 18 years of age or older in the United States must have immigration documentation in their possession at all times. Non-citizens without documentation, such as those who claim documents were lost or stolen, should be referred to the local INS office (as shown in the U.S. Government listing of the telephone directory) to request new documentation prior to the initiation of primary or manual verification procedures. Most non-citizen applicants will present documentation that contains an Alien Registration Number (A-Number). This number references an individual's non-citizen file at INS. The A-Number contains seven, eight, or nine numerical digits preceded by the letter A, e.g., A72 735 835. Each A-Number is unique in that it pertains to only one person; even minors and infants who are not citizens or nationals of the United States are assigned individual A-Numbers. Immigration documentation includes but is not limited to the examples shown in Appendix A of this manual. Except for the Arrival-Departure Record, Form I-94, such documents should show the A-Number of the bearer. Some documents have expiration dates. These dates should be checked during the benefit issuing agency or institution's visual examination of the documentation. Some forms have been released in several editions and, therefore, valid documentation may not match the example exactly. The examples in Appendix A represent those INS documents that are most commonly presented and are not all inclusive. Appendix B-Glossary, defines terms related to immigration status. A Form I-94 with the following endorsement will have an A-Number annotated on it and is an acceptable document as long as the expiration date has not passed: "Processed for I-551. Temporary Evidence of Lawful Admission for Permanent Residence. Valid until ___________. Employment Authorized or Temporary Form I-551, Admission for permanent resident or (port) (date) verified." A non-citizen's passport may also contain the endorsement above and will have an A-Number annotated on the passport. Non-citizens also may present other pertinent documents, such as marriage records or court orders, that indicate the identity or United States residency of the holder. Although these documents may not serve as adequate proof of immigration status, they may prove useful in the secondary verification process, when required. Some INS documents do not contain a photograph of the bearer. When such documentation is presented, INS strongly recommends that the benefit provider ask for a document that includes a photograph, such as a driver's license or an employee badge. A copy of this document need not be provided during the secondary verification process because the purpose of requesting the document is to ensure that the benefit provider can identify the non-citizen satisfactorily. 3-4 Immediate Secondary Verification Under most circumstances, an automated check of INS records through ASVI is the first step in the verification process. However, the following circumstances require that the benefit provider forego the use of ASVI and perform secondary verification immediately: * A non-citizen presents unfamiliar INS documentation, or a document that indicates immigration status, but does not contain an A-Number. * A document appears to be counterfeit or altered. Characteristics of suspect documentation include photograph substitution and ink discoloration. * A non-citizen presents immigration documentation with an A-Number in the 60,000,000 or 80,000,000 series. * The non-citizen presents a foreign passport and/or Form I-94 and the "Admission for Permanent Residence" endorsement is more than 1 year old. * The non-citizen has no immigration documentation and is hospitalized, medically disabled, or who can otherwise show good cause for their inability to present documentation, and for whom securing such documentation would constitute an undue hardship. * The applicant presents a Certificate of Naturalization or a Certificate of Citizenship, and verification of U.S. citizen status is required. * If a non-citizen applicant presents any of the above immigration documentation to the benefit issuing agency or institution, photocopies should be submitted immediately to INS with a completed Document Verification Request for secondary verification. See Chapter 4 of this manual for instructions on submitting a secondary verification request to INS. 3-5 ASVI Access Methods Current users access the ASVI database with any one of six access methods. Those methods of access include: * Personal computer (PC) or teletype terminal, using a standard telephone (asynchronous) line (interactive access, monitor and printer) * 3270-type terminal, or personal computer with 3270 emulation board, using a dedicated telecommunications line (interactive access, monitor, and printer) * Point-of-sale (POS) emulation (interactive access, PC, and printer) * Electronic file transfer (EFT) using personal computer with communications software, via a standard telephone or dedicated telecommunications line (batch access, monitor, and printer) * Touch-tone telephone or standard dial telephone with tone generator (interactive access, voice data response) * Remote job entry (RJE) terminal, or personal computer with RJE emulation board, using a standard telephone or dedicated telecommunications line (batch access, monitor and printer) The touch-tone telephone, point-of-sale, and electronic file transfer access methods are no longer available to new users of the SAVE Program. Contact the INS SAVE Program at (202)514-2317 to obtain step-by-step instructions for accessing ASVI via any of the other methods listed above. 3-6 Understanding ASVI Output Data The data fields contained in the display or voice output response for most ASVI users are illustrated in Figure 3-1. Benefit providers should compare data on the documentation to the corresponding fields in ASVI. The biographical data and status information in ASVI must correspond to the data on the documentation. If the benefit provider determines that discrepancies exist, he or she should initiate the secondary verification process, as instructed in Chapter 4. Secondary verification must also be initiated when ASVI returns the message "Institute Secondary Verification." The following is provided to assist benefit issuing agencies and institutions in understanding the data output fields provided by ASVI: Table 1 \| \| Field \| Explanation \| \|---\|---\|---\| \| 1. Alien Number \| \| \| \| \| Field \| Explanation \| \|---\|---\|---\| \| 3. Date of Birth \| \| \| \| 4. Country of Birth \| \| \| \| 5. Alternate ID \| \| \| \| 6. Social Security Number (SSN) \| \| \| \| 7. Date of Entry \| \| \| \| 8. INS Status \| \| \| \| \| Field \| \| Explanation \| \|---\|---\|---\|---\| \| 9. Verification Number \| \| The system will provide a unique verification number with the output from every query. This number will contain information that identifies the query. Users should always record this number in the applicant’s file for both quality assurance and ease in processing Freedom of Information Act requests. \| \| 3-7 General Information System Hours The ASVI database is available for interactive queries between 7:00 a.m. Eastern Standard Time (EST), and 8:00 p.m. Pacific Standard Time (PST), Monday through Friday. Technical Assistance Users should call the Customer Service Help Desk regarding technical problems with the ASVI System such as inability to access the system, exceptionally slow response times, and system failures. The Customer Service Help Desk provides support Monday through Friday, 8:00 a.m. EST to 8:00 p.m EST via its toll-free telephone number, 1-800-467-0375. Program Assistance The INS SAVE Program will answer questions regarding program policies and enrollment procedures. Personnel are available from 7:30 a.m. EST to 5:00 p.m. EST, Monday through Friday, at (202) 514-2317. 3-8 ASVI Enrollment Process After a benefit issuing agency or institution expresses interest and receives approval from INS to participate in the SAVE Program, the procedures below should be followed: \| \| Step \| Action \| \|---\|---\|---\| \| 1 \| \| \| \| 2 \| \| \| \| 3 \| \| \| 4-1 ASVI Billing Process The following are billing procedures: \| \| Step \| Action \| \|---\|---\|---\| \| 1 \| \| \| \| 2 \| \| \| \| 3 \| \| \| \| 4 \| \| \| 5. SECONDARY VERIFICATION PROCEDURES This chapter of the SAVE Program Manual provides instructions for secondary verification, for both the Alien Status Verification Index (ASVI) and non-ASVI user. It gives guidelines for initiating secondary verification and understanding INS' response to the verification request. Questions and comments regarding secondary verification should be directed to the INS SAVE Program at (202)-514-2317. 5-1 Background The SAVE Program requires participating agencies and institutions to submit secondary verification requests to the INS under specified circumstances. The INS conducts thorough searches of applicable INS databases and paper files, as necessary, to respond to such secondary verification requests. A combination of both the primary and secondary components of the SAVE Program are used by a large number of SAVE users. However, status verification involving only the secondary process is available to benefit issuing agencies and institutions that have a very small number of non-citizen applicants for benefits. The purpose of the secondary verification process is two-fold. First, it allows agencies to participate in the SAVE Program when access to the automated system would not be cost effective. Second, it provides a thorough search of all applicable INS automated databases and paper files when questions arise during the visual verification of documentation or the primary verification. 5-2 Initiating Secondary Verification Benefit issuing agencies and institutions with access to ASVI will perform primary verification for most non-citizen applicants prior to initiating secondary verification procedures. However, certain circumstances require that the benefit provider forego the use of ASVI and perform secondary verification immediately. Refer to the "Immediate Secondary Verification" topic in Chapter 3 for circumstances that require immediate secondary verification. Additionally, secondary verification should occur after an automated ASVI check when: * A material discrepancy between an applicant's immigration documentation and the record contained in ASVI exists * ASVI returns a response of "Institute Secondary Verification" * A non-citizen claims they obtained Lawful Permanent (or Conditional) Resident Status because they were a battered alien, a parent of a battered child(ren), or a victim of domestic violence. Refer to the Interim Guidance on Verification of Citizenship, Qualified Alien Status, and Eligibility Under Title IV of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, 62 FR 61344 at Exhibit B to Attachment 5 (Nov. 17, 1997), for instructions on verifying noncitizens claiming status in this category. * Sponsorship information from the non-citizen's Affidavit of Support (Form I-864) is required 5-3 Obtaining Secondary Verification To obtain secondary verification, the benefit provider will forward a completed Document Verification Request with fully readable photocopies of both sides of the non-citizen's immigration documentation to their local INS Office for review. The INS Offices are listed by state and county in Appendix D; their addresses are given in Appendix E. Benefit issuing agencies and institutions mandated by the Immigration Reform and Control Act of 1986 (IRCA) to participate in the SAVE Program are required to use Form G-845S, Document Verification Request and all other participating benefit issuing agencies and institutions must use Form G-845, Document Verification Request. The Document Verification Request Supplement, Form G-845 Supplement, can be used in conjunction with both forms, but not separately to obtain additional immigration information required to make a determination for benefit eligibility as a result of the PRWORA, as amended. These forms are included in Appendix F and can be copied by benefit issuing agencies and institutions for use in instituting secondary verification. A separate Document Verification Request should be completed for each applicant and should include copies of the documents for that person only. If a family unit has applied for a benefit, each member will require a separate Document Verification Request. 5-4 Attachments A photocopy of all applicable printed pages of each piece of immigration documentation presented should be attached to the Document Verification Request. The INS requires that benefit issuing agencies and institutions copy all printed sides of each INS-issued card or form presented. When the non-citizen presents a foreign passport as documentation, INS only requires copies of those pages that identify the issuing country, holder, and immigration status while in the United States (i.e., Form I-94 INS stamp). If the applicant presents expired immigration documents or is unable to present any immigration documentation evidencing his or her immigration status, the benefit issuing agency or institution should refer the applicant to the local INS office to obtain documentation of status. In unusual cases involving applicants who are hospitalized or medically disabled, or who can otherwise show good cause for their inability to present documentation, and for whom securing such documentation would constitute an undue hardship, if the applicant can provide other identifying documentation i.e., marriage records, court orders, etc., the benefit issuing agency or institution may file the Document Verification Request, and, if applicable, copies of any expired INS documents presented, with the local INS office to verify immigration status. As with any documentation of immigration status, the benefit issuing agency or institution should confirm that the status information received from INS pertains to the applicant whose identity has been verified. Although an INS document is all the identification required to complete the secondary verification request, the attachments may include identification bearing a photograph of the applicant. If the non-citizen has presented another pertinent document, such as a marriage record or court order, it may be included as well. Refer to Appendix A for examples of commonly presented INS documentation. Note that other INS forms can serve as valid identification documents. The name and address of the benefit issuing agency or institution submitting the Document Verification Request should be typed or stamped in the block labeled "From." The INS office address the Document Verification Request is being sent to should be typed or stamped in the block labeled "To." 5-5 Completing the Document Verification Request The Document Verification Requests (Form G-845S and Form G-845) (see Appendix F) should be completed as fully as possible by the submitting agency. It is essential that the form contain sufficient information to verify the immigration status of the non-citizen. The benefit issuing agency or institution completes Section A. The following chart provides instructions for completing Section A of Form G-845S and Form G-845. Table 2 \| \| Field \| Instructions \| \|---\|---\|---\| \| 1.Alien Registration Number or I-94 Number \| \| \| \| 2. Applicant’s Name \| \| \| \| 3. Nationality \| \| \| \| 4. Date of Birth \| \| \| \| \| Field \| \| Instructions \| \|---\|---\|---\|---\| \| 5. Social Security Number \| \| Enter the non-citizen’s nine-digit Social Security number, if known. Copy the number directly from the non-citizen’s Social Security card whenever possible. \| \| \| 6. Verification Number \| \| Enter the verification number assigned when ASVI was queried, if applicable. If ASVI was not queried, enter “none.” \| \| \| 7. Photocopy of Document Attached and Other Information Attached \| \| Indicate that INS documentation is attached by checking the top box. Use the bottom box if other information has been included in support or in lieu of INS documents. \| \| \| 8. Benefit/Your Case Number \| \| If completing the Form G-845S, mark the blocks showing the benefit program(s) for which the non- citizen has applied. If completing the Form G-845, enter the benefit program(s) for which the non-citizen has applied. This block may also be used to show the benefit issuing agency’s or institution’s case number. \| \| \| 9. Name of Submitting Official \| \| The name of the submitting official from the benefit issuing agency or institution should be entered. \| \| \| 10. Title of Submitting Official \| \| The title of the submitting official from the benefit issuing agency or institution should be entered. \| \| \| 11. Date \| \| The date the Document Verification Request is being completed by the submitting official from the benefit issuing agency or institution should be entered. \| \| The name and address of the benefit issuing agency or institution submitting the Document Verification Request should be typed or stamped in the box labeled "From." The INS office address the Document Verification Request is being sent to should be typed or stamped and the box labeled "To." 5-6 Completing the Document Verification Request Supplement The Document Verification Request Supplement (G-845 Supplement) (See Appendix F) may only be used in conjunction with the Document Verification Request (Form G-845S or Form G-845), not separately. It should also be completed as fully as possible by the benefit issuing agency or institution. The following information should be provided on Form G-845 Supplement by the benefit issuing agency or institution. * Non-citizen applicant's last, first, and middle name; * Alien Registration Number (A-Number) and/or I-94 Number; * Social Security Number (if available); * Typed or stamped name and address of submitting agency; * Submitting agency's telephone number. * Current date; Refer to the "Completing the Document Verification Request" topic in this Section for more detailed instructions on providing this information. The benefit issuing agency or institution should indicate what status information is required from INS by checking off the appropriate numbered block9s) in the "Complete the following items:" section on the top portion of the Form G-845 Supplement. It is very important that the benefit issuing agency or institution complete this section, so that INS can provide all appropriate INS status information required to make a determination regarding the applicant's eligibility for benefits under Title IV of PRWORA, as amended. The following INS information can be obtained by submitting Form G-845 Supplement: 1. Immigration status; 2. Date alien entered the United States; 3. Date status was granted; 4. Date status expires; 5. Citizen status; 6. Special benefit provisions for certain victims of abuse; and 7. Affidavit of Support. 5-7 Mailing Document Verification Requests Photocopies of documentation should be stapled to the Document Verification Request with a single staple in the upper left-hand corner. The form and documents can be folded and placed in a window envelope, with the block labeled "To" showing in the address area. More than one G-845 can be mailed in a single envelope; however, INS discourages benefit issuing agencies and institutions from collecting forms over an extended period of time in order to mail them in bulk. All benefit issuing agencies and institutions should mail Form G-845 to their local INS Office. The notation, "ATTN: Immigration Status Verifier," should be included on the envelope to ensure proper handling by the INS mailroom. Immigration Status Verifiers 28 (ISVs) are located in INS Offices throughout the United States, Puerto Rico, Virgin Islands, and Guam. To determine the correct INS Office, review the list of states and counties in Appendix D; their mailing addresses are included in Appendix F. 5-8 Obtaining Copies of the Document Verification Requests and Supplement Benefit issuing agencies and institutions may duplicate the Document Verification Requests and Supplement provided in Appendix F; both forms should be reproduced as two-sided documents. Additional copies of the forms may also be obtained as follows: 1. Request Document Verification Request (Form G-845S and Form G-845) and the Document Verification Supplement (Form G-845 Supplement) from the INS Form Distribution Center serving your region as noted below: 2. Download the Document Verification Requests and Supplement from the Internet: www.usdoj.gov/ins/forms. 3. Call the INS Forms Request Line: 1-800-870-3676. (Due to the high volume of calls to this line, the best time to call is early on weekday mornings.) East of the Mississippi River: Eastern Forms Center P.O. Box 567 Williston, VT 05497 West of the Mississippi River: Forms Center West 5600 Rickenbacker Road Building 701A Bell, CA 90201 5-9 Document Verification Request and Supplement Responses Immigration Status Verifiers (ISVs) will research the non-citizen applicant's records in INS automated databases and paper files, complete the response portion, Section B, of the Document Verification Request, and return both the form and attached photocopies to the requesting agency within ten working days of receipt by the local INS Office for mandated benefit issuing agencies and institutions, and within the timeframe specified in the Memorandum of Understanding (MOU) for all other benefit issuing agencies and institutions. The secondary verification process includes the following: * Examination of the photocopies of the immigration documentation * Review of the applicant's Alien File (A-File), if required * Search of all applicable INS records systems (both automated and manual) * Evaluation of findings * Return Form G-845 to benefit issuing agency or institution * Determination of immigration status Automated INS databases and paper files that may be used include: * Non–immigrant Information System (NIIS) — An automated database that contains information on non-immigrants, such as visitors and foreign government officials * Central Index System (CIS) — The most complete online record of non-citizens and naturalized citizens in the United States * Computer-Linked Application Information Management System (CLAIMS) - A national automated database that records and tracks cases for immigration benefits * Deportable Alien Control System (DACS) - An automated database that records activities associated with aliens who are detained or placed under docket control for deportation or exclusion * Students/Schools System (STSC) — The online file of foreign students in U.S. academic and vocational educational institutions * Alien Files — The paper files on non-citizens in the United States * Federal Records Center Index — Resource used to access retired government records * INS Microfilm Files — Files containing pre-CIS records A description of each of these sources is located in Appendix G. 5-10 Understanding the INS Response The Document Verification Request and Supplement are self-reply forms. The ISV will check all appropriate statements on the lower half and back of the Document Verification Request, and, if applicable, on the lower half and back of the Document Verification Request Supplement, to indicate the applicant's immigration status and work eligibility. Statements on the front of the Document Verification Request are interpreted as follows: Table 3 \| \| Block \| Explanation \| \|---\|---\|---\| \| 1. This document appears valid and relates to a Lawful Permanent Resident alien of the United States \| \| \| \| \| Block \| \| Explanation \| \|---\|---\|---\|---\| \| 2. This document appears valid and relates to a Conditional Resident alien of the United States \| \| Checked when the documentation submitted is determined to be a valid Form I-94 stamped with the notation Processed for I-551, “Temporary Evidence of Lawful Admission for Permanent Residence,” or a valid Form I-551. Under the law, this person is allowed to live and work in the United States. However, INS will reevaluate his or her status within 2 years. Conditional resident non-citizen status is normally granted to non-citizens that marry U.S. citizens or nationals, or lawful permanent resident non-citizens of the United States. \| \| \| 3. This document appears valid and relates to an alien authorized employment as indicated below: \| \| Checked to indicate if the authorization covers full- time or part-time employment and when, if applicable, the period of employment will expire. “Indefinite” will be indicated if there is no specific expiration date for employment eligibility. \| \| \| 4. This document appears valid and relates to an alien who has an application pending for: \| \| Checked when a non-citizen’s application for a new immigration status or change of immigration status is pending. If a change of status is pending, the appropriate block indicating the current status will also be checked. (When an application is pending, it means that a determination has not yet been made by the INS.) \| \| \| 5. This document relates to an alien having been granted asylum/refugee status in the United States. \| \| Checked when a non-citizen has been granted asylee or refugee status in the United States, because of persecution or a well-founded fear of persecution in his or her country of nationality. These statuses are considered temporary. Documentation presented may include Form I-94, Stamped with “Section 207—Refugee” or “Section 208—Asylee” or a Form I-571, Refugee Travel Document. \| \| \| 6. This document appears valid and relates to an alien paroled into the United States pursuant to Section 212 of the INA \| \| Checked for a non-citizen who has been allowed to enter the United States under emergency conditions or when his or her entry has been determined to be in the public interest. This status is temporary. Documentation presented may include Form I-94, stamped with “Section 212(d)(5) – Parolee.” \| \| 7. This document Checked for Cubans who entered the United States \| \| Block \| \| Explanation \| \|---\|---\|---\|---\| \| appears valid and relates to an alien who is a Cuban/Haitian entrant \| \| between April 15, 1980, and October 10, 1980, and Haitian who entered the country before January 1, 1981. This is a temporary status. Documentation presented may include Form I-94, stamped Cuban/Haitian Entrant. This status is covered by Section 501(e) of the Refugee Education Assistance Act of 1980, as amended. \| \| \| 8. This document appears valid and relates to an alien who is a conditional entrant \| \| This category of non-citizens was originally defined by Section 203(a)(7) of the INA but was abolished by the Refugee Act of 1980. The INS no longer provides benefit issuing agencies and institutions with this response. \| \| \| 9. This document appears valid and relates to an alien who is a nonimmigrant \| \| Checked to indicate a non-citizen who is temporarily in the United States for a specific purpose. This category includes students, visitors, and foreign government officials. Documentation presented may include Form I-94. \| \| \| 10. This document appears valid and relates to an alien not authorized employment in the United States \| \| Checked when a non-citizen’s status prohibits employment in the United States. \| \| \| 11. Continue to process as legal alien. INS is searching indices for further information \| \| Checked if INS will withhold judgment regarding the status or validity of documentation pending further investigation. This statement does not imply that the applicant is an illegal non-citizen or the holder of fraudulent documentation. The non-citizen should be presumed eligible while INS’ final notification regarding immigration status is pending. \| \| \| 12. This document is not valid because it appears to be: \| \| Checked for expired documentation or when the documentation appears to be counterfeit or altered. If necessary, the ISV will use the back of the Form G-845 to elaborate on this entry. When the entries for counterfeit or altered documents are checked, the requesting agency or institution should follow its own guidelines for investigating and prosecuting cases of fraudulent documentation. \| \| 13. No determination Checked when the benefit issuing agency or \| \| Block \| Explanation \| \|---\|---\|---\| \| can be made from the information submitted. Please obtain a copy of the original alien registration documentation and resubmit. \| \| \| \| 14. No determination can be made without seeing both sides of the document submitted (please resubmit request) \| \| \| \| 15. Copy of document is not readable (please resubmit request) \| \| \| Blocks 16 and 17 were originally designed to assist benefit issuing agencies and institutions in determining when a non-citizen applicant was Permanently Residing [in the United States] Under Color of Law (PRUCOL). The INS would indicate if this class or category of non-citizen applicants were actively being pursued for expulsion at that time. The PRWORA replaced the PRUCOL doctrine, and Immigration Status Verifiers (ISVs) were instructed to no longer provide PRUCOL status determinations to benefit issuing agencies and institutions. However, the Noncitizen Benefit Clarification and Other Technical Amendments Act of 1998 amended PRWORA and requires INS to provide PRUCOL information to the Social Security Administration's Supplemental Security Income Program (SSA/SSI). Currently, SSA/SSI is the only program receiving PRUCOL determinations from INS. Any additional ISV comments will be included at block 18. The ISV will stamp and initial the front of the Document Verification Request in the block labeled "stamp." The following is an explanation of the INS information a benefit issuing agency or institution can obtain from the INS on the Document Verification Request Supplement: 1. Immigration status. The INS will provide the non-citizen applicant's current immigration status by conducting a thorough search of INS automated databases and paper files. 2. Date alien entered the United States. The INS will provide the original date the non-citizen applicant entered the United States. (This date is not always the same as what is provided through ASVI, when a non-citizen adjusts his or her immigration status. In most cases, the date of entry changes in ASVI to reflect the date the non-citizen obtained his or her Lawful Permanent Resident status.) 3. Date status was granted. The INS will provide the date the non-citizen obtained his or her current immigration status as noted in paragraph 1 above. 4. Date status expires. The INS will provide the date the non-citizen's immigration status expires. If the non-citizen's immigration status is indefinite, INS will provide this information in the response. 5. Citizen status. The INS will confirm whether a prior non-citizen naturalized and is a United States citizen. 6. Special Benefit Provision for Certain Victims of Abuse. The INS will confirm whether or not a non-citizen obtained his or her Lawful Permanent (or Conditional) Resident status because he or she was a battered alien or a parent of a battered child(ren) or a victim of domestic violence. 7. Affidavit of Support. The INS will confirm whether or not the non-citizen was sponsored on Form I-864, Affidavit of Support, and if so, INS will provide sponsorship information. The ISV will initial and stamp the back of the form in the block labeled "Stamp." When the Document Verification Request and Supplement are returned, the benefit issuing agency or institution must refer to its own eligibility requirements to determine if the applicant qualifies for a benefit. The benefit provider makes the actual decision on award or denial of a benefit and is responsible for the establishment of a fair hearing process. 5-11 Delayed Replies The Document Verification Request has been designed to allow rapid response to the submitting agency from INS. Mandated benefit issuing agencies or institutions should allow ten working days for processing. Other benefit issuing agencies and institutions should wait until the expiration of the timeframe specified in the MOU for all other benefit issuing agencies and institutions before contacting the INS Office to request information about verification. When it becomes necessary to contact the INS Office regarding the status of a request, the benefit issuing agency or institution should be prepared to furnish the non-citizen's name, A-Number or Admission Number, and the date the original Document Verification Request was mailed to INS. 5-12 INS Record Keeping The INS retains records on the secondary verification process to comply with the Privacy Act. If any documentation submitted to an ISV indicates criminal misuse of government documents, it may be duplicated and forwarded to the Investigations Branch of INS or to other law enforcement agencies for initiation of an investigation or prosecution action, as may be appropriate. The benefit issuing agency or institution should follow its own guidelines for investigation and prosecuting cases of fraudulent documentation. Glossary Personnel at benefit issuing agencies and institutions will encounter unfamiliar terms in processing applications from non-citizens. The definitions in this glossary are informational in nature and should not be used for any other purpose. They do not represent any formal stance or policy of the Immigration and Naturalization Service (INS). Official definitions have been shortened or edited whenever necessary to facilitate use by benefit issuing agencies and institutions. Table 4 \| Certificate of Citizenship \| An identity document proving U.S. citizenship. \| \|---\|---\| \| Certificate of Naturalization \| An identity document proving U.S. citizenship. \| \| Change of Non–Immigrant Status \| The action of changing a non–immigrant’s classification, e.g., from visitor to student. \| \| Citizen \| A person born in a country or who has become a naturalized citizen of that country. \| \| Conditional Entrant \| A refugee. (Refer to the definition for refugee conditional entrant, which more fully explains this status.) \| \| Conditional Resident Alien \| A non-citizen granted “conditional” resident status based on marriage to a U.S. citizen or national, or a permanent resident alien, for whom conditional status is removed after 2 years if INS rules favorably on a petition by the alien for retention of lawful permanent residence. (The non-citizen’s children can also be granted this status.) \| \| Document Verification Request (Form G-845) \| A form used by benefit issuing agencies and institutions, and licensing issuing bureaus to request secondary verification of a non- citizen’s immigration status from INS. \| \| Documented Non-citizen (Alien) \| A non-citizen in the United States who is in possession of valid INS documents. \| \| File Control Office (FCO) \| An INS office where A-files are maintained. \| \| Green Card \| A slang term describing the Alien Registration Receipt Card. Many versions of these forms are not green in color. \| \| Illegal Alien \| A foreign national who (a) entered the U.S. without inspection or with fraudulent documentation or (b) who, after entering legally as a non–immigrant, violated status and remained in the U.S. without authorization. \| \| Immigrant \| A non-citizen who has been lawfully granted the privilege of residing permanently in the United States. \| \| Parolee \| A non-citizen who appears to be inadmissible to the inspecting officer, but who is allowed to enter the United States under emergency conditions or when the non-citizen’s entry is determined to be in the public interest. Although parolees are required to leave when the conditions supporting their parole cease to exist, they may sometimes adjust immigration status. Parolee status is covered by Section 212 of the INA. \| \|---\|---\| \| Passport \| Any travel document issued by competent authority showing the bearer’s origin, identity, and nationality, if any, which is valid for the entry of the bearer into a foreign country. \| \| Permanent Resident Alien \| A non-citizen who has been lawfully granted the privilege of residing permanently in the United States \| \| Primary Verification \| An automated query to validate a non- citizen’s immigration status using the INS Alien Status Verification Index (ASVI) database. \| \| PRUCOL \| A person permanently residing in the United States under the color of law. This is not a status defined by the INA. \| \| Refugee \| Any person who is outside their country of nationality and who is unable or unwilling to return to that country because of persecution or a well-founded fear of persecution. Unlike asylees, refugees apply for and receive this status prior to entry into the United States. This status is covered by Section 207 of the INA. \| \| Secondary Verification \| A request to validate a non-citizen’s immigration status, after or in lieu of automated immigration status verification, using Form G-845. Verification is performed by an ISV using various automated or manual sources. \| Hispanic Names The following instructions will assist user agencies in interpreting and recording Spanish language names correctly. Although INS files reflect some discrepancies, these guidelines were used in recording most Hispanic names. Note that the instructions do not apply to names from other Latin-base languages, i.e., Portuguese, French, Italian, or Romanian. First Names Many Spanish first names consist of more than one word, for example, Maria de los Angeles, Maria de la Luz, and Maria del Carmen. When written with a prepositional phrase, as in the examples above, the name should be treated as one first name. If the name is not recorded with a prepositional phrase, for example, Maria Luz or Maria Carmen, it should be considered first and middle names. In recording Spanish names, nicknames should not be used. Many Spanish first names have equivalent nicknames, which are commonly used as first names, for example, Pancho for Francisco or Pepe for Jose. Surnames Hispanic persons customarily use the surnames of both parents. This double surname is derived from the first surname of the father and the first surname of the mother. Neither name is considered a middle name. The surname of the father precedes that of the mother. The two surnames may be connected by the word "Y," which means "and" for example, Juan Gomez Y Conde has Juan as a first name, Gomez as the surname of the father, and Conde as the surname of the mother. Some persons may hyphenate the two surnames, for example, Juan Gomez-Conde. For recording purposes, all double last names are entered with the father's surname followed by the mother's surname. Juan Gomez Y Conde would be entered as Juan Gomez Conde. The preposition "de" with the articles "el," "la," "los," or "las" will appear in a number of surnames. For example, the surname may be shown as de la Torre, de Alba, del Arco, or de la Cruz. Prepositions of this nature that precede the first surname are ignored in indexing. For example, the name of Jose de la Torre Munoz is recorded as Torre Munoz, Jose de la. Married Names for Women When a woman marries, she commonly drops the surname of her mother and adds the first surname of her husband, preceded by the preposition "de". This indicates she is the "wife of" that man. Maria Gomez Garcia, when married to Juan Martinez Ramirez, would become Maria Gomez de Martinez and will be entered as Gomez de Martinez, Maria. In the event of the husband's death, the woman retains the same name and adds the phase "vda. de," meaning "widow of." For example, after her husband's death the woman's name would be Maria Gomez vda. de Martinez and should be entered as Gomez vda. de Martinez, Maria. Note that the woman's first surname never changes, according to traditional Hispanic usage. After admission to the United States, however, some women have adopted the American custom of using the husband's surname as their own. Maria Gomez de Martinez may begin to give her name as Martinez, Maria Gomez. INS Office Locations \| \| State or Territory \| Counties \| INS Office \| \|---\|---\|---\|---\| \| Alabama \| \| \| Atlanta, GA \| \| Alaska \| \| \| Anchorage, AK \| \| Arizona \| \| \| Phoenix, AZ \| \| Arkansas \| \| \| Memphis, TN \| \| California \| \| Inyo, Kern, Los Angeles, Orange, Riverside, San Bernardino, San Luis Obispo, Santa Barbara, and Ventura \| Los Angeles, CA \| \| California \| \| Imperial and San Diego \| San Diego, CA \| \| California \| \| Alameda, Alpine, Amador, Butte, Calaveras, Colusa, Contra Costa, Del Norte, El Dorado, Fresno, Glenn, Humboldt, Kings, Lake, Lassen, Madera, Marin, Mariposa, Mendocino, Merced, Modoc, Mono, Monterey, Napa, Nevada, Placer, Plumas, Sacramento, San Benito, San Francisco, San Joaquin, San Mateo, Santa Clara, Santa Cruz, Shasta, Sierra, Siskiyou, Solono, Sonoma, Stanislaus, Sutter, Tehama, Trinity, Tulare, Tuolumne, Yolo, and Yuba \| San Francisco, CA \| \| Colorado \| \| \| Denver, CO \| \| Connecticut \| \| \| Hartford, CT \| \| Delaware \| \| \| Philadelphi a, PA \| \| District of Columbia \| \| \| Washington , DC \| \| Florida \| \| \| Miami, FL \| \| Georgia \| \| \| Atlanta, GA \| \| Guam \| \| \| Agana, GU \| \| Hawaii \| \| \| Honolulu, HI \| \| Idaho \| \| \| Helena, MT \| 4350.3 REV-1 \| Illinois \| Chicago, IL \| \|---\|---\| \| Indiana \| Indianapolis , IN \| \| Iowa \| Omaha, NE \| \| Kansas \| Kansas City, MO \| \| Kentucky \| Memphis, TN \| \| Louisiana \| New Orleans, LA \| \| Maine \| Portland, ME \| \| State or Territory \| State or \| Counties \| \| \|---\|---\|---\|---\| \| \| Territory \| \| \| \| Maryland \| \| \| Baltimore, MD \| \| Massachusetts \| \| \| Boston, MA \| \| Michigan \| \| \| Detroit, MI \| \| Minnesota \| \| \| St. Paul, MN \| \| Mississippi \| \| Alcorn, Attala, Benton, Bolivar, Calhoun, Carroll, Chickasaw, Choctaw, Clay, Coahoma, DeSoto, Grenada, Humphreys, Itawamba, Lafayette, Lee, Leflore, Lowndes, Marshall, Monroe, Montgomery, Oktibbeha, Panola, Pontotoc, Prentiss, Quitman, Sunflower, Tallahatchie, Tate, Tippah, Tishomingo, Tunica, Union, Washington, Webster, Winston, and Yalobusha \| Memphis, TN \| \| Mississippi \| \| Adams, Amite, Claiborne, Clarke, Copiah, Covington, Forrest, Franklin, George, Greene, Hancock, Harrison, Hinds, Holmes, Issaquena, Jackson, Jasper, Jefferson, Jefferson Davis, Jones, Kemper, Lamar, Lauderdale, Lawrence, Leake, Lincoln, Madison, Marion, Neshoba, Newton, Noxubee, Pearl River, Perry, Pike, Rankin, Scott, Sharkey, Simpson, Smith, Stone, Walthall, Warren, Wayne, Wilkinson, and Yazoo \| New Orleans, LA \| \| Missouri \| \| Andrew, Atchison, Barry, Barton, Bates, Benton, Boone, Buchanan, Caldwell, Callaway, Camden, Carroll, Cass, Cedar Christian, Clay, Clinton, Cole, Cooper, Dade, Dallas, Daviess, De Kalb, Douglas, Gentry, Greene, Grundy, Harrison, Henry, Hickory, Holt, Howard, Howell, Jackson, Jasper, Johnson, Laclede, Lafayette, Lawrence, Livingston, McDonald, Mercer, Miller, Moniteau, Morgan, Newton, Nodaway, Oregon, Osage, Ozark, Pettis, Platte, Polk, Pulaski, Putnam, Ray, St. Clair, Saline, Stone, Sullivan, Taney, Texas, Vernon, Webster, Worth, and Wright \| Kansas City, MO \| \| Montana \| \| Helena, MT \| \|---\|---\|---\| \| Nebraska \| \| Omaha, NE \| \| Nevada \| Clark, Esmeralda, Lincoln, and Nye \| Las Vegas, NV \| \| Nevada \| Churchill, Douglas, Elko, Eureka, Humboldt, Lander, Lyon, Mineral, Pershing, Storey, Washoe, and White Pine \| Reno, NV \| \| New Hampshire \| \| Boston, MA \| \| New Jersey \| \| Newark, NJ \| \| New Mexico \| \| El Paso, TX \| \| \| State or \| Counties \| \|---\|---\|---\| \| \| Territory \| \| \| New York \| \| Albany, Broome, Chenango, Columbia, Delaware, Fulton, Greene, Hamilton, Herkimer, Madison, Montgomery, Oneida, Otsego, Rensselaer, Saratoga, Schenectady, Schoharie, Tioga, Warren, and Washington \| \| New York \| \| Allegany, Cattaraugus, Cayuga, Chautauqua, Chemung, Clinton, Cortland, Erie, Essex, Franklin, Genessee, Jefferson, Lewis, Livingston, Monroe, Niagara, Onondaga, Ontario, Orleans, Oswego, St. Lawrence, Schuyler, Seneca, Steuben, Tompkins, Wayne, Wyoming, and Yates \| \| New York \| \| Bronx, Dutchess, Kings, Nassau, New York, Orange, Putnam, Queens, Richmond, Rockland, Suffolk, Sullivan, Ulster, and Westchester \| \| North Carolina \| \| \| \| North Dakota \| \| \| \| Ohio \| \| \| \| Oklahoma \| \| \| \| Oregon \| \| \| \| Pennsylvania \| \| Adams, Berks, Bradford, Bucks, Cameron, Carbon, Centre, Chester, Clinton, Columbia, Cumberland, Dauphin, Delaware, Franklin, Fulton, Huntingdon, Juniata, Lackawanna, Lancaster, Lebanon, Lehigh, Luzerne, Lycoming, Mifflin, Monroe, Montgomery, Montour, Northampton, Northumberland, Perry, Philadelphia, Pike, Potter, Schuylkill, Snyder, Sullivan, Susquehanna, Tioga, Union, Wayne, Wyoming, and York \| \| Pennsylvania \| \| Allegheny, Armstrong, Beaver, Bedford, Blair, Butler, Cambria, Clarion, Clearfield, Crawford, Elk, Erie, Fayette, Forest, Greene, Indiana, Jefferson, Lawrence, McKean, Mercer, Somerset, Venango, Warren, Washington, and Westmoreland \| \| Puerto Rico \| \| \| \| Rhode Island \| \| \| \| South Carolina \| \| \| Appendix 2 4350.3 REV-1 South Dakota St. Paul, MN Tennessee Memphis, TN \| \| State or \| Counties \| INS Office \| \|---\|---\|---\|---\| \| \| Territory \| \| \| \| Texas \| \| Anderson, Andrews, Archer, Armstrong, Bailey, Baylor, Borden, Bosque, Bowie, Briscoe, Callahan, Camp, Carson, Cass, Castro, Cherokee, Childtess, Clay, Cochran, Coilin, Coilingsworth, Comanche, Cooke, Cottie, Crosby, Dallam, Dallas, Dawson, Deaf Smith, Delta, Denton, Dickens, Donley, Eastland, Ellis, Erath, Fannin, Fisher, Floyd, Foard, Franklin, Freestone, Gaines, Garza, Gray, Grayson, Gregg, Hale, Hall, Hamilton, Hansford, Hardeman, Harrison, Hartley, Haskell, Hemphill, Henderson, Hill, Hockley, Hood, Hopkins, Houston, Howard, Hunt, Hutchinson, Jack, Johnson, Jones, Kaufman, Kent, King, Knox, Lamar, Lamb, Leon, Limestone, Lipscomb, Lubbock, Lynn, Marion, Martin, Mitchell, Montague, Moore, Morris, Motley, Navarro, Nolan, Oehiltree, Oldham, Palo Pinto, Panola, Parker, Parmer, Potter, Rains, Randall, Red River, Roberts, Rockwall, Rusk, Scurry, Shackelford, Sherman, Smith, Somervell, Stephens, Stonewall, Swisher, Tarrant, Taylor, Terry, Throckmorton, Titus, Upshur, Van Zandt, Wheeler, Wichita, Wilbarger, Wise, Wood, Yoakum, and Young \| Dallas TX \| \| Texas \| \| Brewster, Crane, Culberson, Eetor, El Paso, Hudspeth, Jeff Davis, Loving, Midland, Pecos, Presidio, Reeves, Terrell, Upton, Ward, and Winkler \| El Paso, TX \| \| Texas \| \| Brooks, Cameron, Hidalgo, Kenedy, Kleberg, Starr, and Willacy \| Harlingen, TX \| \| Texas \| \| Angelina, Austin, Brazoria, Chambers, Colorado, Fort Bend, Galveston, Grimes, Hardin, Harris, Jasper, Jefferson, Liberty, Madison, Matagorda, Montgomery, Nacogdoches, Newton, Orange, Polk, Sabine, San Augustine, San Jacinto, Shelby, Trinity, Tyler, Walker, Waller, Washington, and Wharton \| Houston, TX \| \| Utah \| \| \| Denver, CO \| \|---\|---\|---\|---\| \| Vermont \| \| \| St. Albans, VT \| \| Virginia \| \| Accomack, Amelia, Brunswick, Caroline, Charles City, Chesterfield, Colonial Heights, Dinwiddie, Essex, Fredericksburg, Gloucester, Goochland, Greensville, Hanover, Henrico, Isle of Wight, James City, King and Queen, King William, Lancaster, Louisa, Lunenburg, Mathews, Mecklenburg, Middlesex, New Kent, Northampton, Northumberland, Nottoway, Powhatan, Prince Edward, Prince George, Richmond, Southhampton, Spotsylvania, Surry, Sussex, Westmoreland, and York \| Norfolk, VA \| \| \| State or \| Counties \| INS Office \| \| \| Territory \| \| \| \| Virginia \| \| Albemarle, Alleghany, Amherst, Appomattox, Arlington, Augusta, Bath, Bedford, Bland, Botetourt, Buchanan, Buckingham, Campbell, Carroll, Charlotte, Clarke, Craig, Culpepper, Cumberland, Dickenson, Fairfax, Fauquier, Floyd, Fluvanna, Franklin, Frederick, Giles, Grayson, Greene, Halifax, Henry, Highland, King George, Lee, Loudoun, Madison, Montgomery, Nelson, Orange, Page, Patrick, Pittsylvania, Prince William, Pulaski, Rappahannock, Roanoke, Rockbridge, Rockingham, Russell, Scott, Shenandoah, Smyth, Stafford, Tazewell, Warren, Warwick, Washington, Wise, and Wythe \| Washington , DC \| \| Virgin Islands \| \| \| St. Thomas, VI \| \| Washington \| \| \| Seattle, WA \| \| Washington, DC \| \| \| Washington , DC \| \| West Virginia \| \| \| Philadelphi a, PA \| \| Wisconsin \| \| \| Milwaukee, WI \| \| Wyoming \| \| \| Denver, CO \| INS Office Addresses \| Florida, Miami (MIA) \| 7880 Biscayne Boulevard Miami, FL 33138 Attention: Immigration Status Verifier Telephone: (305) 762-3317 or 3667 or 3668 Facsimile: (305) 536-5708 \| \|---\|---\| \| Georgia, Atlanta (ATL) \| 77 Forsyth Street, SW Atlanta, GA 30303 Attention: Immigration Status Verifier Telephone: (404) 331-3251 Facsimile: (404) 331-3019 \| \| Guam, Agana (AGA) \| Sirena Plaza Suite 100 108 Hernan Cortez Avenue Hagatna, GU 96910 Attention: Immigration Status Verifier Telephone: (671) 472-7204 Facsimile: (671) 472-7491 \| \| Hawaii, Honolulu, (HHW) \| 595 Ala Moana Boulevard Honolulu, HI 96813 Attention: Immigration Status Verifier Telephone: (808) 532-2726 or 2727 Facsimile: (808) 532-4687 \| \| Illinois, Chicago (CHI) \| 10 W. Jackson Boulevard, Room 222 Chicago, IL 60604 Attention: Immigration Status Verifier Telephone: (312) 385-1806 Facsimile: (312) 385-3409 \| \| Indiana, Indianapolis (INP) \| 950 N. Meridan Street Gateway Plaza, Room 400 Indianapolis, IN 46204 Attention: Immigration Status Verifier Telephone: (317) 226-6162 Facsimile: (317) 226-5424 \| \| Louisiana, New Orleans (NOL) \| Postal Service Building Room T-8005 701 Loyola Avenue New Orleans, LA 70113 Attention: Immigration Status Verifier Telephone: (504) 589-6860 Facsimile: (504) 589-4451 \| \| Maine, Portland (POM) \| 176 Gannett Drive South Portland, ME 04106 Attention: Immigration Status Verifier Telephone: (207) 780-3628, Ext. 217 Facsimile: (207) 780-3481 \| \|---\|---\| \| Maryland, Baltimore (BAL) \| Fallon Federal Building 31 Hopkins Plaza Baltimore, MD 21201 Attention: Immigration Status Verifier Telephone: (410) 962-2436 or 2437 Facsimile: (410) 962-2105 \| \| Massachusetts, Boston (BOS) \| JFK Federal Building Government Center Boston, MA 02203 Attention: Immigration Status Verifier Telephone: (617) 565-4897 or 3046 Facsimile: (617) 565-4529 \| \| Michigan, Detroit (DET) \| Federal Building 333 Mt. Elliott Street Detroit, MI 48207 Attention: Immigration Status Verifier Telephone: (313) 568-6058, Voice Mail 765 Facsimile: (313) 568-6004 \| \| Minnesota, St. Paul (SPM) \| 2901 Metro Drive Suite 100 Bloomington, MN 55425 Attention: Immigration Status Verifier Telephone: (612) 313-9032 (Press 3) Facsimile: (612) 335-9034 \| \| Missouri, Kansas City (KAN) \| 9747 N. Conant Avenue Kansas City, MO 64153 Attention: Immigration Status Verifier Telephone: (816) 891-6745 Facsimile: (816) 891-7639 \| \| Missouri, St. Louis (STL) \| Robert A. Young Federal Building 1222 Spruce Street Room 1.100 St. Louis, MO 63103-2815 Attention: Immigration Status Verifier Telephone: (314) 539-2517 Facsimile: (314) 539-2444 \| \| Montana, Helena (HEL) \| 2800 Skyway Drive Helena, MT 59601 Attention: Immigration Status Verifier Telephone: (406) 449-5428 Facsimile: (406) 449-5752 \| \|---\|---\| \| Nebraska, Omaha (OMA) \| 3736 S. 132nd Street Omaha, NE 68144 Attention: Immigration Status Verifier Telephone: (402) 697-9302 or 9305 Facsimile: (402) 697-9064 \| \| Nevada, Las Vegas (LVG) \| 3373 Pepper Lane Las Vegas, NV 89120-2739 Attention: Immigration Status Verifier Telephone: (702) 388-6626 or 6868 or 6865 Facsimile: (702) 388-6627 \| \| Nevada, Reno (REN) \| 1351 Corporate Boulevard Reno, NV 89502 Attention: Immigration Status Verifier Telephone: (775) 784-5186 Facsimile: (775) 784-5899 \| \| New Jersey, Newark (NEW) \| Federal Building 970 Broad Street Newark, NJ 07102 Attention: Immigration Status Verifier Telephone: (973) 504-6902 Facsimile: (973) 645-2304 \| \| New York, Albany (ALB) \| 1086 Troy-Schenectady Road Latham, NY 12110 Attention: Immigration Status Verifier Telephone: (518) 220-2100, Ext. 117 Facsimile: (518) 220-2171 \| \| New York, Buffalo (BUF) \| 130 Delaware Avenue Buffalo, NY 14202 Attention: Immigration Status Verifier Telephone: (716) 551-4741, Ext. 4627 or Ext. 4275 Facsimile: (716) 551-4720 \| \| New York, New York (NYC) \| 26 Federal Plaza 7th Floor, Room 130 New York, NY 10278 Attention: Immigration Status Verifier Telephone: (212) 264-5740 or 5766 or 5073 or 5872 Facsimile: (212) 264-5436 \| \| Tennessee, Memphis (MEM) \| 1341 Sycamore View Suite 100 Memphis, TN 38134 Attention: Immigration Status Verifier Telephone: (901) 544-0256, Ext. 121 or 122 Facsimile: (901) 544-0572 \| \|---\|---\| \| Texas, Dallas (DAL) \| 8101 North Stemmons Freeway Dallas, TX 75247 Attention: Immigration Status Verifier Telephone: (214) 905-5725 or 5726 Facsimile: (214) 905-5587 \| \| Texas, El Paso (ELP) \| 1545 Hawkins Boulevard El Paso, TX 79925 Attention: Immigration Status Verifier Telephone: (915) 225-1823 or 1824 or 1818 Facsimile: (915) 225-1812 \| \| Texas, Harlingen (HLG) \| 2102 Teege Street Harlingen, TX 78550 Attention: Immigration Status Verifier Telephone: (956) 427-8691 or 8921 or 8922 Facsimile: (956) 423-7147 \| \| Texas, Houston (HOU) \| 126 Northpoint Drive Houston, TX 77060 Attention: Immigration Status Verifier Telephone: (281) 774-4685 or 4689 or 4818 Facsimile: (281) 774-5983 \| \| Texas, San Antonio (SNA) \| 8940 Fourwinds Drive Suite 2020 San Antonio, TX 78239 Attention: Immigration Status Verifier Telephone: (210) 967-7037 or 7038 or 7039 Facsimile: (210) 967-7032 \| \| Vermont, St. Albans (STA) \| Federal Building P.O. Box 328 St. Albans, VT 05478 Attention: Immigration Status Verifier Telephone: (802) 527-3257 Facsimile: (802) 527-3262 \| \| Vermont Service Center (VSC) \| 75 Lower Welden Street St. Albans, VT 05479-0001 Attention: Immigration Status Verifier Telephone: (802) 527-4700, Ext. 4676 Facsimile: (802) 527-3252 or 3159 \| \|---\|---\| \| Virginia, Norfolk (NOR) \| Norfolk Commerce Park 5280 Hennemam Drive Norfolk, VA 23513 Attention: Immigration Status Verifier Telephone: (757) 858-6183 or 6184 Facsimile: (757) 858-6273 \| \| Virgin Islands, St. Thomas, Charlotte Amalie (CHA) \| Nisky Center Suite 1A, First Floor South St. Thomas, VI 00802 Attention: Immigration Status Verifier Telephone: (340) 774-1390 Facsimile: (340) 776-4981 \| \| Washington, DC (WAS) \| 4420 North Fairfax Drive Arlington, VA 22203 Attention: Immigration Status Verifier Telephone: (202) 307-1651 or 1587 or 1558 Facsimile: (202) 307-1628 \| \| Washington, Seattle (SEA) \| 815 Airport Way South Seattle, WA 98134 Attention: Immigration Status Verifier Telephone: (206) 553-1394 or 7928 or 0636 or 0649 Facsimile: (206) 553-2730 \| \| Wisconsin, Milwaukee (MIL) \| Federal Building Room 186 517 East Wisconsin Avenue Milwaukee, WI 53202 Attention: Immigration Status Verifier Telephone: (414) 297-3592 Facsimile: (414) 297-3152 \| INS Records Systems The Central Index System (CIS) is the centralized computer-based information system that serves INS in both the immigration services and enforcement areas. The CIS references all Alien Files numbered A12 000 000 and above, and many with lower numbers. The CIS users may: * Perform searches using the Alien Registration Number, Social Security number, Naturalization Number, and other keys. * Reference other INS systems that contain data pertinent to each record. * Search records by exact name, "sounds like" name, and alias name. * Track the location and transfer of Alien Files between INS offices. Non–Immigrant Information System The Non–Immigrant Information System (NIIS) is a mainframe system available to all INS offices with access to the Department of Justice (DOJ) computer. It stores arrival and departure records for non–immigrant foreign nationals and provides automation support for tracking their arrivals and departures. Alien Status Verification Index A subset of CIS and NIIS, the Alien Status Verification Index (ASVI) database contains information on over 60 million non-citizens and is used by benefit issuing agencies and institutions in verifying non-citizen immigration status. Chapter 3 of this manual gives additional information on the ASVI database. Computer-Linked Applications Information Management System The Computer-Linked Applications Information Management System (CLAIMS) is a local area network (LAN) and a mainframe system that records and tracks cases for immigration benefits. It incorporates casework-oriented software systems designed to support the processing of applications or petitions for immigration benefits. The CLAIMS database supports the adjudication efforts of the INS and serves as a central source for document production. The Direct Mail Program instituted by the INS allows the public to mail applications and petitions directly to INS Service Centers and to locations where they are processed on a LAN version of the system. These records are then migrated to the mainframe system for further processing. The CLAIMS also includes a receipt tracking system in which an application is received and then adjudicated. Adjudicators working CLAIMS cases are restricted from contact with the public in order to maintain a high level of productivity. Cases that require contact with the public are transferred from the Service Centers to the District Offices for interviews with the applicant. External interagency interfaces include: the Social Security Administration, the Internal Revenue Service, the Department of State, the U.S. Customs Service, and the Federal Bureau of Investigations. Students/Schools System The Students/Schools System (STSC) is an automated database that contains information on foreign students at U.S. academic and vocational educational institutions. Deportable Alien Control System The Deportable Alien Control System (DACS) is an automated database that supports field casework activities associated with aliens who are detained or placed under docket control for deportation or exclusion. All INS field offices have access to the system. Alien Files The Alien Files (A-Files) are the comprehensive paper files on individuals of interest to the INS. The A-File contains copies of all pertinent INS documents. The jacket number on a folder is assigned as the A-Number. INS Microfilm Files Before automation, many INS source documents and file indices resided on microfilm for efficiency of storage and retrieval. Federal Records Center Index The INS maintains index cards of A-Files that have been retired to Federal Records Centers. The INS may retrieve these A-Files upon request. The index cards contain much of the same data as the CIS, including the A-Number, name, date and place of birth, date and port of entry, and alien status. Questions and Answers Q: What is the SAVE program? A: The Systematic Alien Verification for Entitlements (SAVE) program is an intergovernmental information-sharing initiative designed to aid federal, state, and local benefit providers in determining a non-citizen's immigration status, and thereby ensure that only entitled noncitizens receive public benefits. Q: What is the cost of the SAVE program to the user? A: The cost of access to the Immigration and Naturalization Service's Alien Status Verification Index (ASVI) varies by access method. We currently offer five different access methods with a transaction cost that varies from $.02 to $.23 per query. Q: What is the system's response time? A: The response time for a primary (automated) query of the ASVI database is 3 to 5 seconds. The manual verification process for the mandated agencies is within 10 working days and is negotiable with non-mandated agencies, usually within 20 working days. Q: What safeguards exist in the SAVE system to prevent benefit issuing agencies and institutions from erroneously denying a benefit based on a primary response from INS? A: Under the standardized SAVE system, in most cases, a benefit is never denied, delayed, reduced, or terminated based solely upon the response from primary. A secondary verification procedure is in place as a precautionary measure. Q: Is any further action required when a non-citizen's status is verified in the Alien Status Verification Index (ASVI)? A: No further check is required if there are no material differences between the data in ASVI and the information in the non-citizen's immigration documentation, and if the status on the screen does not state "Institute Secondary Verification." Q: What if the applicant's Alien Registration Number, when queried in ASVI, shows information about a different individual? A: Users must make certain that biographical data matches the non-citizen applicant. If not, "secondary verification" should be instituted with INS. Q: What does "Institute Secondary Verification" mean? A: This is one response to primary verification that benefit issuing agencies and institutions will receive from ASVI. When this message is received, obtain photocopies of the front and back of the non-citizen's immigration documentation, attach to a completed Document Verification Request, and forward the form to the designated Immigration and Naturalization Service File Control Office for secondary verification. Immigration documentation presented by the applicant must be returned to the applicant. Q: Is the applicant an "illegal non-citizen" when secondary verification is requested? A: No. A request for secondary verification means that the present classification in the computer database indicates something other than a legal permanent resident. In some instances, this means that the non-citizen's record is very new. Secondary verification is a safeguard to prevent denial of benefits to eligible non-citizen applicants. It also should be used whenever there is a discrepancy between information in ASVI and information presented by the applicant. Q: Does INS provide information to federal, state, and local government benefit issuing agencies and institutions to assist them in understanding INS' role in the SAVE process? A: Yes. The SAVE program provides the users with user manuals and conducts periodic users' meetings to discuss INS' role and address the users' concerns. In addition, SAVE program staff members are available to answer questions either in writing or by telephone. Q: Will INS be involved in verifying citizenship status? A: Yes. The Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA) requires INS to respond to inquiries by federal, state, and local government agencies seeking to verify or determine the citizenship or immigration status of any individual within the jurisdiction of the agency for any lawful purpose. Additionally, IIRIRA provides that the Attorney General, in consultation with the Secretary of Health and Human Services, will establish procedures for persons applying for public benefits to provide proof of citizenship in a fair and non–discriminatory manner. Q: Is INS' database capable of providing the information that states and agencies will need? A: INS' current SAVE program can electronically verify the status of most lawful permanent residents as well as aliens in many other categories. Copies of documents must be sent to INS for further verification for certain groups of aliens or when status cannot be verified immediately through the automated system. This additional verification ensures that all available INS records systems can be checked and that benefits are not delayed, denied, reduced, or terminated to eligible persons. It is anticipated that the SAVE program will be able to accommodate the anticipated workload under the welfare provisions. Q: For what programs do states have to verify immigration status with the INS? A: Verification is mandatory for federal public benefits. State and local benefit issuing agencies and institutions may choose to verify immigration status with INS for applicants for state and local public benefit programs. Q: Can INS verify sponsorship information? A: Yes. INS currently supplies benefit issuing agencies and institutions with information that sponsors provided on the original affidavit of support. However, this information is not currently automated and is provided through the secondary verification process. The IIRIRA requires that INS make sponsorship information available in the SAVE system. Q: Are all non-citizens in the United States required to carry non-citizen registration documents? A: Section 264(e) of the Immigration and Nationality Act states in part that, "Every alien, 18 years of age and older, shall at all times carry with him and have in his personal possession any certificate of alien registration or alien registration receipt card issued to him..." Failure to comply with the provisions of this subsection constitutes a misdemeanor and, if found guilty, a non-citizen can be subject to a fine, imprisonment, or both. Q: What documents should a non-citizen have in his or her possession? A: There are many types of non-citizen registration documents. Most non-citizens will have one of the following items: Resident Alien Card (Form I-551), Employment Authorization Card (Form I-688A), Employment Authorization Document (Form I-688B or (Form I-766), Temporary Resident Card (I-688), Fee Receipt (Form I-689), Arrival-Departure Record (Form I-94), Re-Entry Permit (Form I-327), or Refugee Travel Document (Form I-571). Other types of non-citizen documentation include notifications on the letterhead of the Immigration and Naturalization Service, U.S. stamps in passports, or INS computer-printed fee receipts. If an applicant presents an unfamiliar type of documentation, follow the secondary verification procedures outlined in this manual. Q: Is it legal to photocopy Immigration and Naturalization Service documents? A: Most non-citizen registration documentation may be photocopied. However, use of the copies for criminal purposes constitutes fraud. Any document issued by the Immigration and Naturalization Service that cannot be copied will have a warning printed on the document.
2001 Curriculum Vita Kristen Lee Williams Walton, PhD CONTACT Department of Biology Missouri Western State University 4525 Downs Drive St. Joseph, MO 64507 Phone: 816-271-5613 Email: firstname.lastname@example.org EDUCATION AND TRAINING 2001 – 2006 SPIRE Postdoctoral Fellow, University of North Carolina at Chapel Hill, Chapel Hill, NC - The Seeding Postdoctoral Innovators in Research and Education (SPIRE) fellows combine research training at the University of North Carolina-Chapel Hill, teaching undergraduate-level classes at one of eight partner historically minority colleges and universities, and attending professional development workshops and seminars. http://spire.unc.edu PhD in physiology, University of North Carolina at Chapel Hill, Chapel Hill, NC - Dissertation title: "Endocrine and paracrine actions of growth hormone and insulinlike growth factor-I in normal and diseased bowel" - Dissertation advisor: Dr. P. Kay Lund 1996 BS in biology with minors in chemistry and French, summa cum laude in the Honors College, Missouri State University (formerly Southwest Missouri State University), Springfield, MO TEACHING EXPERIENCE 2012-present Associate Professor, Department of Biology, Missouri Western State University Courses taught include: Pathophysiology, Animal Physiology, Molecular Basis of Disease, Immunology, Principles of Biology, Principles of Cell Biology, Medical and Public Health Microbiology, Anatomy & Physiology 2006-2012 Assistant Professor, Department of Biology, Missouri Western State University. Courses taught include: Pathophysiology, Medical and Public Health Microbiology, Anatomy & Physiology, Principles of Biology, Principles of Organismal Biology lab, Principles of Cell Biology, Immunology, Molecular Basis of Disease. 2006 Visiting Assistant Professor / SPIRE Postdoctoral Fellow. Taught Molecular Basis of Disease (undergraduate-level special topics course on molecular pathophysiology), videoteleconference class team-taught simultaneously at North Carolina Central University and the University of North Carolina at Chapel Hill Visiting Lecturer, taught cardiovascular physiology section (9 class sessions) of Introduction to Physiology (undergraduate allied health majors), University of North Carolina at Chapel Hill 2005 Visiting Lecturer, cardiovascular physiology section (8 class sessions) of Introduction to Physiology (first-year pharmacy students and upper-level undergraduates), University of North Carolina at Chapel Hill Visiting Assistant Professor / SPIRE Postdoctoral Fellow. Taught Immunology (undergraduate biology majors), via videoteleconference to University of North Carolina at Pembroke UNDERGRADUATE STUDENT RESEARCH MENTORSHIP 2016 Holly Cornelius, senior, Missouri Western State University Danielle Edelman, junior, Missouri Western State University Kasey Maag, senior, Missouri Western State University Project: “Effects of probiotic bacteria on experimental colitis in mice” (poster presentation) 2015 Sarah Lyle, junior, Missouri Western State University Tony Erickson, junior, Missouri Western State University Project: “Effects of probiotic bacteria on intestinal epithelial cells” (poster presentation) Erica Keffeler, senior, Missouri Western State University Project: “Does lipopolysaccharide stimulate collagen or matrix metalloproteinase expression by cultured intestinal myofibroblasts?” 2014-2015 Benjamin Crumley, senior, Missouri Western State University Project: "Effects of probiotic bacteria on intestinal epithelial cells" (poster presentation) Lauren Stewart, junior, Missouri Western State University Project: “Effects of probiotic bacteria on intestinal epithelial cells” (poster presentation) 2014 Brenna Knott, senior, Missouri Western State University Project: “Real-time quantitative PCR analysis of collagen gene expression in cultured cells” (poster presentation) 2012-2013 Jordan Carney, senior, Missouri Western State University Project: “Effects of probiotic bacteria on the intestinal microbiota and on experimental colitis in mice” (poster presentation) 2012 Brandon Reynolds, junior, Missouri Western State University Project: “Effects of probiotic bacteria on the intestinal microbiota and on experimental colitis in mice” (poster presentation) Tahani Atieh, senior, Missouri Western State University Project: “Does lipopolysaccharide stimulate collagen or matrix metalloproteinase expression by cultured intestinal myofibroblasts?” (poster presentation) 2010 Anna Shipman, junior, Missouri Western State University Project: “Does lipopolysaccharide stimulate collagen or matrix metalloproteinase expression by cultured intestinal myofibroblasts?” 2008-2010 Erica Pasch, junior/senior years, Missouri Western State University Project: “Effects of triclosan on the normal intestinal microbiota and on susceptibility to experimental colitis in mice” (2 poster presentations and one oral presentation) 2008-2009 Summer Gemmell, senior, Missouri Western State University Leah Voltmer, entering freshman, Missouri Western State University. Project: "Effects of triclosan on the normal intestinal microbiota and on susceptibility to experimental colitis in mice" (Poster presentation) Andrew Gordon, senior, Missouri Western State University. Project: “Effects of lipopolysaccharide on collagen expression and secretion by cultured intestinal myofibroblasts” (poster presentation) 2007 Angela Mohamed, senior, Missouri Western State University. Project: “Effects of lipopolysaccharide on collagen expression and secretion by cultured intestinal myofibroblasts” (Oral presentation) 2005 (Co-mentor) Sadondria Richardson, rising sophomore, North Carolina A&T State University. Project: “Do soluble mediators produced by primary intestinal myofibroblasts influence the maturation of dendritic cells?” (Oral presentation) 2004 Leisha Collins, rising sophomore, Fayetteville Technical Community College. Project: “Are primary murine intestinal myofibroblasts responsive to lipopolysaccharide?” (Poster presentation) RESEARCH TRAINING 2001 – 2006 1997 - 2001 1996 Division of Gastroenterology and Hepatology, Department of Medicine, University of North Carolina at Chapel Hill - Postdoctoral advisor: Dr. R. Balfour Sartor - Postdoctoral co-advisor (2001-2002): Dr. Nancy (Van Houten) Fisher - Research areas: 1) T cell responses to oral antigen in germ-free mice; 2) characterization of dendritic cell subsets and function in germ-free mice; 3) Responses of murine primary intestinal myofibroblasts to bacterial stimulation Department of Cell and Molecular Physiology, University of North Carolina at Chapel Hill - Dissertation advisor: Dr. P. Kay Lund - Research areas: Actions of growth hormone and insulin-like growth factor-I in intestinal growth, inflammation, and fibrosis Department of Cell and Molecular Physiology, University of North Carolina at Chapel Hill - Rotation advisor: Dr. Sharon Milgram - Project: Characterization of an antibody-binding epitope by phage display 1995 Summer Medical and Research Training (SMART) Program, Baylor College of Medicine - Advisor: Dr. JoAnne Richards - Project: Ovarian granulosa cell responses during pregnancy in the rat HONORS AND AWARDS 2015 MWSU Foundation Award for Teaching Excellence, Missouri Western State University 2010-2011 Biology Scholars Program Research Residency, American Society of Microbiology 2009 Board of Governors Distinguished Professor award with Distinction in Scholarship, Missouri Western State University 4 PROFESSIONAL SERVICE 2006 2001-2006 2006 2005 2002, 2004-2006 2004 2004 2003 2003 Attended "UNC Leadership Symposium" on development of leadership and conflict resolution skills, University of North Carolina at Chapel Hill Attended ongoing workshops and seminars on instructional technology, including use of a SMARTBoard, Blackboard courseware, videoteleconferencing technology, and web authoring Attended "Strategies for Success" workshop on strategies to increase active learning and student engagement in the classroom, Virginia Commonwealth University, sponsored by Benjamin Cummings publishers Selected to attend "Teaching Creative Problem Solving" workshop, University of Washington, sponsored by Chautauqua Short Courses for Faculty Development Attended professional development workshops on various topics, including using active learning techniques in the classroom, grantsmanship, leadership skills, using technology in the classroom, and diversity in the classroom and in the sciences. Institutional Research and Career Development Award (IRACDA) Annual Retreat (Summers of 2002, 2004, and 2005) Attended "Research on Teaching and Learning in the Sciences" workshop on approaches to and publication of education research by Drs. Richard Felder and Rebecca Brent, North Carolina State University Attended "Student-Centered Activities for Large Enrollment Undergraduate Programs (SCALE UP) workshop: Teaching college biology, chemistry, and physics through teambased experiments instead of lectures" by Dr. Robert Beichner, North Carolina State University Completed SPIRE teaching workshop series by Dr. Ed Neal, Director of the Center for Teaching and Learning, University of North Carolina at Chapel Hill (8-session series of workshops covering pedagogical topics such as student learning styles, classroom management, teaching critical thinking skills, and evaluating student learning) Attended 1-day workshop by Dr. Malcolm Campbell, Davidson College, on several topics such as getting students involved in lecture, using versus not using IT in the science classroom, and faculty experiences at a primarily undergraduate institution 2002 Completed "Effective College Teaching" 2-day workshop led by Drs. Richard Felder and Rebecca Brent, North Carolina State University INVITED RESEARCH SEMINARS November 2008 Department of Biological Sciences, Missouri University of Science & Technology, Rolla, MO October 2007 Tri Beta Biological Honor Society, Missouri Western State University, St. Joseph, MO November 2005 Department of Biology, Assumption College, Worcester, MA February 2004 Department of Biology, University of North Carolina at Pembroke, Pembroke, NC PUBLICATIONS: PAPERS 1. Walton KLW. Improvement in student data analysis skills after out-of-class assignments. In press, Journal of Biology and Microbiology Education. 2. Walton KLW. Using a popular science nonfiction book to introduce biomedical research ethics in a biology majors course. Journal of Microbiology and Biology Education 2014;15(12):240-242. 3. Rybarczyk BJ and KLW Walton. The development of an instrument to assess students' data analysis skills in molecular biology. Journal of Biology and Microbiology Education 2014;15(12):259-267. 4. Uno, J and KLW Walton. Teaching and the postdoctoral experience: Impact on transition to faculty positions. American Journal of Physiology: Gastrointestinal & Liver Physiology 2014;306(9):G739-G740. 5. Deng S, Walton KLW, Blue RE, MacNaughton K, Magness ST, and PK Lund. Mucosal healing and fibrosis after acute or chronic inflammation in wild type FVB-N mice and C57BL6 procollagen alpha1(I)-promoter-GFP reporter mice. PLoS ONE 2012;7(8):e42568. 6. Walton KLW. Teaching the role of secretin in regulation of gastric acid secretion using a classic paper by Dr. Leonard Johnson and Dr. Morton Grossman. Advances in Physiology Education 2009;33(3):165-168. 7. Walton KLW and JC Baker. Group projects as a method of promoting student scientific communication and collaboration in a public health microbiology course. Bioscene 2009;35(2):16-22. 8. Walton KLW, Holt L, and RB Sartor. Lipopolysaccharide activates innate immune responses in murine intestinal myofibroblasts through multiple signaling pathways. American Journal of Physiology: Gastrointestinal & Liver Physiology 2009;296:G601-611. 9. Walton, KLW and Rybarczyk, BJ. Hypothesis Modification Activity. In: College Science Teachers Guide to Assessment, TR Lord, DP French, and LW Crow, Eds. NSTA Press, Arlington, VA. 2009. 10. Rybarczyk, BJ and Walton, KLW. Feedback as a Learning Opportunity. Teaching Tips - Best Practices for College Science Teaching. Society for College Science Teachers, 2008. 11. Walton KLW, Galanko JA, Sartor RB, and NC Fisher. T cell-mediated oral tolerance is intact in germ-free mice. Clinical and Experimental Immunology 2006;143:503-512. 12. Walton KLW, He JP, Kelsall BL, Sartor RB, and NC Fisher. Dendritic cells in germ-free and specific pathogen-free mice are similar in phenotype and antigen-presentation function. Immunology Letters 2006;102(1):16-24. 13. Walton KLW. The case of Baby Joe: chronic infections in an infant. The National Center for Case Study Teaching in Science Case Collection [Online database of peer-reviewed case studies]. State University of New York at Buffalo, http://ublib.buffalo.edu/libraries/projects/cases/ubcase.htm. Date posted: December 13, 2005. 14. Williams KL, Fuller CR, Mohapatra NK, Wang J, Fagin J, and PK Lund. Mesenchymal IGF-I: paracrine actions in the intestine, distinct from endocrine effects. American Journal of Physiology: Gastrointestinal and Liver Physiology 2002;283(4):G875-85. 15. Wilkins H, Ohneda K, Keku T, Fuller CR, D'Ercole AJ, Williams KL, and PK Lund. Reduction of spontaneous and irradiation-induced apoptosis in the small intestinal mucosa of IGF-I transgenic mice. American Journal of Physiology: Gastrointestinal and Liver Physiology 2002;283(2):G457-G464. 16. Williams KL, Fuller CR, Dieleman LA, DaCosta CM, Haldemann KM, Sartor RB, and PK Lund. Enhanced survival and mucosal repair following dextran sodium sulfate-induced colitis in transgenic mice that overexpress growth hormone. Gastroenterology 2001;120:923-937. 17. Pucilowska JB, Williams KL, and PK Lund. Fibrogenesis IV. Fibrosis and inflammatory bowel disease: Cellular mediators and animal models. American Journal of Physiology: Gastrointestinal and Liver Physiology 2000;279:G653-G659. ABSTRACTS (denotes undergraduate author) 1. Walton KLW. Development of a survey instrument to assess course-based undergraduate research experiences in an upper-division molecular pathophysiology course. Society for the Advancement of Biology Education Research (SABER) meeting, July 2016. (roundtable presentation) 2. Lyle S, Erickson T, and KLW Walton. Effects of probiotic bacteria on cytokine expression in cultured intestinal epithelial cells. Experimental Biology, April 2016. (poster presentation) 3. Walton KLW. Improvement in student data analysis skills after out-of-class assignments. Experimental Biology, April 2016. (Poster presentation) 4. Walton KLW. Assessment of improvement in student data analysis skills after out-of-class assignments. Association of College and University Biology Educators (ACUBE) meeting, October 2015. (Poster presentation) 5. Stewart L, Crumley B, and KLW Walton. Effects of probiotic VSL#3 on cytokine and tight junction protein expression in intestinal epithelial cells. Experimental Biology, April 2015. (Poster presentation) 6. Walton, KLW. Combining blood glucose testing with analysis of a classic paper in an endocrine physiology lab activity. Experimental Biology, April 2015. (Poster presentation) 7. Walton, KLW. Incorporating human subjects research ethics into a biology majors course. Association of College and University Biology Educators (ACUBE) meeting, October 2014. (Poster presentation) 8. Walton KLW. Introducing bioethics in a molecular pathophysiology course using a popular science nonfiction book. Experimental Biology meeting, April 2014. (Poster presentation) 9. Walton KLW. Course design and outcomes for an online pathophysiology course. Association of College and University Biology Educators (ACUBE) annual meeting, October 2012. (Poster presentation) 10. Rybarczyk BJ and KLW Walton. Research experience as a factor in the development of undergraduate biology students' visual literacy skills. Society for the Advancement of Biology Education Research (SABER) annual meeting, July 2012. (Oral presentation by BJR) 11. Baker J and KLW Walton. Perspectives in microbiology: using video-based assignments to enhance students' historical and global understanding of infectious diseases. American Society for Microbiology Conference for Undergraduate Educators (ASMCUE), June 2012. (Poster presentation) 12. Walton KLW. Assessment of online course design for a lecture-only pathophysiology course. Experimental Biology meeting, April 2012. (Poster presentation) 13. Walton KLW. Converting a traditional, lecture-only pathophysiology course to an online format. Association of College and University Biology Educators (ACUBE) annual meeting, October 2011. (Oral presentation) 14. Walton KLW. Assessing improvement in student data analysis skills in a microbiology course for allied health majors. American Society for Microbiology Conference for Undergraduate Educators, June 2011. (Poster) 15. Rybarczyk B and Walton KLW. A model of visual literacy skills in undergraduate biology education. National Science Teachers' Association annual meeting, March 2011. (Oral presentation by B Rybarczyk) 16. Walton KLW. Use of primary literature in a human disease project in a pathophysiology course for allied health majors. ACUBE annual meeting, October 2010. (Poster) 17. Rushin J, Ashley D, Baker J, Chevalier C, Daggett M, Eckdahl T, Hartman K, Koy K, Mills M, Walton KLW. Two Lab Learning Blocks in General Biology: Pros and Cons. Missouri Academy of Science, April 2010. (Poster) 18. Walton KLW. Incorporating a primary literature-based project into a non-majors pathophysiology course. Experimental Biology meeting, April 2010. (Poster) 19. Pasch E, Walton KLW. Triclosan may alter the composition of the intestinal microbiota and increase the susceptibility to experimental murine colitis. Experimental Biology meeting, April 2010. (Poster) 20. Walton KLW. Incorporating primary literature into upper- and lower-division undergraduate biology courses. ACUBE annual meeting, October 2009. (Oral presentation) 21. Rushin J, Ashley D, Baker J, Chevalier C, Daggett M, Eckdahl T, Hartman K, Koy K, Mills M, and Walton KLW. Two-week long learning cycle blocks (LCB's) in general studies biology: pros and cons. ACUBE annual meeting, October 2009. (Poster) 22. Gordon, AJ* and KLW Walton. Effects of lipopolysaccharide on collagen expression in myofibroblasts. Missouri Academy of Science, April 2009. (Poster) 23. Pasch E, Voltmer L, Gemmell S, Walter J, and KLW Walton. Effects of triclosan on the normal intestinal microbiota and on susceptibility to experimental murine colitis. Experimental Biology meeting, April 2009. (Poster) 24. Walton KLW and BJ Rybarczyk. Assessing biology students' critical thinking abilities using a skills-based classification model. Experimental Biology meeting, April 2009. (Poster) 25. Walton KLW. Case studies and data analysis assignments as tools for improving critical thinking skills in an anatomy & physiology course. ACUBE annual meeting, October 2008. (Poster) 26. Pasch E, Voltmer L, and KLW Walton. Effects of triclosan on the normal intestinal microbiota and on susceptibility to experimental colitis in mice. Summer Research Institute Symposium, July 2008. (Poster) 27. Walton KLW. Use of case studies and data analysis to improve critical thinking skills in a one-semester anatomy & physiology course. Experimental Biology meeting, April 2008. (Oral presentation) 28. Rushin J, Baker J, Boutwell D, Chevalier C, Daggett M, Eckdahl T, Seeger S, and Walton K. Using twoweek learning cycle blocks (LCB's) as a way for non-major general biology students to do science in the lab. National Association of Biology Teachers meeting, November 2007. (Symposium presentation by J. Rushin) 29. Walton KLW and Rybarczyk BJ. Use of case studies and data analysis to increase student engagement and learning in a molecular basis of disease course. Experimental Biology meeting, April 2007. (Poster) 30. Walton KLW. Group poster presentations as a method of improving student communication and learning. Experimental Biology meeting, April 2007. (Poster) 31. Walton KLW, Collins L, and Sartor RB. Lipopolysaccharide activates innate immune responses in murine intestinal myofibroblasts through multiple signaling pathways. Gastroenterology 2006;130(4):A698. Digestive Disease Week, May 2006. (Poster) 32. Walton KLW, Collins L, and Sartor RB. Lipopolysaccharide activates innate immune responses in murine intestinal myofibroblasts. Experimental Biology meeting, April 2006. (Poster) 33. Richardson S, Walton KLW, and Moran J. Look who's talking: communication between myofibroblasts and dendritic cells. Partnership for Minority Advancement in Biomedical Sciences (PMABS) Summer Research Program annual symposium, August 2005. (Oral presentation) 34. Walton KLW, Karrasch T, and Sartor RB. Endogenous interleukin-10 regulates lipopolysaccharideinduced secretion of proinflammatory molecules in primary murine intestinal myofibroblasts. Gastroenterology 2005;128(4):A659. Digestive Disease Week, May 2005. (Poster) 35. Collins L* and Walton KLW. Do primary intestinal myofibroblasts respond to lipopolysaccharide? Partnership for Minority Advancement in Biomedical Sciences (PMABS) Summer Research Program annual symposium, August 2004. (Poster) 36. Walton KLW, Sartor RB, and NC Fisher. Oral tolerance in intact in germ-free mice despite the lack of enteric bacterial colonization. Gastroenterology 2004;126(4):A289. Digestive Disease Week, May 2004. (Poster, selected as a "Poster of Distinction") 37. Hutchins GG and Walton KLW. Pharmacology and pathophysiology for undergraduate students: technology enhances the learning experience. Experimental Biology, April 2004. (Poster) 38. Williams KL, He JP, Kelsall BL, Sartor RB, and N Van Houten. Dendritic cells in germ-free and SPF mice are similar in phenotype and in vitro antigen-presentation function. Keystone Symposium on Regulation of Mucosal Inflammation, April 2003. (Poster) 39. Lerea LS, Baines A, Hutchins GG, McVey M, Key SCS, White CD, Williams KL, and W Bollenbacher. SPIRE – An Innovative Model of Postdoctoral Training Enhances Science Education at Historically Minority Universities. American Association for the Advancement of Science annual meeting, February 2003. (Poster) 40. Williams KL, He JP, Kelsall BL, Sartor RB, and N Van Houten. Impaired in vivo antigen-specific T cell responses to oral antigen in germ-free mice despite normal presence of dendritic cells in mucosal sites. 11 th International Congress of Mucosal Immunology, June 2002. (Oral presentation). 41. Williams KL, Miller ME, DaCosta CD, Dieleman LA, Sartor RB, and PK Lund. Evidence for inhibition of cytokine action by growth hormone during recovery from experimental enterocolitis. Regulatory Peptides 2000;94:20. 13 th International Symposium on Regulatory Peptides, June 2000. (Poster) 42. Miller ME, Goebel HN, Williams KL, Keku TO, Pucilowska JB, Sartor, RB, and PK Lund. Suppressor of cytokine signaling-3 (SOCS-3) mRNA is preferentially induced during experimental enterocolitis, ulcerative colitis and Crohn's disease. Regulatory Peptides 2000;94:67. 13 th International Symposium on Regulatory Peptides, June 2000. (Poster) 43. Williams KL, Fuller CR, Dieleman LA, DaCosta CM, Clark KS, Sartor RB, and PK Lund. Enhanced survival and mucosal repair following DSS colitis in transgenic mice that overexpress bovine growth hormone. Gastroenterology 2000;118(4):A556. Digestive Disease Week, May 2000. (Poster) 44. Williams KL, Fuller CR, Mohapatra NK, Wang J, Fagin J, and PK Lund. Enhanced growth of intestinal mucosa in SMP8-IGF-I transgenic mice that overexpress insulin-like growth factor-I in intestinal mesenchymal cells via the alpha smooth muscle actin promoter. Gastroenterology 1999;116(4):A585. Digestive Disease Week, May 1999. (Poster) 45. Williams KL, Ohneda K, Fuller CR, and PK Lund. Differential effects of chronic IGF-I and GH excess on apoptosis in the small intestine. Endocrine Society Annual Meeting, New Orleans, June 1998. (Oral presentation)
Michael S.A. Graziano We Are Machines That 2 Claim to Be Conscious 3 11 1. Introduction Neuroscience has taught us that the brain is an information processing 12 device. In the perspective that I take, and the theory I have suggested 13 — the attention schema theory (AST) — we are information pro- 14 cessing machines that, among other actions, make claims about our- 15 selves (e.g. Graziano and Kastner, 2011; Graziano, 2013; Webb and 16 Graziano, 2015). We claim to have something inside us, subjective 17 experience, that is fundamentally non-physical. Logically, the brain 18 cannot put out a claim unless it contains the information on which the 19 claim is based. In my research, therefore, I have focused on the 20 information set on which the claim of subjective experience is based. 21 What cognitive purpose does it serve? What brain regions might be 22 involved in constructing it? How is the machine engineered such that 23 it makes that claim? 24 25 26 27 28 29 I would like to clarify at the outset what I mean by a non-physical property. If a person looks at a red apple, she not only processes information about the colour, but also claims to have a subjective experience of red — the 'what it feels like' component. One cannot push on subjective experience and measure a reaction force, scratch it Correspondence: Email: email@example.com 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 and measure its hardness, or put it on a scale and measure its weight. It does not exist on those physical dimensions. In the sense of its physical non-measurability, subjective experience is non-physical, or even metaphysical in the strict sense of being above or outside the physical. This ethereal nature of subjective experience is precisely why it has been so difficult to understand. But, objectively speaking, the phenomenon that faces us is much simpler. A brain-controlled agent constructs a self-description and on that basis makes claims about itself. There is no rational reason to suppose the claims are literally accurate. We already know from cognitive neuroscience that the brain constructs many internal models — bundles of information that represent items in the real world (Johnson-Laird, 1983; Holmes and Spence, 2004; Graziano, 2013). These models, whenever they have been studied in detail, are always simplified. They are quick-and-dirty descriptions, useful if not entirely accurate. The question in front of us is not: how does the brain generate a non-physical essence? Rather, we should ask: what set of information in the brain is the basis for our claim to have conscious experience, and what adaptive function does that information serve? AST does not explain how a brain generates a subjective experience. It explains how a machine makes claims about itself, and how the information on which those claims are based may have a cognitive, functional use. Chalmers has written an insightful article, outlining what he has termed the hard problem and the meta-problem (Chalmers, 2018). One way to frame the hard problem is that consciousness is a private experience whose existence cannot be assessed from the outside. Because it cannot be physically measured, it cannot be scientifically studied. The meta-problem, in contrast, is the question of why we think we have a hard problem. Part of Chalmers' discussion focuses on an approach to consciousness called illusionism (Frankish, 2016). In that approach, consciousness does not exist as such — it is illusory. One of the earliest and most influential illusionist accounts is Dennett's idea of the user illusion (Dennett, 1992). Illusionism could be considered a proposed approach to the meta-problem — it suggests that we think we have a hard problem of consciousness because we are misinformed by an illusion. AST specifically addresses Chalmers' meta-problem, because it addresses how a biological machine claims to have a hard problem. Yet in Chalmers' article, one senses his uneasiness over how to interpret AST. For example, he puzzles over the question: in AST, what exactly is awareness? Is it an attention schema, or is it supposed to be 1 an abstraction to which an attention schema refers? As I spell out in 2 chapter 3 of my book Consciousness and the Social Brain (2013), 3 AST does not easily pin down what, exactly, awareness itself is. The 4 reason for the ambiguity, I believe, is that AST is fundamentally not a 5 philosophical theory. It is an engineering theory. It explains the 6 performance of a machine — it explains how a machine claims to 7 have consciousness. It could be viewed as an illusionist theory, and is 8 especially close to Dennett's account. Yet it may not perfectly fit into 9 the illusionist category either — or at least it may provide a different 10 emphasis. Illusionism seems to ask: how does the brain generate, if 11 not an actual conscious experience, at least an illusory semblance of 12 one? That framing focuses on how the brain generates something, and 13 on consciousness as a distinct item of interest whose real or illusory 14 nature can be debated. But in AST there is no meaningful answer to 15 the question. Instead, the theory addresses how a machine makes 16 claims, not how a machine generates experiences or illusions. We can 17 understand how a car drives and a bird flies, from an engineering 18 perspective. We should be able to understand, mechanistically, how a 19 brain makes claims. 20 21 2. Model-Based Knowledge 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 To describe consciousness as the brain making claims, I acknowledge, sounds at first too reductive. But the crux of the argument lies in the information sets on which those claims are based. AST depends on model-based knowledge, as distinct from superficial knowledge. To explain what I mean, I will use an example that I have used in other recent accounts (Graziano, 2019). Suppose a child plays at make-believe. She barks, crawls on all fours, and says, 'I'm a puppy!' Something in her brain contains the information that puppies bark and walk on all fours. Her brain has also constructed the proposition 'I'm a puppy!' or else she would not be able to make the claim. And yet that information exists in a larger context. Her brain contains a net of information including 'I'm not really a puppy', 'I'm making it up', 'I'm a little girl', and so on. Some of that information is present at a cognitive and linguistic level. Much of it is at a deeper, sensory or perceptual level. Her body schema is constructed automatically, beneath higher cognition, and describes the physical layout of a human body, not a puppy body. She sees her human hands in front of her, and the representations constructed in her 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 visual system confirm her human identity. She remembers eating breakfast with a spoon, going to school, reading a book — all human activities. The claim 'I'm a puppy' is superficial knowledge that is inconsistent with her deepest internal models. But suppose I have the science fiction tools to manipulate the information in her brain. I alter her body schema to reflect the body of a puppy. I alter the information in her visual system and her memory to make it consistent with the puppy proposition. I remove the specific cognitive information that says 'I made that up to play a game'. I switch the information that says 'I'm certain this is not true' to its opposite. How would she know that she is not a puppy? Her brain is captive to the information it contains. Tautologically, it knows what it knows. She would no longer think of her puppy identity as a hypothetical. She would take it as a literal truth. There would be no reason for her to think otherwise. One might say that she now believes, intuitively, that she is a puppy; and here, to clarify the terminology, by 'believing something intuitively' I mean that her cognition is informed by deeper, automatically constructed, internal models. The belief, at the cognitive level, derives from the deeper internal models over which she has no cognitive control. You could tell her, 'But you understand English. Puppies can't do that. Don't you think that suggests you've mistaken your identity?' If she is intellectually precocious, she might realize the logic of your argument. That new information, however, will be at a superficial, cognitive level. It will conflict with her deeper internal models. Like so many people, she will be in a position of believing one truth about herself intuitively, while entertaining a different truth intellectually. Just so, I might be able to convince you intellectually that your claim to consciousness has its basis in an information set — an attention schema, as I'll explain in the next section. But intuitively, you still believe a different truth about yourself. When you rely on introspection — when your cognition accesses deeper internal models — they provide you with a different story. They inform you (incorrectly) that your consciousness is not just information or computation — it has a 'what it feels like' component, an ethereal essence dwelling inside you. Even if I have convinced you of my argument, you will find yourself conflicted, with superficial, intellectual knowledge pointing you towards one understanding and deeper, internal models, over which you have no cognitive control, anchoring you to a different understanding. 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 3. The Attention Schema In this short piece, I will not give a complete account of AST or the supporting lines of evidence. I refer readers to previous publications (e.g. Graziano and Kastner, 2011; Graziano, 2013; Webb and Graziano, 2015). Instead, here, I briefly summarize the core concept. Logically, we claim to have subjective experience for the same reason we make any claim — because the brain has constructed the requisite information on which the claim is based. Suppose a person looks at a red apple and reports having a subjective experience of red. It is not enough for the brain to construct colour information, which would allow the person to make the limited claim 'The apple is red'. We know, for example, that people who suffer from blindsight (Cowey, 2010) can process visual information and make claims about visual features, without reporting any conscious visual experience. To report a conscious experience, the brain must also construct the information on which it bases the claim 'I have something extra, a non-physical subjective experience, associated with the redness'. The brain constructs descriptive sets of information because they act as useful models for real items in the world. One question facing us, therefore, is: what is the physically real item that is modelled by this particular information set, on which the claim of conscious experience is based? For example, your brain constructs a set of information that is, moment by moment, correlated with the configuration of your right arm. That information set is called an arm schema, a part of the body schema (Graziano and Botvinick, 2002; Holmes and Spence, 2004; de Vignemont, 2018). It is the basis on which you can close your eyes and report on the presence and state of your arm. That internal model usually covaries with the physical arm, although the two can be dissociated. Like all internal models in the brain, the model of the arm is a detail-poor simplification, and can sometimes make errors and become misaligned. It usually describes the overall state of the arm. One could say that the fact that this particular set of signals in the brain co-varies with the state of the arm, by definition, makes it an arm schema. The close tracking of the arm is what makes it informative about the arm. Can we find any physically real, objectively measurable item that co-varies with people's report of conscious experience? Yes. This question has a straightforward answer known in psychology and neuroscience for decades. The report of conscious experience tends to 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 co-vary with attention (e.g. Posner, 1994; Mack and Rock, 1998; Simons and Chabris, 1999; Cohen et al., 2012). If a person reports being conscious of X, she is typically also attending to X. Attention and awareness can sometimes be separated. At least, attention without awareness has been demonstrated, though awareness without attention has not yet been convincingly shown (e.g. Kentridge, Heywood and Weiskrantz, 1999; Tsushima, Sasaki and Watanabe, 2006; Webb, Kean and Graziano, 2016). Separating the two depends on pushing the system to extremes, either through brain damage or laboratory conditions in which visual stimuli are degraded and presented at detection threshold. Most of the time, however, awareness closely tracks attention. (Indeed it seems to be easier to separate the arm from the arm schema than attention from awareness, at least in my experience having experimentally studied both topics.) One might ask: is attention too narrow a phenomenon to cover subjective consciousness? Surely we are conscious of much more than we put at the focus of our attention. But objectively speaking, in decades of work on subjective awareness and attention, this intuition is not correct (e.g. Posner, 1994; Mack and Rock, 1998; Simons and Chabris, 1999; Cohen et al., 2012). Awareness and attention co-vary most of the time. The confusion arises when people use a colloquial definition of attention, rather than a scientific one. In a typical colloquial definition, attention is a limited, central focus within the larger field of consciousness. In contrast, in neuroscience and psychology, attention is a process in the brain, primarily in the cerebral cortex, whereby a representation (such as a visual representation of an apple) has its signals enhanced, competing representations have their signals reduced, and the enhanced signals have a correspondingly greater impact on systems around the brain (Desimone and Duncan, 1995; Beck and Kastner, 2009). That enhancement can occur either due to greater external salience (bottom-up attention) or due to internal modulation (top-down control). Attention is not limited to one central object; it can be directed away from the fovea, for example, and it can be spread and divided. If you think that you are aware of something outside of your attention — that you are attending only to A while also aware of B, C, and D — that intuition is not correct; or at least, you are drawing on a colloquial definition of attention. By the scientific definition, you are probably attending to all of these items to some degree. Consciousness almost always co-varies with attention. It therefore effectively serves as a model of attention. 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 Chalmers suggests that linking consciousness to an attention schema is overly specific. Perhaps the brain constructs a general 'representation schema' which tells us what it means to represent information and gives rise to our claims about consciousness. But this suggestion stems from a misunderstanding of the theory. The report of conscious experience does not correlate with all representations in the brain. It correlates specifically with attention. Just so, the internal model of my arm is not a general 'moving object schema'. It is specifically an arm schema, because it tracks the state of my arm. Moreover, the functional use of an arm schema is to monitor, predict, and help control your arm; and the proposed functional use of an attention schema is to monitor, predict, and help control attention. Suppose we were to design an attention schema from scratch. Our goal is to construct a useful information set descriptive of attention. For comparison, the arm schema contains stable information such as size, shape, jointed structure, and weight, as well as changing information such as how the arm is moving at the moment. Just so, the attention schema might describe both stable and changing properties of attention. Imagine a rich, textbook-style, scientific description of attention, including the details of the physical mechanisms present in the brain — and then imagine stripping from that description everything unnecessary for the brain to be informed about. We strip away information about neurons, synapses, inhibition and excitation — the physical truth of attention. We strip away information about bottomup and top-down pathways, about fronto-parietal networks, about the thalamus and about the superior colliculus. We strip away information about the technical distinctions between exogenous and endogenous, engage and disengage, overt and covert, spatial and feature. We are left with a detail-poor description of attention as an amorphous 'thing' inside of me, a mental stuff that can grasp hold of objects in an abstract sense. The 'thing' can grasp hold of external objects like an apple, or internal objects like the thought that 2 + 2 = 4. The 'thing' has special powers such that, when it grasps hold of object X, it causes me to understand the details and the deeper meaning of X; it causes X to become vivid to me; it empowers me to choose to react to X, and to remember it for later. This stripped-down description of attention contains no information about the physical properties of the 'thing' inside me. As far as one can tell from the attention schema, that 'thing' lacks physicality. My argument here is that if a brain uses the mechanism of attention, and if it constructs a simplified internal model of it, and if it makes 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 claims about itself on the basis of the information in that attention schema, then it ought to claim to have a subjective, non-physical, mental grasp, or experience, of objects. In this way, AST explains how a machine claims to have consciousness — without having to explain what consciousness itself is. 4. The Non-physical Essence The philosopher François Kammerer asked an insightful question (Kammerer, 2016; 2018). Suppose AST is correct. The brain constructs an attention schema which represents general properties of attention, such as our ability to focus on and process information in depth. At the same time, it leaves out any depiction of the physical or mechanistic properties of attention. It does not specify that attention lacks a physical substance — it is merely silent on the topic. It is uninformative on the details of neurons and synapses. If our claims about consciousness derive from that internal model, then why do people typically make such a strong claim that consciousness is an ethereal essence, something inside of us that specifically lacks physical substance? Why do we not, instead, have an intuition of consciousness as an entity whose physical attributes — weight, size, hardness — are simply not yet known? The answer may lie partly in a subtle distinction. I suggest that we do not generally understand consciousness as a thing whose physical dimensions are undetermined. Instead, we intuitively understand consciousness as something for which physical dimensions are irrelevant. Imagine someone taps you on the shoulder. The touch activates skin receptors, and neuronal fibres transmit that information to the brain. Ultimately, your brain constructs a specific kind of internal model, a tactile model, a packet of information that describes that particular touch. The model contains information about the location of the touch, the intensity at onset, the pressure, the duration, the smooth or plush texture of a fingertip. It is a rich sensory representation. But it contains no information about taste. A touch on the shoulder does not come with a salty taste. I do not mean that a touch is bland and needs salt — no, it does not lie anywhere on any taste dimension. It does not occupy the same information space. Now that I have mentioned the possibility, you can consider it in a superficial, cognitive sense, but you cannot alter the deeper, internal model. Touch perception is an inborn process and is not open to cognitive modification. 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 If you could insert electrodes into a person's brain and read the information encoded in the tactile system, the perceptual model for a touch would presumably not contain the information 'And by the way, no taste is present'. It does not need the explicit negation. It is simply silent on taste. We do not intuitively understand touch to be something for which taste has been minimized; or something that might have a taste, but we just don't know yet what the taste is. Instead, we understand touch to be something for which taste is irrelevant. I argue that the attention schema acts the same way. It depicts general properties of attention, but not physical, mechanistic properties. Based on that internal model, we intuitively believe in an inner mental experience that takes possession of information and drives action, the way attention does, but that has no specific relationship to physicality. Physicality is irrelevant to it. That mental essence is not physically graspable, smooth, textured, rough, bumpy, heavy, light, smelly, green, pointy — it does not lie anywhere on those physical dimensions, any more than a touch exists on the salty dimension. And yet, in AST, the attention schema depicts at least one physical property. It depicts attention as having a physical location roughly inside us (see my prior accounts of the importance of localization in a model of attention: Graziano and Kastner, 2011; Graziano, 2013). Based on the information within that internal model, we should have an intuition about a mental essence that overlaps the physical world, in that you can point to a location and say 'it lives roughly here'. It is like a ghost, inhabiting physical space even as it lacks any relationship to other physical attributes. It has its own special power — to make us know and react. In this theory, the ghost in the machine, the consciousness inside us, is a topic of discussion among us only because our intuitions are informed by an attention schema, with its incomplete account of attention. And so we come back to the hard problem and the meta-problem. In my proposed explanation, the belief in a hard problem derives from intuitions that come bubbling up from a deep, subsurface model, the attention schema. AST is a meta answer that explains why people believe in a hard problem in the first place. References Beck, D.M. & Kastner, S. (2009) Top-down and bottom-up mechanisms in biasing competition in the human brain, Vision Research, 49, pp. 1154–1165. 3 2 4 6 5 7 9 8 10 12 11 13 15 14 16 18 17 19 21 20 22 24 23 25 27 26 28 30 29 31 33 32 34 36 35 37 39 38 40 42 41 43 45 44 46 47 Chalmers, D.J. 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COVID-19 LOCKDOWN PALLIATIVE AND HOUSEHOLDS' WELLBEING: A MICROECONOMIC ANALYSIS Funsho Idowu Obakemi 1* , Timothy Terwase Nev 2 & Sunkanmi Afis Fowosere 1 1Department of Economics, University of Ilorin, Ilorin, Nigeria 2Institute of Food Security, University of Agriculture, Makurdi, Nigeria Corresponding author's email: firstname.lastname@example.org Abstract This study investigates the impact of the COVID-19 palliative on household well-being. Data was sourced from a cross-section of household heads using a structured questionnaire and a simple random sampling method. This study used forward-backwards-stepwise binary regression. Religious palliative, income, marital status, household size, regular earnings, self-employment, energy consumed, and domestic cooking energy have significant impacts on household well-being. The palliative from the government was not significant, while the religious palliative significantly affected household wellbeing. The primary channels through which the pandemic affected household well-being are job loss and irregular earnings. The survey discovered a significant decline in households' earnings and consumption during the COVID-19 lockdown, as substantial households resorted to credit purchases and taking loans from informal financial institutions to survive the lockdown. Earnings in the informal and organized private sectors are either halted or reduced. This study recommends that the government at all levels create synergies with the religious bodies in the subsequent empowerment or welfare-enhancement schemes. This will improve the success rate of government policies, given the confidence, the average Nigerian tends to repose in religious bodies. Keywords: COVID-19 Lockdown, Household wellbeing, Stepwise binary regression. JEL Classifications: E62, H30, I18, I31 Article history-Received: July 12, 2021 Revised: November 1, 2021 Accepted: November 30, 2021 Introduction The outbreak and declaration of the novel virus (COVID-19) as a global pandemic in the first quarter of 2020 became a negative turning point for the global economy, especially for Nigeria, which had yet to recover fully from the 2016 economic recession. The pandemic that was declared a threat to global health turned out to be a severe threat to the global economy. As a sequel to the declaration of the pandemic as a global issue, governments across the globe adopted partial or total lockdown, among other measures in a chain of policy reactions to curtain and prevent human-to-human transmission of the virus. However, these measures hurt both the domestic and international economies as economic activity was halted. In most countries, key sectors were halted, which consequently resulted in an estimated 4.3 per cent of the world's GDP contraction, with relative cases of variations within and between regions and countries. Europe, for example, had the worst GDP contraction, estimated to be 7.4 per cent. In Sub-Sahara Africa (SSA), the Middle East and North Africa (MENA), South Asia, and Latin America and the Caribbean (LAC), the GDP contracted by 6.1 per cent, 5 per cent, 6.7 per cent, and 6.9 per cent, respectively (World Bank, 2020). In Nigeria, the real and financial sectors, as well as the logistics, were halted in several ways; the supply chain was interrupted by the lockdown, consequently resulting in chain reactions such as scarcity of commodities, hiked prices, downsizing and shutdown of businesses, and loss of jobs. The non-oil sector was not immune to the contraction. Transportation, lodging and food service, construction, education, and real estate, among others, all contracted by 6 per cent. The financial, trade, and service sectors, which account for more than 30% of Nigeria's GDP, were shut down. Trade, agriculture, manufacturing, and capital imports all fell by 15 per cent, 0.21 per cent, 0.14 per cent, and 31 per cent, respectively. The inflation rate rose to 12.8 per cent in July 2020 and to 15.8 per cent by December 2020. The unemployment rate increased to 27 per cent, with over 40 per cent of women working in the non-farming informal sector losing their jobs, while youth unemployment increased to 55 per cent (NBS, 2020). The situation got worse when a global lockdown forced a significant decline in global oil prices by 58 per cent during the first quarter of 2020 (CBN, 2020b). At the end of the second quarter of 2020, the Nigerian economy had already entered a severe recession and contracted by 5.1 per cent. Oil revenue fell by 6.6 per cent as output fell from 2.07 million barrels per day (bpd) in the first quarter of 2019 to 1.81 million bpd in the second quarter of 2020. The loss of oil revenue was further exacerbated by the Saudi Arabia-Russia trade war oversupply quota adherence. Nigeria's oil revenue fell to its lowest level since the first quarter of 2004. Consequently, the naira's purchasing power parity fell by 15 per cent, as the exchange rate rose from ₦380 to ₦450 per dollar by August 2020. Also, the decline in federal government revenue from oil and non-oil sources compelled the federal government to review the 2020 fiscal budget to align with the current economic reality. The fiscal budget, which had previously been benchmarked at US$57 per barrel, was reduced to US$30 per barrel (CBN, 2020a). The macroeconomic issues emanating from the outbreak of the virus resulted in a quantum of microeconomic implications at the household level in Nigeria, where over 87 million people were living below the poverty line before the outbreak of COVID-19 (United Nations Development Program, 2019). A corollary to the 5.1 per cent contraction in Nigeria's GDP and government revenue was the rise in poverty among Nigerians, the loss of jobs, and the overall decline in household wellbeing. Those that retained their jobs were either compelled to bargain for a wage cut or no-work-no pay during the lockdown. As households' incomes were halted, coupled with prevailing inflation, the wellbeing of individual households deteriorated, resulting in a rise in multidimensional poverty (NBS, 2020). Efforts were made by the federal government to cushion the devastating effect of the pandemic lockdown on vulnerable households and businesses. Thus, the federal government designed a fiscal policy-driven palliative measure. Among these measures are the Federal Government's emergency conditional budget of an estimated $300 million toward disease preparedness and response and an estimated $700 million for conditional cash transfers for vulnerable households and small-scale businesses; a per-head-physical distribution of food items and cash to the estimated 3.6 million vulnerable households; and a 3-month extension of repayment of the loan for the beneficiaries of Tradermoni, Farmermoni, and Marketmoni, anchored by the Bank of Industry (CBN, 2020). However, the agitation from Nigerians was the rationale and parameters used to measure the vulnerable households, as many Nigerians could not access the palliatives. According to The Guardian on April 14, 2020, Nigerians alleged that the process of distribution of the palliative (cash and items) had been politicized. Many Nigerians believed that the pessimistic reaction of Nigerians to the proposed second phase of national lockdown was eloquent evidence that a greater proportion of vulnerable households were unable to access the palliative. Therefore, the questions that emanate from this research problem are: Was the wellbeing of Nigerians deteriorated during the pandemic lockdown? Were government palliative measures able to cushion the effect of the lockdown on Nigerians' wellbeing? And how did Nigerians survive during the lockdown? Answers to these questions are of paramount concern to this study. The rest of this paper is organized as follows: The second section contains empirical studies, the third contains materials and research methodology, and the fourth contains data and discussion of results. The fifth and final section is the conclusion. Literature review The extant literature on COVID-19 can be viewed from different perspectives. The few empirical studies that have been conducted focus on the health and economic implications of COVID-19, as well as measures to mitigate its spillover effects. OZili (2020) discovered that weak institutions aided the spread of COVID19 in Nigeria and other African countries. Adegboye, Adekunle and Gayawan (2020) discovered that confirmed cases in Nigeria were far lower than expected as of June 2020, when compared to some European countries. However, according to Ozili (2020), Nigeria had the highest number of confirmed cases among the 16 West African countries. The expectation of an increase in confirmed cases in Africa stemmed from the continent's poor healthcare system, high disease profile, and rising multidimensional poverty (Ohia, Bakarey, & Ahmad, 2020). The virus's effects are felt in all aspects of life, and by drawing inference from past global pandemics, researchers began to envisage and anticipate a great deal of dynamism in the global economy. For instance, the evidence of the negative impact of the Great Influenza Pandemic (Spanish flu) on the stock markets prompted researchers to investigate whether history will repeat itself with the outbreak of COVID-19 (Barro, Ursual & Weng, 2020). According to Takahashi and Kazuo (2020) for Japanese firms, Ramelli and Wagner (2020) for American firms, and Al-Awadhi, Alsaifi, Al-Awadhi, and Alhammadi (2020) for Chinese firms, COVID-19 hurt both the stock market and the real sector. Their findings are similar to those of Barro et al., (2020), but the magnitude of impact varies between these studies. A similar study by Adenomon and Maijamaa (2020) found that the Nigerian stock market suffered losses and experienced high volatility during the lockdown. Other empirical studies revealed that the novel virus has affected livelihoods (Ataguba, 2020), increased child poverty in North Africa and the Middle East region (Guy, Morel, Amouzou & Agbe, 2020), widened income disparities in Nigeria (NBS, 2020), reduced global investment (Tashanova, Sekerbay, Chen, Luo, Zhao, & Zhange, 2020), and disrupted Nigeria's real sector (Aifuwa, Musa, & Aifuwa, 2020). Levine and McKibbin (2020) found a rise in unemployment in the informal sector as a result of the pandemic. In Nigeria, over 32 million jobs were lost during the lockdown across the banking, transport, agriculture, and construction sectors (Ozili & Arun, 2020). During the lockdown, Ijaiya, Bello, Ijaiya, and Ijaiya (2020) discovered severe hunger, poverty, job loss, and a high prevalence of social vices such as thievery. Lancker and Paroli's (2020) findings projected 8 million and 10 million multidimensional poor individuals in Nigeria and India in 2020 as a result of the effect of COVID-19 on macroeconomic variables. In terms of the effectiveness of measures used to prevent the spread of the virus and cushion the effect of the lockdown on affected economic agents, Ijaiya et al. (2020) discovered that the financial assistance provided by the Nigerian government to ensure compliance with the lockdown rule was less effective. The flaw was largely attributed to loopholes in government bureaucracy, ineffective coordination, and corruption. According to CBN (2020b) and Onyekwena and Ekeruche (2020), the Nigerian government granted a one-year extension of the loan moratorium through the apex bank, as well as reduced loan interest rates from 9% to 5% with effect from March 2020, when the lockdown was imposed. COVID-19 literature is new and evolving. As a result, the emerging empirical studies on the subject matter concentrated on the pandemic's aftermath on the economy and wellbeing, as well as the policies designed to curtail the spread of the virus. To add to the emerging literature on the novel virus, this study focuses on the effect of palliatives on household wellbeing during COVID-19 lockdown. This research will provide an assessment of how effective the government's palliative measures were during the pandemic lockdown and suggest a better platform to implement welfare-enhancement policies. Model and method Minority group theory, as propounded by Rowntree (1941), serves as the theoretical foundation for this study. According to Rowntree, poverty, or poor wellbeing, is caused by the insufficient earnings of the household's wage-earner to maintain basic needs. According to the theory, some households remain poor because the earnings of the primary wage-earner are insufficient to support the family—the family size is larger than optimal—and, at times, the primary wage-earner dies or is unable to work due to illness or other factors. Rowntree's argument is analogous to the current COVID-19 pandemic lockdown. Mathematically, well-being is a function of earnings. That is, Model The model for this study is rooted in minority group theory. Thus, the modified model is specified as: W𝑖 = 𝛽0+𝛽1DV𝑖+𝛽2JobV𝑖+𝛽3HuV𝑖+𝛽4𝑂𝑡ℎ𝑒𝑟V𝑖 +𝜀𝑖 (2) Where W is a measure of household well-being; DV is a set of demographic variables that capture the primary wage earners in a household. JobV is a set of information on the jobs and wages of chief wage earners. HuV is a set of information about household utilities; OtherV is a collection of other variables. Table 1 provides a detailed definition of all the variables for each vector as specified by the model. Furthermore, "i" stands for an individual home, while 𝜀 stands for the random error term. The survey was conducted two months into the pandemic lockdown in the southern part of the Ilorin Metropolis, Nigeria. Using a well-structured questionnaire, the study elicited information on how the COVID-19 pandemic palliative affected the wellbeing of households in Ilorin Metropolis. The World Bank Living Standards Measurement (WLSM) questionnaire format was used to gauge the survey items. The lottery simple random sampling method was used to administer the questionnaire to 430 household heads, with 96.7 per cent (416) returning valid responses. The questionnaire covered socio-demographic characteristics of households and their primary wage earners, such as wellbeing, palliatives received or given, income earned, and consumption expenditure before and during the COVID-19 pandemic. Well-being comprises both subjective and objective forms. The former comprises happiness and acceptance by family, friends, and colleagues at work. Thus, this makes subjective wellbeing rather difficult to measure and its application controversial (Benjamin, Heffetz, Kimball, & Szembrot, 2014b). The objective wellbeing index conventionally includes real economic indicators, which include GNI, human capital, the environment, and poverty. According to Popova (2016), these indexes are relatively ambiguous but better than subjective wellbeing in terms of metrics. Popova (2016) found it more logical for a higher GNI to boost a higher level of wellbeing. Also, according to Adam Smith in his book "Wealth of the Nation", as cited in Grimes and Hyland (2015) and Benjamin et al., 2014b), every individual is in a better position to assess and judge his or her wellbeing at every point in time, whether it has improved or declined. Recently, Yang (2018) proved that the "Preference Index Approach (PIA) is a better metric for measuring wellbeing. Therefore, this study presents items (questions) that allow respondents (individual households) to assess and rate their wellbeing (either increased, constant, or decreased) by comparing their wellbeing before and during the pandemic lockdown. Individual households with access to palliative care (whether from the government, individuals, or religious bodies) are expected to have improved or experience less deteriorated wellbeing during the pandemic lockdown, compared to households without access to palliative care. Six (6) items presented in the survey instrument provide a platform for individual households to rate their wellbeing. If the wellbeing of the ∆C ∆Y respondent remained constant or improved during the pandemic lockdown as compared to the pre-COVID19 era, it is scored one (1), and it is scored zero (0) if otherwise. The items of assessment are based on the United Nations Development Program (UNDP, 2013) which includes real income, consumption, the environment, happiness, the human capital index (health and education), and links with family, friends, and colleagues. The dependent variable is dichotomous, whereas the predictor variables are a mix of continuous and categorical. More importantly, logistic regression makes no assumptions about the explanatory variable distributions. As a result, binary logistic regression is the best fit for this study. To avoid cases of multicollinearity, as suggested by Green (2002), and to arrive at a parsimonious model, the model is gauged using hierarchical forward-backwards selection procedures of the binary logistic stepwise regression technique. Because the study covers many variables, all of the explanatory variables are initially assumed to be equally important, and the simultaneous selection procedure was used. Thus, variables are screened at 1% and 5% significance levels. Table1: Definition and Measurement of Variables 1 According to Adam Smith, every individual is the best judge of his/her state of wellbeing, therefore, following the methodology of Yang (2018), it is assumed one (1), if overall household wellbeing improved or unchanged during the lockdown, and zero (0) if reduced. The rating of the household heads is based on the six (6) items (questions) as used in UNDP (2013) 2 Change in income denotes by ∆Y= (Y-1- Y), change in consumption denotes ∆C= (C-1- C), and marginal propensity to consumed denotes by ∆C ∆Y were constructed from survey data collected by the authors. COVID-19 Lockdown……….. Obakemi et al. Domestic cooking power (t- 1 ) Ranked of types of cooking power (order preserved) Domestic cooking power (t- 1 ) =1 if cooking gas/electricity and Zero if otherwise before COVID-19 Domestic cooking power =1 if cooking gas/electricity and Zero if otherwise during COVID-19 Access to drinkable water =1 if treated water and zero if otherwise before COVID-19 Access to drinkable water (t- 1 ) =1 if treated water and zero if otherwise during COVID-19 Public/private health facilities = 1 if visited public/private health care facilities and zero if otherwise Source: Computed by the Authors The empirical results Preliminary results Table 2 shows the employment and earnings distribution of household heads. The average household size is two, with a minimum and maximum size of one and seven, respectively. About 28.4 per cent are single, while 61.8 per cent are married, with 42 per cent having a school certificate and 10 per cent having a school leaving certificate as their highest educational qualification. Only 20.6 per cent of respondents are government civil servants, while 57.2 per cent and 20.4 per cent work in the informal and organized private sectors, respectively. The informal sector employs approximately 84.2 per cent of the workforce, with the remaining 15.8 per cent either employed or apprenticed. According to the results of a survey, 19.8 per cent of people do not work outside of their primary job. By implication, if these people are not government or organized private-sector employees, their well-being is likely to have deteriorated during the COVID-19 lockdown. However, their earnings are still not guaranteed during the lockdown. Aside from primary employment, 43.2 per cent and 21.4 per cent of the respondents, respectively, are engaged in trading and farming. The latter is likely to have suffered less hunger during the pandemic lockdown because they had food to feed their families. Table 3 presents the distribution of occupations and salary/wage regularity during the COVID-19 lockdown. According to the survey results, 31.2 per cent of households' primary wage-earners received a regular salary, 40.7 per cent had their salary stopped, and 28.1 per cent had to bargain for a wage cut. Approximately 87 per cent of self-employed people were unable to work, while a negligible (0.9%) per cent earned money because they worked from home. Table 2: Characteristics of households and households' heads Source: Computed by the Authors Table 3: Characteristics of households' heads employment and earnings Source: Computed by the Authors Table 4 3 : Income and consumption of households before and during the pandemic lockdown. Source: Computed by the Authors Table 4b Source: Computed by the Authors Tables 4a and 4b present the distribution of household earnings. The survey transformed data on monthly earnings into weekly form to account for daily earnings for self-employment and other non-monthly earners. According to Table 4a and 4b, before the COVID-19 lockdown, the average household chief wageearner earned ₦8449.2, with the minimum and maximum earnings being ₦4500 and ₦40000, respectively. The standard deviation (4052.2) indicates significant income disparity among the cross-section of selected 3 A dollar was officially exchanged for ₦450 when this survey was conducted. Naira further depreciated due to the COVID-19 pandemic, as the global price of oil worsen households. About 12.8 per cent of the surveyed households spent ₦5,000 or less per week on household consumables, while 76.2 per cent spent ₦5001-₦10000. Before COVID-19, the average weekly household expenditure was ₦7648.4, with a minimum and maximum of ₦3500 and ₦10,000, respectively. Earnings and household expenditure statistics during COVID-19 differ significantly from those of the pre-COVID19 period. The average, minimum, and maximum weekly earnings dropped to ₦3873, ₦0.0 and ₦35000 respectively. The setback on earnings is a reflection of those whose earnings were affected during the enforcement of pandemic lockdown. The results also revealed that the per cent of households in the earnings bracket of ₦5001-₦10000 dropped while those that earn ₦5000 or less increased. This could be attributed in part to the non-payment of salaries or the 50 per cent pay-cut model used by the majority of organizedprivate firms during the lockdown to cushion the revenue decline. According to the survey, the average, minimum, and maximum household expenditure on consumables are ₦5256, ₦2500, and ₦8000, respectively. The values of the standard deviation for income and consumption spending depict the existence of welfare disparity among the households surveyed. The difference between the standard deviations of income during and before the COVID-19 lockdown shows that the drop in income is more significant to the relative higher earnings than the lower earnings. This is further justified by the fact that the standard deviation during the lockdown is less than before the lockdown. Surprisingly, the standard deviation of household spending during the lockdown rose to 3952, an indication of household welfare loss. This is further justified by 37.2 per cent of those that spend ₦5000 or less on consumption, compared to 12.8 per cent recorded before the lockdown. Table 5: Health, cooking power and portable water of household during lockdown Source: Computed by the Authors Table 5 depicts the distribution of households' access to a quality healthcare system, portable water, and domestic cooking power. Before the COVID-19 pandemic, 9.3 per cent of surveyed households used traditional or self-medication, and 43.2 per cent and 47.5 per cent, respectively, visited government and private health facilities. The outbreak of the pandemic increased the per cent of households that use traditional and self-medication to 27.1 per cent, while visits to government and private facilities have decreased. Perhaps, fear of contracting COVID-19 at both health facilities, as well as financial constraints, may have contributed to the shift toward self-medication and traditional health care. During the pandemic lockdown, only a small percentage (3.5%) were able to afford a better source of domestic cooking power. Approximately 73.4 per cent of the households sampled used less cleaned sources or a combination of cleaned and less cleaned sources. More charcoal and firewood are being consumed during the pandemic lockdown, which hurts household health and exacerbates deforestation and climate change. Boreholes, public standpipes, and protected wells are the common sources of portable water for Ilorin residents. During the pandemic lockdown, only 7.4 per cent of households had access to potable water for domestic consumption. 75.1 per cent did not change the quality of the household's water, while 17.5 per cent used less portable water. The switch in taste could be attributed to accessibility or financial constraints. The use of boreholes by a greater percentage (65.2%) as opposed to public standpipe sources indicates that the government needs to tailor better resources toward the provision of quality portable water for the general public. Table 6: Statistics on Electricity Tariff before Hike in Tariff Source: Computed by the Authors Table 6 shows the distribution of the electricity billing system and the units consumed before and after the increase in tariff. Intriguingly, the tariff increment coincided with the outbreak of COVID-19. According to the survey findings, 41 per cent of households have prepaid meters, 47 per cent have postpaid meters, and 11.6 per cent have estimated bills. Before the increase in electricity tariffs, the average household consumed 125 kWh per month, with a minimum and maximum consumption of 46 and 310 kWh, respectively. Electricity expenditure appears to defy the conventional law of demand. The average, minimum, and maximum household expenditures increased to 6920, 3100, and 14100, respectively. The average, minimum, and maximum units consumed following the price hike support the negative relationship between the tariff and units consumed. There appears to be a threshold of units needed for the average household, an indication that electricity is a necessary household utility and an input for businesses. Electricity appears to be fairly elastic because the proportional decrease in the number of energy consumer households is far less than the 164 per cent increase in the tariff. Table 7: Palliative received by household during COVID-19 pandemic lockdown Source: Computed by the Authors Table 7 depicts the distribution of palliatives received and given out by households during the lockdown. About 24.7 per cent of households distributed palliatives, while only 1.2 per cent received palliatives from the government. Aside from the palliatives provided by religious bodies and neighbours, approximately 34.7 per cent of the households lived on credit, while 5.2 per cent obtained loans from non-financial institutions to survive the lockdown. The survey results showed that nominal earnings were affected both directly and indirectly. Many people had to cut back on their spending to help extended family, neighbours, and acquaintances who had lost their jobs as a result of the lockdown. Table 8: Effects of COVID-19 lockdown on household wellbeing Source: Computed by the Authors Table 8 depicts the distribution of the effects of the COVID-19 lockdown on household well-being. Aside from the negative impact on household earnings caused by the COVID-19 lockdown, approximately 92.2 per cent of self-owned businesses were closed, and 1.3 per cent lost their jobs. Because of the rise in the cost of living, combined with irregular earnings and pay cuts, approximately 74.3 people reduced the quality of their meals. On a two-liker-scale of welfare assessment, approximately 85.1 per cent had their welfare worsened during the lockdown, with loss of welfare becoming noticeable a month into the lockdown. Despite this, some households fared better during the lockdown. Regression results This study captures a large number of explanatory variables, which informed the use of stepwise regression to avoid spurious regression. The results of forwarding and backward stepwise-binary regression are presented in this section. Tables 9–14 show the variables that survived the elimination model selection procedure. The selection was made at both the 1% and 5% significant levels to ensure the reliability of the results. For both significant levels (0.01 and 0.05), the results of both forward and backward selection procedures are nearly identical across all regressions. As a result, to avoid duplication, only results estimated at a 5% significance level are discussed. Table 9 displays the results of demographic variables. Tables 10 and 11 show variables related to jobs and utilities, respectively, while Table 12 shows variables related to palliative care. Table 13 summarizes the four sets of predictors investigated in the model. Gender, marital status, household size, and income all survived the elimination model selection procedure, as shown in Table 9. Also, the findings support the absolute income hypothesis by Keynes (1936), the lifecycle income hypothesis by Modigliani (1956), and the minority group theory by Rowtree (1941); thus, income appears to be the best predictor of wellbeing. To avoid multicollinearity, consumption is excluded from the selection process. All of the demographic predictors are significant and correspond to the a priori expectations. During the COVID-19 lockdown, male-headed households were 1.3 times more likely to have better wellbeing than female-headed households. This does not contradict expectations, as male productive capacity is assumed to exceed female productive capacity, particularly in the informal sector. The wellbeing of individuals that are not married is 0.706 times more likely to be less affected than married people during the lockdown. Perhaps this is because the consumption-expenditure and household size of unmarried individual households are lower than that of married people, which translates into a lower average propensity to consume. Expectedly, larger households have a lower likelihood of experiencing better wellbeing during the pandemic lockdown than smaller households. That is, the cost of living for married people is expected to be higher than for singles, which will invariably affect their quality of life during the pandemic lockdown. The primary wage-earners' education did not make it through the selection process. This goes against the human capital theory as propounded by Becker (1964) and Schultz (1961). According to this survey, schooling has no bearing on household wellbeing, which does not rule out cases where informal sector workers' earnings are higher than formal sector earnings. For example, Obakemi (2021) discovered that the average monthly earnings of a commercial tricycle operator are equivalent to those of a level-9 Nigerian federal worker. Households with higher earnings are more likely to experience less deteriorated wellbeing during the COVID-19 lockdown. The well-being of households whose income increased significantly during the pandemic lockdown is 2.088 times more likely to improve. As shown in Table 10, the results on job variables show that only the primary job and regularity of earnings survived the selection procedure. During the COVID-19 lockdown, households whose chief wage earner is self-employed were 1.52 times more likely to experience deteriorated wellbeing than civil servants or those working in the private sector. This does not go contrary to expectations. The total lockdown halted the activities of the self-employed, whose earnings are determined by the number of customers who patronize them. Unlike civil servants, who were paid, and some private employees, who were forced to bargain for wage cuts during the lockdown, the self-employed were forced to rely on past savings and other sources. The descriptive statistics results show several cases of earnings irregularity, such as wage cuts and no-workno-pay. The findings show that households with regular earnings during the COVID-19 lockdown are 1.72 times more likely to experience better wellbeing than those whose earnings were cut or those that bargained for no-work-no-pay. The secondary job did not make it through the selection process. Earnings from a second job are not significant, contrary to expectations. This is unsurprising given that the lockdown resulted in the loss of approximately 65 per cent of secondary jobs. As shown in Table 11, domestic cooking power and units of energy consumed are the only household utility variables that survived the selection phase. After a tariff increase, changes in the units of energy consumed (EC-1 – EC) are more appropriate in this model than the total energy consumed. Households are expected to consume fewer units of electricity as a result of the increase in electricity tariffs combined with the irregularity of earnings during the pandemic lockdown. The odd ratio shows a significant positive result. One unit increase in the energy consumed by a household is 1.88 times more likely to lead to better wellbeing as the number of units of electricity consumed increases during the pandemic lockdown. More energy consumed, as expected, means better food preservation and powering household appliances. Households that use clean domestic cooking power (gas and electricity) are 1.42 times more likely to have a better well-being than those that use dirty cooking power (charcoal and firewood). Households are greatly harmed by dirty domestic cooking power. As a result, it is expected that households that can afford clean domestic cooking power will have better well-being. Only two of the palliative variables escaped the elimination process. During the pandemic lockdown, households that received palliatives from religious groups and co-neighbours were 1.34 and 1.1 times more likely to enjoy better wellbeing than those who did not receive the palliatives, respectively. Surprisingly, government palliative care is insignificant. Despite the Federal Government of Nigeria's substantial budget for palliative care, only 1.2 per cent of households received government-provided palliative care. Perhaps the government lacks an efficient and long-term mechanism to implement the scheme. In the model, the study controlled for all four vectors of explanatory variables. Gender, income, employment type, and regularity of earnings are all positively and statistically significant, whereas marital status and household size are negatively and statistically significant. This corresponds to the findings in Tables 9 and 10. Furthermore, the marginal propensity to consume (MPC) of households did not survive the demographical model's selection criteria. It is, however, found to be statistically significant in the combined model. It demonstrates that the income elasticity of household consumption had a positive effect on household well-being during the COVID-19 lockdown. Households with a higher MPC are 1.24 times more likely to enjoy better wellbeing than those with a lower or unchanged MPC. Tables 9, 10, and 11 show that the age and educational attainment of household chief wage-earners, as well as secondary jobs and access to potable water and health care facilities, do not survive the elimination procedure. It also demonstrates that age and education are unimportant in the well-being model. Religious palliatives, energy consumption units, and the use of clean domestic cooking power are all positive and significant. This is also consistent with the results in Tables 11 and 12. However, neighbour-to-neighbour palliative does not survive the elimination procedure. Table 9: Demographical variables Source: computed by author, Standard errors in parentheses (), Odd ratio in double parentheses (()), p<0.01, p<0.05 Ilorin Journal of Economic Policy Vol.9, No.1: 1-16, 2022 Table 10: Job variables Source: computed by author, Standard errors in parentheses (), Odd ratio in double parentheses (()), * p<0.01, p<0.05 Table 11: Utilities variables Source: computed by author, Standard errors in parentheses (), Odd ratio in double parentheses (()), * p<0.01, p<0.05 Table 12: Palliative variables Source: computed by author, Standard errors in parentheses (), Odd ratio in double parentheses (()), * p<0.01, p<0.05 Table 13: All variables COVID-19 Lockdown……….. Obakemi et al. Source: computed by author, Standard errors in parentheses (), Odd ratio in double parentheses (()), * p<0.01, p<0.05 Conclusions This study examined the impact of COVID-19 palliatives on Nigerians' well-being during the pandemic lockdown. This study used a well-structured questionnaire to generate a household dataset from a crosssection of households in the Ilorin metropolis, Nigeria. The preliminary results found a significant decline in earnings and consumption during the COVID-19 lockdown. The sampled households' weekly average income was reduced by 54%, while their weekly average consumption was reduced by 31%. These two variables are important wellbeing indicators. Therefore, it is evident that households' well-being is reduced during the lockdown. To calibrate the quantum of change in wellbeing, this study adopted the Preference Index Approach (PIA) that allows households to compare wellbeing in two periods (before and during the COVID-19 lockdown). Thus, the dependent variables are presented in dichotomy form. To avoid spurious regression that is common in cases of a large number of explanatory variables, forward-backwards-stepwise binary regression was used. The empirical findings show that religious palliative has a positive and significant impact on household wellbeing. The empirical findings show that religious palliative, demographic and job variables, and domestic cooking power are all significant and consistent across all regressions. The odd ratio shows that income, regularity of earnings, domestic cooking power, and the primary occupation of primary wage-earners are the most influential predictors of household well-being. Of much importance to this study, the religious palliatives were more accessible to Nigerians during the pandemic lockdown and therefore more impactful on Nigerian wellbeing than the government palliatives. It is an indication that many Nigerians did not benefit from the government's ostensibly palliative scheme. Perhaps the scheme was sabotaged by unscrupulous individuals for personal gain. 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COFFEE TIME by Hayden Bownds & Clint Cornett FADE IN: INT. CHASE'S CAR - MOVING - DAY CHASE, 20's, drives a golden beat down Nissan Maxima. His arm's propped against his denim jeans. He hunches in his seat tiredly with his bearded chin nestled in his palm. COLE, 20's, sits erratically on his leg propped up-right in the passenger seat, capriciously shooting spitwads. COLE So, you going to tell me? Did you fuck or cuddle or what? CHASE You can't start off the conversation like that. Besides, it's personal. COLE What do you mean it's personal? I tell you about mine. CHASE You don't have any. COLE Yeah, the fuck of a lifetime. CHASE I have no idea what you're talking about. COLE You've never heard this story? No... CHASE Chase clutches the steering wheel as he sits up straight. COLE You know Marilyn? Yeah. CHASE COLE She asked her friend if she would have sex with me. COLE (cont'd) She was like definitely. Completion of life. I mean this girl was a dime. She was-- He gestures to emphasize her pulchritudinous. Chase has a look of incredulity as he stares back at Cole. What? COLE CHASE Nothing, go on. COLE Yeah, so I ended up inviting her to my house and I'm leaning in for the kiss when Sarah starts calling. She says she was having a party and we should come, yada-yada. CHASE Was I there? COLE I don't know. But we go to her house and we're all sitting around in a circle. I put my arm around her and she wraps around me like a- Cole searches for a metaphor. Say it. CHASE COLE Whatever. By this point a bottle of Fireball starts making its rounds and she's begging for shots. I've seen this girl drink so I already know it's a bad idea. It's going to fuck up my chances of fucking. Oh my God. CHASE COLE Alright, so she's taking shot after shot and my chances are getting smaller by the sip. But then she's asking to smoke weed. She's saying how addicted she is and she has to. CHASE Addicted to marijuana? COLE Yeah, I know, right? She took a few hits, then slammed her face in my lap, kind of convulsing waving her arms every which way. I'm thinking, am I about to get a blow job or an epileptic preview. Turn here. I got it. CHASE COLE Once we get to my house she's completely incoherent and I'm pissed. I'm like, let's get in the house. She says I need to sit here for awhile. Fuck no, I said. I'll carry you. Then she says she can walk, but she fucking can't. So I practically drag her into my house. We get in and I lay her in my bed while I get her some water. CHASE Was she about to puke? COLE Wait, it gets better. So, I come back in and see her on all fours peering out into the hallway, and right then the biggest stream of projectile shit water explodes from her mouth, all over my floor. CHASE You still fucked her, didn't you? COLE No, you asshole. I held her hair up, cleaned the shit, and slept on the couch like a gentleman. There were literally puddles of vomit and whole pieces of gum and whatever else floating on my carpet. CHASE What the fuck? Gum? COLE Oh yeah, a couple hours prior to the vomit episode, she tried to convince everyone she could eat the gum fully wrapped. CHASE Can't believe I haven't heard this. COLE It's commonly known. CHASE Commonly known? Who commonly knows this, Cole? COLE It's not my fault you don't listen when I speak. Chase shoots him a look. CHASE You still talk to her? COLE No. That's when I lost my phone. I never heard from her again. And I didn't attempt to see her. Kind of regret it. Cole leans his head out the window and spitwads a car. COLE She missed the fuck of a lifetime. FADE TO BLACK. Roll credit sequence: Chase's tire BLOWS OUT. Fuck! CHASE (V.O.) FADE IN: INT. RESTAURANT - DAY CAREY, 20's, reserved, takes a cup of coffee to a DISGRUNTLED CUSTOMER. He sets the cup of coffee down in front of her. CAREY Here you go, ma'am. FRANK (O.S.) It's coffee time. FRANK, 60's, a husky, weather worn European, walks past with a cup of coffee. A chef follows him out of the front door. DISGRUNTLED CUSTOMER What's this? CAREY Coffee. Regular. DISGRUNTLED CUSTOMER Most of it's on the plate. CAREY Let me grab a napkin. EXT. RESTAURANT - BACK - DAY Relaxing alongside a fence and smoking a joint is CLINT and STEVEN, 20's. The back door flies open. Carey struts out, frustrated and pulls out his E cigarette. CAREY Fuck people today. CLINT Whoa dude. All that attitude, fold it three times, put it in your back pocket, thanks. STEVEN What, did someone make fun of your vagina? CAREY No. That bitch at table twenty-six is a complete twat. STEVEN The people at fifteen said you gave exceptional service. Really? CAREY STEVEN Nah, I'm kidding. CAREY What time is it? I'm ready to leave. CLINT Coffee time. Clint exhales smoke and hands the pipe to Carey. CAREY What is this? STEVEN Good, right? CAREY No. It's cashed. Load it. He hands the pipe to Steven. He pulls a bag of weed from his pocket and loads a bowl. STEVEN This is the last of the shit. Someone else is buying this time. I bought last time. CLINT No you didn't. I bought last time. Let me see that. Carey hands Clint the E cigarette. STEVEN Yeah, I did. CAREY (beat) No you bought that K2 shit that fucked us all up. Did I tell you? That day I was driving and hit a car at a stop light. Nothing big ya know, just a tap. I was really stoned at that point so I didn't really know what to do. Next thing I know this dwarf steps out, no kidding. He walks up to my window and says, I'm not happy. I look him up and down and say, well which one are you? CLINT Steven, hurry with that bowl. Carey, stop talking. Steven finishes loading the bowl and hands it to Carey. He takes a big hit. CAREY How long have ya'll been back here? STEVEN Who gives a shit? We haven't had business in hours. CAREY Oh shit, my table! Carey BANGS on the door. VANESSA, 20's, a tall hipster Esq. girl of Indian descent, opens the door, aggravated. VANESSA Here you guys are! Carey, you're table's pissed! CAREY She was pissed when she got here. He runs through the door past her. VANESSA What are ya'll doing back here? CLINT It's coffee time. Fuck off, Saquajawea. VANESSA Clint, you have a table. CLINT Yeah, you can take it. VANESSA I already have a table. I don't want it. CLINT You're working for tips. You have to be here anyway. Just take the table. Make some money. Vanessa glares at him and heads back inside. STEVEN I don't get it. People always bitch about not making any money but then bitch about having to take tables. Clint puts the pipe to his lips. CLINT Yeah, fuck 'em. INT. XANA'S HOUSE - BEDROOM - DAY The room's a mess and covered with posters. XANA, 17, sarcastic, free spirited, rummages through her closet. She throws something at her wall out of frustration. XANA Where is it? KARLA, 40's, stands in the doorway. Xana paces around. KARLA What is going on in here? XANA I can't find my shirt and I'm late. Xana continues to search for her shirt. KARLA Maybe if you'd clean this place up? She kicks some trash around. Not now. XANA KARLA You remember about tonight, right? XANA Refresh my memory. KARLA Greg's coming over-- XANA Mom, I know you're having a midlife crises, but dating someone half your age probably isn't healthy. KARLA Tonight's kind of a special for us. XANA What, is he taking you to the prom? KARLA I don't criticise the guys you bring home. It's our two weeks. XANA That's a milestone. And have I ever brought a guy home? KARLA Yeah. Kind of concerning. You're not... You know... She flicks her tongue between her fingers. XANA What? No. God, could have done without the theatrics. Greg show you that? KARLA No. Well... Mom... XANA KARLA What? There's nothing wrong with it. As long as your safe. XANA There you are! She pulls her shirt out from a pile of dirty laundry. KARLA Your brother's already committed. XANA I've kind of already got something going on. Xana smells her shirt. She grimaces. KARLA It's only an hour or so. I'm sure you can squeeze a dinner in. Xana rushes to her dresser. XANA Ugh, this shirt reeks. She picks up a bottle of perfume and douses her shirt. KARLA Give it here. I'll throw it in the dryer for a minute. Get some of the wrinkles out. XANA I don't have time. Xana steps out of the room and sprays her mom with the perfume, then tosses the bottle on to the floor. She rushes down the hall. KARLA I want you here promptly after work. Xana? You hear me? XANA Yeah. Yeah. She exits through the door. Karla looks around her room. EXT. GROCERY STORE - ENTRANCE - DAY A GUY on a segway rolls past the entrance to the store in a white short-sleeve button down and black slacks. Xana walks through the entrance, tucking her wrinkled shirt into her khaki pants. INT. GROCERY STORE - REGISTER - DAY Xana's behind the cash register checking people out. An ELDERLY WOMAN comes through her line. XANA Would you like to save 10% today by getting one of these check cards? No thanks. ELDERLY WOMAN Xana picks the card up and looks at it closely. XANA It saves you money just by having it. You should totally get one. ELDERLY WOMAN I said I don't want one. (annoyed) Xana puts the card back and rings up the total. XANA Okay, without saving 10%, your total's $23.17. The woman hands the money to Xana and grabs her bags. Xana's eyes follow her as she walks out. XANA Thanks for choosing Shop and Save. She ducks below the counter and checks her phone. A young FLAMBOYANT COUPLE lays down some items. Xana jumps back up. XANA Did you find everything... The couple is making out. ...Okay? XANA She scans the items until her hand lands on a home pregnancy test. She looks epiphanized as she picks it up. EXT. SIDE OF THE STREET - DAY Chase is livid and examines the deflated tire. Cole paces with his hands in his pockets, jumping on and off the tire. COLE This always happens. If it's not the tires - which it always is then it's the engine. If it's not the engine, than it's the gas. It's a piece of shit, Chase. Chase stares straight up at Cole. CHASE Then maybe we should have taken your car, Cole. What car? COLE Cole attempts to push off the tire, but hits the fender with his foot and falls over the hood. CHASE Exactly. Stop dicking around. Chase heads to the trunk. He rummages through assorted junk. CHASE We need to clean my trunk out. So much shit back here. COLE What do you mean we? Not my car. CHASE But most of this shit's yours. COLE Okay. So I threw all of my trash in your trunk? What sense does that make? Just find the fucking tire. Chase clears the mess enough to get the spare out, but finds a note in place of the tire. He reads it. CHASE Cole, you motherfucker! What? COLE Chase charges towards Cole, holding a piece of paper. CHASE What is this? COLE Give me that. Cole snatches the paper from Chase and reads it. The paper reads, "I O U a spare tire, signed Cole." He LAUGHS. CHASE What the fuck are you laughing at? COLE I forgot I let someone borrow your spare. Who? CHASE COLE I don't know. Someone who needed a tire. CHASE And you didn't tell me or replace it? You left this fucking piece of paper in it's stead? COLE I was probably high or something. CHASE Fuck you Cole. You're going to buy me a new tire. COLE I'm not going to buy you a tire. You can completely erase that from the equation. CHASE God! You're such a piece of bitch. Chase sits on the curb, furiously and pulls out his phone. CHASE Shit. My dad's out of town this week. COLE Bobby lives around here. Cole paces around. CHASE Is that all you're thinking about? Bobby? As in your dealer? (rising) COLE What? He might have a spare. CHASE Even if he does have a spare we can't leave my car here. COLE Of course we can. It's parked. CHASE Who gives a shit if it's parked? It's still going to get towed. COLE Fuck! (screaming) A girl walking her dog SCREAMS, startled. Cole turns and walks away LAUGHING. Chase reluctantly follows. INT. GROCERY STORE - AISLE - DAY Xana anxiously strides down an aisle. She stops at the pregnancy tests. She picks one up and examines the box. INT. GROCERY STORE - BATHROOM - DAY Xana's on the toilet using the test, reading the back of the box. She throws it to the floor and pulls up her pants. She steps over to the sink and washes her hands, her eyes fixated on the test. A little blue plus sign appears. She pulls out her phone and dials, but gets a voice mail. She picks up the test and looks at her reflection. Shit. XANA INT. RESTAURANT - KITCHEN - DAY The lobby's empty aside form one table of 3 RED NECKS, 30's. Carey and Clint are in the back eating a customer's plate. CLINT (in between bites) So I was fucking this guy from behind the other day right, and I was trying to give him a reach around, and the guy had a boner! What a fag, right? CAREY I knew you were gay. You get your shift covered tomorrow? Damn it. CLINT He grabs the schedule off the ice box and they walk to the front. Clint picks up the phone when Steven runs in. STEVEN See that table over there? They look towards the table, then back to Steven. STEVEN I just stole their beer. Clint instantly hangs up the phone. EXT. RESTAURANT - BACK - DAY Steven stands near the dumpster beside a cooler. Clint and Carey stand aside, awestruck. CAREY Holy fucking shit. How'd you get it over here? STEVEN Open it dude. Prepare your eyes to be fucked by awesomeness. Clint leans down and opens the lid. Their eyes widen as a conspicuous assortment of beer is revealed. CLINT I'm seriously getting a boner right now. STEVEN What'dya say? Pop one open. CAREY Wait. They're still in there. EXT. RESTAURANT - FRONT - DAY The GUY on the segway rolls by. INT. RESTAURANT - DAY Clint, Carey, and Steven hunch over the counter, impatiently. CLINT What-the-fuck. They paid over an hour ago. What can they possibly be talking about? The Red Necks erupt in LAUGHTER. Vanessa walks out from the bathroom. She stares at them. VANESSA What are you guys doing? CLINT What do you mean? We're just here. STEVEN You're wearing that to the party? VANESSA I'm not going to a party. My boyfriend and I are eating out in. CAREY That code for rug munching? STEVEN Sounds like a cheap date. I'd actually take you to a restaurant. Vanessa looks at Steven, blankly. VANESSA Anyway, Frank's gone. I'm heading out. You can manage without me, right? She opens the door with her back. CLINT We always do. She glares at him, then leaves. Chairs SCRAPE the floor as the Red Necks get up to leave. Show time. CLINT The Red Necks walk past them. CLINT See you guys. Clint locks the door after they walk out. STEVEN Okay, now lets start drinking. CLINT Or we could take this beach side. He faces them. CLINT Good idea or great idea? CAREY We can't just leave the restaurant. CLINT We're not going to leave it. We're going to close it. Clint turns the open sign off. Steven runs around the corner. CAREY I was left in charge. If anything happens it's not going to be on my watch. CLINT You're only manager because I couldn't control my bowels. CAREY I don't remember you shitting your pants. CLINT I just passed some serious gas and Frank didn't like it at all. You're only in charge by default. Steven comes around the corner drinking a beer. STEVEN Yeah get off your high-horse. CLINT Stevey's already half way home. CAREY I don't know... STEVEN It's slower than two fat chicks fucking. CLINT I've closed this place down for lesser reasons. Mainly because I was hung over. And well, I just didn't want to work. STEVEN Come on. Let's do this. CAREY Okay, okay. Fine. EXT. SIDE WALK - DAY Chase and Cole walk through a cozy residential neighborhood. CHASE If you had a fucking car then they would hire you! COLE Let me use your car. CHASE We're not going to both use my car. That's ridiculous. EXT. BOBBY'S HOUSE - DAY Chase's phone RINGS as they walk up to the porch. Cole RINGS the bell. Chase ignores the call. CHASE Fucking bill collectors. This is the third time today. COLE All I'm saying is... CHASE Forget it, Cole. The door opens. BOBBY, 75, appears in a black suit and a fedora. He stares at them, then he drags a blunt. BOBBY The fuck do you want? COLE Hey, Bobby. Bobby holds up the blunt. BOBBY Want to smoke? INT. BOBBY'S HOUSE - DAY They walk into the cluttered living room. Abstract posters of weed and old bands hang on the walls. Bobby closes the door. BOBBY Who's this? CHASE Bobby, we've met dozens of times. Chase... BOBBY (beat) Oh yeah, Chase. Let me tell you about this girl I met the other night. Oh my God, she was gorgeous. He holds his two fingers in front of Chase's face. BOBBY Want to meet her? CHASE I don't want to hear about the girls you meet. BOBBY Well, fuck you then. What do you want? Bobby sits on the couch and smokes a bong. COLE You don't have a spare tire do you? Bobby pulls away from the bong. Chase and Cole sit by him. BOBBY Does this look like a discount tires? I sell weed not tires. (angered) COLE Bobby, chill. BOBBY Oh, sorry. No, I don't have one. What happened? CHASE My tire blew out. Bobby laughs. COLE It's cool. Whatcha got there? BOBBY Good shit. Oh my God. So good. He takes a few hits from the blunt, then passes it to Cole. Try it. BOBBY Cole takes a drag. COLE Shit hits hard. Handing it over to Chase. BOBBY They're after me, baby. Cole takes the blunt back from Chase and takes a hit. COLE No one's after you. BOBBY Bullshit. After this last time... COLE How much for an eighth of this? (interrupting) Bobby leans back and thinks. BOBBY Hm. Let's see. Ugh, sixty dollars. Cole takes another hit. BOBBY (CONT'D) Give me that. He grabs the blunt from him. COLE Sixty dollars? Come on, swing a discount? BOBBY Fuck you. If I give you one, then I'll have to give him one. COLE Chase let's go half-sies. CHASE We can get it cheaper. We shouldn't even be talking about this. We need to figure out the car situation. COLE We will. But, since we're here and we need weed -- and I'm tired of smoking the schwag you buy -- BOBBY Wait a minute. Bobby paces over to a desk. He opens a drawer and pulls out a small bag. He walks back with both arms extended. BOBBY (CONT'D) I'll throw in a few of these too. CHASE What the hell is that? 2-C-I. BOBBY Cole stands from the couch. COLE Oh, fuck yeah. I want to trip nut sack. CHASE What is that? I've never even heard of that. COLE It's a psychedelic. CHASE What about my car? COLE Your car will be fine. It only lasts for a couple of hours. BOBBY Me, me, me, I, I, I. Shut up. Bobby throws one into his mouth. BOBBY (CONT'D) You want it or not? Cole takes the pills from Bobby and throws one in his mouth. He holds the other out for Chase. COLE It'll be fine. Chase reluctantly takes the pill from Cole. CHASE We can't forget about my car. He holds the pill up and looks at it intently. CHASE (CONT'D) See you guys on the other side. He throws it in his mouth. Bobby laughs. EXT. BEACH - EVENING Carey, Steven and Clint find a less crowded spot and set down the cooler. They grab a few beers out. CLINT Steven, normally when you steal things, I think you're a peasant piece of shit. But you pretty much saved the day with this one. STEVEN Fuck are you talking about? Everything I've ever stolen has always been for you assholes. CLINT Well no, that's a lie. But this is straight up Robin Hood shit. CAREY Anyone make any money today? CLINT Making money implies having customers, and I didn't wait on a damn one. CAREY Speaking of, you still need to get someone to pick up your shift. STEVEN Call fucking Andrew. CLINT You got his number? STEVEN I'm not friends with him. Here. CAREY Carey hands his phone to Clint. Carey smokes a pipe. CAREY Why aren't we friends with him? STEVEN Have you seen the people we work with? CLINT Don't ask questions, Andrew, just pick it up! (on the phone) Clint hangs up the phone. Steven browses around the lake. CAREY What'd he say? CLINT Oh, he picked up the shift alright. CAREY Clint, I was just asking Steven how come we don't hang out with anyone from work. CLINT Is that a serious question? Fuck those guys. CAREY Seriously. Haven't you noticed we really don't hang out with anyone else? CLINT And that's a bad thing how? Steven takes the pipe from Carey. STEVEN Been too busy to think about pussy. Only time I've got is the five minutes my right hand's on the mouse and my left's on my cock. CAREY I mean you guys are cool and all, but shouldn't we hang out with other people? I'm not, what? I'm talking about genuine people to socialize with. (looking them over) Like who? STEVEN CLINT Yeah, there's not too many people I find genuinely stimulating. CAREY Just saying. Maybe we should expand our posse. STEVEN You can expand on this cock. Baby doll at six o'clock. They look over to see PHELIA, 20's, sunbathing and reading a book on a towel. CLINT I'd pee in her butt. STEVEN I'll offer her a beer. Maybe she'll blow me in appreciation. CAREY That requires you actually talking to her. Steven jumps up. STEVEN Usually I let it land in my lap, but I'm going to go with my dick on this one. CLINT In that case, not getting very far. Steven grabs a beer from the cooler, flips the guys off and gestures cunnilingus with his tongue as he heads away. A shadow fills the page of Phelia's book. She lowers it and looks up to Steven hovering above. STEVEN I'm sorry. I was trying to see what book you're reading. She turns the book so he can see the title. STEVEN (CONT'D) Ahh. Hunger Games. I know something about that. I'm a chef. PHELIA And not a voracious reader? Over his head. STEVEN You want a beer? He holds out a beer. She sits up and snatches it. Why not? PHELIA Steven holds his beer out for a cheers, but she chugs it. STEVEN Yeah, I stole a whole cooler of this shit earlier today. She finishes the beer and hands the bottle back to him. STEVEN (CONT'D) I like a girl who can handle her alcohol. PHELIA I'm going to stop you right there. I'm really not interested. STEVEN We haven't gotten anywhere yet. What's your name? PHELIA What's your name? Steven. STEVEN PHELIA Steven, I'm not interested. STEVEN Look, there's a party tonight. Would you want to go? With you? Yeah. PHELIA STEVEN No. PHELIA STEVEN Well, can I call you sometime? PHELIA I'm not giving you my number. Thank you for the beer. She gathers her things and heads away. Steven's stunned, then makes his way back to Carey and Clint. CLINT I thought getting all this free beer was the tits, but seeing you get swatted away like that was so much more satisfying. CAREY Gaga's probably going to write a song about how pathetic that was. Steven sits beside them and sips his beer. STEVEN She's a complete bitch from bitchville. CLINT I guess thanks for warming her up. CAREY What, you're going over there now? Clint stands and hits the pipe. CLINT Just call me big dick daddy from Cincinnati. He tosses the pipe to Carey and walks off. EXT. GROCERY STORE - PARKING LOT - DAY Xana steps out and heads to the side of the building with a cup. BROOK, 17, finishes off a water bottle as Xana arrives. BROOK That the vody? She snatches the cup from Xana and fills her water bottle. XANA (CONT'D) You're drinking already? It wasn't easy getting that. BROOK Your services are appreciated. Want some? XANA I don't think I should. She pulls the test from her pocket and shows it to Brook. BROOK What is that? XANA What do you think it is? BROOK That's not real is it? XANA No, it's fake. It's located in the toy aisle, right between coloring books and cap guns. Yes, it's real. BROOK Let me see that. She quickly grabs the test from Xana. XANA You know I just peed on that, right? She hands it back to Xana and wipes her hands on her sleeve. BROOK Oh my God. You're pregnant? The clinic called or what? XANA Still waiting. Just took this 'cause I'm too anxious. Brook takes a long drink from her cup. XANA (CONT'D) You're really gung-ho today. BROOK Have you talked to the guy? XANA He's not answering. And I don't want to leave a message, hey you left a little more than a feeling. BROOK Hey, everyone likes Boston. Karla know yet? That could be either really exciting or a very dreadful, knowing your mom. XANA I'm a little too afraid of how Karla's going to react. BROOK She still dating that kid? XANA My point exactly. Xana checks her watch. XANA I gotta get back to work. BROOK Yeah, I'm suppose to meet Audrey. She's probably wondering where I'm at. XANA I'll call you later. BROOK You're still coming tonight, right? XANA I met him at the last one, hopefully fate's on my side. BROOK See you tonight. Take care of that belly. She laughs and heads off. EXT. BEACH - PARKING LOT - DAY Phelia packs her car. Clint is a few yards behind her. CLINT Leaving already? Phelia stops and looks back at him. Instant attraction, but she turns and keeps packing her car. CLINT (CONT'D) Sorry about my friend back there. Phelia slams her trunk and faces him. PHELIA You're friends with that guy? CLINT I know he thinks he's smooth, but did you see what he looks like? Phelia starts to get in to the car, but stops. CLINT (CONT'D) (beat) I on the other hand am smooth and, well just look at me. I don't want to rush into anything but let's not beat around the bush. You're attractive, obviously I'm attractive. Let's do the only logical thing attractive people do. PHELIA And what's that? CLINT Like right now. I'm not saying this couldn't go anywhere sometime -- way down the line, but we won't know until we do something about it, now. (beat) Phelia gets in her car and starts the engine. PHELIA Want to go my place? Clint jumps in the passenger seat. CLINT (CONT'D) Better leave my car here so Steve can drive his rejected ass home. PHELIA He mentioned something about a party later. CLINT Yeah, we'll get to that. They drive away. INT. BOBBY'S HOUSE - LIVING ROOM - NIGHT Chase, Cole, and Bobby lay head to head on the floor passing a joint. Bobby takes several hits, then passes it to Cole. BOBBY It was in a Louisiana city. I can't remember the name-- CHASE (interrupting) What was it called? Huh? BOBBY Chase's phone RINGS. He doesn't recognize the number. BOBBY (CONT'D) Don't answer it. Homeland security. CHASE It's a bill collector. They've been calling all day. BOBBY That's how they got me. Listening through the fucking cell phone. CHASE What was the name of the city? BOBBY I don't remember the fucking name. You don't listen, do ya? Some place small. But they were watching me. Who was? CHASE BOBBY (beat) Homeland security, damn it! You're fucking with me, aren't ya? Cole is zoned out. COLE I'm stoned. I think. CHASE What did they do? BOBBY You don't care. You think I'm lying, but I aint. (beat) Chase LAUGHS, but quickly grabs his face. He's clearly messed up. Cole whispers to himself, staring up at the ceiling. BOBBY Well, fuck ya. Bobby gets up and walks away. Cole... CHASE Cole turns, but keeps his eyes planted on the ceiling. Yeah? COLE CHASE Are you feeling it? COLE I'm more stoned than anything. Chase runs his hands across his face. CHASE I'm so fucked up. Everything's moving with every word I say. COLE Do you still think about her? Who? Oh... CHASE BOBBY O.S. I don't know about you, but I am fucked up. They look toward the bathroom, then back to the ceiling. CHASE From time to time. Why do you ask? COLE You just never told me what happened. CHASE We got drunk and preformed fuck. Cole laughs. COLE Well, I know that. But before that. CHASE We met at that last party. Cole lights a joint and takes a big hit. CHASE (CONT'D) Had some drinks, shared some laughs, and you know. COLE Why don't ya'll still talk? Chase shrugs. CHASE We exchanged numbers, but she never called me. Maybe because I went limp a few times. Who knows? (shaking his head) I am beyond fucked up right now. Chase rubs his face with his hands. Bobby comes back into the living room looking at his watch. BOBBY I hate to cut this group therapy short, but I got a party to be at. Sell some drugs. Make some money. Find me a little girl. Cole gets up from the floor. COLE Hopefully better shit than what you sold me. I'm not feeling a fucking thing. Where's this party at? Bobby hands Cole a flyer. He looks it over. Chase slowly gets up and sits on the couch. BOBBY To the shindig heard around the world. Every year civilization stops to honor one night of debauchery and depravity. You heard of it? Of course you haven't. Beer and bitches. You should see the women, oh my God. Gorgeous. COLE That sounds amazing. Chase, let's go. Cole throws the flyer on the coffee table. Chase has his face in his hands. CHASE My car. Dude, Cole we need to get my car. BOBBY Go, don't go. I don't give a shit. This is my annual sales summit and believe me business is going to be good. You can come or ride with me, I don't care. Just make sure you're not followed. INT. XANA'S ROOM - NIGHT Xana sits at her desk spinning her phone around. She stops, picks it up, and dials. INT. BOBBY'S HOUSE - SAME Chase is on the couch barely functional. His PHONE rings. COLE Fucking bill collectors are relentless. Tell them to stop calling. BOBBY It's homeland. They know you're here. Give me that phone. Chase holds onto it tightly as Bobby grabs for it. BOBBY (CONT'D) Give me the fucking thing. He rips the phone from Chase's grasp. BOBBY (CONT'D) Listen up you motherfuckers, you can try and scare me but it aint going to work, hear me? INT. XANA'S ROOM - SAME Xana, baffled, holds the phone out. XANA Chase is that you? This is Xana. INT. BOBBY'S HOUSE - SAME Bobby holds his stern position. BOBBY Xana? Well you tell 'em I'm Bobby Baudin from New Orleans, damn it. He breaks the phone in two. Chase jumps up from the couch. CHASE Bobby, what the fuck? BOBBY It was some Middle Eastern bitch from homeland. I told you they were after me. CHASE No one's after you, you cantankerous fuck. COLE Dude, she called. Chase collapses back on the couch, holding the two pieces of his phone. CHASE I've been waiting for that call. Chase groans and lays back. CHASE (CONT'D) I'm too fucked up right now. I just need to lay here. Bobby looks from Chase to Cole. BOBBY Let's go before they send the helicopters. COLE Bobby, chill on that homeland shit. We can't just leave him here. BOBBY Let him sleep it off. COLE How is it that you and I aren't feeling it like he is? BOBBY Two of the pills were Aspirin. It was a one in three. He got lucky. COLE Really? You asshole. Chase is nearly passed out. COLE He's going to be alright, right? BOBBY It'll wear off in a few hours. Bobby lights a cigar and heads away. COLE Then what's he going to do? Huh? BOBBY COLE Then what's-- BOBBY Are you coming are not? Stop worrying about him and come on. Cole follows after Bobby. INT. PHELIA'S HOUSE - NIGHT Clint and Phelia come through the front. Clint looks around. CLINT Wow, this is nice. You must have roommates. GINGER, the dog comes running up. Phelia pets her. PHELIA Hey, Ginger. How ya doing girl? CLINT I knew a ginger once. We used to call her frotch. PHELIA Don't be mean. She pushes his arm, playful. Clint grabs a frisbee from the counter. CLINT (throwing frisbee) Does she fetch? Fetch, girl. A vase BREAKS on a side table. Ginger doesn't move. CLINT (CONT'D) Oh, shit. Sorry. PHELIA Don't worry about it. Why don't you make yourself comfortable. She pushes him on to the couch. PHELIA I'm going to change. She heads towards her room. Clint looks around the room. CLINT How many roommates do you have? What? PHELIA O.S. CLINT This place must be expensive. (to himself) Phelia comes back wearing just a robe. Come here. PHELIA Clint rises and meets her as she comes near. CLINT Wow, you look almost fuckable. She gawks. He pulls her to him. CLINT I'm kidding. Come here. They start kissing on the couch. PHELIA Got a condom? CLINT Why would I have a condom? PHELIA Cause we're about to have sex? (puzzled) CLINT I don't use dick gloves. No thank you. I'm a risk taker. Phelia jumps up. PHELIA What are we going to do? CLINT I don't see the dilemma here... She looks epiphanized. PHELIA I'll be right back. Clint lays back as she saunters to her room. CLINT (beat) Just so you know I've got a PHD in pulling out, so don't worry about finding a rubber or anything. I've also got a doctorate in oral sex but don't really like it much. Clint's jaw drops as his attention is redirected. Phelia comes back over holding a long strand of beads. CLINT (CONT'D) Whatcha got there? PHELIA If we can't have sex, then why don't we step it up a notch? She slides the knots through her hands and sucks on the end. CLINT Not the rubber I was talking about. But you know, I'm a risk taker. This is what risk takers do. He starts edging towards her. She quickly swings him around and throws him to the couch. CLINT (CONT'D) Easy, easy. She jumps on top of him. PHELIA Oh you didn't think these were for me, did you? CLINT Yeah, I did. Still do? PHELIA You said you were a risk taker, didn't you? Clint tries to get away from her grasp. CLINT You know what, I think this may be a little too risky for me. PHELIA If you let me do this to you, I'll let you do whatever you want to me. Clint leans up. CLINT You mean a blank check? She smiles. Clint gets on to all fours. CLINT (CONT'D) Everyone's got their price. Clint screams in agony as Phelia inserts the strand. He sifts through emotions as the foreplay proceeds. His reluctant expression changes to pleasurable acceptance. CLINT (CONT'D) I know I shouldn't be liking this but it feels so good. AHH! The GARAGE DOOR sounds from the distance. Oh my God. PHELIA CLINT What? One of your roommates going to walk in on you sodomizing me? PHELIA It's my dad. CLINT You're dad? You live with your dad? How fucking old are you? PHELIA Yeah, I'm seventeen! CLINT You're seventeen? What the fuck? Realizing the situation, she rips the beads out of his rectum. He SCREAMS in pain. FECES spew all over the couch. PHELIA Oh my god. That's disgusting. CLINT I've got the booze poos! He grabs his clothes and runs into the bathroom. She quickly redresses as her FATHER, 50's, appears around the corner. PHELIA'S FATHER Hey, sweetheart. Dad... PHELIA PHELIA'S FATHER I managed to get off early. What are you up to? She searches for the words. PHELIA I - I was just... PHELIA'S FATHER What is that smell? Her father comes forward and inspects the couch. He blanches. PHELIA'S FATHER Is that shit all over my brand new couch? What'd I say would happen if she did this again? PHELIA Dad, it was just an accident. Her father disappears around the corner. INT. PHELIA'S HOUSE - BATHROOM - NIGHT. Clint retches as he franticly wipes his body off with towels. His PHONE rings on the counter. STEVEN V.O. She swatted you away too? CLINT Pick me up! Pick me up! STEVEN V.O. What happened? CLINT No time to explain. Just come! STEVEN V.O. I can't pick you up without the location. Clint types on his phone. CLINT There. Now get over here! Clint leans his ear against the door. He hears Phelia's father come back into the living room. PHELIA'S FATHER O.S. Get over here, bitch! PHELIA O.S. Dad, what are you doing? Put the gun down! Clint, terror stricken, spots a window. CLINT I'm out of here. EXT. PHELIA'S HOUSE - NIGHT. Clint crawls out of the bathroom window on the second story. He throws his cloths down below and jumps down. He runs away. A GUNSHOT echoes through the neighborhood. INT. CLINT'S CAR - NIGHT. Steven drives. Carey rides shotgun. Carey lowers his phone. CAREY He's not answering. Clint runs on the sidewalk, trying to obscure his naked body. STEVEN Wait. Is that him? He HONKS the horn. Clint sees them and runs over. STEVEN What's up, Mr. Big Dick Daddy? Clint gets in the backseat. CAREY What happened to you? CLINT Don't ask questions. Just drive! Steven shrugs and drives away. INT. CLINT'S CAR- NIGHT They pull up to Carey's house. Carey gets out. CAREY Be back here in an hour. STEVEN That's all up to this guy. He looks back to Clint. CLINT All I'm thinking about is taking a shower. I smell like asshole. STEVEN Carey, say hi to your mom for me. Steven drives off as Carey walks up to his house. INT. XANA'S HOUSE - NIGHT GREG, 25, and Karla are cutting vegetables in the kitchen. Carey walks in and gestures "let's smoke". Greg nods. EXT. XANA'S HOUSE - ROOF - NIGHT Greg hits a joint, then passes it to Carey. GREG I got to stop doing this. CAREY Doing what? GREG This. Finally found a career. Dating an incredibly sexy woman. Looking at Carey. GREG (CONT'D) No offense. Carey hands the joint to Greg. CAREY You work at a bank. And it's cool. I love my mom. She's had some hard times and you're just her way of working through it. No offense. Greg hits the joint. GREG None taken. CAREY As long as she's happy I don't mind her crazy antics. You're cool, man. GREG Think something's up with her. She's been acting kind of strange. Carey takes a hit. CAREY (CONT'D) You'll know strange when you see it. You haven't seen nothing yet. Carey flicks the joint off the roof. INT. XANA'S HOUSE - XANA'S ROOM - NIGHT Xana observes her figure in the mirror. Carey notices and stops in the door way. CAREY What are you doing? XANA Does it look like I've gained weight? Carey squints his eyes as he comes into the room. CAREY Looks like you're about to drop an infant. He sits on her bed. Xana looks anxious. XANA That noticeable, huh? CAREY What are you talking about? XANA It looks like that because I am about to drop an infant. CAREY No, because someone has to drive their pink love bus into tuna town for that to happen. Xana stares at him. CAREY (CONT'D) Oh my God. You're pregnant? Does mom know? XANA I haven't told her yet. Carey jumps up. CAREY Tell her. Xana this is big. You can't just wait until your water breaks and someone slips and falls in that shit and say, oh by the way I'm carrying a kid. XANA I know. I'm going to. I just don't want her to spaz out on me with another one of her sex talks. Uncomfortable much? CAREY Ditto. Who knocked you up, anyway? XANA You wouldn't know him. CAREY What do you mean I wouldn't know him? XANA You know Clint and Steven, that's it. CAREY I know other people. Just tell me the cat's name. XANA His name's Chase. CAREY Chase? That guy collects STD's and he's older than I am. XANA You don't know him. CAREY No, I don't know him. But how do you know he didn't have an STD? XANA Pretty sure I don't have to worry. We were each other's first. CAREY That's cute. KARLA O. S. Dinner's ready. Carey looks to the hall, then back to Xana XANA Not one word, Carey. Promise me. Sniffing his shirt. CAREY anything, can you? I promise. You can't smell XANA You smell like Gary Busey. Really? CAREY XANA No you're fine. Carey smiles and puts eye drops into his eyes as he leaves. INT. XANA'S HOUSE - DINING ROOM- NIGHT Carey, Xana, Greg, and Karla sit in silence around the dinner table. Utensils SCRAPE plates. Karla seems on edge. CAREY Mm, these potatoes are so good. He shovels a mouthful. GREG Yeah, babe. You did great. KARLA Glad you like it. CAREY What's up, mom? How was your day? KARLA Fine. And yours? CAREY I had a great day. We closed the restaurant early and chilled at the beach. You know, guy shit. He looks at Greg. CAREY (CONT'D) You know what I'm talking about. Greg, really stoned, holds back a laugh. KARLA And Xana, how was your day? Xana stuffs her mouth full of food. Peachy. XANA Karla sips her wine and composes herself. KARLA Anything you want to discuss? Xana looks to Carey, then to her food. XANA Nothing that comes to mind. Karla throws her utensils down at her plate. KARLA This was supposed to be a nice dinner with Greg, but you're forcing me to do this. She leans over and pulls a BIG FLOPPY DILDO out from under the table. She SLAMS it down on the table up-right. Xana tenses with embarrassment. Carey jerks his plate away. CAREY Whoa, watch it with that thing. Greg explodes in LAUGHTER XANA Are you crazy? KARLA I found this in your room today. XANA What were you doing in my room? KARLA Why do you have this? Xana shields her face. XANA Is masturbating illegal now? KARLA Xana, are you having sex? Carey and Greg are in hysterics. KARLA Boys, enough! They go straight faced. Karla redirects her focus to Xana. KARLA Or are you just using this? She shakes the dildo. Xana blushes. Greg grabs his plate. GREG Careful, Karla. CAREY You try the asparagus? He shovels another bite into his mouth. KARLA Care to explain why a clinic left you a message on my machine? Xana looks puzzled. KARLA Have you been sexually active? XANA So I had sex. What's the big deal? Everybody has sex. It's just sex. KARLA It's just sex until you get a disease, or you get raped, or-- Pregnant? CAREY Xana shoots Carey a dirty look. KARLA Or pregnant. That's the big deal. Be honest. Tell me you went there to ask questions and nothing more. Long pause. Xana looks around at everyone. XANA Well, do you want me to be honest or tell you I was filling a curiosity? KARLA Xana, do you have an STD? CAREY Ew. No, mom. She's just pregnant. Xana shoots daggers to carey. XANA Carey, you promised! Karla faces Carey. KARLA You knew about this? Got to go. CAREY Carey grabs his plate and rushes away. KARLA Xana, is that true? XANA Then yes. If the test results are bonafide-(beat) Karla sits back in her chair. KARLA Oh, Xana. How could this happen? XANA I'm not going to tell you the details. KARLA You're so young. You've got your whole life to look forward to. XANA I wasn't planning on getting pregnant from the first guy I boned. Just my luck. KARLA First thing tomorrow we're going down there and taking care of this. XANA Whoa, keep your shirt on. GREG Maybe you should have kept your shirt on. Karla shoots Greg a look. His smile vanishes as he grabs his plate and leaves the table. XANA It's my body. I think I'll make the decisions KARLA You've done just fine so far. XANA Why are you blowing this so far out of proportion? You were young when you had kids. KARLA I was married and planned my kids. And I wasn't seventeen, for Christ's sake! Xana throws her napkin at her plate. XANA I don't know what you want me to say. Carey washes his dish in the sink, talking on his phone. CAREY Okay. -- I got it. Don't worry. I'm walking out the door, chill. He hangs up the phone and comes back into the dinning room. CAREY (CONT'D) Don't want to miss this priceless family moment but as the shepherd says, I got to get the flock out of here. Mom, dinner was awesome as always. Greg... He looks over to Greg. He's passed out on the couch. CAREY Sleep it off, buddy. Carey opens the front door. Xana races after him. KARLA Where do you think you're going? XANA I've got plans. I'm outa here. KARLA Sit down, young lady. We're going to finish talking about this. XANA There's nothing more to say. Xana escapes out the door. Karla stands in the threshold. KARLA Xana, I'm your mother. You're just a child. I know what's best for you. Xana turns and faces her. XANA Well, I think I'll take this one. Thanks though. KARLA I'm not going to let you throw your life away. XANA If you think having a child is throwing my life away, then you're more fucked up than I thought. She approaches Clint's idling car and gets in. INT. BOBBY'S HOUSE - LIVING ROOM - NIGHT Chase wakes on the couch and walks around. CHASE Cole? Bobby? GARAGE He flips on the light. Looks around. Spots a bike. CHASE Where are you guys? LIVING ROOM Chase comes back in. He looks around then grabs the flyer off of the coffee table. EXT. PARTY - FRONT YARD - NIGHT The place is alive. Hundreds of people everywhere going in and out of the house. Gathered in groups. INT. BOBBY'S CAR - STATIONARY - NIGHT Cole and Bobby are parked among dozens of cars. They gaze in amazement, readying themselves for the festivities. Bobby holds out a joint. BOBBY Want any more of this? COLE I'm straight. Bobby takes as many hits as he can before throwing the remains out the window. Cole looks out the window. COLE Shit's happening. BOBBY Look at all these potential customers. Cole looks at Bobby. COLE Maybe we shouldn't have left Chase. BOBBY What are you, gay? Why don't you stop worrying about him and think about finding yourself a cock coozie. Bobby SLAMS the door shut as he gets out. Cole follows. BOBBY Let's get fucked. They walk towards the party. INT. PARTY - NIGHT The front door swings open. Carey, Clint, Steven, and Xana walk through with the cooler. They set it down on the floor and look around. No one even recognizes that they're there. Xana dials her PHONE. CAREY It just came out. I just spat it out when I heard her talking STD's and shit. STEVEN Wait, what are you guys talking about? XANA CAREY Nothing. XANA (CONT'D) (on the phone) She was going to find out either way. Can't believe she reacted like that though. She really is having a mid-life crises. Hey. I'm here -- I'm going to find Brook and Audrey. (to Carey) CAREY Alright. Hey, be careful. Don't want to end up with another one of those things. Xana nods and darts away. XANA O.S. You're not going to believe how (On the phone) Karla reacted. STEVEN She's not hanging with us? CLINT Good. We need to cut the fat. Carey, pull us a beer. Carey opens the cooler and grabs each of them a beer. They POP the tops, take a sip and stand there, awkwardly. Nothing. CAREY How does it usually work when we go to parties? CLINT What do you mean? CAREY Normally we don't just stand in the entrance all night. CLINT You're right. I'm going to see if those girls can help me get rid of the remnants of that seventeen year old's anal fetish. Clint walks away. STEVEN Yeah, good luck with that. I was going to talk to them. CAREY No you weren't. STEVEN At least I thought about it. You're just standing here. CAREY We're both standing here. Steven looks at him, then walks away. CAREY (CONT'D) What am I supposed to do? Carey watches the party. Alone. He sips his beer. EXT. PARTY - FRONT YARD - NIGHT Cole sips a solo cup amongst a group of people trying to blend in. He looks over and spots Chase riding up on a bike. Chase throws the bike to the ground as Cole approaches. CHASE Hey, asshole. COLE What? You rode that here? Chase grabs the cup from Cole and gulps it down. CHASE That's a very good question, Cole. Considering I'm tripping balls right now. It doesn't make any sense, does it? COLE You're still tripping? CHASE You're not? I stopped three times on the way over here to puke. COLE That shit was bunk. Bobby gave us a raw deal. Schwarzenegger style. I know what'll be a good distraction. CHASE You found Xana? COLE No. There's a table in there. CHASE There's a pool table? Cole nods. CHASE I'll shoot a game. They head toward the house. CHASE (CONT'D) That was the scariest fucking ride. EXT. PARTY - NIGHT A large crowd gathers around people swinging poi and hula hooping. Clint talks with a YOUNG GUY. YOUNG GUY Yeah, my family owns a brewery. CLINT Are you serious? Do you get free beer and shit? YOUNG GUY Yeah. Sometimes. CLINT Dude, how amazing is that? I would do unspeakable things to be in your shoes. Drinking all day. For free. YOUNG GUY It's nice and all, but I much rather be doing something more productive than drinking all day. CLINT What do you mean? What beats drinking all day, especially when it's free? A girl hands the guy a hula hoop. YOUNG GUY Ever tried it? CLINT chicks and gay people did that. You do that shit too? Thought only The guy starts hula hooping away from Clint. GUY Nice meeting you... Clint sips his beer and walks off. SIDE OF HOUSE LAUGHTER echoes as Clint comes around. He spots the Red Necks from earlier. His eyes bulge and he walks the other way. INT. PARTY - LIVING ROOM - NIGHT A TEEN smokes from a four foot bong with a younger crowd. He almost clears it, but goes into a COUGHING fit. Steven grabs the bong from him. STEVEN Give me that. You didn't even clear the fucking thing. Steven scrutinizes the teen who's still COUGHING. He takes a lighter from another teen and looks them over. STEVEN (CONT'D) Bet this is the first time you guys ever even smoked out of a bong. Steven snatches the bag of pot and loads the bong. STEVEN (CONT'D) Fucking pussies, man. Let me show you how it's done. He lights the bowl and takes a huge hit. One of the kids tilts the bong and water shoots down Steven's lungs. He shoves the bong away and COUGHS. The kids LAUGH at him. STEVEN (CONT'D) Who fucking did that? TEEN Think you can smoke our weed, then make fun of us? Fuck out of here. The other kids chime in. STEVEN I was just giving you guys a critique. TEEN We don't need your critique. Go find someone else to mooch weed from. Steven gets up and walks away. STEVEN Fuck you guys. Pricks. One of the Red Necks steps directly in front of him. Steven quickly turns and fiddles with a plant on a side table. Once the Red Neck is clearly past, Steven holds up his middle finger and MOUTHS 'fuck you.' EXT. PARTY - STAGE - NIGHT A large crowd surrounds a small stage as a BAND plays. Xana, Brook and AUDREY, 17, fill cups at a keg. AUDREY What about Zoe? Xana sips a bottle of water. XANA Would you stop throwing out baby names? I'm still kind of in shock right now. BROOK Yeah and Chase doesn't know yet. AUDREY How do you think he'll take it? XANA Sadly, I don't know him well enough to guess. AUDREY Maybe Karla's right. I mean that way you wouldn't have to tell him. Audrey! BROOK AUDREY What? When I got mine, one of the best decisions I've made. Xana looks stunned. XANA When did you get one? AUDREY Last summer. BROOK Which followed one of her worst decisions. XANA You knew about this? AUDREY I didn't want anybody to know. It came out one night when I was a drunken, emotional mess. XANA Don't think I could do it. I mean, the kid's got an equal say, right? BROOK Just weigh your options. XANA I need to talk to Chase before I do anything. AUDREY Hey, I'm pro-choice too, but look at us. Are we really ready to be responsible for another life? She sips her cup. AUDREY Let's go inside. I want to find a boy to cuddle up to. Brook and Xana look at her. AUDREY (CONT'D) Not resulting in another vodka induced threesome. I know that's what you were thinking, Brook. BROOK Wasn't going to say anything. Xana, you coming? XANA Think I'm going to stay and watch the band for awhile. Brook and Audrey walk away. Xana watches the band. INT. PARTY - BILLIARDS ROOM - NIGHT Chase shoots the eight ball in a pocket. Cole stands aside, anxiously. Yes! CHASE COLE Son of a bitch. Chase comes toward him. Cole grabs the rack. COLE Double or nothing. Come on. CHASE Cole sighs and leans his face toward Chase. COLE Not too hard. CHASE Right. Just something like... Chase lightly taps Cole's Cheek with his left hand, then slaps his other cheek with his right hand. Dude! COLE CHASE What? That was the bet. Cole rubs his cheek. Good game. CHASE (CONT'D) COLE That wasn't a good fucking game. CHASE Want to play again? COLE Fuck yeah I want to play again. Rack 'em. CHASE Cole racks some of the balls. CHASE (CONT'D) Just so you know everything is melting and blurring together in a vibrant swirl of colors. COLE I can't believe you're still tripping. Chase rolls the rest of the balls over to him. CHASE Where's Bobby? COLE Selling weed and ripping people off with his knock-off drugs probably. Chase looks out at the crowd of people partying. CHASE Ran into anyone you know yet? Clifton. COLE CHASE You ran into Clifton? The guy who remembers every trivial thing from high school? COLE Always seems to find me. I don't know how he does it. You know when your in an awkward situation and there's that certain smell? Nope. CHASE COLE Well there's a certain smell. He was just yapping about the time his mom walked in on me jerking off. I realized the smell which reminded me of the last time I smelled it. Chase is puzzled. COLE (CONT'D) The time that girl defaced my room. Gross. CHASE Cole LAUGHS and Chase breaks the balls on the table. COLE (CONT'D) Still regret cutting ties just because she puked. Shit happens, right? Cole shoots at a ball and misses the pocket. Shit! COLE (CONT'D) CHASE What is it about this girl? You didn't even sleep with her. He shoots. Makes it. He misses. CHASE (CONT'D) Two ball side pocket. COLE There's always that one girl, you know? You can't describe what it is about her or why she makes an impact. CHASE So Cole actually cares more about a girl than just having sex. COLE I don't just want sex from girls. CHASE You're kidding, right? It's always about sex with you. COLE This girl's different. Maybe it's like you and Xana. CHASE If there was something between Xana and I, I'd probably know by now. Cole shoots and misses again. Fuck it! COLE CHASE Call your shots. I did. COLE CHASE No you didn't. COLE I always call shots. Chase looks at Cole incredulously. CHASE Do you Cole? Do you always call shots? COLE Tell me I don't always call shots. CHASE You never call shots. Just like that last game. COLE That's bullshit and you know. CHASE I know! I'm the one saying you didn't call the fucking shot! COLE I did, damn it! I did. CHASE So you're telling me you called three balls in three different pockets at the same time. That's what you're telling me, correct? COLE What I'm saying- CHASE No Cole, answer the question. COLE Can I speak first? CHASE Answer the question first. ... Yes! COLE CHASE Ah, I knew it. That's bullshit Cole! COLE How's that bullshit? I meant for those fucking balls to go into those fucking pockets! Chase throws his pool cue down in a fit of anger. CHASE Fuck it, just fuck it. I don't want to play anymore. I'm tripping too hard anyway. COLE Good, me neither and I'm still not tripping. INT. PARTY - KITCHEN - NIGHT Chase and Cole come in. There are savory snacks, cups, plates, and all the party essentials. Cole notices a cup of straws and a stack of napkins. He nudges Chase. They both grab a straw and a few napkins. LIVING ROOM Carey finishes his beer as he rounds the corner. A group of BROS cull around. One BRO has his foot atop the cooler. Carey taps the guy's shoulder. CAREY Hey, can I get a beer? The Bro turns and faces him. What? BRO CAREY I need to get a beer. Cole and Chase stand in the back and shoot spitwads at people. The Bro opens the cooler and takes out a beer. BRO You want this beer? CAREY Yeah. It is my cooler. BRO Oh, okay. Here ya go. He hands the beer out for Carey. Carey reaches for it but the Bro pulls it back, POPS the tab, and takes a drink. BRO Go find your own fucking beer. The guys LAUGH. Carey sighs and starts to head away. Dick! CAREY Right then, Cole shoots the bro with a spitwad. The Bro lowers his beer, confused. BRO What the fuck? The Bro marches toward Carey. BRO What'd you throw at me, cocksucker? CAREY What are you talking about? The Bro PUNCHES Carey. He falls to the ground. His friends laugh and egg him on. Cole and Chase run to the scene. COLE Hey man. It was just a spitwad. I did it. I didn't mean to hit you. BRO You want some of this, too? Out of nowhere, Carey is back to his feet. He throws a violent PUNCH. The Bro falls to the ground. Carey faces Cole. CAREY You got my back, right? What? COLE The Bro and his posse come at Carey and Cole. Carey PUNCHES the Bro in the stomach. Cole grabs a guy by his shirt and throws him into the other guys. DINING ROOM Clint and Steven play beer pong. Clint aims the ball when he sees what's going on. Carey? CLINT LIVING ROOM The guys have Carey by the shirt. Clint and Steven run up. CLINT Carey, what are you doing? Carey looks to Clint. One of the guys uppercuts Carey's stomach. He doubles over. CAREY Do something. CLINT Nah, you got this. Cole get's PUNCHED to the ground. Steven helps him up. STEVEN Kick their ass! The Bro is about to punch Carey when the front door swings open. In comes the Red Necks. They spot the cooler. A Red Neck grabs the Bro off of Carey. The place goes silent. HEAD RED NECK But some dumb piece of shit stole something that belongs to me. Normally, I like to drink a cold beer and watch a good fight. (beat) Steven ebbs into the crowd. HEAD RED NECK (facing bro) After countless hours of retracing steps, I thought looking for it was a lost cause. Until now. He pulls him close by his shirt. HEAD RED NECK That's my cooler. Now, who's going to tell me who took it? Clint points to Steven. He hides behind someone. The Red Necks look over the crowd. Carey gets up from the floor and stands near Clint. Head Red Neck gets in the Bro's face. HEAD RED NECK You bring this cooler here tonight? CAREY He said he stole it earlier. Another Red Neck opens the cooler and peers inside. SECOND RED NECK Half the beer's gone. CAREY Look they're all drinking it. Steven hides his beer behind his back. The Red Necks grab the other guys. BRO Wait a minute. HEAD RED NECK Come on boys, let's show these guys what happens when you take things that don't belong to you. Steven cups his mouth and yells - STEVEN Kick their ass! The crowd cheers KICK THEIR ASS. BRO Wait. That's not ours. We didn't... The Red Necks haul the guys outside. Steven runs over to Clint and carey. STEVEN Oh my God. What are the odds of those hillbilly motherfuckers showing up here? Cole and Chase walk up to Carey. COLE Sorry about that man. CAREY Shit, that was exhilarating wasn't it? CLINT What the fuck happened? CAREY I'll tell you over coffee time. My adrenaline is pumping. CLINT We don't have any weed. Steven pulls a bag of pot from his pocket. CLINT Where'd you get that? STEVEN Fucking high school kids. Carey faces Chase and Cole. CAREY Want to get stoned? Fuck yeah. COLE CHASE I'm already stoned. CAREY Want to get stonder? Carey throws his arm around Cole as they head outside. EXT. PARTY - TABLE - NIGHT Clint, Carey, Chase, Cole, and Steven sit at a patio table. Carey's nose is bleeding. CLINT Dude, Carey. My man. What happened? Steven loads the pipe. CAREY I just wanted a beer and that douchebag sucker punched me. COLE Partly my fault. I shot him with a spitwad. CAREY That's why I got punched? Steven hands the pipe to Carey. CLINT I've got a newfound respect for you. Usually you're a little bitch. Carey takes a hit and passes the pipe to Cole. CAREY No I'm not. CLINT Ugh, but you are. Steven want to take this one? STEVEN No, you are and that's obvious. Wipe the blood from your nose. Cole passes the pipe to Chase. CAREY Chicks dig guys with battle wounds. Chase motions off the pipe. I'm good. CHASE CLINT What's your guys' name? I'm Cole. COLE Chase. CHASE CLINT I knew you looked familiar. You're the guy that picks up food all the time at the restaurant. Delivery service, right? CHASE That's where I know you guys from. That Italian joint. CLINT Yeah. You don't smoke? CHASE I do. I'm just tripping right now. We took 2-C-I earlier. STEVEN Got anymore? COLE He got lucky. Mine was shit. CAREY My adrenaline's still pumping. I was about to go hangar on those assholes. COLE Steven Segal style. Half Past Dead. Thank God for those Red Necks. STEVEN More than you know. CLINT You should use that adrenaline in the next game of beer pong. A kid passes by and calls out. KID Setting up for flip cup. Who's in? Chase turns to the guys. CHASE You guys play flip cup? Do we...? CLINT SIDE OF HOUSE A crowd of people surround a table with solo cups. Clint and Chase are head to head. They cheers a beer. Ready? CHASE CLINT Let's do this. They chug their beer, then try to flip the cup. EXT. PARTY - STAGE - NIGHT The band finishes a song. The members head away. The vocalist pulls out an acoustic guitar. VOCALIST I know this is a party, but I'm going to play something new. He strums his guitar and sings. Xana watches from the crowd. She has her phone and dials Chase. She gets his voice mail. MONTAGE: Xana's lost in thought watching the musician. Chase, Cole, Steven, Clint, and Carey play flip cup. People come and go. Fill their cups at the keg. The bros get their ass beat by the red necks. END MONTAGE: EXT. PARTY - STAGE - NIGHT The vocalist ends his song. People APPLAUD. Brook and Audrey walk up to Xana. BROOK Haven't spotted Chase I presume? XANA Just getting his voice mail. BROOK Let's check inside. There's a shit load of people in there. They go towards the house. AUDREY And a shit load of alcohol. EXT. PARTY - PARKING LOT - NIGHT A navy blue 2020 VW BUG CONVERTIBLE pulls up and parks. Two golden legs step out and stroll towards the house. INT. PARTY - KITCHEN - NIGHT The place is in disarray as Brook, Audrey and Xana come in. Audrey grabs two bottles of Liquor. AUDREY How fucked up do we plan on getting? XANA You two have at it. I think I want to leave. She takes a swig of her water bottle. BROOK Don't even think about leaving. You haven't found Chase yet. The whole objective of tonight. Audrey hands Brook a shot. They slam them as Phelia walks in. PHELIA Oh shots. Perfect. She grabs the bottle and pours a shot. PHELIA Whoa! Want another? AUDREY You bet, girl. Her and Brook hand her their shot glasses. Phelia counts aloud as she pours four shots. PHELIA One, two, three, and four. XANA Oh, just three. I'm not drinking. PHELIA Why not? It's a party. AUDREY She's pregnant. Xana looks at Audrey. XANA Yeah, I think you can really start to tell if I stand to the side. She turns sideways and pulls her shirt tight against her body. Phelia looks her up and down. PHELIA That's exciting. She takes another shot. PHELIA How'd you know you were ready? XANA Oh you know, wanted to be a statistic. Where do I sign up for Sixteen and Pregnant? Brook laughs. PHELIA I had a couple of close calls. That's what they made plan B for. Phelia pours herself another shot. She slams it. PHELIA Don't party too hard, girls. She leaves. EXT. PARTY - TABLE - NIGHT The table's covered in empty beer bottles and overflowing ash trays. They chat. Cole checks his phone. CAREY Expecting a call? Cole looks up at him. CAREY You've looked at your phone three times in a matter of minutes. COLE Just wish this girl would call me. CHASE Some girl who aspires to fuck the guy who's apparently the fuck of a life time. But they had to call it short on account of her spewing all over his floor. COLE Why don't you let everyone know, limp dick. CAREY Wait, I want to hear this. Cole sighs. COLE She smoked and drank too much and couldn't handle her shit. Clint leans forward. CLINT Speaking of shit, get this, I went home with this girl earlier, pretty fucking cute... Stone fox. CAREY CLINT So I'm laying some pipe, right, when she pulls out this long stiff strand of knots. CHASE Anal beads? CLINT That's exactly what they were. Yeah like mid way through, her dad shows up. I yank them out of her ass and shit goes everywhere! Holy shit! COLE CLINT Oh, there was nothing holy about this shit. I took off running after hearing gun shots. I'm thinking she's dead. He looks over to Chase. CLINT So where's your squeeze, Chase? Chase fidgets. CHASE My squeeze? Don't really have one. I did hit it off with someone a few weeks ago. COLE Dude, you and Xana were a one night stand, get over it. CHASE If it was a one night stand, why'd she call me today? CAREY Xana! That's my sister's name. Seriously? CHASE CAREY Whoa, hold the phone. You're Chase? Yeah... CHASE CAREY (gets up) The Chase. It didn't even occur to me. You and my sister - dude she's here looking for you. I'll be right back. Wait- CHASE Carey runs from the table. CLINT Dude, you boned his sister? Steven stares at Chase in envy. COLE Holy shit. Small fucking world. INT. PARTY - KITCHEN - NIGHT Brook and Audrey are belligerently drunk. Being loud and obnoxious. Xana watches them. Carey runs up next to her. CAREY Xana! You're not drinking, are you? XANA I'm smashed, can't you tell? Just because I'm with these two doesn't mean I'm that irresponsible. CAREY Guess who we've been talking to for the past hour? Xana looks blankly XANA Judging by the diplomatic expression on your face, another libtard, marijuana aficionado? He thinks for a minute. CAREY Kind of. But better. Chase. XANA Chase? He's here? She looks to Brook and Audrey. BROOK Ah. Xana, there ya go. CAREY Yeah, he's out back. Go talk to him. XANA Shit. What do I say? BROOK Tell him we fucked, now I'm carrying your kid! XANA Maybe something before that... CAREY He's real cool. You'll figure it out. Go. Xana struts away. Brook holds out a shot for Carey. BROOK Want a shot? CAREY Eh, yeah I'll take a small one. EXT. PARTY - TABLE - NIGHT Chase, Cole, Clint, and Steven pass around a pipe and ramble on to each other. STEVEN I had this raging fucking heart on, right; the stiffest of stiffs, and there's nothing I can do about it. CLINT And you rubbed it out in someone's soup and served it to them! STEVEN No. I did everything I could to get it to go down. Flicked my nut, pinched the head and nothing. So I made my way to the bathroom and after three strokes went off like the fourth of fucking July. Cole and Chase laugh in disgust. STEVEN I wiped the post cum off my hands and went on with my day. CLINT There is no post cum! STEVEN Yeah there is. CLINT No, it's just cum! There's pre cum, then there's cum. There's no other kinds of cum. CHASE Yeah, none that I'm aware of. STEVEN I'm pretty sure there's post cum. Xana approaches the guys. Steven lights up. STEVEN There she is. CLINT What's up, Carey's sister? Chase drunkenly stands. CHASE You're Carey's sister? XANA I am. I'm also a daughter, friend and soon to be... She catches herself. Everyone's in suspense. XANA You want to like, go somewhere and talk? CLINT Get it, Chase. XANA Somewhere a little more private? CHASE Yeah, definitely. Xana and Chase walk off. XANA O.S. I've actually been trying to call you all day. STEVEN That swashbuckling son of a bitch! I'd love to make love to her. CLINT Dude, that's Carey's sister, practically your sister. STEVEN Sweet, sweet love. I'd give up smoking weed to bang her. CLINT No you wouldn't. Steven holds the pipe to his lips. STEVEN No, I wouldn't. Carey rejoins the guys. CLINT Did you see that? Did you see what just took place? STEVEN Does it piss you off that your sister's getting laid and you're not? Carey lays his middle finger against Steven's face. CAREY She is carrying his kid. Cole spits out his beer. What? COLE INT. PARTY - CHASE'S BEDROOM - NIGHT The bedroom door swings open as Chase and Xana walk through. CHASE That was a seventy five year old man. Paranoid as hell, who thinks homeland security is after him. They sit down on the edge of the bed. XANA Should I even ask why you're hanging out with older men? CHASE It's - it doesn't matter. He looks into her eyes. There's instant chemistry. CHASE I can't believe I'm here with you right now. Didn't think I was going to see you again. XANA You could have called. Chase is nervous. CHASE I'm the type of guy that thinks if she wants to talk to me, then she'll call. XANA You don't think girls think that too? CHASE Yeah. Guess your right. XANA And I did. Because I do. Chase is all smiles. CHASE Good. I want to talk to you too. Xana looks away and takes a deep breath. CHASE What is it? Okay... XANA She leans forward. XANA It's about that night. CHASE Was it alright? What? XANA CHASE The sex, was it alright? I had little to no experience and being wasted didn't help, I'm sure. XANA (beat) Oh, no. You had the sex down. But... CHASE There's the but. Hey, drinking makes it harder-- XANA No, Chase stop. Let me just tell you. I've heard everyone's opinion today but the one person who actually matters. CHASE What are you talking about? Chase takes a drink from his beer and looks straight ahead. XANA (beat) There's no real way of saying this than just coming out and saying it. So, here it goes. I'm pregnant. He quickly directs his attention back to Xana. CHASE You're pregnant? How do you know it's mine? XANA That's the first thing you come at me with? Chase stands. CHASE No. I'm sorry. But are you sure? XANA Well, seeing how you're the only guy I've had sex with doesn't really leave many possibilities. Chase sits back down and sighs. CHASE How could this happen? XANA Not using a condom might have something to do with it. CHASE I thought you were using some kind of contraception. XANA Yeah, no? I wasn't having sex. CHASE But we did. XANA It's not like I went to that party determined to have sex. We were both drunk. We didn't even know each other. Take some of the fault. CHASE No, I'm sorry. I'm not trying to make it sound like it's all your fault. We're both responsible. He looks at her. CHASE What are the options? Do we have options? XANA There are only two options that come to mind. We can do what my friends are telling me to do and my mom's telling me to do, or we can have it. The room is silent. Chase looks away. Xana looks anxious. Chase grabs her hand and looks into her eyes. CHASE Maybe we should have it then. XANA You and me? Yeah. CHASE XANA We don't even know each other. CHASE Well, we've got nine months for that. XANA I'm kind of relieved to hear you say that. I'm not ready to be a mom or anything, but I don't want to be someone who changes morals when the situation's happening to me. CHASE I want to be there for you. And the baby. She rests her head on his shoulder. Chase wraps his arm around her and stares ahead. XANA So we're having a baby then... CHASE I wanted to call you. I should have called you. Xana raises her head and looks at him. XANA You're the dude. Dudes call the girls. Everybody knows that. He moves the hair from her face. CHASE I don't want to call any other girls. He kisses her. EXT. PARTY - TABLE - NIGHT Cole, Carey, Steven and Clint chat around the table. COLE I still can't wrap my head around Chase is going to be a father. CAREY We live in America, kids get knocked up daily. STEVEN Don't you keep up with social media? Cole shakes his head. Clint finishes his beer and holds the empty bottle up. CLINT Steven pull. STEVEN Get your own fucking beer. CLINT I'm balls deep in conversation with our new friend here. You're closer. Steven sighs. STEVEN Anyone else need one? Carey kills his beer. Pull. CAREY COLE I'm straight. Steven treads away. INT. PARTY - LIVING ROOM - NIGHT The party's in full swing. Steven grabs some beers from the cooler. He's about to leave when he hears a RUCKUS. KITCHEN Phelia's dancing on the counter. Three sheets to the wind. Brook and Audrey dance around below her. Steven comes in. STEVEN Someone looks alive tonight. How much has home girl had to drink? BROOK A lot. Want a shot? She pours two shots. STEVEN You know this girl? BROOK We just met her. She hands a shot to Steven. They down them. STEVEN She likes it in the butt. Brook shoots Steven a confused look. STEVEN Oh yeah. Clint and her earlier. He gave me the four one one. No shit? BROOK STEVEN Oh there was shit alright. Steven goes closer to Phelia. STEVEN You're alive. What? PHELIA STEVEN Fancy seeing you here. Want a beer? PHELIA Didn't you give me a beer at the beach? STEVEN She remembers. Phelia jumps down from the counter. She takes a beer from Steven and chugs it. STEVEN Oh, chugging again. You're welcome by the way. Phelia finishes the bottle and SLAMS it down. STEVEN That's cool. Just blow me off like you did earlier. What? PHELIA She tries to get back on the counter, but falls back. Steven catches her. STEVEN I said you should come down from there. She stands up straight. PHELIA Got any pot? Pot? STEVEN PHELIA Weed, weed. Marijuana. Have any? I'm jonesing. STEVEN Yeah. Yeah, I do have some. You want to smoke? Yes! PHELIA STEVEN What's in it for me? She whispers in Stevens ear. What? STEVEN Phelia whispers again. His eyes widen. Phelia leads Steven by the hand out of the kitchen. EXT. PARTY - TABLE - NIGHT Clint sees Steven following behind a girl. He stands and waves his arms to get Steven's attention from inside. CAREY What are you doing? CLINT Apparently Stevey's found some tail and forgot about his boys. CAREY About time. CLINT Yeah, but what about the beers? INT. PARTY - LIVING ROOM - NIGHT Steven sees Clint outside. He lets go of Phelia's hand. STEVEN Don't move. He grabs a beer and stands in the threshold of the door. Heads up! STEVEN CLINT Don't throw the son of a bitch. Steven throws the beer to Clint. He manages to catch it. CLINT Now the beer's shaken. Great. Steven chases after Phelia. COLE Nice catch. CLINT Yeah it was. Clint notices a gash in the crease of his finger. CLINT Shit, it cut my finger. Look... Clint holds his hand up for the guys to see. CAREY That's nothing. CLINT I know, but who knew you could get wounded from a beer? CAREY It's a scratch, wipe it off. CLINT And get it infected? I need to GermX this stat. CAREY Who's the vadge now? CLINT What if I snuggle up to one of these honeys and I do a little insertion? She'll think I popped her cherry or something. CAREY Judging the talent at this place, I'd say that's pretty likely. COLE Use the other hand. CLINT My left hand's completely useless. Can't even beat off with it. Feels like someone else's doing it for me. And fuck that. COLE There's nothing wrong with a handy. It's like an intimate hand shake. CLINT Fallacious! Carey gives Cole a look of 'here we go again.' CLINT I did not sign up for male-female bonding to have them bestow onto me something that I already bestow onto myself every single day. CAREY Dude, just clean your finger. Fuck. COLE You a cunnilingus guy? CLINT God no, my face stays above the waist. CAREY That's because he can't navigate the female anatomy. Clint stands up from the table. CLINT I'll let my dick do the navigating. He rushes away. CAREY Maybe grab another tampon too. INT. PARTY - HALL - NIGHT Clint KNOCKS loud on the bathroom door. He twists the knob. It's locked. CLINT Hello? Is someone in there? GUY O.S. Is the door locked, cock smoke? CLINT I'm wounded, yo! Fuck off! GUY O.S. CLINT I hope you get crotch rot! Clint turns and walks away. INT. PARTY - BEDROOM - NIGHT The room is fogged from smoke. Steven and Phelia are on the bed. She exhales a cloud of smoke. Steven kisses her. STEVEN I'm glad - I had - some weed... (in between kisses) His hands explore her body. PHELIA I need to pee. Now? STEVEN She staggers away from the bed into the bathroom. Steven takes off his shirt and pants right as Clint walks in. CLINT Steven? I knew it. She blew you off, just like the girl earlier. STEVEN Dude get the fuck out of here! (whispering) CLINT That beer you threw at me cut my finger. Look at this shit. Clint shoves his bloody hand into Steven's face. STEVEN Get your hand out of my face! CLINT Just look at the finger. STEVEN I don't want to look at your finger. Get the hell out of here. The toilet FLUSHES. Clint and Steven look at the closed bathroom door. Steven quickly faces Clint. STEVEN Dude, get out of here! Go! The bathroom door opens, Clint jumps behind the opening door. Phelia stumbles out, closing the door behind her. She goes to Steven. He looks at Clint, who's shocked. CLINT (mouthing audibly) Dude, what the fuck? Steven pulls Phelia on top of him. He waves Clint out. EXT. PARTY - TABLE - NIGHT Carey and Cole are LAUGHING as Clint runs up. CLINT Remember that girl I was talking about earlier? CAREY The one who gave a shotgun a blow job? CLINT Not only is she alive, but I just saw her getting with Steven. CAREY Steven? Bullshit! COLE We should fuck with him. Carey and Cole get up to dart off. CLINT I've got a confession to make. Clint grips Carey's shoulder. CLINT She used them on me. What? CAREY CLINT The beads. The knots. The strand. CAREY Okay, I get it. COLE You were sodomized by anal beads? CLINT Yes. And I shat. You can't control it. But you know what? I liked it. Carey slaps him across the face. CAREY To be continued. They run off. INT. PARTY - BEDROOM - NIGHT Steven is on top of Phelia. PHELIA You have a condom, right? Do I... STEVEN He reaches for his pants below. He pulls out a waded up condom. He holds it up for her with a smile. He tears it open and applies it, under the blanket. They are about to get it on. The door slowly cracks open. Carey and Clint CHUCKLE. Cole's eyes go wide at the site. Phelia? COLE Steven startled, jumps up, slipping off the bed. He SLAMS his head on a side table. INT. PARTY - CHASE'S BEDROOM - NIGHT Chase and Xana make love. They hear a BANG. He stops. CHASE What was that? XANA I didn't hear anything. She pulls his head back down. INT. PARTY - BEDROOM - NIGHT Cole storms out of the room. PHELIA Cole! Wait! Phelia staggers to put on her clothes. She runs after cole. Steven lays on the floor naked, holding his head. STEVEN What the fuck guys? Come on, I was just about to nut. CLINT Which comes before or after post cum? EXT. PARTY - FRONT YARD - NIGHT Cole runs out the door. Bobby's selling weed to CLIFTON, 20. BOBBY Cole. There you are, baby. I've been looking for you. Oh my God, you should have seen this girl. He sticks his two fingers out as Cole passes by him. BOBBY Want to meet her? Cole doesn't acknowledge him and goes straight to his bike. BOBBY You can borrow it though, I don't give a shit. That's my bike! (friendly) CLIFTON You know Cole? BOBBY Are you going to buy this shit or not? I'll throw in one of these... He pulls a pill out of his pocket. HELICOPTERS fly overhead. Bobby looks up, freaked. BOBBY They found me! I told you they were looking for me! He grabs his bag of weed and books it. Everyone clears out! BOBBY You're never going to catch me. I'm Bobby Baudin from New Orleans motherfuckers! He speeds away as Phelia runs out. PHELIA Cole, wait. Wait a minute! Cole holds the bike, facing away as she approaches. COLE I'm waiting. He drops the bike and faces her. She moves closer to him. PHELIA What are you doing here, Cole? COLE What am I doing here? All day. All day I've been thinking about you and hoping to hear from you and the first time I do, you're in there fucking some guy. PHELIA You stopped talking to me, remember? That was fucking embarrassing. It's not like I cheated on you. We're not even together. COLE I know we're not together. But I thought we had something... PHELIA What we had was one drunken night. I wanted something with you. But how was I supposed to call you after that? Hey, sorry for puking on your floor? They stand in silence. PHELIA I'm sorry you saw that. I had no idea you were here or that you even wanted to see me again. COLE I did. I do, I think. She grabs his arms. PHELIA Look, It's been a long time since we've seen each other and I know this isn't the best situation. Maybe we can just start over? COLE You want us to start over? PHELIA Yeah. We can start from here. She kisses him. He doesn't return the kiss and steps back. COLE Maybe we should talk tomorrow when we're both thinking straight. Phelia's put off. She composes herself. PHELIA You're right. She looks at her cell phone. PHELIA We can meet when I get off. It's getting late. I got to open the store in the morning. (beat) Okay. COLE Cole gives a heartbroken smile and slowly heads to the house. Hey, Cole? PHELIA He turns back around. PHELIA Good seeing you again. He nods and walks away. INT. PARTY - KITCHEN - NIGHT Clint pours a shot. Steven has an ice pack on his head. Carey's looking really drunk at this point. Whiskey? CLINT STEVEN Don't talk to me. CLINT Dude, come on. It was funny. He hands a shot to Steven. He gulps it down. CLINT Easy there, cowboy. Clint takes his shot. CLINT Carey, take your shot. We're ready for round two. CAREY I told you I wasn't drinking anymore, I don't want to get sick. STEVEN No, you're taking that shot. You fucked me over. You owe it to me. CAREY Clint was there. CLINT I'm happy to oblige in shots. It's you who's being a little bitch. CAREY I'm not taking a shot! STEVEN Just take the shot! Okay! CAREY He slams the shot, then leans against the counter. There... CAREY He looks concerned. STEVEN I remember my first shot. Steven makes GAGGING sounds. Clint joins in. Carey GAGS and runs to the bathroom. STEVEN Looks like he won't be joining us for coffee time. Clint pulls out his pipe. CLINT That's too bad. MONTAGE: Cole finds an empty room and slumps down on a couch. Chase and Xana hold each other, asleep. People leave and pass out around the house. The house is trashed. Clint and Steven stand over Carey. He's hunched over a toilet, passed out. Steven holds up a sharpie. They smile. END MONTAGE: EXT. PARTY - DAY The house stands in ruins. Trash and bodies litter the yard. The guy on the segway rides by. INT. PARTY - CHASE'S BEDROOM - DAY Chase and Xana are intertwined in bed. Chase jolts up. CHASE What time is it? XANA Still morning. Keep sleeping. My car! CHASE INT. PARTY - LIVING ROOM - DAY Cole is asleep on the couch. A phone RINGS. He wakes and looks around. Clint and Steven are outside smoking. KITCHEN Cole comes in and silences the phone. Chase and Xana walk down the stairs. CHASE Good, you're up. COLE Someone's phone wouldn't stop fucking ringing. XANA That's Brook's phone. Clint and Steven come in drinking beers. CLINT Morning love birds. STEVEN Glad someone got lucky last night. CLINT You'll know how it feels one day. STEVEN He's kidding. I know what it feels like to penetrate. XANA Have any of you seen Brook? CLINT Looks like a love fest over there. He points to the den. Many people are passed out. Brook dangles partially off of a love seat. XANA Looks about right. CHASE Cole, we need to get to my car. COLE Shit. I completely forgot. STEVEN We were just talking about how perfect the day is for the beach. We can drop you on the way. CHASE Thanks. That'd be great. CLINT We just need to snatch up Carey and we can get out of here. XANA Where is Carey? INT. PARTY - BATHROOM - DAY The door opens. Carey's wrapped around the toilet. STEVEN Wake up, faggot! CAREY Coffee time? CLINT Beach thirty, baby. Carey looks up at them. His face is covered in sharpy marker. EXT. PARTY - PARKING LOT - DAY Clint and Steven shotgun a beer next to the car. Carey's in the back. Cole locks Bobby's bike on a rack on Clint's car. Chase and Xana walk over to Brook's car nearby. CHASE I hope you work everything out with your mom. XANA Yeah me too. She'll just have to accept it. Hope everything works out with your car. Chase hugs her. XANA Call me later? CHASE Shit. I don't have a phone. I'll figure it out. He kisses her. CLINT You guys are cute. How cute? STEVEN Too cute. CLINT He knocks the beer can out of Stevens' hand. CHASE I'll see you soon. We've got lamaze classes, sonograms -- XANA Maybe a couple dates before all that? He kisses her one last time. BROOK Let's go, Xana. CLINT Hey, let the kids have their moment. She runs off and get's in the car with Brook. XANA Audrey go home with someone? BROOK You know that girl. Brook speeds away. Chase goes to Clint's car. STEVEN Let's do this. INT. CLINT'S CAR - MOVING - DAY Clint drives. Steven sits shotgun. Carey, Chase, and Cole are in the back. Cole is deep in thought, then turns to Chase. COLE So you knocked her up? CHASE Yeah. Guess I did. COLE Ya'll going to have it? CHASE Yeah. Guess we are. COLE Aren't you fucking scared shitless? CHASE Yeah. I am. COLE Stop saying yeah to everything. CHASE I'm responding to your questions. Yes I'm scared, but it's the right thing to do. And I care for her. CAREY You're a good man, Chase. COLE Ya'll don't even know each other. CHASE There's time for that. COLE I wouldn't waste it. Times a tick'n. When were you planning on telling me this by the way? I tell you about my shit. CHASE What do you mean? I just found out about it. And we both know that isn't true. COLE Get this, I ran into Phelia last night. CHASE Seriously? What happened? COLE Ask Steven. He was fucking her. STEVEN Yeah, and I didn't even get to finish. Seriously? CHASE COLE And remember Clint's girl with the anal beads? Her too. Clint winks to Chase and gestures a gun with his hand. CHASE Shit. I'm sorry man. COLE It's whatever. CHASE You're not still thinking of getting with her, are you? Cole shrugs. CHASE You are! She's a sperm bank. She fucked two guys in one day, with anal bead no less. CLINT Yeah. I mean we all know why she wanted to sleep with me but Steven? COLE There's just some kind of cosmic chemistry that I can't detach myself from. STEVEN Ditch the bitch, man. COLE I'm tired of almost finding the right girl. Thought she was it. CHASE She's definitely not. You'll find the right girl, man. Cole looks out the window. COLE Clint pull a right at the light. Her work is right over here. CLINT You going to tell her what's up? Yeah. COLE STEVEN Maybe you should fuck her first. We could all say we've been inside the same girl. He laughs. No one joins in. STEVEN No? Okay... He sits back in the passenger seat. EXT. XANA'S HOUSE - DAY Xana KNOCKS on the door. Karla answers. KARLA Forgot your keys again? Xana nods. Come on. KARLA (cont'd) Xana walks in. INT. XANA'S HOUSE - KITCHEN - DAY Xana and Karla sit at the table. Karla drinks a cup of coffee. Xana composes herself. XANA Where's Greg? KARLA Xana, I know I haven't been myself lately. Xana nods in agreement. KARLA That's partly what I'm talking about. I'm forty three years old. I have no business dating a guy eighteen years younger than me. XANA Come on. You know you're a cougar. KARLA Well... that's not even the point. Last night, I don't know what to say about last night. XANA Yeah last night was unlike us. We both could have handled it better than we did. But, I want you to know I spent the night talking with Chase. That's the guy that-- Yeah... KARLA XANA We talked it out. We're going to have it. And I want you to accept my decisions. I know I'm young but-- KARLA Xana, wait. XANA No, let me finish. Even if I'm not prepared mentally to be a mother right now, I've got the best mom out there to help me along the way. Karla looks like she could cry. They embrace. XANA (CONT'D) I love you, mom. I'm sorry for calling you crazy. KARLA I am a little crazy sometimes. I'm sorry too, honey. They pull away from the hug. XANA What were you going to say? KARLA You're not pregnant. Well, hopefully this isn't too disheartening. (beat) XANA What? I'm pretty sure I am. KARLA I've been on the phone with the clinic all morning. You're results are negative. There was a mix up. XANA What about the home test I took? That was positive. KARLA Sometimes they're faulty. But your blood work is negative. XANA Wait, why did they call you instead of me? Karla leans in, endearing. KARLA Next time you're trying to be sneaky, don't list an emergency contact. XANA Right. Damn those scam likely calls. How was there a mix up? KARLA Someone with the same name maybe? XANA Go figure there's another Xana going through this same thing. Xana springs forward. XANA I gotta go. INT. THRIFT STORE - DAY A few patrons browse through clothes. Phelia's behind the register. She looks up as Cole comes in. PHELIA Cole, you're early. I don't get off for another couple hours. He comes up to the counter. COLE This couldn't wait. Can you take a small break? Phelia comes around and peeks her head into an office. PHELIA Raquel, I'm going to step out for just a minute. Her and Cole exit. EXT. THRIFT STORE - DAY Cole and Phelia sit at a bench. PHELIA I'm really glad you wanted to talk. COLE Phelia, before I lose my nerve there's something I need to say. I liked you. I liked you a lot. PHELIA I like you too. COLE Wait. Just hear me for a sec. Phelia composes herself. COLE (CONT'D) I built you up in my mind as something that you're not. Phelia is taken aback. COLE (CONT'D) Not that that's a bad thing. I mean you like sex. A lot of sex - with several different people - in a span of twenty four hours. Which again, isn't a bad thing. (beat) It's just not me. (beat) She sighs. COLE (CONT'D) What I'm trying to say is, I think I was fixated on the idea of you. Even though I didn't really know you. But now that I do, we're just different people. PHELIA Not surprising. COLE Don't beat yourself up. PHELIA I know I use sex objectively. And it scares guys off before there can be a connection. Cole touches her shoulder. PHELIA Too bad it didn't work out between us. Could have been something good. COLE Hey, you may have missed out on the fuck of a life time, but I'm sure you'll find some fuck that will last a life time. She LAUGHS. PHELIA You think so? COLE I do. Come here. Give me a hug. They hug. EXT. SIDE OF THE STREET - DAY Clint and Steven rest up against Clint's car. Chase paces furiously in the absence of his car. CHASE Fuck! I can't believe my car got towed! Carey tries to wipe off the sharpy. Steven nudges Clint. STEVEN See the conch I stole from the party? CLINT Who do you think you are, Piggy from Lord of the Flies? CHASE What the fuck am I going to do now? CLINT Call someone, dude. Cole rides up on Bobby's bike. COLE Where's your car? CHASE Fucking towed. That's where. COLE It got towed? CHASE Yeah, like I said it would. COLE Damn, shouldn't have left it here. CHASE What the fuck do you mean? It was your idea! COLE You didn't have to listen to me. STEVEN So, how'd it go with the skankasaures? COLE I gave her the proverbial stiff arm to the face. CLINT Good. On. You. CHASE Cole, what are we going to do about my car? STEVEN Hey man, for all intents and purposes consider this a voice of reason. The car's towed, man. This being a weekend, there's nothing you can do until Monday. CAREY Cars get towed on weekends. Clint shoots Carey a stern look. STEVEN Now, we've got some cold beer and a nice breeze. So, we can stand here and piss and moan. Or we can take this beach side. Me, I'm feeling the latter. CLINT I second that. COLE Come on, man. We'll worry about it later. Chase shakes his head. Fuck it. CHASE CLINT That's what we're talking about! They CHEER and head toward the beach. INT. KARLA'S CAR - MOVING - DAY Karla drives. Xana stares out the window, anxiously. KARLA I don't know how you're going to find him. You should just call. XANA He doesn't have a phone. KARLA This just keeps getting better and better. Mom... XANA Sorry. KARLA Xana looks back out the window and sees Chase with the guys. XANA Stop. Stop the car, there he is. EXT. SIDE OF THE STREET - BEACH - DAY The car SCREECHES to a stop. Xana jumps out. XANA Chase! Chase! Chase turns and sees Xana running toward him. He runs to her. CHASE What are you doing here? Are You okay? She stares back at him with a smile. Carey, Clint, Steven and Cole watch Chase and Xana from a distance. CAREY Look at those two. CLINT They're going to make a cute kid. COLE I hope she didn't run down here to tell him she's having twins. EXT. BEACH - DAY The gang finds a spot amongst the crowded beach. Clint and Steven set the cooler down as Xana and Chase walk over. XANA What's gonna happen with your car? He shrugs. CHASE I'll figure it out. They sit beside the rest of the guys. CLINT Have a beer, Chase. He hands Chase a beer. Xana grabs his beer and sips it. Carey leans up and looks at her. CAREY General surgeon clearly states you shouldn't drink when you're pregnant. XANA Well, good thing I'm not then. CAREY You're not? XANA Another case of mistaken identity. She hands the beer back to Chase. CAREY I know I should have said this when I first heard the news, but this is more fitting. Congrats. That's good fucking news. Carey clinks Chase's bottle. STEVEN There's still a chance. (to Clint) Clint LAUGHS. CLINT Yeah. Right... So, what did we think of the party? CAREY It was good until I double decked the toilet. STEVEN And when you assholes cock blocked me. Sorry, Cole. Cole shrugs. XANA I'm just relieved that I'm not pregnant. Me too. CHASE They kiss. Steven pulls an empty bag from his pocket. He lets it go with the wind. STEVEN Bummer alert. They watch the bag fly away. Cole reaches into his pocket and pulls out a sack of weed. COLE I completely forgot I had this. STEVEN Oh, thank God. CHASE Thank Bobby. Shit wasn't cheap. Clint hands Cole the pipe. He loads a bowl. STEVEN Think he's noticed yet? (to Clint) CLINT Not a chance. Clint smiles to Cole. Carey still has sharpy on his face. Chase has an arm around Xana. Her head's on his shoulder. Cole sticks the pipe to his lips. COLE It's coffee time. They CHEER and smoke from the pipe. Clint and Steven LAUGH. CAREY What? What do you guys keep laughing for? Xana and chase shake their heads. Carey has a BALD SPOT shaved into the back of his head. People walk past them and set up camp nearby. They're at a very crowded part of the beach. The guy on the segue rolls by. Ginger chases after him. FADE OUT: THE END
Full Episode Transcript With Your Host Tobi Fairley You are listening to The Design You Podcast with Tobi Fairley episode number 96. Welcome to The Design You Podcast, a show where interior designers and creatives learn to say, "No," to busy and say, "Yes," to more health, wealth, and joy. Here is your host, Tobi Fairley. Hey, hey, friends, Hey, hey, creative entrepreneurs. Hi, CEOs. I'm talking to you. I'm talking to you creative business owners and guess what we're talking about today. We're talking about why your to do list is killing your business. I mean, it's killing it and you don't even know. It's killing you, too, right? You're exhausted, but that's not even the most important part. Yeah, I do worry that you're exhausted, I know we all are when we run our businesses this way, but I want you to see that it is more than just burning you out, okay? It's literally killing your business and here's why. Working really hard does not equal success and I thought it did literally my whole life. I firmly believed you have to work really hard to make a lot of money. You may have heard me say this, but back in September last year of 2019, I was sitting at a Mastermind Program a couple of days with the Life Coach School Mastermind and within the first five minutes had an enormous epiphany based on something that was being said by Brooke Castillo and I don't even remember what it was. I have no idea, but I do know that I wrote in my notebook that I had a huge ah-ha moment all around the idea that the very reason that I likely have not hit my financial goals is because I'm working too hard. I did not say, "Not working hard enough." Now, some of you aren't working hard enough on the things that you should be working on and that's probably true for all of us and we'll get into that today, but I want you to see that working too hard on the minutia as Greg McKeown in Essentialism calls the trivial mini. That's exactly what's killing your business. The concept of working really hard to make a lot of money does not compute because there are so many people who work really, really, really hard and you may be one of them, I definitely have been for years, that did not equate to the level of money that I wanted to make. For 2020 with my goals, my one key goal and that is just so you know, my one key goal for this year is to 2.5 times our revenue for the whole company, and we've got some other goals for the team themselves like to 3X our Design You membership. In the company as a whole, which is what I'm looking at for me, 2X the entire company revenue – well, 2.5 times, and do that while I, me, Tobi works 6 hours a day, 4 days a week. Okay, that doesn't mean I'm going to be goofing off the rest of the time. I will be doing other things, other visionary-type things, reading, studying. We're going to talk about some of that today, but it's a big challenge and I want it to be an audacious goal, one that scares the heck out of me, one that seems completely impossible because that is exactly what I'm going for and if I just say, "I need to work less this year" which I've said many, many times, that could mean 15 minutes less. That could mean 75 hours instead of 80 hours which, you know, I haven't been working 80 hours, but you get the point. I want to be very, very specific and I am going to show myself that it is absolutely possible to work, and especially busy work, fewer hours than I ever have in my entire life to make 2.5 times what our revenue was this last year, okay? Which we were seven figures in our business last year. That is going to take some mega, mega work from me. It's going to take so, so much constraining. As I was thinking about this I thought, "I've got to bring this to the podcast today" because I want you all to see that it's not just me that has a problem with this. In fact, I have my schedule dialed in. If you've heard my time blocking podcast and if you haven't you need to, there's several of them that are incredible where I teach zero balance time blocking. I've got that perfectly dialed in, but the point being I'm still doing way too much of the stuff that I shouldn't be doing. Way too much of the stuff outside of my zone of genius and not near enough in the areas that actually make a difference in the company and in my life, okay? Here's what I want you think about. I want you to think about shifting from employee mindset to CEO mindset. I heard James Wedmore talk about this on a podcast episode and it was really mind boggling to me, and he said this, "If effort is your competitive advantage then it's the absolute lowest form of any type of competitive advantage that you can have." Basically, what he was saying is if all you do is outwork other people, which I've kind of done that for years in a lot of ways, then you're really vulnerable to all your competition because anyone, literally any person, could beat that effort just by hiring more people. If you work your fingers to the bone as one person it is just not very hard for somebody else who either is more effective or efficient than you or someone who hires more people and can 10X the amount of work you're doing by just paying for more people that's not hard to do. He's really saying working from this linear, limited construct of time and energy, because there's only a certain amount of both of those, is not a competitive advantage. That is mind boggling. Besides the fact that it's also not sustainable because you can't work that hard for that long which is what I ran up against and not that by any means I think I'm old, in fact, I'm in a lot better health and shape than I've been for any years, honestly. More so than in my 30s when I was also doing this hard work thing. So, it's not that I think that age is an issue, but I do notice that the older I get I do just naturally in some ways and some moments have less stamina than maybe I had a few years ago and maybe it's just that I have a lot more wisdom now and I'm not willing to work that hard. I'm just over it. Whatever the case, if I'm trying to win on outworking somebody which I think I was doing accidentally, that's a terrible strategy. What is the opposite of that? Well, it's the CEO mindset and it's spending way more time in things like super thinking, visionary thinking, focusing your time on the things that actually and truly can only be done by you. The things that cannot be outsourced. That is where you get a real competitive advantage is going to that creative place and really figuring out and solving problems and getting your company to a different level. Because you're spending time in the strategy, in the creation that meets your customers, your audience where they are and serves more people. This is the thing, most people don't this kind of competitive advantage thinking. They don't do this kind of visionary thinking. They're more going through the motions. They're going through their to do list, their to do list runs their entire day. Their clients run their day, their children run their day, their vendors run their day. Everybody but them runs their day and they're not protecting all of their work time to be used for the things that matter the most. If you read my Forbes article that came out recently, and I hope you did, if not check it out. But I've talked a lot about the starving artist mentality and this is one of the things that goes along with that is staying in employee mindset not CEO mindset. It really also is that same concept that a lot of us have read about The EMyth where Michael Gerber, the author of The E-Myth talks about how a lot of us as craftspeople open our own business, but we never really step into a leadership role. We're really just still being that craftsperson and that's what I'm talking about, being that person is killing your business because that is where your to do list is running your life. What are most of us doing instead of being in CEO mindset? What are we doing when we're in that employee mindset? Well, we're keeping ourself busy constantly, we're glorifying busy actually. And guess what, we're doing that to distract ourselves from the real work that matters. Because as long as we can be busy, as long as we can have a to do list that's a mile long and feel like we never accomplish it we technically get to stay in our comfort zone. Now, is it comfortable being that busy? Not really, but it's not the same kind of discomfort we get if we go out and do the really hard stuff, the big thinking stuff, the visionary stuff that's going to move our company ahead by leaps and bounds. We give ourselves this illusion of hard work, but in reality it's actually the easy stuff. Now, is it fun always? No. Does it seem draining and monotonous? Yeah, especially if we're thinking that it is. But the problem is it's just the stuff that we know how to do. We can do it on auto-pilot, we don't have to be present. It's really in that spot where we are competent, but not visionary. In the book The Big Leap which maybe you've read that – we're reading it in my program right now, Gay Hendricks, the author, talks about being in your zone of competence which is far different than being in your zone of genius and that's what we're talking about. Your to do list is literally killing your business because it's keeping you in your zone of competence, it's giving the illusion of hard work, but it's not really doing anything for your bottom line and it's not moving you in the direction of those audacious goals. It's not moving you in the direction of the impossible goal that you want to set for your life and your business this year. Here's the thing, improving your website, creating a new logo or even just looking at, for hours, logos that somebody else sent to you as drafts, working on your social media and your profiles and going through emails and doing basic task in your business that somebody else could do. Whether it's your interior designer and you're doing the actual design work most of it is not that creative. Do you want to bring your competitive advantage to the most creative parts and pieces of it? Sure, but 99% of the work is not that, right? It's busy work and you're doing that. As entrepreneurs if we really want to lead it's our job to do the uncomfortable stuff and guess what, we're not going to want to. Most of that stuff that we're procrastinating with the illusion of hard work, with the overimportance we're putting on our to do list, that is the work we should be doing. Here's the other problem many of us, and I was one of these people, get our worth from productivity, not necessarily from the major, major results, but we pride ourselves on the busyness. We pride ourselves on how – and I've said this so many times, y'all, how much work we do in a day. I have literally said so many times to my mom, to my team members, to even my community, my Design You audience that I do more work in a day than most people do in a month and I act like that's something to be proud of. When I realize sitting at Mastermind that that was the very thing that was killing my business not only was it an ah-ha moment, it was also exhilirating because I don't want to be that tired. I don't want to be that busy and where I feel most alive is when I'm doing the visionary work. But it's so uncomfortable to either hire or delegate or be committed to sticking with not doing that work in your company. It's really hard because that's just what we know, our zone of competence, right? Again, all that basic stuff including going through your emails all those things that you're doing, spending hours talking to your team, spending hours talking to contractors, spending hours talking to clients, those are not the things that move the needle. If you do get your worth from productivity you're going to keep staying in that zone. We just can't understand why productivity does not equal money. Why our self-worth that we get out of productivity does not equal the net worth that we want and it's because they don't go hand-in-hand. When you really think about it, with stuff you know you should be doing, or you don't even know yet, but you know there's something you should be doing that is going to really make a difference in your company, that stuff that's all about working on your business, you know that stuff is what's going to grow your business, right? You even say it. You even are like, "Yeah, I know, I should be doing a bunch of other stuff for my business, but I've got to do this other stuff. I've got to take care of my clients. I've got to get my emails cleaned out. I've got to," whatever the laundry list. You can literally just start reading your to do list and I hope this is an incredible, mind-blowing ah-ha moment for you. Because for me I was saying holy shizzle, to be a little less crude. Holy crap, y'all. This is the epiphany that's going to change everything for my life moving forward and I want you to see that you are choosing to do the stuff that doesn't make a difference. When yourself say, "Yeah, yeah, I should be," blank, "but I've got to do this other stuff," that is you choosing busy. That is you choosing employee mindset. That is you choosing to stay in your comfort zone. That is you choosing to not reach your big goals. It's on you, you're choosing it. Productivity equals comfort zone every single time and crossing things off your list does not move your business forward and does not make a difference in your bottom line. Most of the stuff, 99% of the stuff that you do every single day you should never be doing. Guess what, when you think of it that way you're going to get really uncomfortable. You're going to feel pretty freaked out. Your identity is going to come into question. You're going to be like, "Well, if I'm not supposed to do any of that stuff, what the heck am I supposed to be doing with my time?" That's where the real work comes in. That's where you stretch yourself. That's where you learn how to elevate a company. That's how you use things like my Design You Coaching Program or some other coach or mentor that helps you stretch outside of the busyness of the to do list and helps you figure out where you should be spending your time. Yeah, it's way more comfortable in the doing which is why if you just want to stay in the doing you might not want to own your own business. That sounds really harsh, but the employee mindset, which is a beautiful thing for employees because we all need them and they're so valuable, right? That is a beautiful thing, but it is not the CEO mindset and if you want to stay in employee mindset you might need to be an employee. It is going to be the most frustrating if you stay in employee mindset while pretending like you're a CEO for years and wondering why you never hit the level of success that you're looking for. Because busy work does not make you money. Your to do list is killing your business. When you hear yourself say, "But I've worked so hard and I don't understand why I still don't know where payroll is coming from this week," or, "I still am constantly in feast or famine mode in my business," guess what, you're perpetuating that because every time you get a new client what comes with it? A whole bunch of stuff for your to do list that you put your name beside it. Now, does that stuff have to be done? Of course, but if you're going to run a business and you're going to be the CEO of it then you have to have other people doing a lot of it. Now, a lot of it doesn't have to be done at all and you need to get brutal about what you and your team is doing because I don't want you wasting time or money for anybody including the employees. There's a lot of employees that are doing stuff that's also killing part of their job, too, their role as well because they have a lot of stuff that don't really matter on their to do list. You've got to get brutal, first of all, about constraining, about having conversations, about what priorities are and what really matters, but when you add a new client if 99% of those jobs that come along with it, the tasks, the doing have your name attached to them then you are absolutely staying in employee mindset and you're going to be burned out and exhausted. Now, work itself does not exhaust us. Work itself does not burn us out. It's the mental stuff, the mental baggage that comes with the work that burns us out. Because think about it, when you're doing something that you absolutely love like a hobby or something that you just are crazy about you could work at it for hours and hours and hours and you don't get tired of it, right? It doesn't burn you out, but it's when you have all of those things on your list that you shouldn't be doing and you are doing them because you're competent at them and it just seems easier – when you're in zone of competence you're thinking things like, "Well, it's just easier for me to do this myself. It's going to be faster if I just go ahead and get it done." But those are the problems and when you do that enough and you add enough things to your to do list and you start to really get in scarcity about time and money, usually, but especially time that's when you start thinking thoughts like, "I have too much to do and not enough time to do it in." Then you create feelings like overwhelm, that is the path to burnout. Yeah, your to do list is burning you out, because of the things you think about it, but it's also keeping you, preventing you from spending the time in the places that really make a difference in your business. Again, as long as that to do list is a mile long it's really difficult to get perspective on when and how you can do that other kind of work, besides the fact if you want to go into CEO mode, if you want to go into super thinking mode, if you want to go into visionary mode and you're completely burned out from your to do list you're not going to be very effective. That's another thing I watch people do, they're like, "Well, let be the employee mindset 99% of the time and let me grab an hour here or there and assume that I can then turn on a dime and go right into creative visionary mindset," and it doesn't work, right? We get there and we're like, "Ugh, I don't know. My brain is so full I can't even think. I don't even know how to get to that visionary place, I'm going to just go back to doing this other busy work because at least if I get that off my plate then I can have the bandwidth to think." In theory that sounds great, but when we never change our thinking and we never change our habits there never is a place where we're really done with our to do list, right? Because when we finish all of those things or far before we finish them we've added a whole bunch more to the end, so it's this never-ending list until you die. I think some of you have heard me say this on another podcast, but I saw a meme not too long ago that said, "Adulting is just saying I'll be less busy tomorrow every single day until I die." That's what the to do list is and it doesn't have to be that way. But you have to make real conscious shifts to get out of employee mindset and to get into CEO mindset. You've got to look at your beliefs. You've got to look at those things that are holding you back, just like I had. The things like I've got to work really hard to make a lot of money. Now, my homework for 2020 is the opposite. It is, I've got to work very little to make a lot of money, and that starts to play with your brain a little bit, right? It's kind of confusing. It's kind of uncomfortable to say, "How do I do that? How do I even say no to all those things? And who's going to do them? And what am I going to do with my six hours, four days a week? Because if that's all I get it's got to be the important stuff, so how do I decide which things are important?" What you can start to see is if you ask those kinds of questions your brain is going to help you figure out the answers. You're going to spend that six hours, four days a week if you're me in super thinking going, job number one is to figure out what I've got to do with these 24 hours a week that moves the needle. Job number two is to super think about who's going to do the other stuff and what they're going to need from me and how we're going to organize that so it all fits into those 24 hours. Again, I'm going to be doing plenty of work that will equal a 40-hour week, not that anybody is counting. In fact, some weeks I'm going to force myself not to do anymore just to prove to myself that 24 hours is all I have to do to build this business. The point of doing this exercise for me is so that I can free up all those other hours for the reading and the thinking and the resting and the replenishing and the meditating and all the things that really matter to get me to my goal of building an eight-figure business. I'm asking myself, yeah, your belief is got to work really hard to make a lot of money. The question is, what if the truth is the opposite of that? And let my brain go to work and see what it says about that. The other belief that you have to really look at and I've done a ton of work on the last three months with my own life coaches and as I've been going through master coach training is the belief that no one can do this but me. I had a lot of my worth tied to what I call Wonder Woman or Superwoman thinking. I would sometimes start people or often start people on other tasks. I would "delegate" things. I thought I was delegating, but the moment they got stuck when they got uncomfortable and they reached out to me because, of course, they're going to because they're humans and they're hitting discomfort, my response was, "Let me swoop in and fix this. Let me swoop in and finish it. Let me swoop in and save the day." I've done so much brutal work on that is not the answer. Anyone can do this besides me, everyone on the team must be able to do these things besides me and I cannot possibly let myself step in and do them. What happens when that's the case? Then someone reaches out to you and you just give them a little pat on the back and keep them going. You're like, "Okay, that sounds great. It looks like you've got some more work to do. Bring it back to me when it's complete. Bye-bye." Now, that's hard because guess what, then I'm just as uncomfortable as they are. My mind wants to go, "But what if they can't do it? What if they don't know the answer? What if they're not as good at it as me? What if it was just faster if I did? What if I'm costing me and the firm money by having them spend more time on it?" I mean, literally, all the scarcity thoughts come up and I have to be ready for those and know that yes, somebody besides me can do this and if they can't then let's find that person. Let's get the team right so this can be done by me. I'm now going through everything I do in 2020 and literally being so brutal about questioning if anybody else, a single person on the planet could do this besides me who would they be? What would that look like? Are they already on my team or not? What would they cost to put on that team? Because I want to prove to myself that I'm not telling the truth most of the time when I say, "I'm the only person who can do this." That is just my comfort zone. That is my zone of competence and far from my zone of genius. Another belief that a lot of people that I encounter deal with is, I'm a control freak. I'm just a control freak. I just want to control everything, but it's under the guise of quality, right? Quality control, "I'm better at this than other people," just kind of like we were saying, and, "I'm a control freak and so I just don't want to let that go." Guess what, that's just you trying to stay in your comfort zone. That's just you trying to control the amount of discomfort that you let in. Because as long as you are a control freak the only thing you are controlling is your comfort zone. You're certainly not stepping out of it because when we step out of our comfort zone we feel the opposite of in control. We feel vulnerable, we feel confused, we feel like we've never done this before, we feel like it's new territory. Yeah, it can be exhilarating or it can be scary. It depends on how you choose to think about it, but it is definitely not under the "control freak" belief, okay? There's so much more. There's so many more beliefs that you need to uncover and the way you do that is really by journaling, doing thought downloads. Every single day identifying what it is you're thinking. You can go back and listen to some other episodes I've done early, early in the podcast. Episode number 4 was about the model. It's called How to Solve Any Problem. It's about the thought model I use to really dig into what I'm thinking and I use this often and I do journal every day, but for 2020 part of my practice, part of how I'll be spending those 24 hours is doing a lot of thought downloads with the model. So, not just journaling which I do very easily and I'm super comfortable with. Some of you need to get comfortable with it, but I'm having myself do a minimum of six thought models every single day without exception, 365 days this year, okay? Will I be imperfect? For sure. Of course there will be a day I miss for whatever reason, but if I get 270 days of it it's far more than I did last year and I know it's going to make a difference in me understanding where I'm continuing to get in my way, where I'm continuing to block my genius. I want you to see that. One of the things that I know about me and I know about those beliefs, about how productivity equals my self-worth is that I'm also a pusher, a forcer, and I learned this from Gabby Bernstein in her book Super Attractor which, whether you're into the woo-woo of Super Attractor or not I think this is such a great thing to know and notice about yourself if you're trying to force things. Because if you are, if you're trying to force results, control the outcome. If you feel like everything you do every day is pretty much a fight and there's always more to do and it feels exhausting and fatiguing then you are, for sure, trying to force and control your way to success and that's coming from a place of scarcity and it rarely gets you to the level of success you want. Because, again, with it comes so many thoughts that are exhausting you, that are burning you out. Notice also if you have beliefs around forcing, pushing, controlling. They go along with that control freak concept or mindset and I definitely had those, so part of my practice and part of my meditation this year is going to be to surrender a whole bunch of stuff including surrendering a whole bunch of the work, in fact, almost all of the things on my to do list that have typically been on my to do list. Surrendering them to other people on my team and not just being okay with what the results are, but asking them to step up and do this work at a level that's equivalent or better than what I would do myself. Everybody has to rise to the occasion which is super exciting. And you can just imagine that if we're all rising to the occasion at that level, if I'm not stepping in ever and saving anything, and in fact, if I'm delegating most everything on the front end and having people show me what they got, show me what they're worth which I haven't really allowed them to do if I'm being Superwoman then imagine how the whole company rises together. That whole idea of a rising tide lifts all boats, and so if we all have this collective mindset as a company the whole company is going to rise together and we're all going to be better because of it, right? We're all going to feel more confident. We're all going to feel more secure in our genius. We're all going to have more perspective on what we should be doing with our time and where we need to fill in other gaps. It might be the most exciting work I've ever done and I'm so excited about this. It's going to be, for sure, the hardest and guess what's going to come up for me every single day because it comes up for you already. I would say it's the number one thing that stops most people from their greatness and their success and it's this: what's going to come up every day is I don't feel like doing what I'm supposed to be doing. For me, a lot of times, I feel like doing things like cleaning out my email inbox because it's mindless and it feels productive and I've attached that value and worthiness to productivity. When I take that away, am I going to feel uncomfortable? Yes. Am I going to feel like I'm not doing anything to earn my worth and value? Yes. Am I going to have to go manage my mindset around that? Yes. But kicking the, "I don't feel like it" excuse to the curb, if I can do just that and nothing else this year and stick with what I have planned ahead of time to do in my time that will keep me in zone of genius then that is the stuff that really, really moves the business ahead. Not only is it not giving in to the "I don't feel like doing it," but it's teaching myself to feel like doing things that feel uncomfortable. Are we always going to feel like doing them? No. There's many days, in fact, most of the time the first few minutes you're going to resist, right? Because you're going to want to be doing something easy and so you've got to expect that. Okay, I'm about to go into an hour of some hard focus with some big thinking, I'm not going to feel like it, but once I get started, once I get in the groove it starts to feel really good. That's when you can train yourself, as I've talked to you about many times before, of training yourself to feel comfortable being uncomfortable, that's what I'm talking about. And getting in that zone of doing things you haven't done before, that is exactly where your zone of genius lives. Notice all of these beliefs. You might even also want to check out the book Clockwork. I read it last year, we read it in book club for Design You, but it's something I'm listening to again right now on audiobook and hearing completely different things now that I've changed my mindset. There's a whole lot of awareness around your thinking in that book which I call doing thinking. A lot of you are only into doing thinking like, "I've got to do this and I need to do this, and how are we going to do that." Really, you're not looking at the bigger picture thinking. You're not looking at the 40,000-foot view thinking which is the designing of your business. They talk specifically in the book Clockwork about four different Ds, there's doing which is that zone of competence, they don't call it that, but it can equate to that from the book The Big Leap. Deciding is also fitting in your zone of competence which is not delegating. We think we're delegating but we give it to someone else, they do part of the work and they bring it back to us to still make the decision, that's deciding. Neither of those really get you where you need to go. Those aren't really CEO mindsets. Those are really in that zone of competence. Then, from there, you go up to delegating which is actually giving someone the whole job to do and they only bring it back to you when it's complete. That's getting you way closer to allowing you to spend time in your zone of genius. Then there's the work of designing which is absolutely that CEO mindset. Not designing as in doing interior design work, but designing your business, designing your company, designing your profits, designing your outcomes, designing the results that you want to get and the processes that are going to help you get there. Again, when I say designing it doesn't mean that I figure out every step. I have an integrator who is a genius and she figures out the operations part, but I'm staying in that super thinking of designing the bigger picture, the bigger vision for where the company is going to go and that's absolutely my zone of genius. Now, you need to figure yours out so just in this one episode I've already talked about the book, Clockwork, the book, The Big Leap, and the book, Essentialism. If you haven't read those three, I would make those your first three reads for 2020. They are all incredible. They are all really going to help you get into this concept of CEO mindset, super thinking and out of employee mindset which is keeping you on the treadmill of your to do list. Okay, so that's what I've got for you today, friends. I hope it was mindboggling. It's the very work I will be doing every single day of this entire year and I can't wait to report back to you in December which 11.5 months or so from now and tell you the results I've gotten from these big, big, major shifts. I know they're going to be enormous. I'm so excited about it. I know I will be a completely different person at the end of this year and what I do also know is that if I truly follow through on this the things that matter to me most in my life, like my family, will have far more time with me than they've ever had and that is what I really can't wait for. I'm moving into CEO mindset more than ever. I hope you're coming with me. The zone of genius is where it's at, friends for 2020. Thanks so much for listening and I'll see you back next week with another fantastic and exciting episode of The Design You Podcast. Bye for now. Thank you so much for joining me for this episode of The Design You Podcast. And if you'd like even more support for designing a business and a life that you love then check out my exclusively monthly coaching program, Design You at TobiFairley.com.
Enrolled House Bill 4086 Sponsored by Representative POWER, Senator TAYLOR; Representatives ALONSO LEON, CAMPOS, DEXTER, GRAYBER, NATHANSON (Presession filed.) CHAPTER ................................................. AN ACT Relating to workers' compensation benefits; amending ORS 656.005, 656.204, 656.226, 656.232 and 659A.040. Be It Enacted by the People of the State of Oregon: SECTION 1. ORS 656.204 is amended to read: 656.204. If death results from an accidental injury, payments must be made as follows: (1)(a) The cost of final disposition of the body and funeral expenses, including but not limited to transportation of the body, must be paid, not to exceed 20 times the average weekly wage in any case. (b) The insurer or self-insured employer shall pay bills submitted for disposition and funeral expenses up to the benefit limit established in paragraph (a) of this subsection. If any part of the benefit remains unpaid 60 days after the date of death or the date of claim acceptance, whichever is later, the insurer or self-insured employer shall pay the unpaid amount to the estate of the worker. (2)(a) If a worker is survived by a spouse, monthly benefits must be paid in an amount equal to 4.35 times 66-2/3 percent of the average weekly wage to the surviving spouse until remarriage. Only one person may qualify as a spouse for the purposes of this paragraph. The payment shall cease at the end of the month in which the remarriage occurs. (b) Upon remarriage, a surviving spouse must be paid 36 times the monthly benefit in a lump sum as final payment of the surviving spousal benefit. (c) If, after the date of the subject worker's death, the surviving spouse cohabits with another person, [for an aggregate period of more than one year and a child has resulted from the relationship] such that the relationship would be subject to the provisions of ORS 107.105 to 107.136 and 107.700 to 107.735, the surviving spouse must be paid 36 times the monthly benefit in a lump sum as final payment of the surviving spousal benefit. (3)(a) If a worker leaves a child under 19 years of age, a monthly benefit equal to 4.35 times 25 percent of the average weekly wage must be paid to each such child until the child becomes 19 years of age. (b) The total benefits provided for in this subsection may not exceed 4.35 times 133-1/3 percent of the average weekly wage. If the sum of the individual benefits exceeds this maximum, the benefit for each child must be reduced proportionally. (4)(a) If a worker leaves a dependent, a monthly payment must be made to each dependent that is equal to 50 percent of the average monthly support the dependent actually received from the worker during the 12 months preceding the occurrence of the accidental injury. If a dependent is under the age of 19 years at the time of the accidental injury, the payment to the dependent must cease when the dependent becomes 19 years of age. The payment to any dependent must cease under the same circumstances that would have terminated the dependency had the injury not happened. (b) The total benefits provided for in this subsection may not exceed 4.35 times 10 percent of the average weekly wage. If the sum of the individual benefits exceeds this maximum, the benefit for each dependent must be reduced proportionally. (5) If a child is [an invalid] incapacitated at the time the child otherwise becomes ineligible for benefits under this section, the payment to the child must continue while the child remains an [invalid] incapacitated child. If [a person] an individual is entitled to payment because the [person is an invalid] individual is an incapacitated child, payment must terminate when the [person] individual ceases to be an [invalid] incapacitated child. (6)(a) If a child or dependent is between 19 and 26 years of age at the time of a worker's death, or becomes 19 years of age after the worker's death, monthly benefits must be paid for not more than 48 months until the age of 26 during a period in which the child or dependent is completing secondary education, is obtaining a general educational development certificate or is attending a program of higher education. The child or dependent must provide an insurer or self-insured employer with documentation that enables the insurer or self-insured employer to determine the child's or dependent's eligibility for monthly benefits. (b) If a child or dependent who is eligible for benefits under this subsection does not have a surviving parent, the child or dependent must receive 4.35 times 66-2/3 percent of the average weekly wage. (c) As used in this subsection, "attending a program of higher education" means regularly attending community college, college or university, or regularly attending a course of vocational or technical training designed to prepare the participant for gainful employment. A child or dependent enrolled in an educational course load of less than one-half of that determined by the educational facility to constitute "full-time" enrollment is not "attending a program of higher education." (7) As used in this section, "average weekly wage" has the meaning for that term provided in ORS 656.211. SECTION 2. ORS 656.226 is amended to read: 656.226. [In case] If, prior to and including the date of an accidental injury received by one or the other as a subject worker, two unmarried individuals have cohabited [in this state as spouses who are married to each other for over one year prior to the date of an accidental injury received by one or the other as a subject worker, and children are living as a result of that relation,] together such that the relationship would be subject to the provisions of ORS 107.105 to 107.136 and 107.700 to 107.735, the surviving cohabitant [and the children are] is entitled to compensation under this chapter the same as if the individuals had been legally married. SECTION 3. ORS 656.232 is amended to read: 656.232. (1) If a beneficiary is an alien residing outside of the United States or its dependencies, payment of the sums due such beneficiary may, in the discretion of the Director of the Department of Consumer and Business Services, be made to the consul general of the country in which such beneficiary resides on behalf of the beneficiary. The receipt of the consul general to the director for the amounts thus paid shall be a full and sufficient receipt for the payment of the funds thus due the beneficiary. [(2) If a beneficiary is an alien residing outside of the United States or its dependencies, the director may, in lieu of awarding such beneficiary compensation in the amount provided by this chapter, award such beneficiary such lesser sum by way of compensation which, according to the conditions and costs of living in the place of residence of such beneficiary will, in the opinion of the director, maintain the beneficiary in a like degree of comfort as a beneficiary of the same class residing in this state and receiving the full compensation authorized by this chapter. The director shall determine the amount of compensation benefits upon the basis of the rate of exchange between the United States and any foreign country as determined by the Federal Reserve Bank as of January 1 and July 1 of the year when paid.] [(3)] (2) All benefit rights shall be canceled upon the commencement of a state of war between the United States and the country of a beneficiary's domicile. SECTION 4. ORS 659A.040 is amended to read: 659A.040. [(1)] It is an unlawful employment practice for any person acting on behalf of an employer to discriminate against a worker with respect to hire or tenure or any term or condition of employment because the worker has: (1) Applied for or inquired about benefits under ORS chapter 656; [or] (2) Invoked or utilized the procedures provided for in ORS chapter 656; or (3) [Has] Given testimony under the provisions of [those laws] ORS chapter 656. [(2) This section applies only to employers who employ six or more persons.] SECTION 5. ORS 656.005 is amended to read: 656.005. (1) "Average weekly wage" means the Oregon average weekly wage in covered employment, as determined by the Employment Department, for the last quarter of the calendar year preceding the fiscal year in which the injury occurred. (2)(a) "Beneficiary" means an injured worker, and the spouse in a marriage, child or dependent of a worker, who is entitled to receive payments under this chapter. (b) "Beneficiary" does not include[:] [(A) A spouse of an injured worker living in a state of abandonment for more than one year at the time of the injury or subsequently. A spouse who has lived separate and apart from the worker for a period of two years and who has not during that time received or attempted by process of law to collect funds for support or maintenance is considered living in a state of abandonment.] [(B)] a person who intentionally causes the compensable injury to or death of an injured worker. (3) "Board" means the Workers' Compensation Board. (4) "Carrier-insured employer" means an employer who provides workers' compensation coverage with the State Accident Insurance Fund Corporation or an insurer authorized under ORS chapter 731 to transact workers' compensation insurance in this state. (5) "Child" means a child of an injured worker, including: (a) A posthumous child; (b) A child legally adopted before the injury; (c) A child toward whom the worker stands in loco parentis; (d) A child born out of wedlock; (e) A stepchild, if the stepchild was, at the time of the injury, a member of the worker's family and substantially dependent upon the worker for support; and (f) A child of any age who was [an invalid] incapacitated at the time of the accident and thereafter remains [an invalid] incapacitated and substantially dependent on the worker for support. (6) "Claim" means a written request for compensation from a subject worker or someone on the worker's behalf, or any compensable injury of which a subject employer has notice or knowledge. (7)(a) A "compensable injury" is an accidental injury, or accidental injury to prosthetic appliances, arising out of and in the course of employment requiring medical services or resulting in disability or death. An injury is accidental if the result is an accident, whether or not due to accidental means, if it is established by medical evidence supported by objective findings, subject to the following limitations: (A) An injury or disease is not compensable as a consequence of a compensable injury unless the compensable injury is the major contributing cause of the consequential condition. (B) If an otherwise compensable injury combines at any time with a preexisting condition to cause or prolong disability or a need for treatment, the combined condition is compensable only if, so long as and to the extent that the otherwise compensable injury is the major contributing cause of the disability of the combined condition or the major contributing cause of the need for treatment of the combined condition. (b) "Compensable injury" does not include: (A) Injury to any active participant in assaults or combats that are not connected to the job assignment and that amount to a deviation from customary duties; (B) Injury incurred while engaging in or performing, or as the result of engaging in or performing, any recreational or social activities primarily for the worker's personal pleasure; or (C) Injury the major contributing cause of which is demonstrated to be by a preponderance of the evidence the injured worker's consumption of alcoholic beverages or cannabis or the unlawful consumption of any controlled substance, unless the employer permitted, encouraged or had actual knowledge of such consumption. (c) A "disabling compensable injury" is an injury that entitles the worker to compensation for disability or death. An injury is not disabling if no temporary benefits are due and payable, unless there is a reasonable expectation that permanent disability will result from the injury. (d) A "nondisabling compensable injury" is any injury that requires medical services only. (8) "Compensation" includes all benefits, including medical services, provided for a compensable injury to a subject worker or the worker's beneficiaries by an insurer or self-insured employer pursuant to this chapter. (9) "Department" means the Department of Consumer and Business Services. (10)[(a)] "Dependent" means any of the following [relatives of the worker] individuals who, at the time of an accident, depended in whole or in part for the [relative's] individual's support on the earnings of a worker who dies as a result of an injury: [(A)] (a) A parent[, grandparent or stepparent] of a worker or the parent's spouse or domestic partner; (b) A grandparent of a worker or the grandparent's spouse or domestic partner; [(B)] (c) [A grandson or granddaughter] A grandchild of a worker or the grandchild's spouse or domestic partner; [(C)] (d) [A brother or sister or half-brother or half-sister] A sibling or stepsibling of a worker or the sibling's or stepsibling's spouse or domestic partner; and [(D)] (e) [A niece or nephew] Any individual related by blood or affinity whose close association with a worker is the equivalent of a family relationship. [(b) "Dependent" does not include an alien who does not reside within the United States at the time of the accident, other than a parent, a spouse or children, unless a treaty provides otherwise.] (11) "Director" means the Director of the Department of Consumer and Business Services. (12)(a) "Doctor" or "physician" means a person duly licensed to practice one or more of the healing arts in any country or in any state, territory or possession of the United States within the limits of the license of the licensee. (b) Except as otherwise provided for workers subject to a managed care contract, "attending physician" means a doctor, physician or physician assistant who is primarily responsible for the treatment of a worker's compensable injury and who is: (A) A physician licensed under ORS 677.100 to 677.228 by the Oregon Medical Board, or a podiatric physician and surgeon licensed under ORS 677.805 to 677.840 by the Oregon Medical Board, an oral and maxillofacial surgeon licensed by the Oregon Board of Dentistry or a similarly licensed doctor in any country or in any state, territory or possession of the United States; or (B) For a cumulative total of 60 days from the first visit on the initial claim or for a cumulative total of 18 visits, whichever occurs first, to any of the medical service providers listed in this subparagraph, a: (i) Doctor or physician licensed by the State Board of Chiropractic Examiners for the State of Oregon under ORS chapter 684 or a similarly licensed doctor or physician in any country or in any state, territory or possession of the United States; (ii) Physician assistant licensed by the Oregon Medical Board in accordance with ORS 677.505 to 677.525 or a similarly licensed physician assistant in any country or in any state, territory or possession of the United States; or (iii) Doctor of naturopathy or naturopathic physician licensed by the Oregon Board of Naturopathic Medicine under ORS chapter 685 or a similarly licensed doctor or physician in any country or in any state, territory or possession of the United States. (c) Except as otherwise provided for workers subject to a managed care contract, "attending physician" does not include a physician who provides care in a hospital emergency room and refers the injured worker to a primary care physician for follow-up care and treatment. (d) "Consulting physician" means a doctor or physician who examines a worker or the worker's medical record to advise the attending physician or nurse practitioner authorized to provide compensable medical services under ORS 656.245 regarding treatment of a worker's compensable injury. (13)(a) "Employer" means any person, including receiver, administrator, executor or trustee, and the state, state agencies, counties, municipal corporations, school districts and other public corporations or political subdivisions, that contracts to pay a remuneration for the services of any worker. (b) Notwithstanding paragraph (a) of this subsection, for purposes of this chapter, the client of a temporary service provider is not the employer of temporary workers provided by the temporary service provider. (c) As used in paragraph (b) of this subsection, "temporary service provider" has the meaning for that term provided in ORS 656.850. (d) For the purposes of this chapter, "subject employer" means an employer that is subject to this chapter as provided in ORS 656.023. (14) "Insurer" means the State Accident Insurance Fund Corporation or an insurer authorized under ORS chapter 731 to transact workers' compensation insurance in this state or an assigned claims agent selected by the director under ORS 656.054. (15) "Consumer and Business Services Fund" means the fund created by ORS 705.145. (16) ["Invalid"] "Incapacitated" means [one who] an individual is physically or mentally [incapacitated from earning] unable to earn a livelihood. (17) "Medically stationary" means that no further material improvement would reasonably be expected from medical treatment or the passage of time. (18) "Noncomplying employer" means a subject employer that has failed to comply with ORS 656.017. (19) "Objective findings" in support of medical evidence are verifiable indications of injury or disease that may include, but are not limited to, range of motion, atrophy, muscle strength and palpable muscle spasm. "Objective findings" does not include physical findings or subjective responses to physical examinations that are not reproducible, measurable or observable. (20) "Palliative care" means medical service rendered to reduce or moderate temporarily the intensity of an otherwise stable medical condition, but does not include those medical services rendered to diagnose, heal or permanently alleviate or eliminate a medical condition. (21) "Party" means a claimant for compensation, the employer of the injured worker at the time of injury and the insurer, if any, of the employer. (22) "Payroll" means a record of wages payable to workers for their services and includes commissions, value of exchange labor and the reasonable value of board, rent, housing, lodging or similar advantage received from the employer. However, "payroll" does not include overtime pay, vacation pay, bonus pay, tips, amounts payable under profit-sharing agreements or bonus payments to reward workers for safe working practices. Bonus pay is limited to payments that are not anticipated under the contract of employment and that are paid at the sole discretion of the employer. The exclusion from payroll of bonus payments to reward workers for safe working practices is only for the purpose of calculations based on payroll to determine premium for workers' compensation insurance, and does not affect any other calculation or determination based on payroll for the purposes of this chapter. (23) "Person" includes a partnership, joint venture, association, limited liability company and corporation. (24)(a) "Preexisting condition" means, for all industrial injury claims, any injury, disease, congenital abnormality, personality disorder or similar condition that contributes to disability or need for treatment, provided that: (A) Except for claims in which a preexisting condition is arthritis or an arthritic condition, the worker has been diagnosed with the condition, or has obtained medical services for the symptoms of the condition regardless of diagnosis; and (B)(i) In claims for an initial injury or omitted condition, the diagnosis or treatment precedes the initial injury; (ii) In claims for a new medical condition, the diagnosis or treatment precedes the onset of the new medical condition; or (iii) In claims for a worsening pursuant to ORS 656.273 or 656.278, the diagnosis or treatment precedes the onset of the worsened condition. (b) "Preexisting condition" means, for all occupational disease claims, any injury, disease, congenital abnormality, personality disorder or similar condition that contributes to disability or need for treatment and that precedes the onset of the claimed occupational disease, or precedes a claim for worsening in such claims pursuant to ORS 656.273 or 656.278. (c) For the purposes of industrial injury claims, a condition does not contribute to disability or need for treatment if the condition merely renders the worker more susceptible to the injury. (25) "Self-insured employer" means an employer or group of employers certified under ORS 656.430 as meeting the qualifications set out by ORS 656.407. (26) "State Accident Insurance Fund Corporation" and "corporation" mean the State Accident Insurance Fund Corporation created under ORS 656.752. (27) "Wages" means the money rate at which the service rendered is recompensed under the contract of hiring in force at the time of the accident, including reasonable value of board, rent, housing, lodging or similar advantage received from the employer, and includes the amount of tips required to be reported by the employer pursuant to section 6053 of the Internal Revenue Code of 1954, as amended, and the regulations promulgated pursuant thereto, or the amount of actual tips reported, whichever amount is greater. The State Accident Insurance Fund Corporation may establish assumed minimum and maximum wages, in conformity with recognized insurance principles, at which any worker shall be carried upon the payroll of the employer for the purpose of determining the premium of the employer. (28)(a) "Worker" means any person, other than an independent contractor, who engages to furnish services for a remuneration, including a minor whether lawfully or unlawfully employed and salaried, elected and appointed officials of the state, state agencies, counties, cities, school districts and other public corporations, but does not include any person whose services are performed as an adult in custody or ward of a state institution or as part of the eligibility requirements for a general or public assistance grant. (b) For the purpose of determining entitlement to temporary disability benefits or permanent total disability benefits under this chapter, "worker" does not include a person who has withdrawn from the workforce during the period for which such benefits are sought. (c) For the purposes of this chapter, "subject worker" means a worker who is subject to this chapter as provided in ORS 656.027. (29) "Independent contractor" has the meaning for that term provided in ORS 670.600. Passed by House February 14, 2022 .................................................................................. Timothy G. Sekerak, Chief Clerk of House .................................................................................. Dan Rayfield, Speaker of House Passed by Senate February 22, 2022 .................................................................................. Peter Courtney, President of Senate Received by Governor: ........................M.,........................................................., 2022 Approved: ........................M.,........................................................., 2022 .................................................................................. Kate Brown, Governor Filed in Office of Secretary of State: ........................M.,........................................................., 2022 .................................................................................. Shemia Fagan, Secretary of State
Kenmore Series 90 Washer Troubleshooting Guide Amazon's Choice for kenmore 90 series washer parts. Heavy Duty 285753A Motor Coupling Kit for Direct Drive Whirlpool & Kenmore Washers by PartsBroz - Replaces Part Numbers 1195967, 285753AVP, 21003, 280152, 285140, 285743, and more ... 285811 Agitator Repair Kit - For Whirlpool & Kenmore Washer. 4.6 out of 5 stars 201. $7.65 $ 7. 65. The Kenmore 80-series product line, released throughout the early 2000s, had washing features that were advanced for its time. However, even the best washer can malfunction. Learn how to troubleshoot and resolve common washing machine repair problems with this Kenmore series. Our Free Kenmore Washing Machine Repair Manual was designed to assist the novice technician repair of home (domestic) washers that have been operating successfully for an extended period of months or years and have only recently stopped operating properly, with no major change in installation parameters or location. Find which Kenmore washer parts in your machine need replacing and how to do ... Amazon.com: kenmore 90 series washer parts Kenmore Series 90 Washer Troubleshooting Kenmore 90 Series Washer Repair Labels: 90 series, diy, how to, Kenmore, repair, washer, Whirlpool. Today we are going to talk a little about a Kenmore 90 Series Top Load Washer. These have got to be one of the most common washers on the market today. Kenmore washers are mainly made by Whirlpool, so the information in this post will apply to ... Appliance Talk: Kenmore 90 Series Washer Repair The Kenmore 90 Series is a washing machine manufactured by Kenmore. Kenmore 90 Series Washing Machine troubleshooting, repair, and service manuals. Kenmore 90 Series Washing Machine Repair - iFixit Repairing a Kenmore top-loading washer? This video demonstrates the proper and safe way to disassemble a washing machine and how to access parts that may need to be tested and/or replaced. Kenmore Top-Load Washer Disassembly (11022932100)/Repair Help Hi all! My Kenmore 90 Series Washer works fine up until it comes to the Drain and Spin cycle; it suddenly won't drain at all, and won't go into spin. Kenmore 90 Series Washer won't drain and Spin - Forum ... The Kenmore washing machine troubleshooting process begins with a list of symptoms. When you click on the right one, we'll take you to a page of frequent causes and help you pinpoint the problem. Then we'll have the right replacement part ready and instructions on how to make the repair. Kenmore Washer Repair Help - RepairClinic.com Amazon's Choice for kenmore series 90 washer parts. Heavy Duty 285753A Motor Coupling Kit for Direct Drive Whirlpool & Kenmore Washers by PartsBroz - Replaces Part Numbers 1195967, 285753AVP, 21003, 280152, 285140, 285743, and more ... 285811 Agitator Repair Kit - For Whirlpool & Kenmore Washer. 4.6 out of 5 stars 197. $7.65 $ 7. 65. Get it as ... Amazon.com: kenmore series 90 washer parts It spins, but doesn't pump If your washer spins but doesn't pump the water out, the drain line is probably clogged. In many washers, a small sock or other piece of clothing can get between the clothes tub and the outer tub that holds the water. If the clothing gets between the tubs, it may then... Kenmore 90 Series Washing Machine SOLVED: Water will not go, out and will not spin - Kenmore ... Our Free Kenmore Washing Machine Repair Manual was designed to assist the novice technician repair of home (domestic) washers that have been operating successfully for an extended period of months or years and have only recently stopped operating properly, with no major change in installation parameters or location. Find which Kenmore washer parts in your machine need replacing and how to do ... Kenmore Washing Machine Repair Manual \| Kenmore Washer Repair If you hear coins or other items rattling in the drain pump of your front-load washer, you can learn how to clean out the drain pump filter and stop the rattling that happens when the washer drains. Once you find out what's broken, check out our step-by-step washer repair guides to see how to replace the part. To find the owner's manual or a ... DIY washer repair \| Washer troubleshooting "kenmore 90 series washer" & marketplace (33) Only (9) In-store: set your location. shop in. Refine Your Search. Category (32) Appliances (3) Connected Solutions (1) ... Whirlpool Dryer Repair Kit 4392065 For Amana Whirlpool Cabrio WED6400SW1 Kenmore 80 Series. Sold by chuhuongstore Kenmore 90 Series Washer - sears.com Repairing a Kenmore top-loading washer? This video demonstrates the proper and safe way to disassemble a washing machine and how to access parts that may need to be tested and/or replaced. Here is a list of the most common washer problems: Washer won't spin Washer is making loud noise Washer won't agitate Washer won't drain Washer is vibrating Kenmore Top-Load Washer Disassembly (11022932100)/Repair Help View and Download Kenmore 90 Series Electric owner's manual and installation instructions online. 29-Inch Wide. 90 Series Electric Dryer pdf manual download. Also for: 110-62612101. Kenmore 90 Series Electric Owner's Manual And Installation ... How to repair a Kenmore washer that sounds like it's spinning, but it's not. This is a very simple repair you can easily do yourself. The motor coupler is one of the most common parts that break ... Page 1/4 kenmore-series-90-washer-troubleshooting-guide Kenmore Washer Not Spinning - How to Troubleshoot and Repair The Kenmore 80-series product line, released throughout the early 2000s, had washing features that were advanced for its time. However, even the best washer can malfunction. Learn how to troubleshoot and resolve common washing machine repair problems with this Kenmore series. How to Troubleshoot a Kenmore 80 Series Washer \| Hunker With the Kenmore 90 Series Washer 110 user manual, you'll be able to avert most bathroom, garage or kitchen disasters and learn how to configure the device. Sure, some will tell you that you'll still need a plumber for the really bad breakdowns or spills. [Solved] Kenmore 90 Series Washer User Manual Amazon's Choice for kenmore 90 series washer parts. Heavy Duty 285753A Motor Coupling Kit for Direct Drive Whirlpool & Kenmore Washers by PartsBroz - Replaces Part Numbers 1195967, 285753AVP, 21003, 280152, 285140, 285743, and more ... 285811 Agitator Repair Kit - For Whirlpool & Kenmore Washer. 4.6 out of 5 stars 201. $7.65 $ 7. 65. Amazon.com: kenmore 90 series washer parts Is your washing machine acting up? Our YouTube playlist is loaded with solutions to the most common problems. In the most popular video series on our YouTube channel, the pros at Sears Home Services share their best troubleshooting tips for common problems befalling top-loading, highefficiency washers. Top-Loading Washer Troubleshooting Tips Repair help > Washer repair > Washer symptoms Washer: Won't advance to next cycle or stops in mid-cycle When a top-load washer won't advance to the drain and spin portion of the cycle, suspect a broken lid switch because the timer won't advance to spin if it senses the washer lid is open. Kenmore 90 Series Washer - sears.com Kenmore Washer Not Spinning - How to Troubleshoot and Repair Kenmore Series 90 Washer Troubleshooting Kenmore 90 Series Washer Repair Labels: 90 series, diy, how to, Kenmore, repair, washer, Whirlpool. Today we are going to talk a little about a Kenmore 90 Series Top Load Washer. These have got to be one of the most common washers on the market today. Kenmore washers are mainly made by Whirlpool, so the information in this post will apply to ... Appliance Talk: Kenmore 90 Series Washer Repair The Kenmore 90 Series is a washing machine manufactured by Kenmore. Kenmore 90 Series Washing Machine troubleshooting, repair, and service manuals. Kenmore 90 Series Washing Machine Repair - iFixit Repairing a Kenmore top-loading washer? This video demonstrates the proper and safe way to disassemble a washing machine and how to access parts that may need to be tested and/or replaced. Kenmore Top-Load Washer Disassembly (11022932100)/Repair Help Hi all! My Kenmore 90 Series Washer works fine up until it comes to the Drain and Spin cycle; it suddenly won't drain at all, and won't go into spin. Kenmore 90 Series Washer won't drain and Spin - Forum ... The Kenmore washing machine troubleshooting process begins with a list of symptoms. When you click on the right one, we'll take you to a page of frequent causes and help you pinpoint the problem. Then we'll have the right replacement part ready and instructions on how to make the repair. Kenmore Washer Repair Help - RepairClinic.com Amazon's Choice for kenmore series 90 washer parts. Heavy Duty 285753A Motor Coupling Kit for Direct Drive Whirlpool & Kenmore Washers by PartsBroz - Replaces Part Numbers 1195967, 285753AVP, 21003, 280152, 285140, 285743, and more ... 285811 Agitator Repair Kit - For Whirlpool & Kenmore Washer. 4.6 out of 5 stars 197. $7.65 $ 7. 65. Get it as ... Amazon.com: kenmore series 90 washer parts It spins, but doesn't pump If your washer spins but doesn't pump the water out, the drain line is probably clogged. In many washers, a small sock or other piece of clothing can get between the clothes tub and the outer tub that holds the water. If the clothing gets between the tubs, it may then... - Kenmore 90 Series Washing Machine Page 2/4 kenmore-series-90-washer-troubleshooting-guide SOLVED: Water will not go, out and will not spin - Kenmore ... Our Free Kenmore Washing Machine Repair Manual was designed to assist the novice technician repair of home (domestic) washers that have been operating successfully for an extended period of months or years and have only recently stopped operating properly, with no major change in installation parameters or location. Find which Kenmore washer parts in your machine need replacing and how to do ... Kenmore Washing Machine Repair Manual \| Kenmore Washer Repair If you hear coins or other items rattling in the drain pump of your front-load washer, you can learn how to clean out the drain pump filter and stop the rattling that happens when the washer drains. Once you find out what's broken, check out our step-by-step washer repair guides to see how to replace the part. To find the owner's manual or a ... DIY washer repair \| Washer troubleshooting "kenmore 90 series washer" & marketplace (33) Only (9) In-store: set your location. shop in. Refine Your Search. Category (32) Appliances (3) Connected Solutions (1) ... Whirlpool Dryer Repair Kit 4392065 For Amana Whirlpool Cabrio WED6400SW1 Kenmore 80 Series. Sold by chuhuongstore Kenmore 90 Series Washer - sears.com Repairing a Kenmore top-loading washer? This video demonstrates the proper and safe way to disassemble a washing machine and how to access parts that may need to be tested and/or replaced. Here is a list of the most common washer problems: Washer won't spin Washer is making loud noise Washer won't agitate Washer won't drain Washer is vibrating Kenmore Top-Load Washer Disassembly (11022932100)/Repair Help View and Download Kenmore 90 Series Electric owner's manual and installation instructions online. 29-Inch Wide. 90 Series Electric Dryer pdf manual download. Also for: 110-62612101. Kenmore 90 Series Electric Owner's Manual And Installation ... How to repair a Kenmore washer that sounds like it's spinning, but it's not. This is a very simple repair you can easily do yourself. The motor coupler is one of the most common parts that break ... Kenmore Washer Not Spinning - How to Troubleshoot and Repair The Kenmore 80-series product line, released throughout the early 2000s, had washing features that were advanced for its time. However, even the best washer can malfunction. Learn how to troubleshoot and resolve common washing machine repair problems with this Kenmore series. How to Troubleshoot a Kenmore 80 Series Washer \| Hunker With the Kenmore 90 Series Washer 110 user manual, you'll be able to avert most bathroom, garage or kitchen disasters and learn how to configure the device. Sure, some will tell you that you'll still need a plumber for the really bad breakdowns or spills. [Solved] Kenmore 90 Series Washer User Manual Amazon's Choice for kenmore 90 series washer parts. Heavy Duty 285753A Motor Coupling Kit for Direct Drive Whirlpool & Kenmore Washers by PartsBroz - Replaces Part Numbers 1195967, 285753AVP, 21003, 280152, 285140, 285743, and more ... 285811 Agitator Repair Kit - For Whirlpool & Kenmore Washer. 4.6 out of 5 stars 201. $7.65 $ 7. 65. Amazon.com: kenmore 90 series washer parts Is your washing machine acting up? Our YouTube playlist is loaded with solutions to the most common problems. In the most popular video series on our YouTube channel, the pros at Sears Home Services share their best troubleshooting tips for common problems befalling top-loading, high-efficiency washers. Top-Loading Washer Troubleshooting Tips Page 3/4 Repair help > Washer repair > Washer symptoms Washer: Won't advance to next cycle or stops in mid-cycle When a top-load washer won't advance to the drain and spin portion of the cycle, suspect a broken lid switch because the timer won't advance to spin if it kenmore-series-90-washer-troubleshooting-guide Copyright : cms2.ncee.org Kenmore 90 Series Electric Owner's Manual And Installation ... It spins, but doesn't pump If your washer spins but doesn't pump the water out, the drain line is probably clogged. In many washers, a small sock or other piece of clothing can get between the clothes tub and the outer tub that holds the water. If the clothing gets between the tubs, it may then... - Kenmore 90 Series Washing Machine Amazon's Choice for kenmore series 90 washer parts. Heavy Duty 285753A Motor Coupling Kit for Direct Drive Whirlpool & Kenmore Washers by PartsBroz - Replaces Part Numbers 1195967, 285753AVP, 21003, 280152, 285140, 285743, and more ... 285811 Agitator Repair Kit - For Whirlpool & Kenmore Washer. 4.6 out of 5 stars 197. $7.65 $ 7. 65. Get it as ... If you hear coins or other items rattling in the drain pump of your front-load washer, you can learn how to clean out the drain pump filter and stop the rattling that happens when the washer drains. Once you find out what's broken, check out our step-bystep washer repair guides to see how to replace the part. To find the owner's manual or a ... View and Download Kenmore 90 Series Electric owner's manual and installation instructions online. 29-Inch Wide. 90 Series Electric Dryer pdf manual download. Also for: 110-62612101. Hi all! My Kenmore 90 Series Washer works fine up until it comes to the Drain and Spin cycle; it suddenly won't drain at all, and won't go into spin. [Solved] Kenmore 90 Series Washer User Manual Top-Loading Washer Troubleshooting Tips Kenmore Series 90 Washer Troubleshooting Kenmore 90 Series Washer won't drain and Spin - Forum ... How to repair a Kenmore washer that sounds like it's spinning, but it's not. This is a very simple repair you can easily do yourself. The motor coupler is one of the most common parts that break ... Repair help > Washer repair > Washer symptoms Washer: Won't advance to next cycle or stops in mid-cycle When a top-load washer won't advance to the drain and spin portion of the cycle, suspect a broken lid switch because the timer won't advance to spin if it senses the washer lid is open. How to Troubleshoot a Kenmore 80 Series Washer \| Hunker Appliance Talk: Kenmore 90 Series Washer Repair DIY washer repair \| Washer troubleshooting Is your washing machine acting up? Our YouTube playlist is loaded with solutions to the most common problems. In the most popular video series on our YouTube channel, the pros at Sears Home Services share their best troubleshooting tips for common problems befalling toploading, high-efficiency washers. The Kenmore washing machine troubleshooting process begins with a list of symptoms. When you click on the right one, we'll take you to a page of frequent causes and help you pinpoint the problem. Then we'll have the right replacement part ready and instructions on how to make the repair. Kenmore Washer Repair Help - RepairClinic.com Amazon.com: kenmore series 90 washer parts Repairing a Kenmore top-loading washer? This video demonstrates the proper and safe way to disassemble a washing machine and how to access parts that may need to be tested and/or replaced. Repairing a Kenmore top-loading washer? This video demonstrates the proper and safe way to disassemble a washing machine and how to access parts that may need to be tested and/or replaced. 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Absolute Roulette: The Absolute Priority Rule in Individual Chapter 11 Cases JEFFREY S. SHINBROT, ESQUIRE THE SHINBROT FIRM 8200 WILSHIRE BOULEVARD, SUITE 400 BEVERLY HILLS, CALIFORNIA 90211 TELEPHONE: (310) 659-5444 firstname.lastname@example.org ABSOLUTE ROULETTE Right now, the odds of the "fixed principle" of the Absolute Priority Rule (the "Rule") 1 applying in an individual chapter 11 case are roughly the same as landing on red or black on the Roulette Table. Although the Rule was articulated by the Supreme Court during the Taft Administration 2 and the Great Depression, 3 some bankruptcy courts believe that it has been written out of individual chapter 11 cases by the Bankruptcy Abuse Prevention and Consumer Protection Act of 2005 4 ("BAPCPA"), while others believe that it still applies. In most instances, a bankruptcy attorney will not know in advance who their client's bankruptcy judge will be, so there is currently no way to pre-determine how the future judge has ruled on the application of the Rule post-BAPCPA. For those attorneys who file individual chapter 11 cases, or represent creditors in those cases, it is therefore vitally important to understand the Rule as well the arguments for and against its application in individual cases. WHAT IS THE ABSOLUTE PRIORITY RULE? The requirements for chapter 11 plan confirmation are set forth at 11 U.S.C. Section 1129. Many successful chapter 11 cases result from the use of these requirements as guidelines in negotiations with creditors, ultimately producing a plan that has been consented to by each class of creditors. 5 Even in these consensual cases, however, the requirements of Section 1129(a)( 1) through (16) must be met. For the most part, these requirements protect creditors, 1 The Rule is currently codified at 11 U.S.C. § 1129(b)(1)-(2). The label "fixed principle" comes from Case v. Los Angeles Lumber Case, infra. Case v. Los Angeles Lumber Products Co., 308 U.S. 106 (1939). 2 Northern Pacific Railroad v. Boyd, 228 U.S. 482 (1913); The genesis of the Rule appears in post-Civil War railroad cases, where it was held that stockholders could retain no equity or dividends until "all debts of the corporation are paid." Chicago Rock Island and Pacific Railroad v. Howard, 74 U.S. 392, 409-410 (1868). 3 4 The Bankruptcy Abuse Prevention and Consumer Protection Act of 2005, Public Law 109-8, 119 Stat 23. 5 A class of claims accepts a chapter 11 plan if creditors holding at least 2/3 in amount, and ½ in number of claims vote to accept the plan (11 U.S.C. §1126(c)); a class of claims that is not impaired is deemed to have accepted a chapter 11 plan (11 U.S.C. §1124). for example, by requiring that a plan be feasible 6 (not likely to be followed by another reorganization or liquidation), that the plan is in the "best interest of creditors" 7 (creditors receive at least as much as would be received on liquidation) and by requiring that the each class of creditors consent to the plan. 8 However, if all of the requirements of chapter 11 plan confirmation contained in Section 1129 are met – except that the plan proponent has not obtained consent from each class, the plan may nonetheless be confirmed if the remaining requirements of Section 1129(a) are satisfied and the plan does not "discriminate unfairly" 9 and is "fair and equitable." Section 1129(b)(2)(B) defines fair and equitable as to unsecured creditors as: (i) the plan provides that each holder of a claim of such class receive or retain on account of such claim property of a value, as of the effective date of the plan, equal to the allowed amount of such claim; or (ii) the holder of any claim or interest that is junior to the claims of such class will not receive or retain under the plan on account of such junior claim or interest any property, except that in the case which the debtor is an individual, the debtor may retain property included in the estate under section 1115, subject to the requirements of subsection (a)(14) of this section. 10 6 11 U.S.C. §1129(a)(11). 8 11 U.S.C. §1129(a)(8). 7 11 U.S.C. §1129(a)(7)(B). 9 Unfair discrimination may be determine by considering whether the proposed discrimination has a reasonable basis and whether the discrimination is necessary for the reorganization: "The Code does not prohibit unequal treatment of claims that are properly classified in different classes so long as the discrimination is not unfair." In re Cypresswood Land Partners, I, 409 B.R. 396, 434 (Bankr. S.D. Tex. 2009); or by a four factor test: (1) whether the discrimination has a reasonable basis; (2) whether the plan can be confirmed without the discrimination; (3) whether the discrimination is proposed in good faith; and (4) how the discriminated classes are treated under the plan. In re Snyders Drug Stores, Inc., 307 B.R. 889, 894-95 (Bankr. N.D. Ohio 2004). 10 The emphasis is added and refers to the portion of Section 1129(b)(2)(B) which were added by BAPCPA. This is the codification of the Absolute Priority Rule, which in a nut shell means that senior classes of creditors may require payment in full before a class of creditors or interests junior to them receives anything under the chapter 11 plan. Traditionally, when a chapter 11 plan proponent did not obtain consent from all classes, plan confirmation over the dissenting class would only occur when either the dissenting class was paid in full or – via cram down – where no class junior to the dissenting class retained anything under the plan. An important twist to the Rule, the "New Value Exception," allows a chapter 11 debtor to confirm a plan over a dissenting class of unsecured creditors while still retaining an interest in the reorganized debtor if the debtor offers value that is "(1) new, (2) substantial, (3) money or money's worth, (4) necessary for a successful reorganization, and (5) reasonably equivalent to the value or interest received." 11 Therefore, if the Rule applies in individual chapter 11 cases, in order to overcome a dissenting class of creditors that is not paid in full, the debtor would be required to make a valuable contribution in order to retain property that existed on the instant of the chapter 11 filing. THE BAPCPA AMENDMENTS In addition to the aforementioned changes to Section 1129(b)(2)(B)(ii), BAPCPA also added Section 1115 to define property of the bankruptcy estate for individual chapter 11 debtors. This new section provides: (a) In a case in which the debtor is an individual, property of the estate includes, in addition to the property specified in section 541 - 11 In re Bonner Mall Partnership, 2 F.3d 899, 908-09 (9th Cir. 1993). (1) all property of the kind specified in section 541 that the debtor acquires after the commencement of the case but before the case is closed, dismissed, or converted to a case under chapter 7, 12, or 13, whichever occurs first; and (2) earnings from services performed by the debtor after the commencement of the case but before the case is closed, dismissed, or converted to a case under chapter 7, 12, or 13, whichever occurs first. The results of the current crap shoot of whether or not the Absolute Priority Rule will apply in an individual chapter 11 case is determined by one of two views: whether (a) the bankruptcy court believes that the newly added language of section 1129(b)(2)(B)(ii) and Section 1115 means that the debtor may keep all pre-bankruptcy property (as defined by Section 541) and all post-bankruptcy petition property (as defined by Section 1115), without adhering to the Rule (the "Broad View"), or (b) the bankruptcy judge believes that the individual Debtor may only retain post-bankruptcy petition property – leaving the Rule intact and requiring either payment in full to the dissenting senior class, or no retention of pre-Petition property absent compliance with the New Value Exception (the "Narrow View"). The published decisions come to their conclusions using differing grammatical interpretations of the new sections, they disagree over whether the amendments to Sections 1115 and 1129(b)(2)(B are plain and unambiguous 12 and they offer divergent views over how much Congress intended individual 11s to be akin to chapter 13 cases. 12 Hence, invoking the Plain Meaning Rule as set forth in Lamie v. U.S. Trustee, 540 U.S. 526, 534 (2004). THE BROAD VIEW The Broad View gets its moniker from the conclusion that Congress intended that an individual Chapter 11 Debtor keep both pre and post-Petition property through the reorganization process, without the requirement that senior classes be paid in full. But courts that adhere to the Broad View arrive at this conclusion for different reasons. For example, the Bankruptcy Appellate Panel in In re Friedman 13 based its decision on what it believed is the plain meaning of newly added portions of Section 1129(b)(2)(B)(ii) and Section 1115: Section 1115's identification of estate property consists of the property contained in §541 and the two post-petition acquired assets – newly acquired property and income. The so-called disputes over what "included" means in § 1129 (b) (2) (B) (ii) and "in addition to" in § 1115 arise from misinterpretation of the words. "Included" is not a word of limitation. To limit the scope of the estate property in §§ 1129 and 1115 would require the statute to read "included, except for the property set out in Section 541" (in the case of § 1129 (b) (2) (B) (ii)), and "in addition to, but not inclusive of the property described in Section 541" (in the case of § 1115). A plain reading of §§ 1129 (b) (2) (B) (ii) and 1115 together mandates that the absolute priority rule is not applicable in individual chapter 11 debtors cases. 14 Other Broad View decisions agree with courts that do not see a plain meaning in the new provisions, but nonetheless find congressional intent to abrogate the Rule and make individual chapter 11 cases much like Chapter13s on steroids. One of the earlier bankruptcy court decisions on the subject 15 reasoned: The broader view of the exception, on the other hand, helps to explain why a number of changes, including the exception, were made to Chapter 11, namely, so that it could function for individual debtors much like Chapter 13 does. Many of the BAPCPA's changes to Chapter 11 apply only to individual debtors and are clearly drawn from the Chapter 13 model: 13 466 B.R. 471 (9 th Cir BAP 2012). 15 In re Roedemier, 374 B.R. 264 (Bankr. D. Kan. 2007) 14 Id. at 482 (internal citations omitted). Plain Meaning was also found by the courts in SPCP Group, LLC v. Biggins, 465 B.R. 316 (M.D. Fla. 2011); In re Tegeder, 369 B.R. 477 (Bankr. D. Neb 2007). 1. § 1115 brings property the debtor acquires postpetition into the estate; 2. § 1123(a)(8) calls for the debtor's plan to provide for payment to creditors from the debtor's postpetition earnings from services or other future income; 3. the exception in § 1129(b)(2)(B)(ii) allows the debtor to keep property included in the estate under § 1115, without paying in full a class of unsecured creditors that rejected his or her plan; 4. § 1129(a)(15) authorizes the debtor to overcome an objection to the plan made by a single unsecured creditor by proposing to distribute under the plan property worth at least as much as the debtor's projected disposable income for a five-year period; 5. § 1141(d)(5) ordinarily delays the entry of the debtor's discharge until completion of all payments under the plan; and 6. § 1127(e) permits modification of a confirmed plan even after substantial consummation for certain purposes. Significantly, Chapter 13 does not impose the absolute priority rule on debtors. Taken together, these changes indicate Congress intended to extend the exemption from the absolute priority rule to individual Chapter 11 debtors as well. 16 Not surprisingly, courts that disagree with the Broad View are not convinced that the foregoing evidences intent by Congress to abrogate the Rule. THE NARROW VIEW The most recent, and the highest Court to date to publish a decision on the application of the Rule to individual chapter 11 cases, found (as many courts have 17 ) ambiguity in the newly added language. In the Maharaj 18 decision, the Fourth Circuit Court of Appeals stated that: There are two competing constructions of the "included in the estate" language. On one view, the phrase "included in" means the equivalent of "added to," since property of the estate has long been defined under § 541. On another view, however, this language "included in" means something close to "referenced" in § 1115, in which case § 541 was 16 Id. at 275, 276. 17 See Friedman, 466 B.R. at 485, (Jury, J. Dissenting opinion); In re Lindsey, 453 B.R. 886 (Bankr. E.D. Tenn, 2011); In re Kamell, 451 B.R. 505 (Bankr. C.D. Cal. 2011). In re Gelin, 437 B.R. 435 (Bankr. M.D. Fla 2010). 18 In re Maharaj, 681 F.3d 558 (4th Cir. 2012). merely "absorbed" and "superseded" into § 1115 for individual Chapter 11 debtors . See, e.g., Kamell, 451 B.R. at 509. On the face of the statute, either construction is plausible. The same is true with respect to the "in addition to the property specified in section 541" language found in §1115. Court-Assigned Amicus-in this case asks us to treat that language as a signpost, used only to note that § 541 property is already included in the bankruptcy estate, because it is set aside from the rest of § 1115 by a comma and a dash, indicating that it is "not essential" to the statute's meaning. Stated differently, because §541 independently includes all § 541 property in the estate, it would be a redundancy to "reinclude" that property through the § 1115 language. On the other hand, several bankruptcy courts have noted that a plausible reading of that language (coupled with the "included in the estate" language) indicates that § 541 operates in § 1115 as a subset of § 1115. See, e.g., Friedman, 466 B.R. at 482. By that construction, § 541 property, which is referenced by § 1115, is literally "property included in the estate under § 1115." 19 Finding no plain meaning, the Fourth Circuit Court of Appeals first relies on the statutory interpretation set forth by the California bankruptcy court in Karlovic 20 in favor of keeping the Rule intact: [P]rior to BAPCPA, property of the estate did not include post-petition acquired property and earnings for individuals and non-individuals alike. Hence, post-petition acquired property and earnings could be retained by a Chapter 11 debtor, individual and nonindividual alike, without running afoul of the [absolute priority rule]. The addition of § 1115 potentially changed that by adding to the property of the estate of an individual post-petition acquired property and earnings. Without a corresponding change to § 1129(b)(2)(B)(ii), individual debtors could no longer retain post-petition acquired property and earnings if they wished to "cram down" a plan. By adding the language excepting the § 1115 property from the [absolute priority rule] of § 1129(b)(2)(B)(ii), Congress merely ensured that the [absolute priority rule] would be the same as it had been prior to BAPCPA and be the same for all Chapter 11 debtors. In other words, what Congress took from the individual debtor with its § 1115-hand, it returned for application of the [absolute priority rule] with its § 1129(b)(2)(B)(ii)-hand. 21 Next, the Appellate Court in Maharah, like many of the Narrow View decisions, finds no clear indication that Congress intended to abrogate the Rule for individual debtors, holding that "to the contrary we are in agreement with those courts that have concluded that, if Congress 19 Id., at 569. 21 Maharaj, 681 F.3d at 569 - 570 (citing Karlovich, 456 B.R. 677, 681). 20 In re Karlovich, 456 B.R. 677 (Bankr. S.D. Cal. 2010). intended to abrogate such a well-established rule of bankruptcy jurisprudence, it could have done so in a far less convoluted manner." 22 In fact, the Court contrasts the legislative history of BAPCPA with the 1952 amendment to the Bankruptcy Act that eliminated the "fair and equitable" requirement from small business cases: When Congress amended the Act in 1952 to eliminate the "fair and equitable" requirement, it clearly explained its actions in the accompanying legislative history. Not only did Congress amend the Act to state that plan confirmation shall not be refused because "the interest of a debtor . . . will be preserved under the arrangement," but Congress explained itself in the Congressional Record: "[T]he fair and equitable rule . . . cannot realistically be applied[.] See H.R. Rep. 82-2320. History shows that Congress knows how to abrogate the absolute priority rule, and it has not done so here. 23 Finally, the Mahara Court simply did not buy into the Chapter 13 on steroids argument. The Court instead agreed with courts that reason that although Congress may have intended to harmonize chapter 11 and 13 in some respects, the overall legislative history of BAPCPA evidences intent that individual debtors pay creditors more, not less. Since the elimination of the Rule for individual chapter11 cases would allow debtors to retain all pre and post Petition property without payment in full to senior classes, or a new value contribution, the Court believed such a result runs contrary to congressional intent of BAPCPA. 24 In a similar fashion, and notwithstanding the Bankruptcy Appellate Panel's decision in Friedman, some bankruptcy courts within the Ninth Circuit find that the Rule still applies in individual Chapter 11 cases. 25 As one post-Friedman bankruptcy court decision points out, negotiations that occur as a result of the "fine-tuned balance between the rights of a Chapter 11 debtor and the creditors" created by the Rule would be eliminated by the Broad View, resulting 22 Maharaj, 681 F.3d at 571. 24 Id. at 574. 23 Id. at 572. 25 In re Arnold, 471 B.R. 578, 590 (Bankr. C.D. Cal. 2012)( bankruptcy court held that it was "not bound by, the decision of the BAP in Friedman …."). in a lack of incentive for an individual chapter 11 debtor to bargain with creditors. 26 Conversely, the Narrow View retains the bargaining process via the Rule's creditor protections, reducing the danger of "too good a deal" for debtors. 27 WHO WINS? Having never left Vegas a financial winner, the author is remiss to make any attempt at predicting whether the Broad View or Narrow View will ultimately prevail. However, odds are certain that the outcome of the debate will be closely monitored by practitioners in the individual chapter 11 space. 26 Id.at 611. 27 Id.
IMPACT: International Journal of Research in ISSN(E): 2321-8878; ISSN(P): 2347-4564 Humanities, Arts and Literature (IMPACT: IJRHAL) Vol. 2, Issue 6, Jun 2014, 25-34 © Impact Journals A FEW SIMILARITIES FOUND IN BORO AND KOKBOROK: THE TWO LANGUAGES OF NORTH-EAST INDIA SWARNA PRABHA CHAINARY Department of Bodo, Gauhati University, Guwahati, Assam, India ABSTRACT This paper aims to explore the similarities and dissimilarities appearing in case of few domains of the Boro and Kokborok, the languages of Assam and Tripura. It tries to highlight the phonological similarities and dissimilarities these two languages have in case of segmental and suprasegmental phonology. In segmental some phonemic changes occurring in both the languages have been given. Tone is a very important suprasegmental feature of both the languages. In case of word formation compounding and agglutinating occupy a prominent place and have been tried to include in the paper citing few examples. The similarities and dissimilarities in few morphological processes and exceptions have been taken care of in this paper. KEYWORDS: Agglutinating, Compounding, Negativization, Segmental, Suprasegmental, Tone INTRODUCTION The Boro and Kokborok are the two languages among others developed from the Tibeto-Burman branch of the Sino-Tibetan language family. These languages sprung out from the same root in the distant past and its speakers shifted to different places of their convenience. Today, the Boros have their basic concentration in Assam and the Kokboroks in Tripura. But their concentration is not a factor for them and despite their concentrations in different areas maximum similarities are found in different levels of grammatical structures as well as in lexis of these two languages. Today both the language speakers are keeping close contact to each other and some comparative study on both the languages are also coming up. PHONOLOGICAL SIMILARITIES AND VARIATIONS Phonology is considered to be the foundation of a language. Both the languages have the same number and forms of vowel phonemes though it differs a little in case of the consonants which are not equal in number and in form. Vowel The Boro and Kokborok language have six (6) distinct vowels which are short vowels, not long. The six vowel phonemes both the languages have are-/i ɰ u e ↄ a/. Some phonemic contrasts of these vowels are given below: ɰ /u/ vs. / /:Boro: dui 'be small' d ɰ i 'water' Kokborok: tui 'lay egg' /e/ vs. /a/:Boro: sen 'fishing trap' san 'count' Kokborok: berem 'row/line' t ɰ i 'water' beram 'disease' In these languages the phonemes can occur in all the positions of words. Consonants Boro language has the use of sixteen (16) consonants including two semi-vowels. These are-/b d g p h t h k h s z h m n η r l w y/. Kokborok language has a total of twenty (20) consonant phonemes including two semi-vowels. These are-/p t k b d g p h t h k h s ch z h m n η r l w y/. The four consonant phonemes of Kokborok language / p t k ch / are absent in Boro language. Except these four all consonant phonemes are same in both the languages. All the consonants have not their initial, medial and final occurrences in the words in both the languages. Though all the consonants have their medial occurrences some have not their initial and some have not their final occurrences. The phonemes which have not their initial occurrences in Boro language are / ŋ w y / and those which have not their final occurrences are /p h t h k h g s h /. Though /z/ occurs word finally its occurrence seems to be very minimum and as a native speaker the researcher has till date encountered only one word ending with /z/. In case of Boro language it is seen that the voiceless consonants never occur word finally. On the other hand some of the voiced phonemes may or may not occur word finally in the language. The phoneme which has not its initial occurrence in Kokborok language is / ŋ / and which have not their final occurrences are / p h t h k h ch s z h /. So, the consonant phonemes which are not used word finally are almost same in both the languages except /g/ and /z/. /g/ is not used in the final position of the words in Boro, but is used in Kokborok. As the use of /z/ in the final position of the word is very minimal so, in a broad sense it can be considered same to the Kokborok language that /z/ is not used in the final position of the word even in Boro. So, after comparison of occurrences and non occurrences in different positions of the words it can be observed that Kokborok language has words ending either with the voiced or voiceless; but Boro language has words ending only with the voiced phonemes (may also be voiceless if it is a loan word, but never in basic vocabulary). Below is going to put some comparative specimen from both the languages what happens to the phonemes in Boro language when they either begin or end with the voiceless or voiced phonemes in Kokborok language. A few specimens- * As mentioned earlier, Boro language has not the use of the sounds /p t k ch/ but the Kokborok language has the use of these phonemes. So, what happens to the Boro words when a word begins or ends with /p t/ and begins with /ch/ or are in the medial position in Kokborok language is given below: (Here the last consonant 'k' is automatically deleted in Boro as the language has not the use of this phoneme) * The Boro words ending with /l/ seems to be very rare, but the Kokborok language has a lot of words ending with /l/, that is why the words ending with /l/ in Kokborok language takes the form of /n/ in Boro language in most of the words. A few examples: Kokborok Boro English * Kokborok language has not the use of consonant clusters but the Boro language have. This language has a lot of consonant clusters either in the beginning or in the middle of the words, but is never used word finally. A few specimens here: sraŋ 'light' a-dra 'half' bu-bli 'moment/time' etc. In the examples mentioned above all the clusters are coming together in a single syllable, but sometimes it may come in more than one syllable i.e. as sequence of consonants. Different types of sequence of consonant combinations are available both in Boro and Kokborok languages, e.g. zaη-k h ri (shake, sequence of nasal and stop) Boro: san-za (east, sequence of nasal and fricative) Kokborok: baη-k h uη (red ant, sequence of nasal and stop) bir-k h uη (aeroplane, sequence of trill and stop) * Segmental phonemes of both the languages have the following similarities: * In both the languages length of vowel does not affect the meaning of the words; * The use of the /ɰ / is very common in both the languages; * Both the languages have six vowels each and * Both have not the use of retroflex. Tone Tone is a very peculiar and common suprasegmental feature of both the languages. These languages have very simple tone i.e. high tone and low tone and in both tone is lexical not grammatical. Here, high tone is going to be represented by 1 before the beginning of the syllable where maximum prominence falls and low tone by 2 where the prominence doesn't fall. It is noteworthy that tone is used in all the positions of words in these languages. Besides the examples of tone included above a brief comparison is going to be made below on the tones used in the words having same orthography in both the languages. MORPHOLOGY Morphology is the main body and the largest area of study of a language. Here, it is very difficult to discuss on each and every aspects of morphology available in both the languages and so proposes here to give a glimpse on some common features available in both the languages. Agglutinating Character Agglutinating is one of the most important features of the Tibeto-Burman group of languages and also of the Boro and Kokborok languages. One common feature to be mentioned here is that both the languages have prefix and suffix but not infix. So, by agglutinating one may mean either the agglutinating of words i.e. compound words as well as prefix or suffix agglutinating or the agglutinating of both. A few specimens here- Compoundisation Compoundisation here means the combination of two or more words belonging to same grammatical category or different grammatical categories. These categories are basically nouns and verbs in both the languages. Here, attempt has been made here to include the compoundisation of two words each from both the languages. In the above examples it is seen that in the two examples from Boro and Kokborok compoundisation of two words have been done without any changes but in the other morphophonemic change of /i/ to the semi-vowel /y/ and the one more insertion of the vowel /e/ is taking place in the Boro language. Prefix & Suffix Agglutinating Both the languages have the process of agglutinating of prefix or suffix; prefix and suffix or suffixes at a time. But the combination of more than one prefix at a time to a word or words is never allowed in the languages, e.g. Br. p h ↄ -r ɰŋ -giri-p h ɰ r-ni >p h ɰ r ɰŋ girip h ɰ rni (of the teachers') In this example of Boro language p h ↄ- is a causative formation prefix; rɰŋ is a verb representing the meaning of to know/learn; -giri is a suffix representing the meaning of owner; -p h ɰr is a plural suffix and –ni is a genitive marker. When p h ↄ- prefix is added to the verb rɰŋ the ↄ vowel of the prefix p h ↄ- takes the form of ɰ due to distant regressive vowel assimilation which is again same to Kokborok language in the example given below. Here, in this example from Boro language one prefix and three suffixes at a time have been added with the verb. The structure of Kokborok word given below is also completely same to the Boro language. Noun Formation Nouns are found in basic and derived forms in both the languages. Derived nouns which are mostly verbal nouns are formed by adding prefix or suffix to the verbs. This character is very common in both the languages and seems to be productive, e.g. Using Prefix {bi-, gi-} of Boro and {bu-, ki-} of Kokborok are the prefixes used to form nouns from verbs respectively in Boro and Kokborok, e.g. ``` Boro: bi-v. bar (bloom)> n. bibar (flower) gi-v. sib (to fan)> n. gisib (fan) Kokborok: bu-v. bar (bloom)> n. bubar (flower) ki-v. chip (to fan)> n. kichip (fan) ``` In the above examples the prefix bi- of Boro has been changed to bu- in Kokborok, a change of vowel taking place from i>u; in the second example, the prefix gi-of Boro has been changed to ki- in Kokborok a change occurring from g>k the other vowels remaining the same. Here, the change is taking place among the stops. Like this in verb 'sib' of Boro and 'chip' of Kokborok the change is taking place among sibilants s and ch respectively and the stop b and p which is highly allowed as per the linguistic rule. Using Suffix Some of the suffixes seem to be very productive or performing their grammatical duties in both the languages. Though noun formation suffixes are not small in number two suffixes each from both the language is going to be included here. The suffix –nay included here from both the languages though seems to be similar represent different meanings. In Boro, when added to the verb it represents the act of doing anything and in Kokborok when added to the verb it represents human noun. In both the languages it functions as class changing derivational suffix. ``` Boro: v. p h an-gra> n. p h angra (seller) v. mɰsa-nay> n. mɰsanay (dancing) Kokborok: v. p h al-nay> n. p h alnay (seller) v. mɰsa-ma> n. mɰsama (dancing) ``` Here, in these examples –gra from Boro and –nay from Kokborok are representing the same meaning i.e. representing the human (doer or performer) and the other two suffixes i.e. –nay of Boro and –ma of Kokborok are representing the action done by the persons. Besides the above mentioned systems of noun formation derived from verbs, both the languages have also the system of combining one noun and one verb to form noun. Such type of structure is not very abundant in the language. A few specimens here- ``` Boro: n. ha (soil)-v. sib (sweep) > n. hasib (broom) n. dau (bird)-v.dɰi (lay egg) > n. daudɰi (egg) Kokborok: n. nↄk (house)-v. sib (sweep) > n. nↄksib (broom) n. tↄk (bird)-v.tui (lay egg) > n. tↄktui (egg) ``` One more important point is that like other Tibeto-Burman languages of North-East India the names of the fruits, birds, animals and fish are formed either by the combination of one free and one bound morpheme or the two free morphemes in both the languages. Names of Fruits, Birds and Animals Fruit, bird and animal names of the languages like Boro, Garo, Dimasa, Tiwa and Kokborok mostly start with the words like t h ai, t h e or tai for fruit; dau, dɔ?ɔ, tɔ/tɔk for birds and mi, mɔ, ma, mat, mu for animals. To represent different variety of fruits, birds or animals some verbs as well as different bound forms are suffixed to these forms. It is assumed that if these words are not available in the names of fruits, birds or animals then these are thought to be borrowed from the Aryan languages which are close neighbor to these language speakers. A few specimen of such structure are-Br. n.t h ai(fruit)-v.lir(be heavy)>n.t h ailir & Kb. n.t h ai(fruit)-v.lik (be heavy)>n.t h ailik 'banana';Br. & Kb. n.amlai 'phyllanthus emblica'; Br.n.dau(bird)-k h a>n.dauk h a & Kb.n.tↄk(bird)-a>n.tↄka 'crow' Br.n.sigun & Kb. n.sikruk 'vulture'; Br. n.mi (animal)-sa>n.mɰsa & Kb. n.mↄ (animal)-sa>n.mↄsa 'tiger' Br.n.gↄrai &Kb.n.kↄrai 'horse' The above combinations show in some words noun and verb combination; noun and bound base combination. In such type of combination sometimes distant regressive vowel assimilation is taking place though these seem to be rare. The words for phyllanthus emblica (local name amlↄk h i), vulture and horse have not that type of structure and are the borrowings from neighboring Aryan languages Assamese and Bengali in the contexts of Assam and Tripura respectively. Kinship Terms Kinship terms are also a very interesting subject of study from structural point of view in both the languages. In these languages, personal pronouns are always accompanied by the bound base of the kinship terms to represent my (aη 'I' in Boro and Kokborok), your (nɰη, you in both) and his/her (bi 'he/she' in Boro and bↄ 'he/she in Kokborok). The kinship terms given below show the accompaniment of one personal pronoun and one bound base of the kinship terms in these languages, e.g. Br.aŋ-da>ada: Kb.aŋ-ta>ata 'my elder brother'; Br. nɰŋ-da>nɰŋda; Kb. nɰŋ-ta> nɰta 'your elder brother'; Br.bi-da>bida; Kb.bↄ-ta> bↄta 'his/her elder brother' During the addition of the personal pronouns and the bound base of the kinship terms some minor change is taking place in some of the kinship terms basically with the ellision of one or two phonemes from the personal pronouns. Some kinship terms which are established through the social institution of marriage never accompanied by the first person of personal pronoun in both the languages but can take 2nd and 3rd persons, e.g. Br. gumɰi~Kb. Kumui (my brother-in-law), Br. bazɰi~Kb.bↄchi (sister-in-law). These two examples from both the languages are the terms of address used without the addition of any first person personal pronouns. Their 2nd and 3rd person forms are: Br. nɰηgumɰi~Kb.nɰkumui (your brother-in-law), Br. nɰmbazɰi~Kb.nɰbↄchi(your sister-in-law) g, On the other hand some kinship terms established by social institution of marriage is always accompanied by the plural suffix representing the meaning of singular in both the languages, e.g. Br. bewai(younger sister's husband) is addressed as bewai-p h ɰr (-p h ɰr is a plural suffix)> bewaip h ɰr, k h ɰina (new bride, also used to address the younger brother's wife)-p h ɰr>k h ɰinap h ɰr; Kb. buwai (younger sister's husband)-rↄg (-rↄg is a plural suffix)> buwairↄ kra (father-in-law)-rↄg> krarↄg. These plural suffixes are not representing the plural meaning but singular meaning with due honour to the person/persons addressed to. When it is to be pluralized then one more plural suffix –sↄη is added in Kokborok, but no such suffix is used in Boro language, e.g. Kb.buwai-rↄg-sↄη (younger sister's husband andd others), Kb.kra-rↄg-sↄη (father-in-law and others). Numerals and Numeral Classifiers/Definitives The counting systems of numerals are almost same in both the languages except some minute variations of one or two. In both the languages numerals are discussed under basic and derived. The numerals from one to ten are basic numerals besides zɰu (100), rɰza (1000) in Boro and k h ↄlpe (20), rasa (100), saisa (1000) in Kokborok. The remaining is formed under the process of derivation. Specimen are- Br. se~ Kb.sa (one); Br. nɰi~ Kb. nɰi (two); Br. t h am ~Kb.t h am (three); Br. brɰi~ Kb. bɰrɰi (four); Br. ba~ Kb.ba (five); Br.dↄ~ Kb.dↄk (six); Br. sni~ Kb.sini (seven); Br. dain~ Kb.char (eight);Br.gu~ Kb. chuku (nine); Br. zi~Kb.chi (ten). Besides a few specimen of basic numerals mentioned above both the languages have also the system of derived numeral formations by the process of addition, multiplication, multiplication and addition respectively. One example each from all three processes are like this- Br. zise (zi + se=10+1=11), Kb. chisa (chi+sa=10+1=11); Br. t h amzi (t h am x zi= 3 x10=30), Kb.t h amchi (t h am x chi=3x10=30); Br. nɰizise (nɰi x zi+se=2x10+1=21), Kb.k h ↄlpechise (k h ↄlpe x chi +se=2x10+1=21) etc. Like numerals, the uses of numeral classifiers or definitives are also almost same in both the languages. Classifiers which represent different shapes, forms or quality of different animate human, non-human as well as of different inanimate things or objects are always prefixed to the numerals in both the languages. A few common uses of definitive from both the languages are included here- Boro: mɰsa(tiger) ma(cl.)-se(one) or ma(cl.)-se(one) mɰsa(tiger) 'tiger a or a tiger' Kokborok: mɰsa(tiger) ma(cl.)-sa(one) or ma(cl.)-sa(one) mɰsa(tiger) 'tiger a or a tiger' {ma-} is a common classifier in both the languages and is used with the living beings, animals, insects etc. Boro: lama(road) dɰŋ(cl.)-se(one) or dɰŋ(cl.)-se(one) lama(road) 'road a or a road' Kokborok: lama(road) tuŋ(cl.)-sa(one) or tuŋ(cl.)-sa(one) lama(road) 'road a or a road' VERBAL GROUP In verbal group of both the languages, the grammatical categories verbs (being the head), adjectives and adverbs are included because of the formation of adjectives and adverbs from the verbs. But here the only target is to show the similarity seen in case of negative formation and the structure of adjectives of both the languages. For negativization both prefix and suffix are used to the verbs. A comparison of this prefix and suffix from both the languages are given below: Negative Formation Negative Formation Prefix Both the language have one each negative formation prefix. These are da-in Boro and ta-in Kokborok. These prefix when added to the verbs either don't change their form or the form of the verbs, e.g. Boro: da-v.su (wash) >v.dasu 'don't wash' da-v.za (eat) >v.daza 'don't eat' Kokborok: ta-v.su (wash) >v.tasu 'don't wash' ta-v.cha (eat) >v.tacha 'don't eat' Negative Formation Suffix Like prefix, the negative formation suffix is also one each in both the languages and their forms are same in both. This common form used in both the language is -a. This suffix has three different allomorphs. These are –a,-ya,-wa and are phonologically conditioned. * Use of the Allomorph {-a}: {-a} allomorph is used with the verbs ending with the consonants. Br.&Kb.:v.bar(bloom)-a> v.bara (don't/doesn't bloom); v.bam(take on lap)-a> v.bama (don't/doesn't take on the lap) * Use of the Allomorph {-ya}: {-ya} is used with the words ending with the vowels a, e and i. Boro: v.za (eat)-a> v.zaya (don't/doesn't eat); v.se (snatch)-a>seya(don't/doesn't snatch) Kokborok: v.cha (eat)-a> v.chaya (don't/doesn't eat): v.k h ui(be hungry)-a> v.k h uiya (don't/doesn't become hungry) * Use of the Allomorph {-wa}: This allomorph is used with the words ending with u and ↄ. Br. & Kb.: v.su (to measure/be cold)-a>v.suwa (don't/doesn't measure/ not become cold) v.hu (rub)-a>v.huwa (don't/doesn't rub) etc. The above mentioned are only a few specimen of phonologically conditioned allomorphs or morphophonemic change or alternation. Both the languages have such more examples to explain. ADJECTIVE FORMATION Adjectives of both the languages can be divided into basic and derived based on their structure. Basic adjectives are independent adjectives and derived are formed either by using prefix or suffix to verbs in both the languages. Basic adjectives are very few and are mostly disyllabic in both the languages. Using Prefix The adjective formation prefix used with the verbs in Boro is gↄ- and kↄ-in Kokborok. The vowel ↄ attached with the prefix g and k can take different forms based on the first vowel available in the verb. But mↄ-prefix is also seen using with a very limited number of words both in Boro and Kokborok, e.g. Boro Kokborok Gloss Using Suffix Boro language has different types of suffixes used with the verbs to form adjectives. In this language adjective may also be formed by the combination of two verb roots. In Kokborok language –zak is a very common suffix used with the verbs to form adjectives, but no such structure is available in Boro language, e.g. ɰ Boro: v. s m (be black)-k h ɰ r>adj. s ɰ mk h ɰ r (greeny) v. nay (see)-v.t h a ↄ (be tasty)>adj. nayt h a ↄ (beautiful) Kokborok: v. ham (be good)-zak>adj.hamzak (love) v. kiri(to fear)-zak>adj. kirizak (fearful) etc. CONCLUSIONS This paper tries to explore some of the similarities these two cognate languages have in two levels of the structure phonology and morphology. These two languages sprang from a common source in the dim and distant past and have a lot of similarities in different levels of linguistic analysis and a comparative study on these languages will definitely encourage the linguists and researchers to undertake more and more research works on these two isolated languages of North-East India. On the other hand to make these languages known to the rest of the world no proper study has yet been done either by the native speakers or other well wishers of the languages. So, the target of this paper is to give a glimpse on these two languages and explore to the world about their rich and beautiful language structure. REFERENCES 1. Phukan Basumatary, An Introduction to the Boro Language (Mittal Publications, New Delhi, 2005). 2. Prof. P.C. Dhar, Kak-Kuthumma (Tribal Research Institute, Agartala, 1987). 3. Surath Narzary, Bodo-English-Hindi Dictionary (Bodo Sahitya Sabha, Kokrajhar, Guwahati, 2006). 4. Kumud Kunduchoudhury, Kakbarak Bhasa O Sahitya (Akshar Publications, Agartala, 2001). 5. Pushpa Pai (Karapurkar), Kokborok Grammar (Central Institute of Indian Languages, Mysore, 1976). 6. Dr. Sudhanshu Bikash Saha, Origin and Structure of Kakbarak, (Rupali Publishing, 1988).
MEMBER COUNTRY: India National Report to SCAR for year: 2017 Activity Contact Name Address Telephone Fax Email Website 1) 2) 3) \| Dr.Shailesh Nayak Chairman (from Jan 2016) \| Former Secretary to Government of India Ministry of Earth Sciences, Mahasagar Bhavan, Block 12, CGO Complex,Lodhi Road, New Delhi - 110 003 \| 91-11-24669626 \| \| email@example.com \| \|---\|---\|---\|---\|---\| \| Dr. Rahul Mohan, Member Secretary (continuing) \| ESSO-National Centre for Antarctic & Ocean Research, Headland Sada, Goa - Pin-403804, INDIA. \| (+91)-832-2525531 \| (+91)-832-2520877 \| firstname.lastname@example.org \| \| Prof. N C Pant (From Jan 2016) \| Associate Professor Centre for Advanced Study, Department of Geology, Delhi University, Delhi- 110007 \| (+91)-9953781350 \| \| email@example.com \| \| Dr. A. Ganju (From Jan 2016) \| Director, Snow & Avalanche Study Establishment,Research & Development Centre,Him Parisar, Sector 37- A, Chandigarh – 160 036 \| 9872083177 \| \| firstname.lastname@example.org/ email@example.com \| \| Dr. S. Sathyakumar (From Jan 2016) \| Scientist G/Sr. Professor Wildlife Institiute of India P.O Box,18, Chandrabani Dehradun 248 001 Uttarakhand. \| (+91)- 135 2640230 \| (+91)- 135 2640117 \| firstname.lastname@example.org \| \| D. M.V.Rajeevan (from Nov 2015) \| Secretary to Government of India Ministry of Earth Sciences, Mahasagar Bhavan, Block 12, CGO Complex,Lodhi Road, New Delhi - 110 003 \| (+91)-11-2462977/72 \| (+91)-11-24669777 \| email@example.com \| \| Dr. M Ravichandran (from June 2015) \| Director,ESSO-National Centre for Antarctic & Ocean Research, Headland Sada, Goa - Pin-403804, INDIA. \| (+91)-832-2520876 \| (+91)-832-2520877 \| firstname.lastname@example.org \| \| Dr. S Shivaji \| Consultant (Retd. Director Grade- Scientist G) Centre for Cellular and Molecular Biology (CCMB) Uppal Road Hyderabad 500 007 \| (+91)- 40 24006403 \| (+91) 40 27160591 \| email@example.com \| \| Dr. S. Sathyakumar \| Scientist G/Sr. Professor Wildlife Institiute of India P.O Box,18, Chandrabani Dehradun 248 001 Uttarakhand. \| (+91)- 135 2640230 \| (+91)- 135 2640117 \| firstname.lastname@example.org \| \| Dr. Sarat Chandra Tripathy \| ESSO-National Centre for Antarctic & Ocean Research, Headland Sada, Goa - Pin-403804, INDIA. \| (+91)- 832 2525635 \| (+91)--832-2520877 \| email@example.com \| 1) 2) 3) 4) 1) 2) 3) \| Dr.Anil Joshi \| Dy.Director General, (retd) Geological Survey of India, Faridabad - 121001, India \| (+91)-129-2417335 \| (+91)-129-2417335 \| firstname.lastname@example.org \| \|---\|---\|---\|---\|---\| \| Dr. N. C. Pant \| Associate Professor Centre for Advanced Study, Department of Geology, Delhi University, Delhi- 110007 \| (+91)-9953781350 \| \| email@example.com \| \| Dr.Thamban Meloth \| ESSO-National Centre for Antarctic & Ocean Research, Headland Sada, Goa - Pin-403804, INDIA. \| (+91)-832-2525622 \| (+91)-832 2520877 \| firstname.lastname@example.org \| \| Dr. Rahul Mohan Prof. S Gurubaran \| ESSO-National Centre for Antarctic & Ocean Research, Headland Sada, Goa - Pin-403804, INDIA. Indian Institute of Geomagnetism Plot 5, Sector 18, Near Kalamboli Highway, New Panel (W), Navi Mumabi, 410 218 \| (+91)-832-2525531 (+91)-22- 27480763/4017 \| (+91)-832-2520877 (+91)-22-27480762 \| email@example.com firstname.lastname@example.org \| \| Dr. Suresh Babu \| Space Physics Laboratory Vikram Sarabhai Space Centre, Thiruvananthapuram - 695 022 \| (+91)-471-2562404 \| (+91)-471 2706535 \| email@example.com \| \| Dr. V D Mishra \| Snow & Avalanche Study Establishment Research & Development Centre Himparisar, Sector 37-A Chandigarh-160 036 \| (+91)-172-2699804 \| (+91)-172-2699970 \| firstname.lastname@example.org \| 1) 2) 3) 4) 1) 2) 3) 4) 1) 2) 3) 4) 1) 2) 3) 4) 1) 2) 3) 4) 1) 2) 3) 4) \| Contact Name \| Address \| Telephone \| Fax \| Email \| \|---\|---\|---\|---\|---\| 1) 2) 1) 2) An optional report summarising scientific highlights of the past year may be included below. 37 projects from 22 different premier institutes / universities of India were taken up during the said period of 2016-17. Brief highlights have been provided under the subheads below: To make measurements of reactive halogen species (IO, BrO,I2, OIO and OClO) \| Climate Change Research and Space Weather Studies \| S.Suresh Babu, ISRO-SPL, 0471 256 3663, email@example.com \| Study of long term changes in the physical, chemical and optical properties of aerosols in polar atmosphere, quantify the effect of long range transport, and estimate radiative impact / Estimate snow scavenging of aerosols and deposition of soot in ice and to study the physical, chemical and optical properties of aerosols in Snow and the corresponding changes in snow albedo. / Quantify the anthropogenic influence in Antarctic atmosphere to delineate local and long-range transport. / Investigate the Atmospheric boundary layer characteristics and vertical fluxes of energy and momentum. / Study of vertical distribution of aerosols, water vapor and clouds. / To understand the exchange process across the polar tropopause by measuring vertical profiles of ozone. \| \|---\|---\|---\| \| Measurement of atmospheric black carbon, GHGs and solar radiation fluxes at Antarctica on a long-term basis \| Biswadip Gharai, ISRO-NRSC, 04023884467, firstname.lastname@example.org \| Estimation of background concentration of CO 2, CH and H 2O at Bharati, 4, Antarctica on a continuous/seasonal basis for a long-term 5 years; and measurement of GHG’s during the voyage / Identifying the changes in seasonal and daily amplitudes of CO2 against boundary layer height from high vertical resolution of COSMIC-Radio Occulation (RO) data / Identifying of source processes leading to black carbon loading over Antarctic region. / Monitoring Atmospheric BC and its seasonal changes in response to prevailing meteorology and long range transport / Measurements of BC concentrations on snow to understand the BC deposition over Antarctica / In-situ measurements on Aerosol Optical Depth, total columnar ozone and water vapour and comparative study against satellite observations. \| \| Studies of diurnal changes of the ionosphere using ground based BLF antenna and altitude variation of cosmic rays and other radiation using low cost balloons with fully recoverable payloads \| Sandip K.Chakrabarti, Indian Centre for Space Physics, 033- 23353057/09903308976, email@example.com \| Make two permanent VLF recording stations in Maitri and Bharati region with upgraded and highly sustainable antenna/receiver systems / Study the signal propagation characteristics for the entire year in two very specific solar conditions viz. full day and no sunset (summer) and the full night with no sunrise (winter) / Use our ion-chemistry model to obtain the electron density profile over the path during both summer and winter and to reproduce the temporal and spatial behaviour of the signal / Reconstruction of 3-D electron density profile the entire propagation path and over the Antarctic landmass during summer and winter / Study of the variation of sea ice profile by observing the attenuation profile of the signal amplitude \| 7 Quantification of aerosol induced perturbation of Earth's radiation budget over Antarctica during summer using in-situ observation of optico-physical and Role of long-range transported chemical properties of aerosols / Estimation of vertical distribution of aerosol Bharati: Short-term Bharati: Short-term Bharati: Short-term Bharati: Long-term Bharati: Short-term Bharati: Short-term Human Physiology and Medicine Non-pharmalogical intervention to Usha Panjwani, Defence Instistute of To evaluate sleep, cognitive function and mood profile in Antarctic environment / \| Large scale topographical mapping and geophysical studies for Neo- tectonics and monitoring interplate movement of Antarctica platew.r.t Indian plate \| Nitin Joshi, Survey of India, 0135- 2654528/0135-2713296, firstname.lastname@example.org \| To establish horizontal & vertical ground control points for detail mapping and scientific activities / To carry out large scale mapping of Schirmacher Oasis and Larsemann Hills Regions of Antarctica / To monitor Inter-plate movement of the continent (Schirmacher Oasis & Larsemann Hills) w.r.t. Indian plate / Studies for neo-tectonic activities of the region \| \|---\|---\|---\| \| A proposal for Geological investigations south of Indian Bharati Stationto elucidate sub-ice geology and to establish the affinity of western Princess Elizabeth Land (PEL) with appropriate cratonic block \| Naresh C. Pant, University of Delhi, 120- 4234837, email@example.com \| Study of long term changes in the physical, chemical and optical properties of aerosols in polar atmosphere, quantify the effect of long range transport, and estimate radiative impact / Estimate snow scavenging of aerosols and deposition of soot in ice and to study the physical, chemical and optical properties of aerosols in Snow and the corresponding changes in snow albedo / Quantify the anthropogenic influence in Antarctic atmosphere to delineate local and long-range transport / Investigate the Atmospheric boundary layer characteristics and vertical fluxes of energy and momentum \| \| Ice Sheet dynamics around Schirmacher Oasis,cDML, East Antarctica \| Ashit Kumar Swait, Geological Survey of India, (0129)-2417335, firstname.lastname@example.org \| Glaciological studies in parts of the central Dronning Maud Land (cDML), East Antarctica for providing inputs towards a better understanding of climate change \| \| Role of trace elements geochemistry in different phases of metamorphism andpartial melting of rocks from Schirmacher Oasis, cDML, East Antarctica with emphasis on metapelites \| Mohd. Yunus Shan, Geological Survey of India, (0129)-2417335, email@example.com \| The existing geological map is based on the wok done prior to 1997-98 (Approx. 20 years old) hence needs revision/modifications. \| \| Glaciological monitoring around Grovnes, Larsemann Hills, East Antarctica \| Jay Gopal Ghosh, Geological Survey of India, (0129)-2417335, firstname.lastname@example.org \| The rock types (quartzofeldspathic gneisses, metabasite, metapelite and granitoids) are not properly classified and demarcated in the map / The same charnokite and pyroxene granulite units are occurring at two different stratigraphic levels. It means their inter-relationship is not properly constrained / The lithostratigraphic sequence is also not validated with modern geochronological data \| \| Mass balance, dynamics, and climate of the central Dronning Maud Land coast,East Antarctica (MADICE) \| Thamban Meloth, National Centre for Antarctic and Ocean Research, 0832- 2525622/637, email@example.com \| To understand the current status and dynamics of ice shelves and evolution of ice rises in the coastal Dronning Maud Land / To study photochemical and microbial processes associated with selected supraglacial ecosystems and their significance in coastal Antarctica / To understand the role of ice rises in the evolution and future of the Antarctic Ice Sheet and to reconstruct the palaeoenvironmental variables like temperature, precipitation aerosols, and sea ice conditions during the past using ice core records from ice rises \| Bharati/Maitri: LongTo understand the current status and dynamics of ice shelves and evolution of ice \| Biogeochemistry and Paleoenvironmental studies of LarsemannHills, Prydz Bay and Schirmacher Oasis: a past-present- future perspective \| Rahul Mohan, National Centre for Antarctic and Ocean Research, 0832- 2525531/532, firstname.lastname@example.org \| Impact of icebergs and sea-ice on phytoplankton community and their role in biogeochemical cycles in coastal Antarctica / Long-term monitoring of Antarctic Lakes to understand its response to change in climatic conditions / Paleolimnological investigation of Larsemann Hill lakes: Understanding the glaciation-deglaciation timing / Understanding the paleo-environments changes of Prydz Bay: paleo sea-ice variability \| \|---\|---\|---\| \| Hydrographic Survey – Off Princess Astrid Coast and Larsemann Hills \| Chief Hydrographer, National Hydrographic Office, 01352747365, inho- email@example.com \| Continued data collection towards Bathymetric and Physical Oceanographic database / Detailed study of propagation of sound waves at various locations in India bay and determine the best fit average sound velocity for optimum performance of various sensors to be deployed for Hydrographic work / Delineation of coastline adjoining India Bay and crosscheck with the coastlining delineated during earlier expeditions and study changes caused by environmental conditions / Production of INT Chart 9050 and its subsequent updation. Produce charts as required for Larsemann Hills area \| \| Hydrodynamics of the Indian Ocean sector of coastal Antarctica \| Alvarinho Luis, National Centre for Antarctic and Ocean Research, 0832- 2525525/528, firstname.lastname@example.org \| Quantifying changes in thermohaline structure with reference to frontal meandering, with special focus on region south of ACC front / Computation of annual upper-ocean heat and salt content in the coastal Antarctica by using expendable probe data and other data / Water mass distribution and their mixing characteristics / Monitoring of geostrophic circulation and transport and its temporal variation across the region between Africa and Antarctica / Summer fresh water thickness resulting from sea ice melting along the meridional transect in the coastal Antarctica / Construction of empirical models of upper-ocean temperature and dynamic topography from satellite altimeter data to infer baroclinic transports \| \| Validation of parameters of Antarctic Ice Dynamics extracted from Indian Remote Sensing Data \| Ram Rajak, ISRO-Space Applications Centre, 91 79 2691 4104/4162/4123, email@example.com \| To assess the temporal variations in the velocity of glaciers near Bharti and Maitri stations / To estimate temporal changes in thickness of snow over land and sea ice / To estimate the mass balance of glaciers using time-different DEM approach / Assessment of ice deformation over ice-shelves including ice rise. (The above objectives require field validation for next three years.) \| \| Permanent seismological and GPS observatory at Maitri \| J.K.Catherine, National Geophysical Research Institute, 040-27012505, firstname.lastname@example.org \| Seismological and geodetic studies in the Antarctica \| \| Passive acoustic measurements in the shallow waters of Antarctic sea to study ice-flow dynamics \| G.Latha, National Institute of Ocean Technology, 91-44-66783399/+91- 9444399828, email@example.com \| To measure the underwater ambient noise in the shallow waters of Antarctic sea / To study the ice flow dynamics such as iceberg quaking, thermal fracturing of sea ice, melting of glaciers and sweeping of ice pellets from the ambient noise measurements of the shallow waters of Antarctic sea / To characterize and classify the marine species such as Blue whales, Fin whales and Seals from the ambient noise measurements of the shallow waters of Antarctic sea \| \|---\|---\|---\| \| Terrestrial exposure dating on Roche Moutonnées and glacial deposits of Schirmacher Oasis to understand the extent and timing of last glacial maxima in the Queen Maud Land, East Antarctica \| Jitendra Kumar Pattanaik, Central University of Punjab, 91-9674227643, +91-9041785779, firstname.lastname@example.org \| To find out the timing of different phase of Late Quaternary glaciations in the Schirmacher Oasis using cosmogenic radionuclide dating of Roche Moutonnées and boulders from glacial deposits / To constrain the maximum ice sheet extent in the Schirmacher Oasis during Last glacial Maxima (LGM) / To establish possible global synchronicity of the glacial events \| \| Ice dynamics and mass balance of Dalk glacier, Larsemann Hills \| A L Ramanatha, Jawaharlal Nehru University, 91 11 26704314, email@example.com \| Measurement of glacier mass balance, atmospheric parameters and its interaction with glacier surface based on energy balance model / To estimate glacier flux by monitoring ice flow, thickness and bed topography of Dalk glacier basin / To understand the processes of glacier dynamics of Dalk glacier. \| \| Validation of remote sensing and model based high-resolution ice- sheet andglacial landform science products for parts of Antarctic \| Praveen K Thakur, Indian Institute of Remote Sensing, 91-135-2524166, 91- 135, firstname.lastname@example.org \| Ground observations and validation to verify the remote sensing and model based science products of wind vectors, ice sheet features and glaciers and accumulation and ablation zones formed due to wind. \| \| Antarctica Glacier/ Sea Ice Motion tracking by using soft computing techniques \| Damodar Reddy Edla, National Institute of Technology, 08337084991, email@example.com \| The primary objective of this proposal is to investigate and analyse, both theoretically and experimentally to devise some interfacing tools to provide a vital study on the tracking of Antarctica glacier / sea-ice motion using soft computing techniques \| \| Relationship between the paragneiss and orthogneiss in the Larseman Hills, Antarctica \| Jay Gopal Ghosh, Geological Survey of India, (0129)-2417335, firstname.lastname@example.org \| To determine the antiquity of the paragneiss vis-à-vis orthogneiss in the Larsemann Hills, Antarctica / To relate and date granite magmatism with major deformation events / To assess whether or not two high-grade metamorphic events recorded from the area (i.e., at ~1 Ga and at ~530-500 Ma) occurred subsequent to the deposition of the sediments (paragneiss) or sediments were deposited in between these two high-grade events / To study the tectonic relationship between the paragneiss-orthogneiss association exposed in the Larsemann Hills with the Mesoproterozoic Archean rocks of the Vestfold Hills \| 10 10
Dewar College of Education and Human Services Valdosta State University Department of Library and Information Studies MLIS 7700 Research Methods Three Credit Hours Guiding Principles (DEPOSITS) (Adapted from the Georgia Systemic Teacher Education Program Accomplished Teacher Framework) Dispositions Principle: Productive dispositions positively affect learners, professional growth, and the learning environment. Equity Principle: All learners deserve high expectations and support. Process Principle: Learning is a lifelong process of development and growth. Ownership Principle: Professionals are committed to and assume responsibility for the future of their disciplines. Support Principle: Successful engagement in the process of learning requires collaboration among multiple partners. Impact Principle: Effective practice yields evidence of learning. Technology Principle: Technology facilitates teaching, learning, community-building, and resource acquisition. Standards Principle: Evidence-based standards systematically guide professional preparation and development. ALA's Core Competences of Librarianship (extracted from ALA's Core Competences of Librarianship 2009, available from http://www.ala.org/educationcareers/sites/ala.org.educationcareers/files/content/careers/corecomp /corecompetences/finalcorecompstat09.pdf) 1. Foundations of the Profession: The librarian understands the role of library and information professionals in the promotion of democratic principles and intellectual freedom (including freedom of expression, thought, and conscience), the legal framework within which libraries and information agencies operate; and the certification and/or licensure requirements of specialized areas of the profession. 2. Information Resources: The librarian understands the concepts and issues related to the lifecycle of recorded knowledge and information; the acquisition and disposition of resources; and the management and maintenance of various collections. 3. Organization of Recorded Knowledge and Information: The librarian understands and uses the principles involved in the organization, representation, and classification of recorded knowledge and information. 4. Technological Knowledge and Skills: The librarian understands and uses information, communication, assistive, and related technologies consistent with professional ethics and prevailing service norms and applications. 5. Reference and User Services: The librarian understands and uses the concepts, principles, and techniques of reference and user services to provide access to relevant and accurate recorded knowledge and information to individuals of all ages and groups. 6. Research: The librarian understands and uses the fundamentals of quantitative and qualitative research methods to evaluate and assess the actual and potential value of new research. 7. Professionalism. The librarian understands the necessity of continuing professional development of practitioners in libraries and other information agencies; the role of the library in the lifelong learning of patrons; and the application of learning theories, instructional methods, and achievement measures in libraries and other information agencies. 8. Administration and Management: The librarian understands the principles of planning and budgeting in libraries and other information agencies; the principles of effective personnel practices and human resource development; the assessment and evaluation of library services and their outcomes; and the issues relating to, and methods for, principled, transformational leadership. MLIS Program Objectives (PO) Graduates of the MLIS Program will: PO 1. Perform administrative, service, and technical functions of professional practice in libraries and information centers by demonstrating skills in information resources, reference and user services, administration and management, and organization of recorded knowledge and information. [ALA CORE COMPETENCES 1,2,3,5,8] PO 2. Use existing and emerging technologies to meet needs in libraries and information centers. [ALA CORE COMPETENCES 4] PO 3. Integrate relevant research to enhance their work in libraries and information centers. [ALA CORE COMPETENCES 6] PO 4. Demonstrate professionalism as librarians or information specialists. [ALA CORE COMPETENCES 7] INSTRUCTOR Nicole D. Alemanne, Ph. D. (she/her/hers) Odum Library Room 4600 Phone: 229-245-3742 E-mail: firstname.lastname@example.org Office Hours: Wednesday 6-8PM in Collaborate Ultra and by appointment. To join my online office hours, go to https://us.bbcollab.com/guest/6634afc32923468d9e4edbc5d0bcafd2 or call 571-392-7650 (the PIN is 216 252 0202). COURSE DESCRIPTION Prerequisite: MLIS 7000. An introduction to the various approaches to social science research and research methods. Students will perform small scale research projects and develop skills in the research uses of libraries and the needs of library patrons. TEXTBOOKS / RESOURCE MATERIALS Required Text * Babbie, E. R. (2016). The practice of social research (14th ed.). Cengage Learning. Additional resources (readings, videos, websites, etc.) will be available electronically via GALILEO databases, on Odum Library course reserve, or through the course BlazeVIEW website Please familiarize yourself with the VSU policy that prohibits the use of the Interlibrary Loan service for obtaining textbooks at https://www.valdosta.edu/colleges/education/master-of-library-and-informationscience/documents/MLISPolicyonILLRequestsforTextbooks.pdf. COURSE OBJECTIVES (Show alignment to MLIS Program Objectives (PO) for all MLIS courses). Upon completion of this course, the student will be able to meet these Student Learning Outcomes (SLOs): SLO 1. Recognize the inter-relationships of theory, research, and scientific inquiry (PO3). SLO 2. Discuss basic ethical issues associated with conducting research (PO3, PO4). SLO 3. Distinguish between qualitative and quantitative research methods (PO3). SLO 4. Identify the basic elements in the design of social research studies (PO3). SLO 5. Relate terminology, concepts, and processes of social research to studies conducted in the library and information science (LIS) field (PO3). COURSE ORGANIZATION This course is divided into weekly modules. Students may move through the material within the modules at their own pace, but each module must be completed by a certain point in the semester and assignments must be completed by specific dates. ASSIGNMENTS AND ACTIVITIES IN BRIEF The following list is a brief overview of the assessments used to measure learning outcomes included in this course. Complete instructions for each assignment along with grading criteria will be posted on the BlazeVIEW course site in advance of that assignment's due date. Weekly Discussions (SLOs 1-5) 14% Participate in weekly discussion activities. Respond to discussion prompts and read and reply to fellow students' posts. Quizzes (SLOs 1-5) 10% Complete 4 short quizzes designed to help you learn the course content. The quizzes can be attempted multiple times and the highest grade will be recorded. CITI Human Research Ethics Training (SLOs 2, 5) 8% You will complete an online tutorial on human subjects and institutional review board procedures. Submit the certificate of completion to the CITI Certificate Assignment folder. Quantitative Article Critique (SLOs 1, 2, 3, 4, 5) 10% In this short paper you will evaluate an article from a peer-reviewed library and information science journal that reports on a research project using a quantitative method. Qualitative Article Critique (SLOs 1, 2, 3, 4, 5) 10% In this short paper you will evaluate an article from a peer-reviewed library and information science journal that reports on a research project using a qualitative method. Library Accessibility Assessment Project (SLOs 3, 4, 5) 35% You will conduct a small research project to assess a library website. The project will be completed in four steps: * Site selection: You will select a library to assess this semester. * Developing a list of accessibility indicators: You will develop a list of library accessibility * indicators that you will look for in your observation. (10%) * Presentation: You will develop a short presentation from the findings of your assessment. (10%s) * Accessibility Assessment Project Report : You will report on the findings of your assessment. (15%) COURSE GRADES Students can earn a maximum of 100 points in this course. Course grades will be awarded as follows: 100 -90 points = A 89-80 points = B 79-70 points = C 69- 60 points = D Below 60 points = F Standards for MLIS core courses: No grade below a C will be credited toward a VSU graduate degree and students admitted in Fall 2016 or later must receive a grade of B or better in MLIS 7400 or MLIS 7440 to graduate. You must submit every assignment to be eligible to receive an A in this course. An overall grade of zero can be assigned to an entire paper or project if the instructor determines that its contents, or parts of its contents, were completed by a second party or copied into a paper or project from a source without proper citing. Noncompliance with rules on appropriate use of resources will result in zero credit for those parts of the assignment affected. If you are unsure about the parameters of an assignment, ask for clarification. ATTENDANCE POLICY This class meets fully online. All work for this class will be completed asynchronously, which means that although we will follow a schedule as outlined in your syllabus, the entire class is not scheduled to meet at any designated dates or times. All course meetings and activities will be conducted through BlazeVIEW, Valdosta State University's electronic course management system. Course content is delivered asynchronously according to the course calendar. It is the student's responsibility to follow the course calendar and participate via BlazeVIEW as indicated at the appropriate times. The instructor reserves the right to schedule real-time delivery of instruction using tools available inside BlazeVIEW. It is in the student's best interest to log into the BlazeVIEW course delivery system daily to check for announcements and e-mail messages related to the course. COMMUNICATION Please post course-related questions that may be relevant to the class on the Ask and Answer discussion board. Communication from Dr. Alemanne will be conducted through BlazeVIEW email, postings and replies in the Ask and Answer discussion board, and BlazeVIEW announcements. Check these areas at least several times per week (daily is recommended) as you are responsible for knowing all information communicated through these channels. VSU requires that all correspondence between the student and the instructor be conducted through official university channels. To that end, all e-mail correspondence related to this course is to be sent using the email client built into BlazeVIEW. Non-course email should be sent to the instructor's regular VSU email address. Students should always use their own VSU email addresses for all VSU related communications. If you are having difficulty learning the subject matter or keeping up with the reading or assignments please contact me immediately. I can't help if I don't know there's a problem, and handling problems earlier rather than later is always better. I do my best to answer email and discussion board questions within 24 hours. SUBMITTING ASSIGNMENTS All assignments must be submitted as instructed on the BlazeVIEW course website using Word formats (.doc or .docx suffixes only) or other formats designated by the instructor. The university's Information Technology (IT) department provides step-by-step guides on how to use VSU's e-mail system and other resources. The IT Help Desk is at http://www.valdosta.edu/administration/it/helpdesk/. Their telephone hotline is 229-245-4357. BlazeVIEW is powered by the Desire2Learn (D2L) Brightspace course learning system. D2L provides 24/7 support 365 days a year. To contact D2L, go to https://D2LHelp.view.usg.edu or call the hotline at 855-772-0423. LATE WORK Assignments due dates are posted in the the course BlazeVIEW site. Late submissions will not be accepted or graded. However, if you are having trouble completing an assignment on time, contact me before the due date so that we can discuss a possible extension. I will not grade or give credit for discussion activity completed after the due date/time. Completely skipping an assignment is not acceptable in graduate school. To be eligible to receive an A in this course requires completing every assignment and submitting within the specified deadlines. All course work is due inside BlazeVIEW on the date and time indicated on the course calendar (based on the BlazeVIEW clock). Technology problems are not an acceptable excuse for submitting work late unless BlazeVIEW is down at the time the work is due. PROFESSIONALISM The Department of Library and Information Studies expects that MLIS students will pursue their academic endeavors and conduct themselves in a professional and ethical manner. All work that a student presents to satisfy course requirements should represent his or her own efforts, including appropriate use and acknowledgement of external sources. The student will be timely and complete with their assignments and other engagements. The student will communicate in a professional manner in both speech and writing. The student will maintain a professional attitude, being respectful to others and their viewpoints, and seek to maintain objectivity. The student will exercise an awareness of the pervasiveness of the online environment and strive to maintain a professional online presence. DEWAR COLLEGE OF EDUCATION & HUMAN SERVICES POLICY ON PLAGIARISM http://www.valdosta.edu/colleges/education/deans-office/policy-statement-of-plagiarism.php TITLE IX STATEMENT Valdosta State University (VSU) is committed to creating a diverse and inclusive work and learning environment free from discrimination and harassment. VSU is dedicated to creating an environment where all campus community members feel valued, respected, and included. Valdosta State University prohibits discrimination on the basis of race, color, ethnicity, national origin, sex (including pregnancy status, sexual harassment and sexual violence), sexual orientation, gender identity, religion, age, national origin, disability, genetic information, or veteran status, in the University's programs and activities as required by applicable laws and regulations such as Title IX. The individual designated with responsibility for coordination of compliance efforts and receipt of inquiries concerning nondiscrimination policies is the University's Title IX Coordinator: Maggie Viverette, Director of the Office of Social Equity, email@example.com, 1208 N. Patterson St., Valdosta State University, Valdosta, Georgia 31608, 229-333-5463. ACCESSIBILITY STATEMENT Valdosta State University is an equal opportunity educational institution. It is not the intent of the institution to discriminate against any applicant for admission or any student or employee of the institution based on the age, sex, race, religion, color, national origin, disability, or sexual orientation of the individual. It is the intent of the institution to comply with the Civil Rights Act of 1964 and subsequent Executive Orders as well as Title IX, Equal Pay Act of 1963, Vietnam Era Veterans Readjustment Assistance Act of 1974, Age Discrimination in Employment Act of 1967, and the Rehabilitation Act of 1973. Students with disabilities who are experiencing barriers in this course may contact the Access Office for assistance in determining and implementing reasonable accommodations. The Access Office is located in Farber Hall. The phone numbers are 229-245-2498 (V), 229-375-5871 (VP) and 229-219-1348 (TTY). For more information, please visit http://www.valdosta.edu/access or email: firstname.lastname@example.org. CORONAVIRUS RESOURCES FOR STUDENTS VSU cares about student success both on and offline, and a variety of resources are available to help you both academically and personally during the Fall 2020 semester. One of the best resources is VSU's Coronavirus FAQ page located at https://www.valdosta.edu/healthadvisory/faq.php. Information is available there about a variety of topics in VSU's return-to-campus plan. A website devoted to the health and wellness of VSU students can be seen at https://www.valdosta.edu/administration/finance-admin/campus-wellness/student-resources.php. You can find information, including how you can access the Brightspace Pulse app that will allow you to view BlazeVIEW on your smartphone at https://www.d2l.com/products/pulse/. In BlazeVIEW, all VSU students have a course with guides for how to use tools in BlazeVIEW; search for "VSU BlazeVIEW Student Tutorial 2020." STUDENT OPINION OF INSTRUCTION At the end of the term, all students will be expected to complete an online Student Opinion of Instruction survey (SOI) that will be available through SmartEvals. Students will receive an email notification through their VSU email address when the SOI is available (generally at least one week before the end of the term). SOI responses are anonymous to instructors/administrators, and they will be able to access results only after they have submitted final grades. Before final grade submission, instructors will not be able to see any responses, but they can see the percentage of students who have or have not completed their SOIs. While instructors will not be able to see student names, an automated system will send a reminder email to those who have yet to complete their SOIs. Students who withdraw or drop a course will also be sent invitations to complete the Dropped Course Survey. Complete information about the SOIs, including how to access the survey, is available on the SOI Procedures webpage (https://www.valdosta.edu/academics/academic-affairs/sois/).
Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes CHAPTER 19 PREPARATIONS OF CEREALS, FLOUR, STARCH OR MILK; BAKERS' WARES Notes 1. This chapter does not cover: (a) Except in the case of stuffed products of heading 1902, food preparations containing more than 20 percent by weight of sausage, meat, meat offal, blood, fish or crustaceans, molluscs or other aquatic invertebrates, or any combination thereof (chapter 16); (b) Biscuits or other articles made from flour or from starch, specially prepared for use in animal feeding (heading 2309); or (c) Medicaments or other products of chapter 30. 2. For the purposes of heading 1901: (a) The term "groats" means cereal groats of chapter 11; (b) The terms "flour" and "meal" mean : (1) Cereal flour and meal of chapter 11, and (2) Flour, meal and powder of vegetable origin of any chapter, other than flour, meal or powder of dried vegetables (heading 0712), of potatoes (heading 1105) or of dried leguminous vegetables (heading 1106). 3. Heading 1904 does not cover preparations containing more than 6 percent by weight of cocoa calculated on a totally defatted basis or completely coated with chocolate or other food preparations containing cocoa of heading 1806 (heading 1806). 4. For the purposes of heading 1904 the expression "otherwise prepared" means prepared or processed to an extent beyond that provided for in the headings of or notes to chapter 10 or 11. Additional U.S. Notes 1. For the purposes of this chapter, the term "mixes and doughs described in additional U.S. note 1 to chapter 19" means articles containing over 10 percent by dry weight of sugars derived from sugar cane or sugar beets, whether or not mixed with other ingredients (except (a) articles not principally of crystalline structure or not in dry amorphous form, the foregoing that are prepared for marketing to the ultimate consumer in the identical form and package in which imported, (b) blended syrups containing sugars derived from sugar cane or sugar beets, capable of being further processed or mixed with similar or other ingredients, and not prepared for marketing to the ultimate consumer in the identical form and package in which imported, or (c) articles containing over 65 percent by dry weight of sugars derived from sugar cane or sugar beets, whether or not mixed with other ingredients, capable of being further processed or mixed with similar or other ingredients, and not prepared for marketing to the ultimate consumer in the identical form and package in which imported). 2. The aggregate quantity of infant formula containing oligosaccharides, approved by the Food and Drug Administration, the foregoing goods entered under subheadings 1901.10.11 and 1901.10.33 in any calendar year shall not exceed 100 metric tons (articles the product of Mexico shall not be permitted or included under the aforementioned quantitative limitation and no such articles shall be classifiable therein). 3. The aggregate quantity of mixes and doughs described in additional U.S. note 1 to chapter 19, the foregoing goods entered under subheadings 1901.20.30 and 1901.20.65 during the 12-month period from October 1 in any year to the following September 30, inclusive, shall not exceed 5,398 metric tons (articles the product of Mexico shall not be permitted or included under this quantitative limitation and no such articles shall be classifiable therein). Statistical Note 1. The unit of quantity "kg cmsc" (kilograms cows' milk solids content) includes all cows' milk components other than water. Compiler's Note The provisions of subchapter II of chapter 99 (Miscellaneous Tariff Bills or MTBs), the provisions of the Generalized System of Preferences (GSP) found in General Note 4 and most product exclusions from the additional tariffs on products of China in subchapter IV 19-1 19-2 Compiler's Note (con.) III of chapter 99 expired on December 31, 2020. However, no endnotes or footnotes relating to these provisions have been deleted as of the issue date of this edition. Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Heading/ Subheading Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Stat. Suf- 2 1 1 fix Quantity Special General 1901 Malt extract; food preparations of flour, groats, meal, starch or Rates of Duty Rates of Duty IV 19-3 19-4 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or 1 1 2 IV 19-5 19-6 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or 1 1 2 IV 19-7 19-8 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Unit Rates of Duty Rates of Duty Article Description of Quantity Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or 1 1 2 IV 19-9 19-10 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or 1 1 2 IV 19-11 19-12 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or 1 1 2 IV 19-13 19-14 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or 1 1 2 IV 19-15 19-16 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or 1 1 2 IV 19-17 19-18 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Stat. Suf- 2 1 1 fix Quantity Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Rates of Duty Rates of Duty IV 19-19 19-20 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1901 (con.) Malt extract; food preparations of flour, groats, meal, starch or Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1902 Pasta, whether or not cooked or stuffed (with meat or other 1 1 2 IV 19-21 19-22 Heading/ Subheading Stat. Suf- fix Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Quantity Rates of Duty Rates of Duty Special General 1902 (con.) Pasta, whether or not cooked or stuffed (with meat or other Heading/ Subheading Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes Unit Article Description of Stat. Suf- 2 1 1 fix Quantity Special General 1905 Bread, pastry, cakes, biscuits and other bakers' wares, whether Rates of Duty Rates of Duty IV 19-23 Endnotes--page 19 - 24 1/ See 9903.88.15. 2/ See subheadings 9904.19.01-9904.19.10. 3/ See subheadings 9904.04.50-9904.05.01. 4/ See subheadings 9904.17.49-9904.17.65. 5/ See subheadings 9904.17.17-9904.17.48. 6/ See subheadings 9904.19.11-9904.19.19. 7/ See subheadings 9904.06.29-9904.06.37. 8/ See 9903.88.03. 9/ See 9903.88.15 and 9903.89.37. 10/ See 9909.88.15 and 9903.89.43. Harmonized Tariff Schedule of the United States Basic Revision 8 (2021) Annotated for Statistical Reporting Purposes
PUBLIC HEALTH ORDER MCPH2020-04 PROTECT OUR NEIGHBORS September 17, 2020 (Updated October 2, 2020) PURPOSE This Public Health Order is being issued to continue to limit the health impacts of COVID-19. This Order implements measures to continue limited reopening of industries and businesses in Mesa County while maintaining sustainable levels of social distancing. This Order continues social distancing requirements for all residents. This Order is effective within the entirety of Mesa County, including all cities and towns within the County. BACKGROUND The Governor of Colorado issued several Executive Orders to address the current COVID-19 pandemic since March 11, 2020, including an Executive Order declaring a disaster emergency due to the presence of Coronavirus Disease 2019 in Colorado. On March 25, 2020, the Governor of Colorado issued Executive Order D 2020 017, which ordered Coloradans to Stay at Home due to the presence of COVID-19 in the state. This order was issued in response to the existence of hundreds of confirmed and presumptive cases of Coronavirus disease 2019 (COVID-19) and related deaths across the State of Colorado. Further, there is substantial evidence of community spread of COVID-19 throughout the State. On March 25, 2020, the Colorado Department of Public Health & Environment issued Public Health Order 20-24 based on the Governor's Executive Order D 2020 017. On April 9th, the Colorado Department of Public Health and Environment updated Public Health Order 20-24 adding clarification to the essential services and social distancing definitions of the Stay-atHome requirements. On June 30, 2020 the Colorado Department of Public Health & Environment issued an updated version of the Safer at Home Public Health Order 20-28 based on the Governor's Executive Order D 2020 044 allowing many Coloradans to return to work while maintaining a sustainable level of social distancing. On May 22, 2020 the Colorado Department of Public Health approved a Mesa County variance to portions of Executive Order D 2020 044 and Public Health Order 20-28 (See Attachment A). Mesa County demonstrated proof of two conditions, very low case counts of COVID 19 and 14 consecutive days of decline of infection of COVID-19 in the county. The Safer-at-Home Mesa County - Phase 2 plan is approved by Mesa County Board of Public Health, Mesa County Board of County Commissioners, and is fully supported by all four hospitals. On September 8, 2020 the Colorado Department of Public Health and Environment certified Mesa County to move to the Protect our Neighbor phase indicating low disease transmission level locally, robust public health capacity for testing, case investigation, contract tracing, and outbreak response, and hospital ability to handle a surge in demand should one occur. LEGAL AUTHORITY This Order is adopted pursuant to the legal authority set forth in sections 25-1-506 and 25-1508, 25-1-509, Colorado Revised Statutes as well as all other applicable laws, rules, regulations, orders and declarations. Under this authority, the Mesa County Public Health Director has the duty to investigate and control the causes of an epidemic or communicable diseases and conditions affecting public health; to establish, maintain, and enforce isolation and quarantine; to exercise physical control over the property and over the persons of the people within the territorial limits of Mesa County; and to prohibit the gatherings of people to protect the public health; all as the Public Health Director may find necessary for the protection of the public health. Immediate issuance of this Order is deemed reasonable and necessary under the existing circumstances and necessary for the preservation of the public health, safety and welfare. PROTECT OUR NEIGHBORS The Protect Our Neighbors phase allows Mesa County to continue to open gradually. All businesses, establishments, and activities can allow occupancy at 50% of normal capacity. Indoor occupancy is capped at 500 people in cases where 50% of normal capacity is more than 500 people. Capacity restrictions are allowed to increase beyond the 50 percent base by 5 percent for every four-weeks that Mesa County is in compliance with Protect Our Neighbors metrics. Mesa County must be in compliance with eight specific metrics in order to increase capacity. If Mesa County falls out of compliance with any one of the metrics, a local containment plan will be implemented and compliance for the particular metric must be re-established within threeweeks. If Mesa County does not re-establish compliance by the end of the three-week period, Mesa County Public Health must meet with the Colorado Department of Public Health and Environment (CDPHE) to determine if additional state and/or local action is needed. CDPHE may revoke Mesa County's Protect Our Neighbors certification if compliance cannot be reestablished. Mesa County Public Health will closely monitor the specific measures and notify the community when it is appropriate to increase capacity. Capacity should not be increased automatically every four-weeks. Mesa County residents, businesses, establishments, and activities are subject to the requirements of this Order. Previous variances and Public Health orders are obsolete. I. GENERAL GUIDANCE FOR MESA COUNTY RESIDENTS * Maintain at least 6 feet of social distance. * Adults 65 years and older and high-risk populations should limit public interactions and stay at home as much as possible. * Use cloth face coverings over the nose and mouth for interactions where physical distancing is not possible or when entering and moving throughout indoor public places. * Stay home if experiencing symptoms. * Wash hands frequently with soap and water. If soap and water are not readily available, use an alcohol-based hand sanitizer with at least 60% alcohol. * Frequently clean and disinfect all non-porous, high-touch surfaces. * Avoid potlucks and sharing of food and/or tools and utensils. All tools, utensils, or other shared equipment used before, during, or after the gathering should be thoroughly cleaned and sanitized. * Gathering with people from different households and/or with people from outside the community pose a greater risk. * Avoid unnecessary physical contact (including hugs, handshakes, or fist bumps). * Anyone with coronavirus symptoms, or who interact regularly with the public, or who were recently in a crowd where social distancing was not possible should get tested. * Follow isolation and quarantine guidelines after getting tested or if required to stay home due to illness. II. REQUIREMENTS FOR RETAIL ESTABLISHMENTS, RESTAURANTS, BARS, OFFICES, PERSONAL SERVICE ESTABLISHMENTS, PLACES OF WORSHIP, GYMS/FITNESS FACILITIES, ENTERTAINMENT ESTABLISHMENTS, ORGANIZED SPORTS/RECREATION EVENTS AND ACTIVITIES, INDOOR SPECIAL EVENTS, AND SPONSORED/HOSTED GATHERINGS Capacity Limits * Limit the number of occupants to 50% of the facility's normal capacity or 500 people, whichever is less. * Groups must be limited to 10 or fewer people in the same party. Organized seating must not allow for more than 10 people from a single party. Groups must be at least 6 feet apart from each other. Two separate parties are not allowed to be seated together. * Organize spaces to promote at least six feet of distance between individuals and/or groups. Face Coverings * Individuals 11 years and older must wear a face covering over the nose and mouth while entering/exiting or moving throughout a public indoor space. * Children ages 2 and under should NOT wear a face covering. * Face coverings can be removed while exercising indoors, while seated at an establishment or place of worship, and while alone in an office or cubicle space as long as safe distancing (at least 6 feet) practices are being applied. * Face coverings must be worn whenever at least 6 feet of distance between groups or individuals cannot be maintained (both indoors and outdoors). * Face coverings over the nose and mouth must be worn while using public transportation services including ride-share services. * Face coverings must be worn while singing in public settings whenever a safe distance (at least 6 feet) cannot be maintained. * Face coverings must be worn while engaging in group sports whenever a safe distance (at least 6 feet) cannot be maintained. * Face coverings can be removed if an individual is delivering a speech to an audience. The mask should be put back on as soon as the individual is able. * Face coverings can be removed in meeting rooms or offices if a safe distance (at least 6 feet) can be maintained at all times. * Employees, contracted workers, and volunteers whose duties include close contact with members of the public, or who regularly work within 6 feet of others must wear a nonmedical cloth face covering over the nose and mouth. * All other employees who are not in contact with the public, or do not regularly work within 6 feet of others, are encouraged to wear a non-medical cloth face covering over the nose and mouth while working, except where doing so would compromise the individual's health, or their ability to do their job. Signage * Post signs at entrances requiring visitors to wear cloth face coverings to enter/exit, and to exclude themselves if they are experiencing symptoms of any illness. * Post signs in key places providing directions to hand washing/sanitizing locations. Cleaning and Hygiene * Provide sufficient handwashing facilities and hand sanitizer stations (There should be one handwashing facility or hand sanitizer station for every 25 people expected to be in a facility at any given time). * High-touch surfaces and shared equipment should be cleaned often. Symptoms and Illness * Everyone should monitor themselves for illness, and stay home if experiencing any of the following: dry cough, shortness of breath, difficulty breathing, fever, or a recent loss of taste or smell. * Anyone with COVID-like symptoms is encouraged to get tested by their healthcare provider or at a free community testing site. III. SPECIAL CONSIDERATIONS * Prevent groups or lines of individuals from forming by staggering visitors with reservation or appointment systems. Manage unexpected groups and/or lines by marking floors or using barrier tape to help people maintain six feet of distance between each other. * Use physical barriers like plexiglass in close-contact settings such as cashier stations, serving stations, or dining booths (barriers between booths must be at least 66 inches tall). * Utilize touchless payment methods, such as smartphone apps, when possible. * Ensure that reasonable accommodations can be made for people 65 years and older and those with underlying medical conditions (e.g. seating assistance, special hours, online orders). * Outdoor spaces such as patios or other expanded areas may be included for restaurants and on-premises retail liquor establishments (as granted by any municipality). Limit use to 50% of capacity. * To prevent sharing of equipment, self-service options are not allowed. * Last call for alcohol sales in restaurants and in on-premises retail liquor establishments can be no later than midnight. * Bars, nightclubs, and concerts must only allow seated activities, no dancing allowed. It is recommended that you use the dance floor as part of the overall seating space while staying at 50% of normal capacity or 500 people indoors, whichever is less. * Performers at indoor and outdoor venues must remain at least 25 feet from attendees. Instrumental performances in which there is no forced exhalation must be a minimum of 6 feet from patrons, but 25 feet is preferred. * Visitation for skilled nursing facilities, assisted living residences and intermediate care facilities must be in accordance with Public Health Order 20-20. IV. RECREATION * To the extent possible, spectators at recreation and sports activities are discouraged. If spectators are present, separate individuals and parties of 10 people or less by at least six feet. * When two or more groups are present in an outdoor space there must be no less than 20 feet between groups. * Organized youth and adult recreational sports teams should practice in small groups of the same players as much as possible. Consider scheduling competitions 2 weeks apart in case a team needs to quarantine because of potential COVID exposure. * Regarding recreational youth sports, coaches, staff, officials, and anyone else on the sidelines, including players, must wear masks. Masks are encouraged for players on the field or court but it is recognized they may be challenging to wear, especially for younger players. Parents and other spectators must wear masks while moving about. Their masks can be removed when seated at least 6 feet from others. See CDC guidance for Youth Sports considerations. This order does not replace any specific rules by a school, school district, or governing body for school sports. * Golf carts, go-karts, paddle boards, etc. must contain no more than one person, unless both riders are members of the same party. * Maintain physical distances in outdoor settings (6 feet while hiking, 15 feet while running or biking). * Avoid traveling outside of your county or local community. V. OUTDOOR EVENTS Mesa County Public Health developed specific guidance for three types of events: community races, events with limited participant movement, and events with high participant movement. Event organizers or coordinators must review the guidance, develop a plan and submit it to Mesa County Public Health at least two weeks prior to the day of the event. Event organizers must submit the plan to email@example.com DURATION Mesa County Public Health Order 2020-04 can be replaced or supplemented by other orders at any time. The decision to continue to lift restrictions, stay with the current plan, or go back to Stay at Home will be made by Mesa County Board of Public Health based on the rate of positive COVID-19 cases and hospitalizations in Mesa County. BY ORDER OF Jeffrey G. Kuhr, PhD Director of Public Health Mesa County, Colorado Approved by the Mesa County Public Board of Public Health on September 16, 2020, at 1 p.m. MDT
Reverse Engineering of the (guessed) operation of the 6702 chip to enable use of the VICE emulator in 6809 mode with the Waterloo Language Software and removal of the protection from the Waterloo Language Disks to enable users of a real SuperPET (but with a faulty 6702) to continue to enjoy their machine. Background The Commodore SuperPET (also known as the SP9000) contains two microprocessor subsystems: a Mostek 6502 and a Motorola 6809. A common memory and peripheral subsystem is shared between the two microprocessors. Because the two microprocessors utilise different instruction sets, two sets of ROMS are required – one set for the 6502 and the other set for the 6809. An external switch allows the user to select which of the two microprocessors take control of the machine at any given time. The 6502 ROMS make the system behave in a manner similar to a 'normal' 80 characterwide screen PET. When the SuperPET is switched into 6809 mode – the ROMS only contain a basic 'bare' operating system (enough to load software from an attached floppy disk unit). The disk-resident software languages (microAPL, microBASIC, microFORTRAN, microPASCAL, microCOBOL and a 6809 Assembler) were developed by the University of Waterloo in Ontario, Canada. The SuperPET contains an integrated circuit identified as a "6702". No known information is available on this device. It has been assumed that this 6702 device is an early form of software protection as the Waterloo software fails to operate correctly should this device fail or be removed (early SuperPETs had the 6702 integrated circuit mounted on a small daughter board). VICE (the VersItile Commodore Emulator) is a software project to enable Commodore software to execute on more modern hardware and software platforms (e.g. a modern PC). Currently, VICE only supports the Commodore range of products that utilise the 6502 microprocessor. This includes the SuperPET – but only in 6502 microprocessor mode. Developers have been working to incorporate a 6809 microprocessor emulator within VICE with the intention of enabling the use of the Waterloo Language disks. Once the VICE 6809 emulator was accurate enough to execute the resident ROM software, problems immediately became evident as soon as the first software product was loaded from disk and executed. The software promptly addressed the non-existent 6702 device within the emulator and crashed. This was not unexpected behaviour! The problem now was to identify what the 6702 integrated circuit actually did without any prior knowledge of the device's operation. Please note that this document does not condone the illegal copying and use of unlicensed software. This text has been written to enable legitimate owners and users of SuperPET software to continue to use and enjoy their computer even if the 6702 device becomes defective and cannot be replaced. Sleuthing A 'dummy' 6702 function was created within the software emulator to trap and display all attempts by the executing 6809 software to access the peripheral addresses occupied by the 6702 device. This enabled the bank number and the memory address of the instruction causing the memory address to be displayed (along with the data it was writing if it was a write access). A read access would always return a fixed, pre-determined number (0 in my case). Notice the 'crash' at the end as the Waterloo editor detects a non-responsive or faulty 6702 and forces a subroutine to be executed within the ROM called 'suicide' – you can work out for yourself what that subroutine does from its name! From the list of addresses, it was then possible to use a 6809 debugger to disassemble the subroutine code used to access the 6702. For those that are interested, there follows a disassembly of the 6702 validation subroutine from bank number 1 of the Waterloo microEditor starting from memory address $9852. Notice that the above disassembly (obtained from the Waterloo microMonitor) does not exactly match the code below. The disassembly below was obtained from the VICE 6809 debugger – which decodes the instruction byte sequence slightly more correctly than the Waterloo microMonitor (see the instruction at address $98A6 for an example). Figure 4 - Sample disassembly of the Waterloo microEditor 6702 validation subroutine. By running each of the Waterloo language packages in turn it was noted that each of the software subroutines that addressed the 6702 device appeared to be identical – albeit starting at a different bank number and/or memory address. Disassembly proved that the code within the subroutines were, in fact, identical. Attempt #1 The first attempt to disable the 6702 checking consisted of identifying the start address of the validation subroutine in each of the Waterloo languages, determining the value in the 6809 processor registers that should have been returned to the caller if a successful 6702 byte sequence had been detected, and patching the code to return these values. This solution failed to work! It was later identified that the 6702 subroutine code is 'check summed' by another embedded subroutine elsewhere. Any attempt to patch the 6702 validation subroutine without making a corresponding change to the checksum algorithm is doomed to failure. I know this now! Attempt #2 It was identified that all accesses to the 6702 validation subroutine went through the ROM code 'bankswi' (bank switch) subroutine. This subroutine maps in the correct bank of memory into the address window from $9000 through $9FFF and performs a JSR (Jump to Sub-Routine) to the specified address in the bank switched memory. A return from the called subroutine then re-enters the ROM 'bankswi' subroutine once again which restores the bank of memory in force prior to the call and returns back to the original caller. The 6809 emulator's JSR instruction was then modified to detect the bank number and target address for the call and to * NOT * invoke the subroutine if it matched a table of specific addresses (previously identified in #1 above). Under this circumstance, the 6809 processor's A and B registers and flags would be set to the correct state to 'fake' a 'good' return from the 6702 validation subroutine without affecting the actual byte sequence of the subroutine itself in memory. This prevents the (currently unidentified) checksum subroutine from detecting an intrusion! This solution almost worked! Further investigation of the ROM 'banksw' subroutine identified that it was also possible for this code to determine that the caller and the target subroutine were in the same memory bank as each other and that no bank switch was therefore necessary. Under these circumstances a JMP (JuMP) was performed rather than a JSR. This necessitated that a similar modification was undertaken to the 6809 emulator's JMP instruction. It was considered that this modification to the 6809 emulator could result in 'false positives' being identified (i.e. legitimate code from one language calling a valid subroutine in the same bank and at the same address as a completely different language). This 'false positive' could have resulted in an incorrectly functioning language processor as the target subroutine would not have been executed, and the 6809 processor registers potentially corrupted! To overcome this potential pitfall, the 6809 emulator was further modified to contain additional checks thus minimising the probability of this occurring (e.g. that the JSR or JMP instruction was occurring at a known address within the ROM 'bankswi' subroutine and that the target address contains the correct first few bytes of the expected 6702 validation subroutine). The bank numbers and addresses for the second release of the Waterloo Language software are given in the table below: Figure 5 - Table of 6702 validation subroutine addresses for the various Waterloo languages. \| Waterloo Language \| Software Version \| Date \| Bank Number \| Subroutine \| \|---\|---\|---\|---\|---\| \| \| \| \| \| Address \| \| \| \| \| \| (Hex) \| \| EDIT \| 1.1 \| 1982 \| 1 \| \| \| PASCAL \| 1.1 \| 1982 \| 5 \| \| \| BASIC \| 1.1 \| 1981 \| 5 \| \| \| FORTRAN \| 1.1 \| 1981 \| 0 \| \| \| APL \| 1.1 \| 1982 \| 6 \| \| \| COBOL \| 1.0 \| 1981 \| 0 \| \| \| DEVELOPMENT ASSEMBLER \| 1.1 \| 1981 \| 5 \| \| \| DEVELOPMENT LINKER \| 1.0 \| 1981 \| 8 \| \| \| DEVELOPMENT EDITOR \| 1.1 \| 1982 \| 2 \| \| This resulted in a correctly functioning suite of Waterloo Language software – but at the expense of hard-coding the 6809 emulator with a list of addresses specific to the software being executed. These modifications were only valid for the second release of the Waterloo Language Disks. The first release of the Waterloo Language disks contained different addresses (as the software build is slightly different) and the solution would not therefore work. The 6809 emulator was subsequently updated to include the addresses for the first release – but at the expense of further hand-crafting! Whilst this solution works in a software emulator environment (like VICE) – it is neither elegant nor will it help existing SuperPET owners where their 6702 integrated circuit has become defective. Attempt #3 By analysing a disassembly of the 6702 validation code (determined from the above table of bank numbers and addresses), the following course of action was identified: - Ignore all data writes to the 6702 and concentrate on the data reads from the device only. - Simplify the 6702 validation subroutine as far as possible by removal of what appeared to be superfluous code. This identified that the subroutine accessed 15 data bytes in total from the 6702 to perform one complete successful pass of the 6702 validation algorithm. - Code the resulting simplified algorithm up in 'C' and use a random number generator (a Monte Carlo method) to 'guess' at the 15 data bytes that may have been returned from the 6702. Run the validation algorithm to identify if the guessed solution is the correct one or not. Keep repeating until a successful guess has been identified and print the result out. Keep iterating to find any further valid solutions. This course of action identified a number of 15-byte sequences that would cause the existing 6702 validation code to 'think' that it was communicating with a valid 6702! Figure 6 - Sample of successful Monte Carlo hits for the 6702 data table values. The hand-crafted hacks to the JMP and JSR instructions of the 6809 emulator were immediately removed and code inserted into the 'dummy' function for the 6702 emulator to return one of the previously identified byte sequences (the first hit if my memory serves me correctly). This necessitated expanding the 15-byte data table to include additional bytes used to return 'dummy' values to 6809 instructions that did not appear to have any bearing on the logic (e.g. the ASL instruction where a value read from the 6702 was modified by the 6809 instruction and fed back to the 6702 – but the data actually read from or written to the 6702 was actually discarded by the validation subroutine). All instruction data writes to the dummy 6702 function are ignored by the emulator (e.g. the STA and STB instructions identified in the disassembly). Figure 7 - Snippet of code from the 6809 emulator's dummy 6702 function showing the lookup table. This also resulted in a fully working 6809/6702 emulator without any hand-crafted internal hacks. This solution could be extended into hardware by implementing the look-up table in an EPROM and arranging for a counter to cycle through the look-up table for each read from the 6702 device. Writes to the 6702 device should be ignored. The counter should be reset to zero on power-up. Postscript: The first analysis of a real 6702 indicates that it does not appear to work this way and that the writes to the 6702 do (in fact) alter the returned read values. To be continued… Attempt #4 Interest has been shown in removing the 6702 protection totally from the Waterloo Language disks. Some success has previously been obtained with the microEditor – but this has not been extended to the other Waterloo language tools. As we already know the address of the start of the 6702 validation subroutine for each language module it was possible to patch the subroutine with instruction bytes to return with the expected result in the 6809 CPU registers. It was also already known that this solution did not work as expected due to the presence of a checksum subroutine. The checksum subroutine was hunted down in the microEditor and the checksum of the existing 6702 validation subroutine determined by hand by inspection of the disassembly. The checksum of the required patches to the 6702 validation subroutine was then determined and the modification to the checksum subroutine identified to make the resulting check pass. Figure 8 - Sample disassembly of the Waterloo microEditor checksum subroutine. The astute reader will identify that the operand address located at instruction $9B92 of this disassembly (#$9852) matches with the start address of the microEditor 6702 validation subroutine disassembly presented in Figure 4; and that the immediate operand value located at instruction $9B9B of this disassembly (#$39) matches with the hexadecimal coding of the RTS instruction at the end of the disassembly of the subroutine presented in Figure 4. Fortunately, the code for both the 6702 validation subroutine and the checksum subroutine appears to be identical across all of the Waterloo Language software. The initial byte sequences of interest were identified in the D64 disk images and checked further by hand to ensure that they corresponded to the actual subroutines of interest. A check was also made to ensure that the identified checksum subroutine actually pointed to the address of an already identified 6702 validation subroutine! Each of the identified disk addresses were converted into track and sector numbers and byte offsets within the sector. The d64Editor.exe utility was then used to first verify that the identified track and sector combinations did actually belong to the expected utility (another cross-check) and to perform the patch. Each patch was performed in a logical manner: - Make sure that the Waterloo Language tool worked as expected with the 6809 emulator without the patches. Ensure that the emulator reported 6702 accesses. - Make the patch to the selected 6702 validation subroutine first. - Make sure that the Waterloo Language tool does not access the 6702 when run under the 6809 emulator. It should be possible to load pre-existing application software from diskresident files and to run them but not to edit the source code. This appears to be the effect of hacking the 6702 validation subroutine (i.e. the checksum subroutine fails with the result is that the in-built editor is designed to annoyingly misbehave). Note that microBASIC will just fail as it does not contain the same editor as the other language tools. - Make the patch to the selected checksum subroutine second. - Make sure that the Waterloo Language tool still does not access the 6702 when run under the 6809 emulator – but that the language tool and in-built editor now is fully functional. - Repeat for all of the Waterloo Language Tools. The identified patches required are presented on the last few pages of this document. Test out all languages using disk-resident test programs. I have configured my SuperPET emulator to run the first Waterloo Software Disk Image (#1) from disk8 and the second Waterloo Software Disk Image (#2) from disk9/0. This should only affect the testing of the Waterloo 6809 Development package (the linker in particular). Please do not consider these test programs to be: 1. Good programming practice! 2. 100% tests of the Waterloo languages! However they have proved useful to me as example programs that are known to work and do highlight admirably the situation when the 6702 is missing or not working as intended. I pass them on to you to help you test out all the Waterloo language components irrespective of whether you are familiar with the computer language concerned or not. Testing EDIT: Invoke the 'e<RETURN>' option from the initial ROM start-up menu. The editor should start and you will be prompted to press the <RETURN> key. Invoke the command "g hd.txt<RETURN>". Ten lines of "Hello Dave" should be loaded and displayed. You should be able to move around within the displayed text and insert/delete/modify text lines as you wish. Enter the command "bye<RETURN>" to quit from the editor and return to the ROM menu. Don't forget that you need to be in "command mode" for the editor to take notice of the bye command! Testing PASCAL: Invoke the 'p<RETURN>' option from the initial ROM start-up menu. The PASCAL language should start and you will be prompted to press the <RETURN> key. Invoke the command "g hd.pas<RETURN>". This should load a test PASCAL source program from the disk into the in-built editor. Invoke the command "run<RETURN>". Ten lines of "Hello Dave" should be displayed. Press <RETURN> to return to the in-built editor. Enter the command "bye<RETURN>" to quit from PASCAL and return to the ROM menu. Testing BASIC: Invoke the 'b<RETURN>' option from the initial ROM start-up menu. The BASIC language should start. Invoke the command "old "hd.bas"<RETURN>". This should load a test BASIC source program from the disk. Invoke the command "run<RETURN>". Ten lines of "Hello Dave" should be displayed. Enter the command "bye<RETURN>" to quit from BASIC and return to the ROM menu. Testing FORTRAN: Invoke the 'f<RETURN>' option from the initial ROM start-up menu. The FORTRAN language should start and you will be prompted to press the <RETURN> key. Invoke the command "g hd.for<RETURN>". This should load a test FORTRAN source program from the disk into the in-built editor. Invoke the command "run<RETURN>". Ten lines of "Hello Dave" should be displayed. Press <RETURN> to return to the in-built editor. Enter the command "bye<RETURN>" to quit from FORTRAN and return to the ROM menu. Testing APL: Invoke the 'disk9/0.a<RETURN>' command from the initial ROM start-up menu. The APL language should start. Invoke the command ")LOAD HD.APL<RETURN>". This should load a test APL workspace from the disk into the in-built editor. Invoke the function "HD<RETURN>". Ten lines of "HELLO DAVE" should be displayed. Enter the command ")OFF<RETURN>" to quit from APL and return to the ROM menu. Note that in order to use the APL language you will find it convenient to have an APL keyboard. If you do not have such a keyboard, you will find that the keys on your keyboard have been magically re-assigned! This means that the ')' character is no longer above the '9' on the Commodore Business keyboard – but has moved to be SHIFT '@' (I think)… If you press SHIFT '9' by mistake – you will get the 'ˇ' character instead. APL uses a special keyboard and a special character generator ROM – meaning that there are multiple opportunities for a software emulator to get it wrong! I have specifically written my SuperPET emulator to cope with APL – but I can't vouch for the accuracy of others. Testing COBOL: Invoke the 'disk9/0.COBOL<RETURN>' command from the initial ROM start-up menu. Note that there is no short-cut displayed in the menu for COBOL and that the word COBOL must be entered in full and in upper-case letters (unlike the other language processors where a single lower-case letter short-cut will suffice). The COBOL language should start and you will be prompted to press the <RETURN> key. Invoke the command "g hd.cbl<RETURN>". This should load a test COBOL source program from the disk into the in-built editor. Invoke the command "run<RETURN>". Ten lines of "Hello Dave" should be displayed. Press <RETURN> to return to the in-built editor. Enter the command "bye<RETURN>" to quit from COBOL and return to the ROM menu. Testing DEVELOPMENT: Invoke the 'disk9/0.d<RETURN>' command from the initial ROM start-up menu. This will start the development software and will present you with a small submenu of choices: Invoking the development assembler: Invoke the 6809 assembler by entering the command "a<RETURN>". The assembler should start and prompt you to enter a filename. This is the filename of a 6809 source code program. Enter the filename as "hd<RETURN>". The assembler should start to assemble the source code program (located in text file hd.asm) and produce an object file (in hd.b09) and a listing file (in hd.lst). When the assembly process is complete, press <RETURN> to exit the assembler and return to the development submenu. Invoking the development editor: Invoke the development text editor by entering the command "e<RETURN>". The editor should start and you will be prompted to press the <RETURN> key. Invoke the command "g hd.lst<RETURN>". The assembler listing file (generated in the step above) should be loaded and displayed. You should be able to move around within the displayed text as you wish. Enter the command "bye<RETURN>" to exit the editor and return to the development submenu. Invoking the development linker: Invoke the 6809 linker by entering the command "l<RETURN>". The linker should start and prompt you to enter a filename. This is the filename of a linker control file. Enter the filename as "hd<RETURN>". The linker should start to link the object code program (located in object file hd.b09) with the entry points to the ROM subroutines (located in library file disk9/0.watlib.exp) to produce an executable file (in hd.mod) and a map file (in hd.map). When the linking process is complete, press <RETURN> to exit the linker and return to the development submenu. Invoking the development monitor: Invoke the debug monitor by entering the command "m<RETURN>". The prompt when in the monitor is the '>' character. This character means that the debug monitor is waiting for a new command. Load the executable module created by the linker by entering the command: "l hd.mod<RETURN>" in response to the monitor's '>' prompt. Execute the executable module just loaded at the pre-defined start address by entering the command: "g 1000<RETURN>" in response to the monitor's '>' prompt. Ten lines of "Hello Dave" should be displayed; followed by the word "interrupt"; followed by a dump of the 6809 CPU registers. The monitor should respond with the usual '>' prompt. Enter the command "q<RETURN>" to quit from the monitor and return to the development submenu. Enter the command "q<RETURN>" to quit from the development submenu and return to the ROM menu. This completes the test of the Waterloo Language Software. \| \| Language \| \| Version \| \| Date \| \|---\|---\|---\|---\|---\|---\| \| BASIC \| \| V1.1 \| \| 1981 \| \| \| EDIT \| \| V1.1 \| \| 1982 \| \| \| FORTRAN \| \| V1.1 \| \| 1981 \| \| \| PASCAL \| \| V1.1 \| \| 1982 \| \| \| \| Language \| \| Version \| \| Date \| \|---\|---\|---\|---\|---\|---\| \| APL \| \| V1.1 \| \| 1982 \| \| \| COBOL \| \| V1.0 \| \| 1981 \| \| \| DEVELOPMENT (ASSEMBLER) \| \| V1.1 \| \| 1981 \| \| \| DEVELOPMENT (LINKER) \| \| V1.0 \| \| 1981 \| \| \| DEVELOPMENT (EDITOR) \| \| V1.1 \| \| 1982 \| \| \| \| Disk offset in \| Track number (decimal). \| Sector number (decimal). \| Byte offset within sector (hex). \| Language. \| Bank number when loaded into memory. \| \|---\|---\|---\|---\|---\|---\|---\| \| \| bytes (hex) from \| \| \| \| \| \| \| \| start of disk \| \| \| \| \| \| \| \| image. \| \| \| \| \| \| \| 86D7 \| \| T07 \| S08 \| D7 \| PASCAL \| 5 \| \| 113AE \| \| T14 \| S02 \| AE \| BASIC \| 5 \| \| 18D63 \| \| T20 \| S02 \| 63 \| EDIT \| 1 \| \| 1A820 \| \| T21 \| S10 \| 20 \| FORTRAN \| 0 \| \| Disk offset in bytes (hex) from start of disk image). \| Track number (decimal). \| Sector number (decimal). \| Byte offset within sector (hex). \| Language. \| Bank number when loaded into memory. \| Address (hex) when loaded into memory. \| \|---\|---\|---\|---\|---\|---\|---\| \| 8E89 \| T07 \| S16 \| 89 \| PASCAL \| 5 \| ???? \| \| FD1B \| T13 \| S01 \| 1B \| BASIC \| 5 \| ???? \| \| 198C9 \| T20 \| S13 \| C9 \| EDIT \| 1 \| 9BB2 \| \| 1A7AA \| T21 \| S09 \| AA \| FORTRAN \| 0 \| ???? \| \| \| Disk offset in \| Track number (decimal). \| Sector number (decimal). \| Byte offset within sector (hex). \| Language. \| Bank number when loaded into memory. \| \|---\|---\|---\|---\|---\|---\|---\| \| \| bytes (hex) from \| \| \| \| \| \| \| \| start of disk \| \| \| \| \| \| \| \| image. \| \| \| \| \| \| \| 72C \| \| T01 \| S07 \| 2C \| DEVELOPMENT (ASSEMBLER) \| 5 \| \| 5024 \| \| T04 \| S17 \| 24 \| DEVELOPMENT (EDITOR) \| 2 \| \| E884 \| \| T12 \| S01 \| 84 \| APL \| 6 \| \| 1794C \| \| T19 \| S01 \| 4C \| COBOL \| 0 \| \| 2845E \| \| T33 \| S12 \| 5E \| DEVELOPMENT (LINKER) \| 8 \| \| Disk offset in bytes (hex) from start of disk image). \| Track number (decimal). \| Sector number (decimal). \| Byte offset within sector (hex). \| Language. \| Bank number when loaded into memory. \| Address (hex) when loaded into memory. \| \|---\|---\|---\|---\|---\|---\|---\| \| 318A \| T03 \| S07 \| 8A \| DEVELOPMENT (EDITOR) \| 2 \| ???? \| \| E879 \| T12 \| S01 \| 79 \| APL \| 6 \| ???? \| \| 17941 \| T19 \| S01 \| 41 \| COBOL \| 0 \| ???? \|
RFP # 0123-2 Request for Proposals for SAP Consulting Services Date: January 17, 2023 Proposals must be submitted February 16, 2023 by 2:00 PM via the provided Dropbox link: https://www.dropbox.com/request/IdairOlNYza2Z5vp8UI8 Procurement Department Queens Borough Public Library Deadline for Questions January 31, 2023 by 3PM TABLE OF CONTENTS The Queens Borough Public Library (the "Library"), hereby solicits proposals from experienced firms and individuals (hereinafter referred to as "Proposers") in response to this Request for Proposals ("RFP") to provide SAP consulting services to the Library. The Library intends to award multiple contracts for this engagement and to award work on a competitive basis among awarded firms. I. CALENDAR OF EVENTS Award/ and Notification Issuance of RFP January 17,, 2023 Deadline for Questions January 31, 2023 Proposal Due Date February 16, 2023 by 2PM Interviews, if performed To be determined to all Proposers At the conclusion of the RFP process. II. CONTACT INFORMATION The Library's designated contacts for this RFP, as of the date hereof, are Cristina Polychronopoulos, Procurement Coordinator, Xavier Cerda, Assistant Director of Procurement and William Funk, Vice President of Procurement. Questions regarding this RFP should be sent to: email@example.com on or before January 31, 2023. Responses to any questions received will be posted on the Library's web site at https://www.queenslibrary.org/aboutus/procurement-opportunities as they are received. No other communication of questions and answers will be made. Proposals are to be uploaded to DropBox using this link: https://www.dropbox.com/request/IdairOlNYza2Z5vp8UI8 The Library will not provide reimbursement for any costs or expenses incurred in connection with this RFP, including the costs of preparing and submitting a response, providing any additional information or attending an interview. All material that is submitted in response to this RFP will become the sole property of the Library. The Library expressly reserves the right to utilize any and all ideas submitted in the proposals received unless covered by legal patent or proprietary rights, any of which must be clearly indicated in the proposal submitted in response to the RFP. Interviews of the top-qualifying Proposers may be conducted at the Library's discretion on a specific day or days to be disclosed later in the RFP process. All top-qualifying Proposers will be notified of the exact interview date(s) in advance. III. CONTRACT PERIOD The term of the awarded contract will be for a (3) three year period with (2) two one-year options to renew at the Library's discretion. The Library may terminate the contract at any time, in its sole discretion, upon written notice. IV. BACKGROUND The Library is an independent not-for-profit corporation. It is one of the largest and most innovative libraries in the world and one of the three New York City library systems. The Library consists of a Central Library and other facilities located throughout the County of Queens in the State of New York. For a complete listing of current facilities, please visit the Library's webpage: https://www.queenslibrary.org/about-us/locations/?view=all The Library serves 2.4 million Queens residents, with an extensive collection of books, reference materials, periodicals, government documents, video and audiocassettes, records, compact discs, DVDs, and photographs and maps. The Library has a computerized integrated circulation and catalog system, state-of-the-art computer equipment in all community libraries, and the ability to provide information through free Internet access and facsimile machines to the public. The Library offers a wide variety of reading, writing, and literacy programs, and functions as an integral part of the Queens community. The Library has an ongoing need for SAP consulting services and it requires an experienced and qualified firms that can support and supply an enterprise support solution for the Library's SAP software system. V. SCOPE OF WORK The Library's Information Technology Department is seeking an experienced and qualified SAP consulting firm that has access to skilled SAP resources. The selected firm(s) will assist with a range of projects and support initiatives as may be directed and required by the Library. The Library intends to award multiple contracts for this engagement and to award work on a competitive basis among awarded firms. The Successful Proposer(s) will be required to communicate knowledge transfer to Library's Information Technology Department as may be directed and will provide, without limitations: 1. Testing, evaluating, documenting knowledge, by assigned consultant. 2. Consultant(s) will report to Queens Public Library Management results of knowledge transfer. 3. All consultants must provide daily status reports of work performed. The Library may require firms to provide SAP software, software maintenance and third party software and software maintenance that can interface with SAP, and also provide related consulting services. Responding firms must have consultants in the areas listed below that meet the specified qualifications. In addition, firms should be able to provide consulting and support services in the areas described below within twenty-four (24) hours of the Library requesting services. Project Lead The Proposer's Project Lead should possess the experience and qualifications of SAP upgrade projects with prior experience in ECC 6.0, S/4 Hana, SAP BW 3.x and BI/BO 7.x, preferably in not-for-profit or public sector/local government sectors and: 1. Provide overall team management and provide day-to-day coordination of firm's staff and act as a liaison to Library IT staff; 2. Be accountable for all services and deliverables provided; 3. Coordinate with the Library Project Lead to insure on-time delivery of a functioning system that meets the Library's requirements; 4. Provide the Library with reports, status updates, issue and problem reports, and other project management documentation as determined by the Library Project Lead; 5. Assist Library Project Lead in identifying and assessing potential risks to the project as well suggesting actions to avoid, mitigate or manage those risks; 6. Assist in the installation and initial testing; 7. Possess a minimum of 5 years of experience in management, design and development of complex SAP R/3 Projects with experience in all consulting area of SAP ECC , S/4 Hana, SAP BW 3.x and BI/BO 7.x; and 8. Should have Not-for-profit experience. SAP Financial Accounting & Control The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Grants Management The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience preferred. SAP Materials Management The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Supplier Relationship Management SAP SRM (Online Purchasing and Contract Lifecycle Management) The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with SAP SRM and ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Public Sector Funds Management The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Accounts Payable / Accounts Receivable The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Personnel Management / Organizational Management / Benefits The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation. Overall 23 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP U.S. Payroll / Tax Reporter The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Compensation Management The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Successfactor (e-Recruitment) The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP Successfactor (e-Recruitment) implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Basis / Security The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Technical knowledge of Basis & a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP GRC Consultant The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Technical knowledge of GRC and Security & a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Technical (ABAP/Netweaver/Fiori/Personas) The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Technical knowledge of ABAP and Netweaver with ABAP, Fiori and Personas experience is desired, a professional with SAP R/3 implementation experience. Overall 23 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; 4. Should have Not-for-profit experience. SAP BPC (Budgeting) The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Functional and Technical a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP FrontEnd Developer (BI) / Enterprise Portals The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Technical knowledge of BI frontend, BEx reporter with ABAP and Portals, a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. SAP Business Information Warehouse The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Technical knowledge of BI installation and Configuration, a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; Publishing BI Reports to SAP Portal eliminating the need for BEx reporter 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; 4. Should have Not-for-profit experience. SAP NetWeaver (Java) Developer The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Proven Technical knowledge of NetWeaver with Java, a professional with SAP R/3 implementation experience. Overall 2-3 years plus industry and/or consulting; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards preferred; and 4. Should have Not-for-profit experience. Business Analyst The consultant should possess the experience and qualifications for this subject area and specifically have experience and qualifications in the following areas: 1. Ability to review, analyze and evaluate business system and system requirements. Formulate solutions which address library strategies and needs; 2. Prepare solution options, identify risks, and perform required financial analysis; 3. Document detailed description of user needs, program functions, and steps required to develop or modify computer programs; and 4. Not-for-profit experience required. SAP Archiving (OpenText/IXOS) The consultant should possess the expertise and qualifications for this subject area and specifically have experience and qualifications in following areas: 1. Ability to review, analyze and evaluate business system and system requirement. Formulate solutions which address library strategies and needs; 2. Be responsible for all services and deliverables provided; 3. Experience with ECC 6 onwards, OpenText, IXOS preferred; and 4. Should have Not-for-profit experience. VI. THRESHHOLD CRITERIA Only Proposals submitted from Proposers who meet the following minimum threshold requirements, will be considered by the Library: 1. The firm has worked with public sector and or not-for-profit entities within the last three (3) years. 2. The firm must have a minimum of at least (3) three years of experience in providing SAP consulting within the last (5) five years. 3. The Firm must be an established business located within the region outlined in the United States-Mexico-Canada Agreement, https://ustr.gov/trade-agreements/free-tradeagreements/united-states-mexico-canada-agreement . VII. PROPOSAL REQUIREMENTS The following is a list of the information that must be provided in the Proposal. A proposal that does not include all of the information requested below may be deemed non-responsive and subject to rejection. Proposals to respond to all areas listed below, in the order listed and to include a response to sections A. B. and C. Proposers shall indicate in their proposals what information, if any, is proprietary and confidential. Proposers are hereby advised that the Library is subject to the New York State Freedom of Information Law ("FOIL"). Material marked "Confidential and Proprietary" will be treated as such to the extent consistent with the obligations under FOIL, other applicable law, regulation or legal process. Management and Qualifications In setting forth its qualifications, each firm shall provide the information requested below, as appropriate. Responses to this Section should be limited to thirty-two (32) single-sided pages in total (not including resumes), and shall be prepared on 8½ x 11-inch paper using at least 12-point type with standard margins no less than 1". Cover Letter (2-page limit) A cover letter, which shall be considered an integral part of the submission, shall be bound with the submission and signed by the individual authorized to bind the firm contractually. In signing the cover letter, the firm agrees to be bound by the terms of this solicitation and its submission hereunder for no less than one year. The cover letter shall contain a statement that the firm's work for the Library will not create any conflict of interest. If your firm believes that a conflict may arise, the nature of the conflict should be described – see question 14. A. General Information (30 page limit) 1. Provide the Proposers legal name, address, tax ID number and state of incorporation for the contracting entity submitting the submission. 2. Provide detailed information on how your firm meets the requirements of RFP section VI, Threshold Requirements: i. The firm has worked with public sector and or not-for-profit entities within the last three (3) years. ii. The firm must have a minimum of at least (3) three years of experience in providing SAP consulting within the last (5) five years. iii. The Firm must be an established business located within the region outlined in the United States-Mexico-Canada Agreement, https://ustr.gov/trade-agreements/freetrade-agreements/united-states-mexico-canada-agreement . 3. Provide copies of your two (2) most recent audited financial statements. If audited financial statements are not available, please explain why and identify how the Library can assess the financial condition of your firm. If audited financial statements are not available, provide alternative documentation subject to the Library's sole discretion to accept. Please note that the required financial information requested in this section does not count towards the General Information section page limit. 4. Provide a brief history of the company and successful experience related to the SAP services requested in this RFP. Include information regarding any similar past or current SAP projects in which the Proposer is involved in, with specific references to work for public sector, notfor-profit corporations, library systems or other like-entities. All work performed by Selected Candidates under this Contract must be performed within region outlined in the United StatesMexico-Canada Agreement. 5. Provide the name, title, address, telephone and e-mail address of the individual the Library should contact with respect to your submission. 6. Describe how you would staff the engagement. To the maximum extent possible identify all of the individuals who will be involved in fulfilling the obligations and satisfying the Scope of Services under this RFP. When identifying those individuals, include the primary role and responsibilities of each. Please provide resumes for these individuals including years of employment in your organization and total years of experience. Also, include the physical location at which each team member will work on tasks related to this RFP. Detail the assignments that these individuals performed work for your firm. 7. Describe your understanding of the Library. 8. Identify any additional services not covered in the Scope of Service sections that your firm believes may be of particular value to the Library. Please describe why you believe these services to be relevant. 9. Identify any services listed in the Scope of Services your firm is not able to perform and explain why you are not able to perform these services. 10. Provide a minimum of three (3) recent SAP clients as references from clients of similar size to that of the Library and this Scope of Services (a "Reference Client"). Provide the Reference Client's name, contact person, title, address, and telephone number. Please provide details on the work performed for each Reference Client, including, the length of any contract, project costs, size of project, completion date and explanation of how the work performed is similar to the work required by the Library, as well as any other pertinent information relevant to representing your qualifications to perform the work. 11. Explain how you will safeguard and keep confidential the data and information provided by the Library to you. 12. Identify any sub-contractors that you plan to utilize as part of your proposed team. For each sub-contractor proposed please have them complete Form #3, Vendor Responsibility Questionnaire. 13. Discuss any past or present civil or criminal legal investigations, litigation or regulatory action involving your firm or any of its employees and any proposed subcontractor that could affect your role or ability to serve as a consultant to the Library. If none, include a statement that there are no past or present civil or criminal legal investigations, or pertinent litigation and or regulatory actions that could impact your firm's ability to serve in the required capacity. 14. Identify the nature of any potential conflict of interest your firm or any proposed subcontractors might have in providing consulting services under this solicitation to the Library. (a) Discuss fully any conflicts of interest, actual or potential, which might arise in connection with your firm's involvement with the Library. If your firm believes that a conflict of interest might arise, please describe how such conflict would be resolved. (b) State whether your firm represents any party that is or may be adverse to the Library. You must certify in writing that your representation of the Library will not create any conflict of interest involving that firm. B. Cost Proposal (No page limit) Using the RFP #0123-2 Pricing Sheet, Proposer to provide its Cost proposal. NOTE: Failure to provide cost proposal as requested below will be grounds for determining a proposal to be nonresponsive. Using the table format provided below and on the separate excel Pricing Sheet, state the rates at which the services would be provided to the Library by your firm and your firm's sub-contractors for the first two (2) years of the contract. Rates provided will apply to the firm and any potential sub-contractor. Note that administrative support costs are to be included in the proposed hourly billing rates for managers and professionals. On-Site Hourly Remote Hourly Team Member Rate Inclusive of Rate Inclusive of \| Project Lead \| \|---\| \| SAP Financial Accounting & Control \| \| SAP Grants Management \| \| SAP Materials Management \| \| SAP Supplier Relationship Management SAP SRM (Contract Lifecycle Management) \| \| SAP Public Sector Funds Management \| \| SAP Accounts Payable / Accounts Receivable \| \| SAP Personnel Management / Organizational Management / Benefits \| \| SAP U.S. Payroll / Tax Reporter \| \| SAP Compensation Management \| \| SAP Successfactor (e-Recruitment) \| \| SAP Basis / Security \| \| SAP GRC Consultant \| \| SAP Technical (ABAP/NetWeaver) \| \| SAP BPC (Budgeting) \| \| SAP Front End Developer (BI) / Enterprise Portals \| \| SAP Business Information Warehouse \| \| SAP NetWeaver (Java) Developer \| \| Business Analyst \| NOTE: Failure to provide your cost proposal as requested in item VII.B.1.(i) above will be grounds for determining a proposal to be non-responsive. 1. An affirmation that normal billing rate increases will not apply to the Library and that the rates proposed for this engagement shall remain fixed and firm for the first two (2) years of the contract term, as well as an affirmation that any rate increase for years three through five (3 – 5) of the contract shall not exceed the lesser of five percent (5%) or the percent annual January increase in the Consumer Price Index for New York, Northern New Jersey, and Long Island, as set forth by the U.S. Department of Labor, Bureau of Labor Statistics for each of the preceding contract years (i.e., the CPI for years 2, 3, and 4). The Proposer that is awarded a contract under this RFP shall have the sole responsibility to submit to the Library a service rate adjustment request thirty (30) days prior to the effective date of the price increase, providing a copy of the index and other supporting documentation necessary to substantiate the request; 2. A statement regarding any special considerations with respect to billing or payment of fees and expenses that your firm offers thereby differentiating you from other Proposers and making your firm's services more cost effective for the Library; and 3. A statement as to whether the Library is getting the lowest rates charged by your firm. If not, please explain why. C. Other (No page limit) 1. Firms must either provide a statement accepting the terms and conditions in the Library's General Terms and Conditions, Attachment 2, or must alternately identify any exceptions taken to the terms and conditions. Any supplemental contract language that a Proposer requires is considered by the Library as an exception and must be included in a Proposer's proposal. If exceptions are taken, the firm must clearly identify the language that is being taken exception to and provide the suggested alternate language for each such exception. The nature and extent of exceptions, if any, taken by the firm to the Library's terms and conditions will be a factor considered in evaluating submissions. Firms that demonstrate a willingness to accept the Library's terms and conditions will be given more favorable consideration by the Library. At any time during the RFP process, the Library, in its sole discretion, may reject a proposal that has exceptions to the Library's terms and conditions. 2. Firms shall indicate in their submissions what information, if any, is proprietary and confidential. Firms are hereby advised that the Library is subject to the New York State Freedom of Information Law ("FOIL"). Material marked "Confidential and Proprietary" will be treated as such to the extent consistent with the Library's obligations under FOIL or any other applicable laws, rules or regulations, and will not otherwise be disclosed by the Library except as necessary for the evaluation of submissions. 3. Firms shall confirm that they will meet the insurance obligations. 4. Firms to complete all forms if Attachment 1 and Attachment 3- Local Law 34. VIII. EVALUATION AND SELECTION A. Evaluation Criteria A Selection Committee consisting of Library staff will evaluate the properly received proposals. This Selection Committee will make its recommendations to the Library for its determination as to its awards of a contract. For each scope of work, the Selection Committee will consider the following factors, though not necessarily listed in the order of importance, in considering submissions: 1. The firm's previous experience in providing the proposed services to not-for-profit corporations, library systems, and other similar clients. (25 points.) 2. The qualifications, expertise, prior experience, and availability of the proposed team assigned to the library, including expertise and experience pertinent to the services requested in the RFP. (30 points.) 3. Overall organization, completeness, and quality of proposal, including cohesiveness, conciseness, clarity of response, demonstrated understanding of the Library, and degree of acceptance of the Library's terms and conditions in the Library's Standard Consulting Agreement. (15 Points.) 4. The Library will assess cost proposals for firms that receive a passing evaluation for items 1 through 4 above. Such determination of a passing evaluation is at the sole discretion of the Library. (Although proposed cost will be given significant consideration in the selection process, the Library reserves the right to negotiate lower fees with any firm selected, or a different fee structure than proposed.) (30 Points.) 5. Interviews, if conducted. (To occur at the sole discretion of the Library- 30 Points.) B. Selection Process The Selection Committee will evaluate all responsive proposals based on the criteria enumerated in Section VII, as referenced above. The Selection Committee may afford firms the opportunity to clarify submissions for assuring a full understanding of their responsiveness to the solicitation. At the sole discretion of the Library, the Selection Committee may conduct interviews of Proposers found to be most qualified to perform the services required. Proposers selected for interviews will be notified in writing regarding the interview date(s). At the conclusion of the evaluation process, the Library anticipates awarding a contract to a responsive and responsible firm whose proposal is determined to be the highest quality and most advantageous to the Library, taking into consideration the overall quality of the submission as measured against all the evaluation criteria above. Prior to the award of any contract(s) under this solicitation, the Library will conduct a vendor responsibility assessment and may require eligible firms to answer questions and provide additional information to supplement the information provided in the proposal, Vendor Responsibility Questionnaire or other materials to assist the Library in making such a determination. In its sole judgement, the Library may reject a proposal because of a vendor responsibility determination or other determination by the Library. The Library reserves the right to reconsider other proposals. Proposers will be notified in writing once a proposal has been selected. IX. PROPOSAL INSTRUCTIONS AND CONDITIONS A. Limitations 1. This RFP does not commit the Library to award a contract, pay any costs incurred in the preparation of a response, or procure or contract for services of any kind whatsoever. The Library reserves the right, in its sole discretion, to accept or reject any or all proposals as a result of the RFP, to negotiate with any or all firms considered, and to cancel this RFP in whole or in part. The Library reserves the right to request additional information from all Proposers. 2. Proposers may be requested to clarify the contents of their proposals. Other than to provide such information as may be required by the Library, no Proposer will be allowed to alter its proposal or to add new information after the RFP due date. 3. Proposers may be required to participate in negotiations and to submit any price, technical or other revisions to its proposal which may result from such negotiations. 4. Proposers must fully execute the forms contained in Attachment 1 and Attachment 3 and submit them with its proposal. 5. All material submitted in response to this RFP will become the sole property of the Library. B. Proposal Submission 1. Proposals must include a cover letter indicating the mailing address of the office from which the proposal was submitted, the name and email address of the individual who will represent the firm as the primary contact person for the proposal, and the telephone and facsimile numbers of the primary contact person. 2. Non-responsive proposals include, but are not limited to, those that: (a) Do not conform to the RFP requirements and instructions; (b) Are conditional; or (c) Contain a material omission(s). The Library may waive minor informalities or irregularities in a proposal that are merely a matter of form and not substance, the correction of which would not be prejudicial to other proposers. C. Administrative Specifications 1. All proposals must be irrevocable for one year and signed by an authorized officer of the firm. 2. The successful Proposer(s) must agree to provide the Library with audit access on request during the term of the contract and for 7 years thereafter. 3. The Library at any time and in its sole discretion, may terminate its contract with the successful proposer(s), or postpone or delay all or any part of the contract, upon written notice. 4. All Proposers are obligated to update any changes in their proposals prior to the proposal due date. D. Addendum, Errors and Omissions 1. If a Proposer discovers any ambiguity, conflict, discrepancy, omission or other error in this RFP, it shall immediately notify William Funk, in writing, of such error and request clarification or modification to the document. 2. Should the Library find it necessary to modify this RFP, a notice of that modification will be made by way of an addendum that will be posted to the RFP website. 3. If a Proposer fails to notify the Library of a known error or an error that reasonably should have been known prior to the final filing date for submission, the Proposer shall assume the risk. If awarded the contract, the Proposer(s) shall not be entitled to additional compensation or time by reason of the error or its late correction. E. Debriefing of Unsuccessful Proposers Upon written request via email to William Funk, a debriefing will be scheduled with an unsuccessful Proposer after the Library has provided notice of its selection of one or more successful Proposer(s). Discussion will be limited to a critique of the proposal submitted by the Proposer requesting the debriefing. Comparisons between proposals or evaluations of the other proposals will not be discussed. Debriefings may be conducted in person or on the telephone, at the Library's discretion.
Student/Resident Checklist and Orientation Manual 2 Patient Rights and Responsibilities Patients have the right to exercise their rights, including: [x] Participating in the development and implementation of the plan of care and ability to request or refuse treatment [x] Involving family or guardian in care [x] Designating a decision maker [x] Excluding any or all family members from participating in care decisions Patients have the right to their confidential information, including: [x] Access to their clinical records within a reasonable time frame [x] Receipt of an itemized bill within a timely manner for all services provided Patients have the right to: [x] Receive respect for their values, philosophy, religion and cultural practices [x] Participate in ethical questions including conflict resolution [x] Comfort and dignity [x] Care at end of life, including palliative care [x] Availability of pastoral care, spiritual services and cultural practices Patients have the right to security, personal privacy and a safe setting, including: [x] Freedom from any form of abuse or harassment [x] Freedom from restraint and seclusion, unless clinically necessary [x] A treatment environment that is physically and emotionally secure [x] Information regarding the identity and professional status of individuals providing service [x] Information regarding the proper identity of the physician or practitioner primarily responsible for the care [x] Access to protective services Patients have the right to be informed of their rights and responsibilities, including: [x] Complaint resolution initiated through any staff member [x] A grievance procedure to resolve complaints and conflict in a timely manner [x] Information regarding how to report any concerns or complaints regarding abuse, neglect or personal property issues directly to the Facility Licensing Division of the Department of Public Health and Human Services, the Joint Commission and/or the Rehabilitation Accreditation Commission (CARF) [x] Other concerns may also be referred to the Mountain Pacific Quality Health Foundation (the Professional Review Community Medical Center) [x] Information received in a form, manner and language that can be understood [x] Translation or interpretation services Community Medical Center embraces the standards of conduct that include ethical business and professional behavior. Patients and families have the responsibility to communicate information: [x] That is accurate and complete about present complaints, past illnesses, hospitalizations, medications and other matters relating to health [x] That tells the physician or nurse of any change in how the patient feels [x] That reports unexpected changes in the patient's condition Participates in treatment decisions: [x] Discuss care options with the physician or nurse [x] Ask the physician or nurse what to expect regarding care [x] Work with the physician or nurse to develop a plan of care [x] Request or refuse treatment [x] Tell the physician or nurse of any requests regarding care [x] Ask for pain medication when pain first begins [x] Help the physician and nurses measure pain [x] Tell the doctor or nurse if pain is not relieved [x] Follow the treatment plan developed with the practitioner [x] Accept the consequences of not following the treatment plan or instructions Respect Community Medical Center [x] Adhere to Community Medical Center rules and regulations concerning patient care and conduct, as well as personal belongings [x] Act with consideration and respect for other patients personnel and property [x] Adhere to tobacco-free campus policies [x] Satisfy financial obligations Communicate [x] Ask who is taking care of the patient, if they do not identify themselves [x] Express concerns [x] Inform staff of ways we can improve patient care or our service [x] Inform staff of ways we can make family or visitors feel more welcomed 3 HIPAA HIPAA is the United States Health Insurance Portability and Accountability Act of 1996. There are two sections to this Act. HIPAA Title I deals with protecting health insurance coverage for people who lose or change jobs. HIPAA Title II includes an administrative simplification section, which deals with the standardization of healthcare-related information systems. In the information technology industries, this section is what most people mean when they refer to HIPAA. HIPAA establishes mandatory regulations that require extensive changes to the way that health providers conduct business. HIPAA seeks to establish standardized mechanisms for electronic data interchange, security, and confidentiality of all healthcare-related data. The Act mandates the following: 1. Standardized formats for all patient health, administrative, and financial data. 2. Unique identifiers (ID numbers) for each healthcare entity, including individuals, employers, health plans and health care providers. 3. Security mechanisms to ensure confidentiality and data integrity for any information that identifies an individual. (SearchDataManagement.com) HIPAA PRIVACY, SECURITY and CONFIDENTIALITY AGREEMENT Information about patients, student/residents or volunteer staff of any of the above Community Medical Center must be treated as confidential. It is the obligation of every student/resident, volunteer, professional staff member or student/resident to maintain confidentiality. Confidential information includes (but is not limited to) patient records and patient-related information, including financial information; student/resident records; any information of a private or sensitive nature; or any information whose unauthorized or indiscreet disclosure could prove harmful to a patient, student/resident, or volunteer at the healthcare Community Medical Center. We require that all interns, student/residents, specified professional staff, volunteers and student/residents must sign the following confidentiality agreement: 1. The student/resident will protect the confidentiality of patient and hospital information. 2. The student/resident will not release unauthorized information to any source. 3. The student/resident will not access or attempt to access information other than that information which the student/resident has authorized access and a need to know in order to complete their job on any given day. 4. The student/resident will not disclose their computer security code to anyone. 5. The student/resident will not use another person's computer security code. 6. The student/resident will not fax patient information outside of the hospital unless required for patient care; required by a third-party payer for ongoing certification of payment of a hospitalized patient; required for placement of patient. No information will be faxed without a Confidentiality Statement. 7. The student/resident will not leave patient information or other information of a confidential nature on answering machines. 8. The student/resident will report breaches of confidentiality to their clinical instructor and the department Director or Supervisor. The student/resident understands that failure to report breaches in confidentiality is an ethical violation and subjects them to disciplinary action. 9. The student/resident understands that any violation on their part of the above conditions could result in disciplinary action to include termination of the student/resident's experience. Conflict of Interest Statement A conflict of interest exists anytime your loyalty to Community Medical Center is, or appears to be compromised by an outside interest. Appearances count; for example, if you are a close friend of a vendor who appears to be receiving favorable treatment or pricing, such an appearance of bias may be construed as a conflict of interest, causing other people to lose confidence in Community Medical Center. You may not engage in any personal business or professional activity, nor hold any direct or indirect financial interest, which conflicts with the duties and responsibilities of your position within Community Medical Center. .If you have any doubt, treat the situation as if a conflict exists until you have properly disclosed and resolved the potential conflict through your supervisor, quality or risk management or other appropriate channels. You have a duty to disclose actual or potential conflicts. Risk Assessment Occurrence/Event Reporting Occurrence/event reports are used to report any incidents, accidents and lost or damaged property, occurring at Community Medical Center involving patients, student/residents, or visitors. An occurrence/event is an event not consistent with the routine operation of the hospital or the care of the patient. The occurrence report must be an accurate account of details and completed promptly. This serves two purposes: 1. To inform the Administration and the appropriate Safety Committee(s) of the occurrence, provide statistical data which can be used to prevent recurrence of occurrences, and to take corrective actions to improve the quality of care. 2. To alert the Quality and Risk Management Department of the occurrence so that further investigation and/or intervention can be pursued, when appropriate. If you should need to report any incidents, accidents, lost or damaged property, please contact the Quality/Risk Management Department. Injuries It is understood and agreed by all parties that in the event of an injury sustained by a student/resident when performing services under the terms of the affiliation agreement, student/residents will be provided first aid and/or emergency care at the expense of the student/resident. It is recommended that all student/residents have personal health insurance. The student/resident's health insurance shall be billed for any necessary treatment and any balance will be billed to the student/resident. The responsibility for follow-up care if needed remain with the student/resident. Background Check Information In connection with a student/resident's application for participation in clinical rotations at hereafter referred to as COMMUNITY MEDICAL CENTER, and as a condition of acceptance at these COMMUNITY MEDICAL CENTER for such rotations, the student/resident voluntarily agrees that Community Medical Center, its agents or designees, may request and obtain one or more background checks regarding that student/resident; including criminal background check, exclusion database lists and national sexual offender lists; and the information received from the background checks may be shared between these COMMUNITY MEDICAL CENTER and the student/resident's school. Community Medical Center can also receive and use for its purposes any such background checks from the school. All costs associated with the background checks; including criminal background check, exclusion database lists and national sexual offender lists; is the responsibility of the student/resident and/or school. This includes background checks that may need to be run more than once. All student/residents must fill out the Criminal Background Sexual Offender Check Release Authorization. The background check; including criminal background check, exclusion database list; national sexual offender registry search (https://www.nsopw.gov/ or https://doj.egovmt.com/choprs/) must cover the past 7 years, and must be run within 6 months prior to the start of the student/resident's program that will require clinical rotations. An initial background check prior to the first year in a program is required and then that background check information can be used until the end of the program, if the student/resident returns in the same program for sequential years. Telephone facsimile (fax), photographic or digital (pdf) copy of the background release and background check information executed will be as valid as the original. It is the school's responsibility to verify an approved background check is on file for each student/resident with the school. In some cases the student/resident may submit a background check directly to the clinical site. In this case the background checks will be approved or denied by the clinical site. The student/resident must report to Community Medical Center designee, within 48 hours, any criminal charges, arrests or indictments that occur at any time during rotations at these COMMUNITY MEDICAL CENTER. The student/resident must also report any criminal charges, arrests or indictments that have occurred after the background check that was cleared to begin the student/resident's training experience. Failure to do so could lead to termination of the relationship. The reported information may be shared with the student/resident's school. Drug Screen It is the schools responsibility to verify that the student/resident has successfully completed 10 panel drug screen is no more than 30 days from the start of the school year and verify that the results show no discrepancies. 4 Cultural Competence and Diversity in the Workplace All human beings have more in common than they have differences. That is no more apparent than when a person is being treated in a medical setting. Health care is more than treatment of diseases or bodies. It is also the care of an individual who comes to us with a social, cultural, family, and religious history. Cultural skill entails the ability to collect relevant data regarding the patient's presenting problem, as well as accurately perform a culturally-based assessment in a sensitive manner. Cultural competence and the understanding of diversity in the workplace are based on several core beliefs: Each patient is a unique person Individuals are complex Cultivating compassion requires that we understand situations from the others' point of view and engage in self -reflection regarding how our actions are affecting the other person We can appreciate the similarities as well as the differences among people and acknowledge strengths and weaknesses of each individual The goals of developing cultural competence and an understanding of diversity in the workplace are to: Improve the quality and efficacy of medical care for all patients Reduce health inequity, reduce disparity Better communication between patient and healthcare provider regarding medical history and symptoms, resulting in more accurate diagnosis and better care Increase respect and trust between patient and provider, increasing the likelihood of compliance with recommended treatment "As health care workers, we are ethically obligated to the provision of culturally congruent care to all individuals that enter our health care systems and facilities and all clients have the right to such care. The delivery of culturally congruent healthcare presents a challenge for the health care provider. It requires, first, that we open our minds. It required an honest examination of one's own values and beliefs, a willingness to learn and a great deal of creativity." Cultural, Ethnic, and Religious Reference Manual for Health Care Providers, JAMARDA, Resources, 1995 5 Infection Control and Hand Hygiene Hand hygiene is the single, most effective method for prevention of infection, for both you and our patients. Community Medical Center abide by the Centers for Disease Control and Prevention Guidelines, which are summarized next. Rationale for hand hygiene Potential risks of transmission of microorganisms to patients Potential risks of health-care workers colonization for infection caused by organisms acquired from the patient Morbidity, mortality, and costs associated with health-care associated infections Indications for hand hygiene Contact with a patient's intact skin Contact with environmental surfaces in the immediate vicinity of patients After glove removal Techniques for hand hygiene Amount of hand-hygiene solution Duration of hand-hygiene agents Selection of hand-hygiene agents o Alcohol based hand rubs are the most efficacious agents for reducing the number of bacteria on the hands of personnel o Antiseptic soaps and detergents are the next most effective and non-antimicrobial soaps are the least effective. Vigorous rubbing the hands for 15 seconds is recommended. Soap and water are required for visibly soiled hands or when caring for patient diagnosed with C.diff. or other spore causing infections. Alcohol-based hand rubs are recommended for routing decontamination of hands for all clinical indications (except when hands are visibly soiled) and as one of the options for surgical hand hygiene. 1. Apply a palm full of the product and cover all surfaces of the hands. 2. Rub hands until hands are dry. Expectations of patient care managers/administrators Written statements regarding the value of, and support for, adherence to recommended hand-hygiene practices Role models demonstrating adherence to recommended hand hygiene practices Indications for, and limitations of, glove use Hand contamination may occur as a result of small, undetected holes in examination gloves Contamination may occur during glove removal Wearing gloves does not replace the need for hand hygiene Failure to remove gloves after caring for a patient may lead to transmission of microorganisms from one patient to another (CDC, 2002) Immunization Information: http://www.cdc.gov/ Please refer to the website above for any questions pertaining to Infection Control, Hand Hygiene or Immunization information. 6 Immunization Approved Requirements All student/residents are required to have current immunizations listed below, not only for their safety, but also for the safety of our patients, staff, volunteers and visitors. COVID-19 Vaccine 1) Record of two Pfizer or Moderna vaccinations recommended by the CDC OR 2) Record of one Johnson & Johnson vaccination recommended by the CDC 3) All student/residents unvaccinated for COVID-19 are required to wear an N95 mask while in any CMC facility regardless of whether they are in the presence of known or suspected COVID-19 patients MMR (measles, mumps, rubella) 1) 2 official records receiving shots (1957 rule for only one MMR no longer applies) OR 2) Positive results from a titer for each (measles, mumps, rubella) showing immunity. Varicella (chickenpox) 1) Record of two vaccinations recommended by the CDC OR 2) Positive titer results showing immunity OR 3) Student/resident has recollection of having the disease. The student/resident will need to provide documentation in writing. It must be signed and dated with the approximate date or age the student/resident had the disease. (see page 9) If one of the other two requirements above has been met, this will not need to be filled out. Hepatitis B 1) Record of 3 shot vaccination series and titer with reactive or positive results OR 2) A titer with reactive or positive results if the student/resident has previously received the vaccines OR 3) Student/resident must have documentation they have started the series of 3 shots and a titer. OR 4) Can be declined but student/resident must sign a declination. Tetanus w/ Pertussis (Tdap) *One record required in the last 10 years* 1) Required for all nursing student/residents Please note: this must be the Tdap (tetanus w/ pertusis) not td (tetanus diphtheria) vaccination. Record of Flu shot *Yearly vaccination is required.**** 1) If student/resident will not be doing clinical during flu season, this shot will not be required 2) Keep in mind if shot is not required at the beginning of the rotation, but the rotation carries over into the next flu season, the student/resident will be required to obtain the shot. If the student/resident is unable to provide records for or flu shot, they will be required to wear a mask during flu season. TB (PPD-tuberculosis) 1) Record a negative TB skin test in the last 12 months (If the test is positive, a chest x-ray required.) This only needs to be done at the beginning of a program after that an annual TB questionnaire will need to be filled out. (See below) OR 2) Negative Quantiferon TB blood test. OR 3) Fill out Positive Responder Form. Ask Community Medical Center for this form if you have a positive test. AND 4) Each year a student/resident attends the same program they must fill out a TB questionnaire provided by the COMMUNITY MEDICAL CENTER. This questionnaire will then be sent to Community Medical Center' appropriate department along with a copy of the original negative TB test to be reviewed and a determination will be made by that department if an additional test is necessary based on the risk factors stated in the questionnaire. Even if the student/resident chooses to wear a mask for any of the reasons accepted above they must not be sick when they report for clinical rotations. Dress Code GENERAL GUIDELINES Clothing shall be of suitable material and heavy enough weight so that the undergarments do not show through. Clothing shall be of adequate size and length that normal body mechanics do not cause exposure; this includes the midriff, cleavage, buttocks, and undergarments. SPECIFIC GUIDELINES 1. Good personal hygiene is required of all student/residents 2. Excessive use of cosmetics, perfumes or aftershaves is inappropriate. 3. Hair and nails should be clean, well groomed and properly trimmed. In nursing units, hair longer than shoulder length must be pulled back, restrained, or braided; and artificial nails (including acrylic) are not allowed for any direct patient care provider. 4. Facial hair/Beards are permitted but must be kept neat and clean. In the event facial hair/beards prevents compliance with fit testing of required PPE (N95, etc) for safe patient care, an student/resident will be required to shave. If an student/resident has a religious reasons for facial hair, the student/resident is required to bring this to the attention to their manager/director. (updated March 31, 2020) 5. Visible body piercing paraphernalia are not appropriate for the work setting; with the exception of earrings and nose studs (not to exceed 2mm) all of which must be professional in appearance. 6. Visible tattoos should be in good taste, i.e., non-offensive to patients and guests. Examples of offensive tattoos may include tattoos that contain nude images, references to cultural practices and/or foul language. Tattoos deemed offensive by the student/resident's supervisor will be covered. Student/residents with extensive tattoos of ANY kind defined as a single tattoo or multiple tattoos covering the majority of the surface area of a visible body part such as an arm, foot, calf, leg, neck must consult with his/her direct supervisor. The student/resident may be required to cover any tattoos during work time. 7. Student/residents are responsible for wearing their Community Medical Center ID badge at all times while on duty. ID badges must be worn at the mid-chest area or higher so that the name and picture are clearly visible. Altering ID badges with pins and/or stickers is not allowed. 8. Clothing/uniforms must be neat, clean, wrinkle-free and in good repair.Uniforms may be dresses, skirts, or scrubs dependent upon the uniform of the department. 9. Dresses and skirts shall be an appropriate length above the knee. 10. Jeans may be worn on Fridays if specific department/unit dress code policies or manager/director allow. Jeans should be in good condition without holes, rips or overly faded/worn 11. Leggings shall be covered by a skirt, dress or long blouse/top meeting the appropriate length guideline. 12. No visible underarms (i.e., sleeveless and cap sleeve shirts, sweaters and dresses); top of shoulders must be covered. 13. While all student/residents are required to adhere to this Dress Code during their work hours, if a student/resident attends training, education, or a unit meeting during non-work hours he/she is not required to comply with this dress code. However, the standards of good taste, safety and appropriateness of clothing applies. Denim material of any type or style of clothing is not allowed, except when attending education sessions and meetings that are held off campus or are held during the student/resident's nonwork hours. At these times, jeans in good repair (no holes, stains, or frays) will be allowed. Supervisors/managers/directors have the authority to send an student/resident home if his/her clothing is not appropriate. 14. All footwear shall be professional and clean in appearance. Flip-flops are never allowed. Open-heel shoes may be worn only if they have a strap or heel cup. As a rule of thumb, the majority of one's foot should be covered while at work. When working or walking through areas where exposure to blood, body fluids, contaminates, sharps, and where hazardous chemical spills are possible, student/residents must wear shoes with no holes or openings on the top or sides. 15. Hats are not to be worn in the building when on duty except when required for infection control or health codes. If a hat is deemed necessary by the department director, only hats supplied by CMC with the CMC logo are allowed. Hats will not have any stickers, writing or pins attached. Head coverings that are required for religious purposes are allowed. 16. Stickers, wrist bands, clothing with writing or pins not sanctioned by CMC are not allowed during student/residents work hours. 17. During the University of Montana football season, "Griz" wear is appropriate on the Friday before home games. However, all Griz wear must comply with our standard of professional attire. Subject to the discretion and approval by the Unit/Departments Director 18. If student/residents are performing a task that may soil his/her clothes, the department director may authorize those student/residents to "dress down" while performing such work. However, if the affected student/residents leave the work area he/she must either cover up any item of clothing that does not adhere to this policy or change clothes. Department leadership has the responsibility and the rights to interpret, monitor, and enforce this policy, with the Executive Director Human Resources having final authority. More specific dress code guidelines may be found in each department. Student/residents should consult their manager/director for such polices, as they will determine what is appropriate for the department. Any member of management may inform an student/resident that he/she is not in compliance with this dress code at which time the appropriate manager/director will be notified and the student/resident will be required to clock out and return home to change into appropriate attire. Disciplinary action may result as appropriate.
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Mazda 3 2007 Workshop Manual PDF Free Online Service and Repair Manuals for All Models 5 L4-2.3L (2007) CX-9 AWD V6-3.7L (2008) GLC L4-1490cc 1.5L (1984) Mazdaspeed3 L4-2.3L Turbo (2010) Detailed illustrated Mazda 3 Workshop Manuals – free download! These repair manuals contains a detailed and step-by-step instruction manual, a description of vehicle systems and assemblies, detailed information on their maintenance, troubleshooting, quality repair and adjustment of elements of the engine systems of a cars (including fuel injection systems, variable valve timing, starting and charging, changes in intake geometry collector), manual transmission and automatic transmission ... Mazda 3 Automotive Repair Manual: 2004-2011 by Editors of Haynes Manuals (Paperback, 2014) 4 out of 5 stars (2) Total ratings 2, ... Mazda 2 2007-2014 Workshop Repair Manual Cd. 5.25. Click & Collect. Free postage. or Best Offer. MAZDA RX-2 ROTARY (SALOON & COUPE) INTEREUROPE & SP MANUALS 1972 ONWARDS. 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With this Mazda 3 Workshop manual, you can perform every job that could be done by Mazda garages and mechanics from: changing spark plugs, brake fluids, oil changes, engine rebuilds, electrical faults; and much more; The Mazda 3 2007 Workshop Manual PDF includes: detailed illustrations, drawings, diagrams, step by step guides, explanations of Mazda 3: service; repair; maintenance Owners guider, service and repair manuals The Mazda3 or Mazda 3 is a compact car(C-class) manufactured by Mazda. Mazda has a tradition of building entertaining small cars, and the Mazda 3 fits right in with its sharp handling and engaging nature. Mazda Owners Section; FAQs, Manuals & Information \| Mazda UK This service manual for the Mazda 3 will be a great help for all those who are going in the near future or have already managed to buy the popular Mazda 3 car. if you have problems with the equipment, go to the Mazda technical center or once again dial the number, asking for help to a technical technician. 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Mazda 3 Service Manual. Vehicle general; Abbreviations; Body And Accessories; Body And Accessories SST; How To Use This Manual ... the air bag module, which may seriously injure you. Read the service warnings before handling the air bag module.. 1. Remove the driver-side front scuff plate.. 2. Remove the driver-side ... Mazda 3 Service Manual 2003 - 2018 Mazda 3 Service & Repair Manuals 2006 - 2017 Mazda 5 Service & Repair Manuals More than 150+ workshop manuals , repair manuals, wiring diagrams, owner's manuals for Mazda cars – free download! Mazda Workshop Manuals free download \| Automotive handbook ... Owners guider, service and repair manuals The Mazda3 or Mazda 3 is a compact car(C-class) manufactured by Mazda. Mazda has a tradition of building entertaining small cars, and the Mazda 3 fits right in with its sharp handling and engaging nature. 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We have 3 Mazda 3 2007 manuals available for free PDF download: Owner's Manual, Service Highlights Mazda 3 2007 Owner's Manual (402 pages) Mazda 3 2007 Manuals \| ManualsLib Mazda 1.8L DOHC BP engine factory workshop and repair manual 1989-1998 on PDF can be viewed using free PDF reader like adobe or foxit or nitro .File size 9 Mb 215 pages PDF document with bookmarks. The 1 839 cc or 1.8 BP is a DOHC (double-overhead camshaft) variant of the B8 featuring an 83 mm bore and 85 mm stroke and four valves per cylinder. Download Mazda workshop manual repair Black plate (3,1) Thank you for choosing a Mazda. We at Mazda design and build vehicles with complete customer satisfaction in mind. To help ensure enjoyable and trouble-free operation of your Mazda, read this manual carefully and follow its recommendations. An Authorized Mazda Dealer knows your vehicle best. So when maintenance or service is 2007 Mazda3 Owners Manual - Mazda USA Official Site Mazda 3 Automotive Repair Manual: 2004-2011 by Editors of Haynes Manuals (Paperback, 2014) 4 out of 5 stars (2) Total ratings 2, ... Mazda 2 2007-2014 Workshop Repair Manual Cd. £5.25. Click & Collect. Free postage. or Best Offer. MAZDA RX-2 ROTARY (SALOON & COUPE) INTEREUROPE & SP MANUALS 1972 ONWARDS. Mazda Car Service & Repair Manuals for sale \| eBay OEM SERVICE AND REPAIR MANUAL SOFTWARE FOR THE 2007 MAZDA 3... If you need a repair manual for your Mazda, you've come to the right place. Now you can get your repair manual in a convenient digital format. Old paper repair manuals just don't compare! This downloadable repair manual software covers the Mazda 3 and is perfect for any do-it-yourselfer. Free Auto Repair Manuals Online, No Joke Mazda Manuals 2004-2014 Mazda3 2.3L clutch rear main seal job 2007 Mazda 3 transmission problem FIX How to diagnose and repair P0126 2007 Mazda 3 Mazda3 hidden features \u0026 annoyances The Truth About Mazdas 2007 Mazda 3 transmission filter \u0026 fluid change How to Replace Headlights 03-09 Mazda 3 7 Things You Should Do To Your Mazda 3 How to Change Oil 03-09 Mazda 3 (SOLD) Mazda 3 manual 2007 review The Best and Worst Things About the Mazda3 CHECKING A BLOWN HEAD GASKET WITH NO SPECIALIZED TOOLS (EASY 4 THE DIYer) DO IT YOURSELF SAVE$$$ Clutch, How does it work ? HOW TO FIX A CAR THAT WILL NOT START, HONDA CIVIC 5 Cool Features to know as a Mazda 3 Owner Re: Regular Oil vs Synthetic Oil -EricTheCarGuy 15 Things You Didn't Know Copyright : cms2.ncee.org About MAZDA 2006 Mazda 3 Engine start up, exhaust, tour, and review Front Wheel Drive car clutch replacement. No Crank, No Start Diagnosis - EricTheCarGuy07 Mazda 3 Rear Trailing Arm Bushing Repair Fix Your Mazda 3 Stalling Running Rough 2007 Mazdaspeed3 Review - Kelley Blue Book Mazda B3000 Repair Manual / Service Manual Online - 2003, 2004, 2005, 2006, 2007 About Chilton Repair Manuals 2007 Mazda3 Review - Kelley Blue Book How to get EXACT INSTRUCTIONS to perform ANY REPAIR on ANY CAR (SAME AS DEALERSHIP SERVICE) How to disassemble a MANUAL transmissionMazda 3 2007 Repair Manual Mazda 3 service manual for roadside repairs; Mazda 3 owners manual covering weekly checks; Mazda 3 workshop manual covering Lubricants, ... Mazda - B3000 - Wiring Diagram - 2007 2007. Mazda - Protege - Wiring Diagram - 2002 - 2002. 1999-06--Mazda--MPV 2WD--6 Cylinders J 3.0L MFI DOHC--33000802.
Shabbat Shalom Sheet Music Overwhelmed? Need a day off... a break? Maybe it's time to learn the truth about the Sabbath. Everyone, it seems, lives his or her life at a breakneck pace, constantly rushing here and there to get everything done. Technological advances that once promised more leisure time now seem only to push us further behind, making it ever more difficult to catch up. So we frantically scramble. We feel out of touch—out of touch with our spouse, out of touch with our families, out of touch with the world around us and, perhaps most of all, out of touch with God. Is there a way to get back in touch? In the Bible, God gives us a solution written within the Ten Commandments. It's a commandment that gives us time for a welcome, refreshing rest from our weekly labors, a time during which we must no longer be absorbed in our ordinary daily cares and concerns—a time for spiritual rejuvenation. Inside the ebook, "Sunset to Sunset: God's Sabbath Rest", you will read why God commanded a day of rest and the purpose for it. You will discover the answers to which day is the Sabbath, why the Sabbath is relevant for all of us today and why this day of rest makes sense in today's world. Join us for a journey through the Bible to discover the importance of God's Sabbath rest. Chapters in this ebook: -- The Sabbath: In the Beginning -- When Is the Sabbath Day to Be Kept? -- Which Day Is the Sabbath? -- Names for Saturday in Many Languages Prove Which Day Is the True Sabbath -- Jesus Christ and the Sabbath -- Just What is Legalism? -- Was the Sabbath Changed in the New Testament? -- Was Sunday the New Testament Day of Worship? -Was God's Law Abolished in the New Testament? -- Why is the Sabbath Commandment Not Repeated in the New Testament? -- Surprising Admissions About the Sabbath and Sunday -- "There Remains a Sabbath-Rest for the People of God" -- A Sign of God's People -- God's Sabbath in Today's World -- The Sabbath in the Age to Come -- What is True Worship? -- Our Appointment With God -- A Test for You? Inside this Bible Study Aid ebook: "God, Creator of the Sabbath, determines when the day begins and ends, and it was observed from sunset to sunset throughout the Bible. His Sabbath begins Friday evening at sunset and ends Saturday evening at sunset." "Jesus Himself clearly denied that He intended to change or abolish the Sabbath or any part of God's law. "Do not think that I came to destroy the Law or the Prophets," He said. "I did not come to destroy but to fulfill" (Matthew 5:17)." "Many who argue that the Sabbath was abolished in the New Testament point to the apostle Paul's writings to justify their view. But is this opinion correct? They commonly cite three passages to support that claim—Romans 14:5-6, Colossians 2:16-17 and Galatians 4:9-10." "Here we see God's true intent for the Sabbath: It is part of a proper, loving relationship with Him. It is a matter of honoring God." Mira's birthday wish comes true when her baby sister is born, but the little one spends her first eight days wailing, leaving the family at a loss for a name to announce at her simchat bat until Mira's song during the naming ceremony has an unexpected effect. In the fall of 1965 the Israeli newspaper Haaretz sent a young journalist named Elie Wiesel to the Soviet Union to report on the lives of Jews trapped behind the Iron Curtain. "I would approach Jews who had never been placed in the Soviet show window by Soviet authorities," wrote Wiesel. "They alone, in their anonymity, could describe the conditions under which they live; they alone could tell whether the reports I had heard were true or false—and whether their children and their grandchildren, despite everything, still wish to remain Jews. From them I would learn what we must do to help . . . or if they want our help at all." What he discovered astonished him: Jewish men and women, young and old, in Moscow, Kiev, Leningrad, Vilna, Minsk, and Tbilisi, completely cut off from the outside world, overcoming their fear of the ever-present KGB to ask Wiesel about the lives of Jews in America, in Western Europe, and, most of all, in Israel. They have scant knowledge of Jewish history or current events; they celebrate Jewish holidays at considerable risk and with only the vaguest ideas of what these days commemorate. "Most of them come [to synagogue] not to pray," Wiesel writes, "but out of a desire to identify with the Jewish people—about whom they know next to nothing." Wiesel promises to bring the stories of these people to the outside world. And in the home of one dissident, he is given a gift—a Russian-language translation of Night, published illegally by the underground. "'My God,' I thought, 'this man risked arrest and prison just to make my writing available to people here!' I embraced him with tears in my eyes." Religious Piano/Vocal/Guitar William Sharlin (1920–2012) was a cantor, synagogue composer, teacher and musicologist. Raised in an Orthodox household, he turned toward Universalism and the liberal Reform movement. A member of the first graduating class of the first cantorial school in America, he was a founding member of the American Conference of Cantors and is recognized as the first to play a guitar in the synagogue. Sharlin developed the Department of Sacred Music at HUC in Los Angeles, where he taught for 40 years, trained women to be cantors before they were allowed in the seminary, and spent nearly four decades at Leo Baeck Temple. Drawing on interviews conducted with Sharlin late in life, the author chronicles the career of one of the most inventive and creative figures in the history of the cantorate. With a Ladino word introduced on each page, a Sephardic Jewish family prepares to celebrate Shabbat. More than 40 contributors cover the entire spectrum of life's passages and present the latest thinking on ritual, life cycle, and the way Jewish women see the world. Lyrics and guitar chords for 1200 traditional and modern folk songs. A wonderful collection of 20 popular, beautiful and fun-to-play songs for beginning to intermediate guitar students. The melody, an easy strumming pattern, chord diagrams and complete lyrics are provided with each song, so students can choose to either play the melody or strum to accompany themselves as they sing. Large-sized music, TAB and diagrams make the songs easy to read, even for beginners. The 48-page book also contains a review of music reading, tablature and chord diagrams. This handy songbook is the perfect tool for guitar teachers seeking fun musical activities to keep their students happy and involved with music making. Describes how the Sabbath is celebrated around the world. (Faber Piano Adventures ). 11 songs that include I-IV-V7 chords in the keys of C, G and F, featuring: Can You Feel the Love Tonight? * Do-Re-Mi * (Meet) The Flintstones * She Loves You * Star Wars * and more. Explore Shabbat step-by-step and blessing-by-blessing from candle-lighting to Havdalah. Included in this extraordinary guide are blessings, a complete description of Shabbat and its rituals, recipes, a bibliography, and a CD recording for learning the music of Shabbat. Copyright © Libri GmbH. All rights reserved. I Am My Prayer is a memoir of the author's public and private prayer experience. It is also a guide and explanation of key elements of public Jewish Services. The book familiarizes readers with the use of prayer metaphors, questions about God, the importance of communal prayer, ethical values expressed in the liturgy, and consideration of creative liturgy. While the context of the book is Jewish, it has a universal message to anyone who struggles with prayer, and who seeks to be comfortable and fulfilled in a service. The discussions in these pages draw upon biblical and rabbinic texts, kabbalistic tradition, Millions of Jews are awakening to the joys of Shabbat observance and this is the book they'll turn to for help. Page 1/2 Copyright : www.treca.org and upon modern philosophers and contemporary writers. This volume will be useful to individual seekers and for classes on prayer and liturgy. Looking for a great gift idea for a Jewish friend? Need a new prayer journal in your life? This Unique and Funny Journal Notebook is sure to please and make the perfect Christmas or birthday present for men or women. 100 6" x 9" Lined Pages are provided for you to put your thoughts, hopes, experiences, likes, and dislikes. With a matte, fullcolor soft cover, this lined notebook is as practical as it is cool. And is the ideal size for lined journals for kids, journals for women to write in and makes an excellent birthday journal notebook gift. It could also be used as a diary to record all your creative self-expression such as poetry, short stories or self-help affirmations. Desired Creatives Journals are perfect for: Birthday Gifts Christmas Gifts Co-worker/Boss Gifts Journals & Planners Doodle Diaries Homeschool Planners for Kids Food Diaries Sheet Music Creative Writing Notebooks Gifts for Mom, Dad, Grandma, Grandpa, Cousins, Brother, Sister Retirement Gifts School Notebooks Graduation Gifts Thank You Gifts Teacher Gifts Inspirational Journals Mom Daughter Journal Journaling For Kids Blank Books & Journals Beer and Weight Loss Logs Keepsake Journals And much more........ Place your order today! A global history of Jewish music from the biblical era to the present day, with chapters by leading international scholars. Compiled from the author s own enormous collection and years of research, this book lists approximately 6,200 films and the music that was a part of them. Each entry gives the movie title, studio, year of release, stars, songs sung during the film (over 15,000 throughout the book), composers and/or lyricists, and a brief description of the album cover. This book is a necessity for sheet music collectors, musicians, historians and the general public who are interested in a greater knowledge of film music." A bear keeps taking the honey needed for the shabbos kugel, until Grandma learns that he is lost and invites him to come to dinner. Gates of ShabbatCCAR Press Parts I through IV of Teaching Tefilah contain fifteen chapters, each dealing with a section of the worship service or a topic related to prayer. Part V, new in this expanded revised edition, contains six new essays reflecting on recent trends in Jewish worship. (Piano Vocal). This sheet music features an arrangement for piano and voice with guitar chord frames, with the melody presented in the right hand of the piano part, as well as in the vocal line. ChordTime Piano Disney showcases contemporary and classic Disney hits arranged for the Level 2B pianist. Students explore major scale and primary chord patterns in a setting of inspiring songs from timeless movies. What does the Sabbath mean to you? Christ in the Sabbath will take you on a "Sabbath tour" of the Bible. You'll explore the themes of Shabbat (Hebrew for Sabbath) and rest in both Old and New Testament and then discover what it has meant to Jews and Christians for centuries. Rabbinical comments and a variety of traditions provide clarity and credibility to the study of Sabbath. While this volume does not resolve all the differences among Christians concerning the place of the Sabbath today, the journey undertaken in this book will help you in forming your own conclusions—or inspire you to continue exploring the meaning and significance behind the Sabbath. In its 114th year, Billboard remains the world's premier weekly music publication and a diverse digital, events, brand, content and data licensing platform. Billboard publishes the most trusted charts and offers unrivaled reporting about the latest music, video, gaming, media, digital and mobile entertainment issues and trends. Copyright: bd79690b5ee97e8933af6dfa2a6a0d22 Page 2/2
roslyn Table of Contents About About You can share this PDF with anyone you feel could benefit from it, downloaded the latest version from: roslyn It is an unofficial and free roslyn ebook created for educational purposes. All the content is extracted from Stack Overflow Documentation, which is written by many hardworking individuals at Stack Overflow. It is neither affiliated with Stack Overflow nor official roslyn. The content is released under Creative Commons BY-SA, and the list of contributors to each chapter are provided in the credits section at the end of this book. Images may be copyright of their respective owners unless otherwise specified. All trademarks and registered trademarks are the property of their respective company owners. Use the content presented in this book at your own risk; it is not guaranteed to be correct nor accurate, please send your feedback and corrections to email@example.com https://riptutorial.com/ Chapter 1: Getting started with roslyn Remarks To start with Roslyn, take a look at: Syntax Tree API • Add more topics here. • Semantic model API • Examples Installation or Setup To start tinkering with Roslyn you will need the following NuGet packages: The C# and VB compilers - Microsoft.Net.Compilers. To install it you can run the following command in the Package Manager Console: • The Language APIs and Services - Microsoft.CodeAnalysis. To install it you can run the following command in the Package Manager Console: • ``` nuget install Microsoft.Net.Compilers ``` ``` nuget install Microsoft.CodeAnalysis ``` Additionally it is a good to install the .NET Compiler Platform SDK Templates, that can be found here. This will get you: Templates for both C# and Visual Basic that enable the creation of Analyzers, CodeFixes and stand-alone analysis tools. • The Syntax Visualizer tool for Visual Studio(View -> Other Windows -> Syntax Visualizer), which is extremely usefully for examining the syntax tree of existing code. • Additional tools and resources The Roslyn Quoter • A tool for converting an sample C# program to syntax tree API calls. The tool itself can be found here. Enhanced source viewer • An easy way to view the Roslyn source code can be found here. Read Getting started with roslyn online: https://riptutorial.com/roslyn/topic/2905/getting-startedwith-roslyn https://riptutorial.com/ Chapter 2: Analyze source code with Roslyn Examples Introspective analysis of an analyzer in C# Create a new Console Application 1. Import the namespaces Microsoft.CodeAnalysis.MSBuild, System.Linq and Microsoft.CodeAnalysis.CSharp.Syntax 3. Add the NuGet package Microsoft.CodeAnalysis 2. Write the following example code in the Main method: 4. ``` // Declaring a variable with the current project file path. const string projectPath = @"C:\<your path to the project\<project file name>.csproj"; // Creating a build workspace. var workspace = MSBuildWorkspace.Create(); // Opening this project. var project = workspace.OpenProjectAsync(projectPath).Result; // Getting the compilation. var compilation = project.GetCompilationAsync().Result; // As this is a simple single file program, the first syntax tree will be the current file. var syntaxTree = compilation.SyntaxTrees.First(); // Getting the root node of the file. var rootSyntaxNode = syntaxTree.GetRootAsync().Result; // Finding all the local variable declarations in this file and picking the first one. var firstLocalVariablesDeclaration = rootSyntaxNode.DescendantNodesAndSelf().OfType<LocalDeclarationStatementSyntax>().First(); // Getting the first declared variable in the declaration syntax. var firstVariable = firstLocalVariablesDeclaration.Declaration.Variables.First(); // Getting the text of the initialized value. var variableInitializer = firstVariable.Initializer.Value.GetFirstToken().ValueText; // This will print to screen the value assigned to the projectPath variable. Console.WriteLine(variableInitializer); Console.ReadKey(); ``` When running the project, you will see the variable declared on top printed to the screen. This means that you successfully self analysed a project and found a variable in it. Analyze a simple "Hello World" application in C# Create a new console application with one line in the Main method: Console.WriteLine("Hello World") https://riptutorial.com/ Remember the path to the .csproj file and replace it in the example. Create a new Console Application and install the Microsoft.CodeAnalysis NuGet package and try the following code: ``` const string projectPath = @"C:\HelloWorldApplication\HelloWorldProject.csproj"; // Creating a build workspace. var workspace = MSBuildWorkspace.Create(); // Opening the Hello World project. var project = workspace.OpenProjectAsync(projectPath).Result; // Getting the compilation. var compilation = project.GetCompilationAsync().Result; foreach (var tree in compilation.SyntaxTrees) { Console.WriteLine(tree.FilePath); var rootSyntaxNode = tree.GetRootAsync().Result; foreach (var node in rootSyntaxNode.DescendantNodes()) { Console.WriteLine($" * {node.Kind()}"); Console.WriteLine($" {node}"); } } Console.ReadKey(); ``` This will print all the files and all the syntax nodes in your Hello World project. Analyze a simple "Hello World" application in VB.NET Create a new console application with one line in the Main method: Console.WriteLine("Hello World") Remember the path to the .vbproj file and replace it in the example. Create a new Console Application and install the Microsoft.CodeAnalysis NuGet package and try the following code: ``` Const projectPath = "C:\HelloWorldApplication\HelloWorldProject.vbproj" ' Creating a build workspace. Dim workspace = MSBuildWorkspace.Create() ' Opening the Hello World project. Dim project = workspace.OpenProjectAsync(projectPath).Result ' Getting the compilation. Dim compilation = project.GetCompilationAsync().Result For Each tree In compilation.SyntaxTrees Console.WriteLine(tree.FilePath) ``` https://riptutorial.com/ Dim rootSyntaxNode = tree.GetRootAsync().Result For Each node In rootSyntaxNode.DescendantNodes() Console.WriteLine($" * {node.Kind()}") Console.WriteLine($" {node}") Next Next Console.ReadKey() ``` This will print all the files and all the syntax nodes in your Hello World project. Parse source code from text in C# ``` var syntaxTree = CSharpSyntaxTree.ParseText( @"using System; using System.Collections; using System.Linq; using System.Text; namespace HelloWorldApplication { class Program { static void Main(string[] args) { Console.WriteLine(""Hello World""); } }"); var root = syntaxTree.GetRoot() as CompilationUnitSyntax; var namespaceSyntax = root.Members.OfType<NamespaceDeclarationSyntax>().First(); var programClassSyntax = namespaceSyntax.Members.OfType<ClassDeclarationSyntax>().First(); var mainMethodSyntax = programClassSyntax.Members.OfType<MethodDeclarationSyntax>().First(); Console.WriteLine(mainMethodSyntax.ToString()); Console.ReadKey(); ``` This example will print the Main method from the text analyzing the syntax. Get the type of 'var' . To get the actual type for a variable declared using var, call GetSymbolInfo() on the SemanticModel You can open an existing solution using MSBuildWorkspace, then enumerate its projects and their documents. Use a document to obtain its SyntaxRoot and SemanticModel, then look for VariableDeclarations and retrieve the symbols for the Type of a declared variable like this: ``` var workspace = MSBuildWorkspace.Create(); ``` https://riptutorial.com/ var solution = workspace.OpenSolutionAsync("c:\\path\\to\\solution.sln").Result; foreach (var document in solution.Projects.SelectMany(project => project.Documents)) { var rootNode = document.GetSyntaxRootAsync().Result; var semanticModel = document.GetSemanticModelAsync().Result; var variableDeclarations = rootNode .DescendantNodes() .OfType<LocalDeclarationStatementSyntax>(); foreach (var varDeclaration in variableDeclarations) { var symbolInfo = semanticModel.GetSymbolInfo(varDeclaration.Declaration.Type); var typeSymbol = symbolInfo.Symbol; // the type symbol for the variable.. } } ``` Read Analyze source code with Roslyn online: https://riptutorial.com/roslyn/topic/4712/analyzesource-code-with-roslyn https://riptutorial.com/ Chapter 3: Change source code with Roslyn Introduction Practical examples of using Roslyn for source code transformations. Remarks Roslyn syntax trees are immutable. By calling a method like ReplaceNodes we generate a new node rather than modifying the existing one. This requires you to always change the object you have been working on. • Examples Replace existing Attributes for all methods in C# using the syntax tree The following snippet replaces all Attributes called PreviousAttribute by an Attribute called ReplacementAttribute for an entire solution. The sample manually searches the Syntax tree and replaces all affected nodes. ``` static async Task<bool> ModifySolution(string solutionPath) { using (var workspace = MSBuildWorkspace.Create()) { // Selects a Solution File var solution = await workspace.OpenSolutionAsync(solutionPath); // Iterates through every project foreach (var project in solution.Projects) { // Iterates through every file foreach (var document in project.Documents) { // Selects the syntax tree var syntaxTree = await document.GetSyntaxTreeAsync(); var root = syntaxTree.GetRoot(); // Finds all Attribute Declarations in the Document var existingAttributesList = root.DescendantNodes().OfType<AttributeListSyntax>() // Where the Attribute is declared on a method .Where(curr => curr.Parent is MethodDeclarationSyntax) // And the attribute is named "PreviousAttribute" .Where(curr => curr.Attributes.Any(currentAttribute => currentAttribute.Name.GetText().ToString() == "PreviousAttribute")) .ToList(); if (existingAttributesList.Any()) { // Generates a replacement for every attribute var replacementAttribute = SyntaxFactory.AttributeList( SyntaxFactory.SingletonSeparatedList( SyntaxFactory.Attribute(SyntaxFactory.IdentifierName("ReplacementAttribute"), ``` https://riptutorial.com/ SyntaxFactory.AttributeArgumentList( SyntaxFactory.SeparatedList(new[] { SyntaxFactory.AttributeArgument( SyntaxFactory.LiteralExpression( SyntaxKind.StringLiteralExpression, SyntaxFactory.Literal(@"Sample")) ) }))))); // Replaces all attributes at once. // Note that you should not use root.ReplaceNode // since it would only replace the first note root = root.ReplaceNodes(existingAttributesList, (node, n2) => replacementAttribute); // Exchanges the document in the solution by the newly generated document solution = solution.WithDocumentSyntaxRoot(document.Id, root); } } } // applies the changes to the solution var result = workspace.TryApplyChanges(solution); return result; } } ``` The above example can be tested for the following class: ``` public class Program { [PreviousAttribute()] static void Main(string[] args) { } } ``` You should not use the Methode root.ReplaceNode to replace multiple nodes. Since the tree is immutable you will be working on different objects. Using the following snippet in the above example would not yield the expected result: ``` foreach(var node in existingAttributesList){ root = root.ReplaceNode(node, replacementAttribute); } ``` The first call to ReplaceNode would create a new root element. However the elements in existingAttributesList belong to a different root (the previous root element) and cannot be replaced because of this. This would result in the first Attribute being replaced and the following Attributes remaining unchanged since all consecutive calls would be performed on a node not present in the new tree. Replace existing Attributes for all methods in C# using a SyntaxRewriter The following snippet replaces all Attributes called "PreviousAttribute" by an Attribute called "ReplacementAttribute" for an entire solution. The sample manually uses a SyntaxRewriter to https://riptutorial.com/ exchange the attributes. /// <summary> /// The CSharpSyntaxRewriter allows to rewrite the Syntax of a node ``` /// </summary> public class AttributeStatementChanger : CSharpSyntaxRewriter { /// Visited for all AttributeListSyntax nodes /// The method replaces all PreviousAttribute attributes annotating a method by ReplacementAttribute attributes public override SyntaxNode VisitAttributeList(AttributeListSyntax node) { // If the parent is a MethodDeclaration (= the attribute annotes a method) if (node.Parent is MethodDeclarationSyntax && // and if the attribute name is PreviousAttribute node.Attributes.Any( currentAttribute => currentAttribute.Name.GetText().ToString() == "PreviousAttribute")) { // Return an alternate node that is injected instead of the current node return SyntaxFactory.AttributeList( SyntaxFactory.SingletonSeparatedList( SyntaxFactory.Attribute(SyntaxFactory.IdentifierName("ReplacementAttribute"), SyntaxFactory.AttributeArgumentList( SyntaxFactory.SeparatedList(new[] { SyntaxFactory.AttributeArgument( SyntaxFactory.LiteralExpression( SyntaxKind.StringLiteralExpression, SyntaxFactory.Literal(@"Sample")) ) }))))); } // Otherwise the node is left untouched return base.VisitAttributeList(node); } } /// The method calling the Syntax Rewriter private static async Task<bool> ModifySolutionUsingSyntaxRewriter(string solutionPath) { using (var workspace = MSBuildWorkspace.Create()) { // Selects a Solution File var solution = await workspace.OpenSolutionAsync(solutionPath); // Iterates through every project foreach (var project in solution.Projects) { // Iterates through every file foreach (var document in project.Documents) { // Selects the syntax tree var syntaxTree = await document.GetSyntaxTreeAsync(); var root = syntaxTree.GetRoot(); // Generates the syntax rewriter var rewriter = new AttributeStatementChanger(); root = rewriter.Visit(root); // Exchanges the document in the solution by the newly generated document ``` https://riptutorial.com/ solution = solution.WithDocumentSyntaxRoot(document.Id, root); } } // applies the changes to the solution var result = workspace.TryApplyChanges(solution); return result; } } ``` The above example can be tested for the following class: ``` public class Program { [PreviousAttribute()] static void Main(string[] args) { } } ``` Read Change source code with Roslyn online: https://riptutorial.com/roslyn/topic/5221/changesource-code-with-roslyn https://riptutorial.com/ 10 Chapter 4: Semantic Model Introduction In contrast to the Syntax API the exposes all kinds of syntax level information, the semantic model gives our code more "meaning" and allows us to answer questions like "What names are in scope at this location?", "What members are accessible from this method?", "What variables are used in this block of text?", "What does this name/expression refer to?". Remarks Querying the Semantic Model is more costly than querying the Syntax Tree, due to the fact that it most commonly triggers a compilation. • Examples Getting the Semantic Model There qutie a fiew ways to get the sematic model. From a Document class • From a Compilationclass • From an AnalysisContext. Fro example inside a DiagnosticAnalyzer you can do: • ``` Document document = ...; SemanticModel semanticModel = await document.GetSemanticModelAsync(); ``` ``` CSharpCompilation compilation = ...; var semanticModel = await compilation.GetSemanticModel(syntaxTree); ``` ``` public override void Initialize(AnalysisContext context) { context.RegisterSemanticModelAction(x => { var semanticModel = x.SemanticModel; // Do magical magic here. }); } ``` Get all the references to a method ``` var syntaxRoot = await document.GetSyntaxRootAsync(); var semanticModel = await document.GetSemanticModelAsync(); ``` https://riptutorial.com/ 11 var sampleMethodInvocation = syntaxRoot .DescendantNodes() .OfType<InvocationExpressionSyntax>() .First(); var sampleMethodSymbol = semanticModel.GetSymbolInfo(sampleMethodInvocation).Symbol; var referencesToSampleMethod = await SymbolFinder.FindReferencesAsync(sampleMethodSymbol, document.Project.Solution); ``` Read Semantic Model online: https://riptutorial.com/roslyn/topic/9772/semantic-model https://riptutorial.com/ 12 Chapter 5: Syntax Tree Introduction One of the major parts of the Roslyn compiler is the Syntax API. It exposes the syntax trees the compilers use to understand Visual Basic and C# programs. Remarks The Syntax Tree is a Parse Tree in the context of the Roslyn compiler. • Examples Getting the Syntax Tree Root from a Document. If you already have access to your Document class from your workspace (Using Workspaces) it is easy to access the root of your Syntax tree. ``` Document document = ... // Get document from workspace or other source var syntaxRoot = await document.GetSyntaxRootAsync(); ``` Traversing the Syntax Tree Using LINQ You can easily navigate the a Syntax Tree using LINQ. For example it is easy to get all the ClassDeclarationSyntax nodes (declared classes), that have a name starting with the letter A: ``` var allClassesWithNameStartingWithA = syntaxRoot.DescendantNodes() .OfType<ClassDeclarationSyntax>() .Where(x => x.Identifier.ToString().StartsWith("A")); ``` Or getting all the classes that have attributes: ``` var allClassesWithAttriutes = syntaxRoot.DescendantNodes() .OfType<ClassDeclarationSyntax>() .Where(x => x.AttributeLists.Any(y => y.Attributes.Any())); ``` Traversing the Syntax Tree using a CSharpSyntaxWalker The CSharpSyntaxWalker class is out of the box implementation of the Visitor pattern, that we can use to traverse our Syntax Tree. Here is a simple example of a Syntax Walker that collects all the struct-s that have a name, starting with the letter A: ``` public class StructCollector : CSharpSyntaxWalker { ``` https://riptutorial.com/ 13 public StructCollector() { this.Structs = new List<StructDeclarationSyntax>(); } public IList<StructDeclarationSyntax> Structs { get; } public override void VisitStructDeclaration(StructDeclarationSyntax node) { if (node.Identifier.ToString().StartsWith("A")) { this.Structs.Add(node); } } } ``` We can use our SyntaxWalker in the following way: ``` var structCollector = new StructCollector(); structCollector.Visit(syntaxRoot); // Or any other syntax node Console.WriteLine($"The number of structs that have a name starting with the letter 'A' is {structCollector.Structs.Count}"); ``` Read Syntax Tree online: https://riptutorial.com/roslyn/topic/9765/syntax-tree https://riptutorial.com/ 14 Chapter 6: Using Workspaces Introduction The workspace is a programmatic representation of the C# hierarchy that consists of a solution, child projects and child documents. Remarks Currently there is no MSBuild workspace that supports a .NET Standard compliant projects. For more information see here. • Examples Creating an AdhocWorkspace and adding a new project and a file to it. The idea behind the AdhocWorkspace is to create a workspace on the fly. ``` var workspace = new AdhocWorkspace(); string projectName = "HelloWorldProject"; ProjectId projectId = ProjectId.CreateNewId(); VersionStamp versionStamp = VersionStamp.Create(); ProjectInfo helloWorldProject = ProjectInfo.Create(projectId, versionStamp, projectName, projectName, LanguageNames.CSharp); SourceText sourceText = SourceText.From("class Program { static void Main() { System.Console.WriteLine(\"HelloWorld\"); } }"); Project newProject = workspace.AddProject(helloWorldProject); Document newDocument = workspace.AddDocument(newProject.Id, "Program.cs", sourceText); ``` Creating an MSBuildWorspace, loading a solution and getting all the documents in all that solution The MSBuildWorspace is built around the concept of handling MSBuild solutions (.sln files) and their respective projects (.csproj, .vbproj). Adding new projects and documents to this workspace is not supported. ``` string solutionPath = @"C:\Path\To\Solution\Sample.sln"; MSBuildWorkspace workspace = MSBuildWorkspace.Create(); Solution solution = await workspace.OpenSolutionAsync(nancyApp); var allDocumentsInSolution = solution.Projects.SelectMany(x => x.Documents); ``` Getting the VisualStudioWorkspace from inside a Visual Studio Extension https://riptutorial.com/ 15 In contrast to the other types of workspaces, the VisualStudioWorkspace, cannot be created manually. It can be accessed when building a Visual Studio extension. When inside your extension package project, go to [YourVSPackage]Package.cs file. There you can acquire the workspace in two ways: ``` protected override void Initialize() { // Additional code... var componentModel = (IComponentModel)this.GetService(typeof(SComponentModel)); var workspace = componentModel.GetService<VisualStudioWorkspace>(); } ``` Or by using MEF: ``` [Import(typeof(VisualStudioWorkspace))] public VisualStudioWorkspace ImportedWorkspace { get; set; } ``` A great video tutorial about the VisualStudioWorkspace, can be found here. Read Using Workspaces online: https://riptutorial.com/roslyn/topic/9755/using-workspaces https://riptutorial.com/ 16 Credits \| S. No \| Chapters \| \|---\|---\| \| 1 \| Getting started with roslyn \| \| 2 \| Analyze source code with Roslyn \| \| 3 \| Change source code with Roslyn \| \| 4 \| Semantic Model \| \| 5 \| Syntax Tree \| \| 6 \| Using Workspaces \| https://riptutorial.com/ 17
9.1 Strategy of analysis We now describe the procedure used to analyze the simulated data: 1. Using the parameters of the four independent beta random variates, z1, z2, z3, and z4, we calculate the true correlation matrices of both the fractions xi and the ratios yi. 2. Based on the topology given in Figure 9.1, we transform each simulated vector of fractions x into a vector of ratios y via equations (9.1). For the resulting vectors of ratios, we then calculate the empirical correlation matrix. 3. All empirical correlations of the are tested to see whether they are statistically significant; the null hypothesis is that a given correlation coefficient ρ is equal to zero. The two-tailed test uses the Student-Fisher t distribution with k-2 degrees of freedom: y i where is the empirical sample correlation coefficient and k is the sample size. The hypothesis that is rejected at the significance level p if , a tabulated critical value (Hoshmand, 1988). We test this null hypothesis at three levels of significance: 0.05; 0.01; and 0.001. ρ ˆ 0 = ρ ) 2 , ( − > k p t t 4. From the simulated vectors of the ratios y, we estimate the mixed moments needed to compute the means, variances, and covariances of the fractions according to equations (8.7-8.9). These moments are then used to compute the correlations of the fractions for both the model with independent ratios and the three models with dependent ratios. This method of fitting is the same as the one that we used in the snowmelt runoff problem, and is also the same as that used by Reese and Krzysztofowicz (1989). i x i x 5. Finally, for each case, we compute the Euclidean distances, as given by (8.2), between the correlation matrix of the corresponding to each fitted model and the corresponding empirical and true correlation matrices. i x The results of our simulation are given in Appendices B-E. 9.2 Analysis and results of our simulation Below we list the questions to be answered by our analysis of each simulated data set: 1. What are the two most strongly correlated ratios (empirically)? 2. Are the signs of the true (respectively, the empirical) correlations of the preserved under the independent ratios model? i x 3. Are the signs of the true (respectively, the empirical) correlations of the preserved under the dependent ratios model? i x 4. Is the Euclidean distance between the true (respectively, the empirical) correlations and the correlations of the dependent ratios model at least as small as the distance between the true (respectively, the empirical) correlations and the correlations of the independent ratios model? 5. Is the Euclidean distance of the dependent ratios model actually used to generate the data (for those data sets with non-zero true correlations) at least as small as the Euclidean distances of the other two dependent ratios models? 6. For those data sets in which the true correlations of the are all zero (i.e., in Appendix E) is the reduction in the Euclidean distance obtained by the dependent ratios model smaller than for those data sets in which the are assumed to be correlated? i y i y The detailed answers to the above questions for the simulated data can be found in the tables in Appendices B-E. The data for Tables B-1 to B-15 were generated assuming dependence between and . Three of these (Tables B-1, B-3, and B-8) have the signs of the true correlations preserved under all four models. Eight of them (Tables B-2, B-4 to B-7, B-11, B-14 and B15) have the signs of the true correlations preserved only under the model where and are dependent. In Tables B-10 and B-13, the signs of the true correlations are preserved only under the independent ratios model and the model where and are dependent. In Table B-12, the signs of the true correlations are preserved only under the independent ratios model and the model where and are dependent. In the remaining case (Table B-9), the signs of the true correlations are not preserved under any four of the models. Thus, the model where and are assumed to be dependent preserves the true correlation sign structures for eleven of the fifteen data sets, while the independent ratios model accomplishes this for only six of the data sets. When the signs of the empirical correlations (i.e., the correlations among the in the simulated data) are taken to be the reference point in comparing the correlation sign structures (rather than the signs of the true correlations), the model where and are assumed to be dependent preserves the empirical correlation sign structures for twelve of the fifteen data sets, while the independent ratios model accomplishes this for only four of the data sets. 1 y 3 y 1 y 3 y 1 y 2 y 2 y 3 y 1 y 3 y i x 1 y 3 y The results in Table B-12 and Table B-13 are not as expected. In particular, the model that was actually used to generate the data did not preserve the true sign structure, even though the independent ratios model did. Since the independent ratios model is actually just a special case of the dependent ratios model, clearly the observed performance does not represent a true limitation of the dependent ratios model, but rather is due to the fitting method that was used (which was described above). A suggested alternative fitting method is discussed at the end of this chapter. The data for Tables C-1 to C-4 were generated assuming dependence between and . In Table C-3, the signs of the true correlations are preserved under all models except the model where and are assumed to be correlated, which again is unexpected and is apparently due to the limitations of our method for fitting the dependent ratios models. In the remaining cases, the signs of the true correlations are not preserved under any four of the models. When the signs of the empirical correlations are taken to be the reference point rather than the signs of the true correlations, then all four models preserve the signs of the empirical correlations in Tables C-1 and C-2. In Tables C-3 and C-4, the signs of the empirical correlations are preserved only under the model where and are dependent. Thus, the model that was actually used to generate the data preserves the empirical correlation sign structure for all four data sets, while the independent ratios model preserves the empirical correlation sign structure for only two of the data sets. 1 y 2 y 1 y 2 y 1 y 2 y The data for Tables D-1 to D-4 were generated assuming dependence between and . One of these (Table D-3) has the signs of the true correlations preserved under all four models. In the remaining cases (Tables D-1, D-2, and D-4), the signs of the true correlations are not preserved under any four of the models. Thus, none of the models are particularly successful at preserving the true correlation sign structures for these data sets. When the signs of the empirical correlations are taken to be the reference point rather than the signs of 2 y 3 y the true correlations, Table D-3 has the signs of the empirical correlations preserved under all four models. Tables D-1 and D-2 have the signs of the empirical correlations preserved only under the model where and are dependent. In the remaining case (Table D-4), the signs of the empirical correlations are not preserved under any four of the models. Thus, the model that was actually used to generate the data preserves the empirical correlation sign structure for three of the four data sets, while the independent ratios model accomplishes this for only one of the data sets. 2 y 3 y Finally, the data for Tables E-1 to E-4 were generated assuming independence of the ratios. Three of these (Tables E-1, E-2, and E-4) have the signs of the true correlations preserved under all four models. In Table E-3, the signs of the true correlations are preserved under all models except the model where and are dependent (note that the results for Table E-3 again reflect the limitations of our method for fitting the dependent ratios model). Thus, as expected, the independent ratios model does about as well as the dependent ratios models for these data sets. Similar results are obtained when the signs of the empirical correlations are taken to be the reference point in comparing the correlation sign structures, instead of the true correlations. 1 y 2 y A few additional cases were run with the same correlation sign structures as the cases in Tables C-2, C-4, D-2, and E-2. The results were roughly similar to those presented here. Thus, in our simulation, the dependent ratios model that was actually used to generate the simulated data preserved the true correlation sign structure in 12 of the 23 data sets in Appendices B-D, while the independent ratios model did this in only eight of the 23 data sets. As noted above, the performance of the dependent ratios model appears to be limited by our fitting method, and might be substantially better with a different fitting method. Note also that the dependent ratios model performed better for the data sets given in Appendix B (where most of the true sign structures are not achievable with independent ratios) than for the data sets in Appendices C and D (where over half of the true sign structures are achievable with independent ratios). Finally, in all of the cases in which the dependent ratios models were not able to preserve the signs of the true correlations, the empirical correlation matrix had a different sign structure than the true correlation matrix. When the empirical correlation matrix is taken to be the reference point rather than the true correlation matrix, the dependent ratios model that was actually used to generate the data preserved the empirical correlation sign structures for more than three fourths (19 out of 23) of the simulated data sets. By contrast, the independent ratios model preserved the empirical sign structures of the correlations in less than one third (seven out of 23) of the data sets. In practice, the true correlation sign structure will frequently not be known. Thus, if the aim is to match the empirical correlation sign structure of a given data set, our model appears to do substantially better than the independent ratios model. The Euclidean distances between the true correlations and the correlations induced by the particular dependent ratios model that was actually used to generate the data are at least as small as the distances between the true correlations and the correlations of the independent ratios model in 11 of the 23 data sets created using dependent ratios (i.e., Tables B-1 through B-5, B-7, B-8, B-10, B-11, B-15, and C-1). Note that this is only about as good as would be expected due to chance alone. With regard to the Euclidean distances from the empirical correlations, the dependent ratios model does a better job, achieving smaller Euclidean distances than the independent ratios model in all of the 23 data sets generated by the dependent ratios model. In fact, choosing the model that yields the smallest Euclidean distance between the model correlations and the true correlations in our data would have correctly identified the true model in 21 of the 23 dependent cases. While choosing the model in this way would not have correctly identified the four independent cases, the difference in Euclidean distance between the true (independent) model and the model with the smallest Euclidean distance is relatively small (less than a factor of 2 in all four cases). Therefore, one potentially promising strategy for model selection would be to choose the independent model unless one of the dependent models yields at least some pre-specified (e.g., 33%) reduction in Euclidean distance. Further investigation of this approach might be worthwhile. In practice, we will frequently be interested in fitting data sets where the true correlations of the xi are unknown and only the empirical correlations are available, as in the snowmelt runoff problem. Thus, if the goal is to accurately model an observed correlation matrix (rather than to correctly detect the underlying process used to generate those correlations), the dependent ratios model appears to be a substantial improvement over the independent ratios model. This is illustrated by the generally smaller Euclidean distances in Table 9-6 (distances from the empirical correlation matrix) than in Table 9-5 (distances from the true correlation matrix). Remember, however, that these results should be regarded as only preliminary. A rigorous study of small-sample behavior would need to include more replication of each analysis (with different simulation seed values), as well as data sets of different lengths. In particular, we would expect our model to do substantially better for very long data sets, in which the empirical correlation matrix would converge to the true correlation matrix. Table 9-5 Euclidean distances between the true correlations and the correlations of the fitted models. \| True correlated pair \| Table # \| Fitted model \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| Indep. ratios \| y dep. y 1 2 \| y dep. y 1 3 \| y dep. y 2 3 \| \| y , y 1 3 \| B-1 \| 0.20 \| 0.19 \| 0.19 \| 0.20 \| \| \| B-2 \| 0.16 \| 0.14 \| 0.12 \| 0.17 \| \| \| B-3 \| 0.10 \| 0.12 \| 0.09 \| 0.11 \| \| \| B-4 \| 0.21 \| 0.22 \| 0.16 \| 0.24 \| \| \| B-5 \| 0.11 \| 0.13 \| 0.06 \| 0.12 \| \| \| B-6 \| 0.39 \| 0.43 \| 0.40 \| 0.36 \| \| \| B-7 \| 0.16 \| 0.16 \| 0.14 \| 0.17 \| \| \| B-8 \| 0.09 \| 0.10 \| 0.05 \| 0.11 \| \| \| B-9 \| 0.09 \| 0.10 \| 0.09 \| 0.12 \| \| \| B-10 \| 0.26 \| 0.27 \| 0.25 \| 0.25 \| \| \| B-11 \| 0.13 \| 0.15 \| 0.08 \| 0.13 \| \| \| B-12 \| 0.01 \| 0.35 \| 0.04 \| 0.01 \| \| \| B-13 \| 0.02 \| 0.01 \| 0.05 \| 0.17 \| \| \| B-14 \| 0.12 \| 0.15 \| 0.17 \| 0.13 \| \| \| B-15 \| 0.22 \| 0.25 \| 0.17 \| 0.23 \| \| y , y 1 2 \| C-1 \| 0.84 \| 0.81 \| 0.84 \| 0.84 \| \| \| C-2 \| 0.06 \| 0.09 \| 0.06 \| 0.07 \| \| \| C-3 \| 0.10 \| 0.16 \| 0.09 \| 0.10 \| \| \| C-4 \| 0.48 \| 0.95 \| 0.48 \| 0.48 \| \| y , y 2 3 \| D-1 \| 0.49 \| 0.53 \| 0.49 \| 0.84 \| \| \| D-2 \| 0.33 \| 0.36 \| 0.30 \| 0.39 \| \| \| D-3 \| 0.14 \| 0.19 \| 0.16 \| 0.16 \| \| \| D-4 \| 0.58 \| 0.56 \| 0.59 \| 0.60 \| \| None \| E-1 \| 0.07 \| 0.09 \| 0.07 \| 0.07 \| \| \| E-2 \| 0.07 \| 0.08 \| 0.07 \| 0.09 \| \| \| E-3 \| 0.01 \| 0.05 \| 0.02 \| 0.01 \| \| \| E-4 \| 0.15 \| 0.15 \| 0.15 \| 0.13 \| Note: Bold face used to indicate the smallest Euclidean distance for each data set. Table 9-6 Euclidean distances between the empirical correlations and the correlations of the fitted models. \| True correlated pair \| Table # \| \| \| \| \|---\|---\|---\|---\|---\| \| \| \| Indep. ratios \| y dep. y 1 2 \| y dep. y 1 3 \| \| y , y 1 3 \| B-1 \| 0.14 \| 0.15 \| 0.04 \| \| \| B-2 \| 0.20 \| 0.18 \| 0.06 \| \| \| B-3 \| 0.09 \| 0.08 \| 0.04 \| \| \| B-4 \| 0.12 \| 0.13 \| 0.06 \| \| \| B-5 \| 0.12 \| 0.12 \| 0.04 \| \| \| B-6 \| 0.47 \| 0.44 \| 0.13 \| \| \| B-7 \| 0.14 \| 0.16 \| 0.03 \| \| \| B-8 \| 0.07 \| 0.07 \| 0.05 \| \| \| B-9 \| 0.08 \| 0.07 \| 0.06 \| \| \| B-10 \| 0.14 \| 0.16 \| 0.03 \| \| \| B-11 \| 0.12 \| 0.12 \| 0.04 \| \| \| B-12 \| 0.17 \| 0.25 \| 0.17 \| \| \| B-13 \| 0.17 \| 0.17 \| 0.17 \| \| \| B-14 \| 0.20 \| 0.22 \| 0.06 \| \| \| B-15 \| 0.12 \| 0.11 \| 0.06 \| \| y , y 1 2 \| C-1 \| 0.22 \| 0.04 \| 0.22 \| \| \| C-2 \| 0.11 \| 0.08 \| 0.11 \| \| \| C-3 \| 0.10 \| 0.04 \| 0.09 \| \| \| C-4 \| 0.62 \| 0.01 \| 0.62 \| \| y , y 2 3 \| D-1 \| 0.50 \| 0.49 \| 0.50 \| \| \| D-2 \| 0.58 \| 0.58 \| 0.58 \| \| \| D-3 \| 0.14 \| 0.14 \| 0.07 \| \| \| D-4 \| 0.19 \| 0.19 \| 0.15 \| \| \| E-1 \| 0.04 \| 0.03 \| 0.04 \| \| \| E-2 \| 0.09 \| 0.09 \| 0.08 \| \| \| E-3 \| 0.03 \| 0.06 \| 0.03 \| Note: Bold face used to indicate the smallest Euclidean distance for each data set. 9.3 Alternative fitting methods As mentioned above, the performance of the dependent ratios model in this simulation study appears to be limited by the method used to fit the model to the simulated data sets. In particular, the fitting method we used, which was also used by Reese and Krzysztofowicz (1989), matches the moments of the , which may not be optimal if the ultimate goal is to match the correlations of the . This is clearly not the only possible fitting technique. For example, one could attempt to match the moments of the (while also ensuring that the means and variances of the stay within the bounds imposed by the fact that i y i x i x i y 1 0 ≤ ≤ i y ). However, this approach turns out to be complicated computationally, because of extensive nonlinearities in the system of equations to be solved, and is also over-constrained, with 7 free parameters (the means, variances, and non-zero covariance of the ), but many more constraints (three for the means of the , four for the variances of the , and a number of inequality constraints for the means, variances, and non-zero covariance of the , respectively). i y i x i x i y Another interesting approach is to explicitly attempt to minimize the Euclidean distance between the empirical and fitted correlation matrices. That approach would in some sense put all of the models on the best possible footing for comparison purposes. The resulting optimization problem has a nonlinear objective function and a mix of linear and nonlinear constraints. In this optimization problem, for the model where and are allowed to be dependent, we have 7 free parameters (the means and the variances of the , and 1 y 3 y i y ) , cov( 3 1 y y ), and 10 constraints (three each to ensure that the means and variances of the yi are within acceptable bounds, and four constraints that must be satisfied by the covariance of and ). This optimization problem is as follows: 1 y 3 y where is the correlation between and in the fitted model, is the empirical correlation obtained from the given data set, and ) , ( cor j i x x i x j x ) , (r oˆ c j i x x ) var( ) ( i i y y = σ . Let and ij j i w x x = ) , ( cor ij j i w x x ˆ ) , (r oˆ c = , for 3,2,1 = i and 4 ,..., 1 + = i j . Then the objective function of the optimization problem in (9.2) is Writing the in terms of the by means of equations 9.1 gives for example ij w i y However, solution of this optimization problem was considered beyond the scope of this dissertation. Further exploration of alternative fitting methods is left for future work.
SAFETY DATA SHEET 1. Product Identification Product name Quick Cure - 5 Adhesive Part B SDS Number 1000B00 Product type Mercaptan/Amine polymer mixture Recommended use of the chemical and restrictions on use Directed at, but not limited to, the adhesion of wood, similar and dissimilar substrates. Restrictions None known. Manufacturer/Supplier information Company name SYSTEM THREE RESINS, INC. Address 3500 W. Valley Hwy, Suite Suite 105 Auburn, WA 98001-2436 United States Telephone 1-253-333-8118 Website www.systemthree.com Email firstname.lastname@example.org Emergency Contact CHEMTREC (U.S. and CANADA) 1-800-424-9300 CHEMTREC (Outside the U.S.) 1-703-527-0585 2. Hazard(s) Identification Classification of substance or mixture/Signal Word WARNING Skin Irritation – Category 2 Serious Eye Damage – Category 1 Skin Sensitization – Category 1 GHS Label Elements Hazard Pictograms Hazard Statements/Classification of substance or mixture H312 Harmful in contact with skin. H317 May cause an allergic skin reaction. H318 Causes serious eye damage. Precautionary statements Precautionary Statements Prevention P202 Do not handle until all safety precautions have been read and understood. P264 Wash hands thoroughly after handling. P270 Do not eat, drink, or smoke when using this product. P280 Wear protective clothing, gloves, eye, and face protection. Response P301+P330+P314 IF SWALLOWED: Rinse mouth and get medical attention if you feel unwell. P302+P352 IF ON SKIN: Wash with plenty of soap and water. Storage Disposal P305+P351+P338 IF IN EYES: Rinse cautiously with water for several P337+P313 IF EYE IRRITATION PERSISTS: Get medical attention. minutes and remove contacts if present and easy to do so. Continue rinsing. P362+P364 Take off contaminated clothing and wash it before reuse. P401 Store above 32 °F / 0 °C P501 Dispose of contents and container in accordance with all local, regional, national and international regulations. Hazards not otherwise classified (HNOC) None Available. 3. Composition/Information On Ingredients \| Chemical Name \| CAS Number \| \|---\|---\| \| Polymercaptan Resin \| Trade Secret \| There are no additional ingredients present which, within the current knowledge of the supplier and in the concentrations applicable, are classified as hazardous to health or the environment and hence require reporting in this section. Occupational exposure limits, if available, are listed in Section 8. 4. First-Aid Measures Skin contact Eye contact Ingestion Remove contaminated clothing and shoes and wipe excess off skin. Flush skin with water. Follow by washing in soap and water. If irritation occurs, seek medical attention. Do not reuse clothing until cleaned. Contaminated leather articles (shoes) cannot be decontaminated and should be destroyed. Flush with water for 15 minutes holding eye lids open. Remove contacts if present and easy to do so. Seek medical attention, if irritation or symptoms of overexposure persist. If swallowed, do NOT induce vomiting. Call a physician or poison control center immediately. Never give anything by mouth to an unconscious person. Turn victim's head to the side. Inhalation Remove victim to fresh air and provide oxygen if breathing is difficult. Give artificial respiration if not breathing. Get medical attention. Indication of immediate medical attention and special treatment needed, if necessary Notes to physician Symptomatic and supportive therapy as needed. Following severe exposure medical follow-up should be monitored for at least 48 hours. Specific treatments No specific treatment. 5. Fire-Fighting Measures Suitable extinguishing media Unsuitable extinguishing media Specific hazards arising from the chemical Hazardous decomposition products Alcohol-resistant foam, Carbon dioxide (CO2), Dry chemical, Water Fog None known. Potential skin irritation. Decomposition products may include the following materials: Carbon dioxide Carbon monoxide Nitrogen oxides Special protective actions for fire-fighters Promptly isolate the scene by removing all persons from the vicinity of the incident if there is a fire. No action shall be taken involving any personal risk or without suitable training. Special protective equipment for fire- fighters Avoid contact with skin. A face shield should be worn. Use personal protective equipment. Wear self-contained breathing apparatus for fighting if necessary. Do not allow run-off from firefighting to enter drains or water courses. Fire residues and contaminated fire extinguishing water must be disposed of in accordance with local regulations. 6. Accidental Release Measures 7. Handling and Storage Precautions for safe handling Always wear protective, disposable gloves when handling epoxy products to prevent exposure. Use with adequate ventilation. Avoid breathing vapor and contact with eyes, skin and clothing. Precautions/Recommendations for safe/proper storage Store epoxy products in temperature stable environment, out of the reach of pets or children. Securely fasten container lids and tops, and prevent products from sitting and below freezing temperatures. 8. Exposure Controls/Personal Protection Occupational Exposure Limits None established. Appropriate engineering controls Environmental exposure controls Individual protection measures/Personal Eye/face protection protective equipment Hand protection Skin protection Respiratory protection Use only with adequate ventilation. If user operations generate dust, fumes, gas, vapor or mist, use process enclosures, local exhaust ventilation or other engineering controls to keep worker exposure to airborne contaminants below any recommended or statutory limits. Emissions from ventilation or work process equipment should be checked to ensure they comply with the requirements of environmental protection legislation. In some cases, fume scrubbers, filters or engineering modifications to the process equipment will be necessary to reduce emissions to acceptable levels. Do not allow spill to enter sewers or waterways. Splash-proof goggles or safety spectacles with side shields are recommended. Always wear eye protection when sanding cured epoxy resins to avoid dust in eyes. Always wear impervious gloves: butyl rubber, nitrile rubber, Neoprene, PVC disposable gloves, Wear clean, body-covering clothing to avoid skin contact. Use a NIOSH approved respiratory device when sanding cured epoxy to prevent dust in lungs. Special instructions for protection and hygiene Wear gloves at all times when handling product, avoid direct contact with skin. When finished using product, dispose of gloves properly and wash hands with warm, soapy water. 9. Physical and Chemical Properties Chemical family Mercaptan/Amine curing agent Appearance Straw-colored viscous liquid Physical State Amine mixture Form Liquid Color Clear straw-colored Odor Sulfur like Density (Specific Gravity) 9.5-9.7 lb/gal (1.1-1.2) Viscosity 8,000-12,000 cps @ 25°C pH N/A Melting point/freezing point N/A Initial boiling point and boiling range N/A Flash point >250°F, Pensky-Martens Closed Cup Evaporation rate Slower than ether Flammability (solid, gas) N/A Upper/lower flammability limit (by volume) N/A Upper flammability limit (by volume) N/A Lower flammability limit (by volume) N/A Material VOC None Vapor density Heavier than air Relative density Not determined Solubility in water Negligible Partition coefficient: n-octanol/water N/A Auto-ignition temperature N/A Decomposition temperature N/A 10.Stability and Reactivity Reactivity No specific test data related to reactivity available for this product. Chemical Stability Stable under normal conditions. Possibility of hazardous reactions Under normal conditions of storage and use, hazardous reactions will not occur. Conditions to avoid Epoxy resins and epoxy resin hardeners react with each other producing heat. They should not be mixed with each other under uncontrolled conditions or in large mass as the ensuing exotherm may result in heat and smoke, resulting in hazardous decomposition products. Incompatible materials Reactive or incompatible with the following materials: Mineral acids Hazardous decomposition products Other hazards 11. Toxicological Information Acute Health Hazard (components) No comprehensive data (ingestion, inhalation, dermal) on mixture (product). Irritation/Corrosion (components) Classifies as a skin irritant per negative Corrositex Dermal Testing results. Classifies as an eye corrosive using the bridging principles for the classification of mixtures. Sensitization No information on product itself. Mutagenicity No information on product itself. Carcinogenicity No information on product itself. Reproductive Toxicity No information on product itself. Teratogenicity No information on product itself. Specific target organ toxicity (single exposure) No information on product itself. Specific target organ toxicity (repeated exposure) Not available. Aspiration hazard Not available. Potential acute health effects Eye Contact Causes eye burns. Inhalation Not available. Skin Contact Causes skin irritation. Ingestion Harmful if swallowed. Symptoms related to the physical, chemical and toxicological characteristics Not available. Eye Contact Not available. Inhalation Not available. Skin Contact Not available. Ingestion Not available. Delayed and immediate effects and also chronic effects from short and long term exposure Potential chronic health effects Not available. Not available. General May cause sensitization by skin contact. Strong oxidizing agents Lewis acids Oxides of carbon, aldehydes, acids. None known. Carcinogenicity No known significant effects or critical hazards. Mutagenicity No known significant effects or critical hazards. Teratogenicity No known significant effects or critical hazards. Developmental effects No known significant effects or critical hazards. Fertility effects No known significant effects or critical hazards. Numerical measures of toxicity Acute toxicity estimates (ATEmix) 12. Ecological Information Ecotoxicity No information on product itself. Persistence and degradability No information on product itself. Bioaccumulative Potential No information on product itself. Mobility in Soil Soil/water partition coefficient (KOC) No information on product itself. Other adverse effects No known significant effects or critical hazards. 13. Disposal Considerations Waste from residues/ unused products Contaminated packaging The generation of waste should be avoided or minimized wherever possible. Disposal of this product, solutions and any by-products should at all times comply with the requirements of environmental protection and waste disposal legislation and any regional local authority requirements. Product should not be allowed to enter drains, water courses or the soil; dispose of this material and its containers in a safe way. Contact supplier if guidance is required. Dispose of container and unused contents in accordance with federal, state and local requirements. 14.Transport Information The data provided in this section is for information only and may not be specific to your package size or mode of transport. You will need to apply the appropriate regulations to properly classify your shipment for transportation. International Transport Regulations Regulatory information UN/NA number Proper Shipping Name Classes/PG Additional Information DOT Non-regulated TDG Non-regulated IMO/IMDG Non-regulated IATA UN3334 AVIATION REGULATED LIQUID, N.O.S. (Mercaptan-terminated polymer) Class 9 III PG: Packing group Special precautions for user: Transport within user’s premises: always transport in closed containers that are upright and secure. Ensure that persons transporting the product know what to do in the event of an accident or spillage. 15. Regulatory Information UNITED STATES U.S. Federal Regulations United States – TSCA 12(b) – Chemical export notification: None Required. United States – TSCA 5(a)2 – Final significant new use rules: Not Listed. United States – TSCA 5(a)2 – Proposed significant new use rules: Not Listed. United States – TSCA 5(e) – Substance consent order: Not listed. Clean Air Act – Ozone Depleting Substances (ODS) This product does not contain nor is it manufactured with ozone depleting substances. Clean Air Act Section 112(b) Hazardous Air Pollutants (HAPs) This product does not contain nor is it manufactured with hazardous air pollutants. California Prop. 65 This product does not contain chemicals known to the state of California to cause cancer, birth defects, or other reproductive harm. EPA SARA 302 Extremely Hazardous Substances None Required EPA SARA 302/304/311/312 Hazardous Chemicals Acute Health Hazard SARA 313 Form R – Reporting requirements None Required CERCLA Hazardous substances None Required United States inventory (TSCA 8b) All components are listed or exempted. CANADA WHMIS (Canada) Class D-2B: Material causing other toxic effects (Toxic). Canadian NPRI CEPA Toxic substances None Required None Required INTERNATIONAL REGULATIONS International Lists Australia inventory (AICS): All components are listed or exempted. Canada inventory: All components are listed or exempted. Korea inventory: All components are listed or exempted. Japan inventory: All components are listed or exempted. China inventory (IECSC): All components are listed or exempted. New Zealand inventory (NZIoC): All components are listed or exempted. Philippines inventory (PICCS): All components are listed or exempted. Taiwan inventory (CSNN): All components are listed or exempted. 16. Other Information, Including Date of Preparation or Last Revision HMIS Rating Health 2 Flammability 1 Physical Hazard 0 Date of Preparation October 18, 2018 Date of Last Revision December 13, 2016 Revision # 3.0 More Information 1-253-333-8118 Prepared by N. Kim, System Three Resins Inc. The information contained herein is based on the data available to us and is believed to be correct. However, System Three Resins, Inc. makes no warranty, expressed or implied, regarding the accuracy of these data or the results to be obtained from the use thereof. System Three assumes no responsibility for injury from the use of the product described herein.
Improvements in the Long-Term Outcome of Crohn's Disease Over the Past Two Decades and the Relation to Changes in Medical Management Citation for published version (APA): Jeuring, S. F. G., van den Heuvel, T. R. A., Liu, L. Y. L., Zeegers, M. P., Hameeteman, W. H., RombergCamps, M. J. L., Oostenbrug, L. E., Masclee, A. A. M., Jonkers, D. M. A. E., & Pierik, M. J. (2017). Improvements in the Long-Term Outcome of Crohn's Disease Over the Past Two Decades and the Relation to Changes in Medical Management: Results from the Population-Based IBDSL Cohort. American Journal of Gastroenterology, 112(2), 325-336. https://doi.org/10.1038/ajg.2016.524 Document status and date: Published: 01/02/2017 DOI: 10.1038/ajg.2016.524 Document Version: Publisher's PDF, also known as Version of record Document license: Taverne Please check the document version of this publication: * A submitted manuscript is the version of the article upon submission and before peer-review. 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Jeuring , MD 1 , 2 , Tim R.A. van den Heuvel , MSc 1 , 2 , Limmie Y.L. Liu , MSc 1 , 2 , Maurice P. Zeegers , PhD 2 , 3 , Wim H. Hameeteman , MD, PhD 1 , 2 , Mariëlle J.L. Romberg-Camps , MD, PhD 4 , Liekele E. Oostenbrug , MD, PhD 5 , Ad A.M. Masclee , MD, PhD 1 , 2 , Daisy M.A.E. Jonkers , PhD 1 , 2 and Marieke J. Pierik , MD, PhD 1 , 2 OBJECTIVES: Medical treatment options and strategies for Crohn's disease (CD) have changed over the past decades. To assess its impact, we studied the evolution of the long-term disease outcome in the Dutch Inﬂ ammatory Bowel Disease South Limburg (IBDSL) cohort. METHODS: RESULTS: In total, 1,162 CD patients were included. Three eras were distinguished: 1991–1998 ( n =316), 1999– 2005 ( n =387), and 2006–2011 ( n =459), and patients were followed until 2014. Medication exposure and the rates of hospitalization, surgery, and phenotype progression were estimated using Kaplan–Meier survival analyses and compared between eras by multivariable Cox regression models. Second, propensity score matching was used to assess the relation between medication use and the long-term outcome. Over time, the immunomodulator exposure rate increased from 30.6% in the era 1991–1998 to 70.8% in the era 2006–2011 at 5 years. Similar, biological exposure increased from 3.1% (era 1991–1998) to 41.2% (era 2006–2011). In parallel, the hospitalization rate attenuated from 65.9% to 44.2% and the surgery rate from 42.9% to 17.4% at 5 years, respectively (both P <0.01). Progression to a complicated phenotype has not changed over time (21.2% in the era 1991– 1998 vs. 21.3% in the era 2006–2011, P =0.93). Immunomodulator users had a similar risk of hospitalization, surgery, or phenotype progression as propensity score-matched nonusers ( P >0.05 for all analyses). Similar results were found for biological users ( P >0.05 for all analyses). CONCLUSIONS: Between 1991 and 2014, the hospitalization and surgery rates decreased, whereas progression to complicated disease is still common in CD. These improvements were not signiﬁ cantly related to the use of immunomodulators and biologicals. SUPPLEMENTARY MATERIAL is linked to the online version of the paper at http://www.nature.com/ajg Am J Gastroenterol 2017; 112:325–336; doi: 10.1038/ajg.2016.524 ; published online 6 December 2016 INTRODUCTION Crohn's disease (CD) is a chronic infl ammatory disease of the gastrointestinal tract, characterized by periods of active infl ammation, alternated with periods of remission ( 1–4 ). Th e prognosis of CD patients is heterogeneous and hard to predict early in the disease course ( 2,5 ). Th e current goal of CD treatment is to achieve and maintain steroid-free clinical remission and to prevent the development of structural bowel damage in the long term, such as fi stulas and abscesses, intestinal strictures, and surgery ( 6–8 ). 1 Division of Gastroenterology-Hepatology, Department of Internal Medicine, Maastricht University Medical Center , Maastricht , The Netherlands ; 2 School of Nutrition and Translational Research in Metabolism (NUTRIM), Maastricht University Medical Center , Maastricht , The Netherlands ; 3 School for Public Health and Primary Care (CAPHRI), Maastricht University Medical Center , Maastricht , The Netherlands ; 4 Department of Internal Medicine and Gastroenterology, Zuyderland Medical Center , Sittard-Geleen , The Netherlands ; 5 Department of Internal Medicine and Gastroenterology, Zuyderland Medical Center , Heerlen , The Netherlands . Correspondence: Steven F.G. Jeuring, MD, Division of Gastroenterology-Hepatology, Department of Internal Medicine, Maastricht University Medical Center , Postbox 5800 , Maastricht 6202 AZ , The Netherlands . E-mail: email@example.com Received 8 April 2016 ; accepted 4 October 2016 © 2017 by the American College of Gastroenterology Th e long-term outcome of CD is preferably studied in population-based cohorts, as these comprise an unselected patient population and therefore have good external validity ( 9–11 ). Current knowledge about the prognosis of CD is mainly based on data derived from such cohorts. A change in the clinical behavior of CD (i.e., progression from an infl ammatory to a stricturing or penetrating phenotype) occurs in 53–62% of the patients within 10 years aft er initial diagnosis ( 1,12–14 ) and surgery is required in ∼ 50% of cases within 10 years ( 1,2,15,16 ). Th ese numbers illustrate that a substantial part of the CD population has an unfavorable long-term outcome. Most outcome data derive from studies that recruited patients several decades ago, in an era in which treatment options and strategies were diff erent from now. Population-based studies have shown that the use of 5-aminosalicylic acid has decreased over the past two decades, whereas immunosuppressive therapy is more oft en prescribed ( 17,18 ). A milestone in CD management was the extension of the therapeutic armamentarium with anti-tumor necrosis factor-α (TNFα ) agents. In the Netherlands, infl iximab was the fi rst anti-TNFα agent registered in 1999 ( 19,20 ), followed by the registration of adalimumab in 2007 ( 21,22 ). Randomizedcontrolled trials and meta-analyses have shown the effi cacy of immunomodulators and anti-TNFα agents in inducing and maintaining disease remission ( 23–26 ). Whether the adoption of these treatments resulted in an improved long-term outcome of CD in general is important information for clinicians and patients, as well as for health-care planning. Th e primary aim of this study was to evaluate changes in the medical management and long-term outcome of CD between 1991 and 2014 in a large, well-characterized Dutch population-based cohort of CD patients. Th e secondary aim was to assess the relation between the use of immunomodulators and anti-TNFα agents and the long-term disease outcome. METHODS Study population and design Th e Infl ammatory Bowel Disease South Limburg (IBDSL) cohort comprises adult IBD patients who were diagnosed between 1991 and 2011 in the South Limburg area of the Netherlands. Th e South Limburg area is a well-defi ned geographic region in the southeast of the Netherlands, bordered by Belgium and Germany and is narrowly connected to the rest of the Netherlands in the north. Th e relative geographic isolation results in a low net migration rate of 2.1 per 1,000 inhabitants per year ( 27 ), favoring population-based research. A recent completeness check showed that over 93% of all eligible IBD patients in the South Limburg area is currently registered in the IBDSL cohort. For detailed information on the IBDSL cohort, we refer to the cohort profi le ( 28 ). Th e present study included all 1,162 CD patients registered in the IBDSL cohort. Patients were followed from the date of diagnosis to the end of data collection (2014), date of emigration, or date of death. Th e primary aims of the study were to assess changes in the medical management and long-term outcome of CD between The of American Journal GASTROENTEROLOGY 1991 and 2014. Disease outcome was studied in terms of (i) disease progression from an infl ammatory phenotype to either a stricturing or penetrating phenotype (i.e., phenotype progression or change in disease behavior), (ii) hospitalization, (iii) surgery, and (iv) cumulative corticosteroid (CS) use. Th e latter was assessed as the total number of days and the total dosage of CS use within the fi rst year and fi rst 5 years of the disease course. As a secondary aim, the relation between the use of immunomodulators and anti-TNFα agents and the long-term disease outcome was assessed. To study the evolution of the aforementioned end points over time, three time cohorts were distinguished, based on the year of CD diagnosis: era '91–'98 (CD diagnosis between 1991 and 1998), era '99–'05 (CD diagnosis between 1999 and 2005), and era '06–'11 (CD diagnosis between 2006 and 2011). Era '91–'98 can be referred to as the "prebiological era", as the fi rst biological agent (infl iximab) was registered in 1999 for CD in the Netherlands. Th e biological era was further equally divided in two subsequent cohorts (eras '99–'05 and '06–'11). Th is study was approved by the Medical Ethics Committee of the Maastricht University Medical Centre (NL31636.068.10) and the IBDSL cohort is registered in ClinicalTrial.gov (NCT02130349). Data collection and deﬁ nitions Demographic data, as well as clinical data on the occurrence of phenotype progression, hospitalization, and surgery, were collected from medical records by scrutinizing patient fi les using a standardized case report form. Phenotype progression was defi ned as the development of either intestinal strictures (B2) or internal fi stulas or abscesses (B3) in patients with an infl ammatory phenotype (B1), according to the Montreal consensus ( 29 ). To facilitate data comparison with older studies, disease behavior was also classifi ed according to the Vienna consensus ( 30 ). Hospitalization was defi ned as a hospital admission for CD-related complaints, CD-related surgery, or both. Elective admissions for endoscopy procedures or regular drug administration were excluded. Surgery was defi ned as the resection of a part of the bowel because of intestinal infl ammation or a CD-related complication (such as a stenosis, fi stula, or perforation). Perianal surgeries were not included in the analyses. CS treatment was defi ned as the use of a systemic CS, such as prednisone. CSs that have a local eff ect, such as budesonide, were not considered in this study. Dates of treatment initiation, cessation, and dose adjustments were retrieved from the medical records. In case no comment on the tapering regimen was specifi ed, and CSs were not used by the patient at the next visit, a standard tapering regimen of 5 mg per week was considered as from the last visit in which CS use was mentioned. Th e total cumulative dosage and the total number of days were determined including all CS prescriptions within 1 and 5 years aft er diagnosis. Th ese analyses were performed only in patients having such a long follow-up to avoid extrapolation of the data. Extrapolation could lead to an overestimation of the total CS use in more recently diagnosed patients, as follow-up is shortest in this group and the probability of requiring CS courses attenuates during disease course ( 31 ). VOLUME 112 \| FEBRUARY 2017 www.nature.com/ajg Immunomodulators comprised azathioprine, mercaptopurine, tioguanine, and methotrexate, and anti-TNFα agents considered were both agents registered in the Netherlands for CD (infl iximab and adalimumab). Dates of treatment initiation and cessation were retrieved from the medical records. Statistical analyses Continuous data were presented as means with s.d. in case of parametric data and as medians with interquartile range (IQR) in case of nonparametric data. Data were subsequently compared between eras by one-way analysis of variance or Kruskal–Wallis test, respectively. Dichotomous and nominal data were presented as absolute numbers and percentages and compared by χ 2 tests. Th e cumulative probability of event occurrence (phenotype progression, hospitalization, and surgery), as well as the cumulative probability of exposure to immunomodulators and anti-TNFα agents, was estimated by Kaplan–Meier survival statistics to adjust for diff erences in follow-up between patients. Diff erences in cumulative probabilities between groups were determined by using the log-rank test. In addition, a multivariable Cox regression analysis was used to model the association between the era of diagnosis and the event of interest, adjusting for known clinical confounders. Age at diagnosis, sex, disease location at diagnosis, disease behavior at diagnosis, and the era of diagnosis were included in all multivariable models. Diff erences in hazards between eras were expressed as hazard ratios (HRs) with 95% confi dence intervals (95% CIs). Th e proportional hazards assumption was tested for all variables by adding a time-dependent interaction term to the specifi c model. Time dependency was observed for the outcomes hospitalization and surgery. Th erefore, two models were created: one for estimating the outcome risk at diagnosis (defi ned as within 1 month aft er diagnosis) and a second model for estimating the outcome risk during follow-up (i.e., beyond 1 month aft er diagnosis). Th is approach was used because one model would lead to an underestimation of the early and an overestimation of the late risk ( 32 ) and because a diff erence in outcome risk between diagnosis and follow-up is clinically relevant. As treatment strategies have changed over time, we subsequently studied the relation between the use of immunomodulators and anti-TNFα agents and the long-term disease outcome. First, we designed propensity score models in which medication users were matched to nonusers. Second, patients were followed as from the date therapy was started (users) or a corresponding matched index date (nonusers). By using this approach, confounding by indication ( 33 ) and immune-time bias ( 34 ) were minimized, respectively. Separate models were created for immunomodulators and anti-TNFα agents for each outcome (hospitalization risk, phenotype progression risk, and surgery risk). We defi ned "users" as patients with a fi rst immunomodulator or anti-TNFα prescription within 2 years aft er CD diagnosis. Th e period of 2 years was chosen because the temporal changes in the long-term outcome were found to occur within this time span. Users and nonusers were required to have a B1 phenotype at the index date for the analyses on phenotype progression and to be surgery naive for the analyses © 2017 by the American College of Gastroenterology on surgery risk. First, a propensity score was generated for every patient, using binary logistic regression with start immunomodulator or anti-TNF α therapy within 2 years as dependent variable. Parameters known or suspected to be associated with receiving the specifi c therapy as well as with the risk of the specifi c outcome were included, i.e., age at diagnosis, sex, and early course characteristics (i.e., disease location, behavior, hospitalization, CS use, and immunomodulator use (anti-TNF α models only) within 3 months aft er diagnosis). Subsequently, medication users were matched to nonusers based on the propensity score using a 1:1 neighborhood matching method and a caliper of 0.20. Th e fi rst 3 months aft er the index date were censored, as this period is necessary to reach full therapy effi cacy and events within this time window are likely the result of reverse causation. Follow-up ended when the event of interest occurred, therapy was stopped (including six months of lag time), or the end of data collection was reached. Th e cumulative probability of event occurrence was studied by using Kaplan– Meier survival analyses and Cox regression analyses. Results were adjusted for diff erences in cumulative days of CS use before the index date between users and nonusers by including this parameter in the Cox regression models. In order to evaluate the robustness of the model, sensitivity analyses were conducted in which cutoff values of 6 and 12 months aft er CD diagnosis were used for the defi nition of "user". Results of these analyses are presented in Supplementary Table S1 . Two-sided P values of 0.05 were considered statistically signifi cant. All statistical analyses were conducted using IBM SPSS Statistics for Windows, Version 23.0. (IBM, Armonk, NY). RESULTS Patient population In total, 1,162 CD patients were included in this study. Era '91–'98 comprised 316 patients, era '99–'05 comprised 387 patients, and era '06–'11 comprised 459 patients. Th ese patients were followed for a median of 16.1 (IQR 10.3–19.3), 9.7 (IQR 8.0–11.8), and 4.2 (IQR 2.9–5.6) years, respectively. Patient characteristics are presented in Table 1 . Medical therapy Immunomodulator treatment was ever used by 704 CD patients (60.6%). Th e cumulative 5-year exposure rate increased from 30.6% (era '91–'98) to 56.7% (era '99–'05) to 70.8% (era '06–'11) ( P <0.01), see Figure 1a . In line, the time to the fi rst prescription decreased, refl ected by an increasing number of patients who commenced treatment within the fi rst year of disease: 9.1% (era '91–'98), 31.0% (era '99–'05), and 49.5% (era '06–'11) ( P <0.01). Anti-TNFα therapy was ever used by 379 CD patients (32.6%). It became available during the course of patients diagnosed in the era '91–'98, whereas it was available as from diagnosis in patients diagnosed in the eras '99–'05 and '06–'11. Th e cumulative 5-year exposure to anti-TNFα treatment increased from 3.1% (era '91–'98) to 19.9% (era '99–'05) to 41.2% (era '06–'11) ( P <0.01), see Figure 1b . As with immunomodulators, a decrease in the time to fi rst exposure was observed, refl ected by an increase in the \| \| \| Era 1991–1998 ( N =316) \| Era 1999–2005 ( N =387) \| Era 2006–2011 ( N =459) \| \| \|---\|---\|---\|---\|---\|---\| \| Agea \| Mean (s.d.) \| 3 6.2 (15.8) \| 3 7.5 (15.8) \| 3 8.8 (16.1) \| P = 0.08 \| \| Sex, male \| N (%) \| 1 21 (38.3) \| 1 37 (35.4) \| 1 76 (38.3) \| P = 0.63 \| \| Current smoker a,b \| N (%) \| 1 41 (55.3) \| 1 78 (49.4) \| 1 75 (46.3) \| P = 0.09 \| \| Disease duration in years \| M edian (IQR) \| 1 6.1 (10.3–19.3) \| 9 .7 (8.0–11.8) \| 4 .2 (2.9–5.6) \| P < 0.01 \| \| Disease location a,c \| \| \| \| \| P = 0.04 \| \| L1, ileal location \| N (%) \| 1 55 (49.1) \| 1 70 (43.9) \| 1 75 (38.1) \| \| \| L2, colon location \| N (%) \| 9 4 (29.7) \| 1 27 (32.8) \| 1 50 (32.7) \| \| \| L3, ileocolon location \| N (%) \| 6 3 (19.9) \| 80 (20.7) \| 1 24 (27.0) \| \| \| L4, only upper GI location \| N (%) \| 4 (1.3) \| 1 0 (2.6) \| 1 0 (2.2) \| \| \| Perianal disease (+p ) a \| N (%) \| 3 0 (9.5) \| 2 7 (7.0) \| 3 7 (8.1) \| P = 0.48 \| GI, gastrointestinal; IBDSL, Inﬂ ammatory Bowel Disease South Limburg; IQR, interquartile range. a At diagnosis. b Smoking status was not available in 169 cases. c Disease location according to the Montreal consensus. number of patients using anti-TNFα therapy within the fi rst year aft er diagnosis: 0% (era '91–'98), 7.1% (era '99–'05), and 21.2% (era '06–'11) ( P <0.01). Even within the biological era (eras '99–'05 and era '06–'11), a 3.2-fold increase in the early use of anti-TNFα therapy (i.e., within 1 year) was observed (adjusted HR (aHR) 3.24; 95% CI 2.10–4.99). Many patients exposed to biological therapy were on combination therapy (antiTNFα +immunomodulator) at the start of the anti-TNFα agent (43.5%) and in 10.8% an immuno modulator was (re)introduced during biological therapy. In 46.1%, the immunomodulator was withdrawn during follow-up. The of American Journal GASTROENTEROLOGY Disease behavior In total, 460 patients (39.6%) had a complicated CD behavior, of whom 205 (17.7%) already at diagnosis ( Figure 2a ). Over time, the number of patients with complicated disease at diagnosis decreased from 24.1% (era '91–'98) to 17.1% (era '99–'05) to 13.8% (era '06–'11) ( P <0.01). Th e attenuation was most profound for penetrating disease: from 9.5% in the era '91–'98, to 4.5% in the era '99–'05, and to 3.7% in the era '06–'11 ( P <0.01). Th e cumulative 5-year risk of having a complicated behavior was 40.2% in the era '91–'98, 35.1% in the era '99–'05, and 32.1% in the era '06–'11 ( P =0.06). Progression from B1 to either B2/B3 phenotype VOLUME 112 \| FEBRUARY 2017 www.nature.com/ajg during disease course was observed in 255 patients, corresponding to a cumulative 5-year probability rate of 21.6%. Over time, no change in the progression rate was observed: 21.2% (era '91–'98) vs. 21.7% (era '99–'05) vs. 21.3% (era '06–'11) ( P =0.93), see Figure 2b . Phenotype progression was found to be associated with an ileal and upper gastrointestinal location of the disease at diagnosis ( Tables 2 and 3 ). hospitalization during follow-up. Th e median number of days admitted per hospitalization decreased from 14.5 days (IQR 10.0–27.0) in the era '91–'98 to 11.0 days (IQR 7.0–18.0) in the era '99–'05 to 8.0 days (IQR 5.0–14.0) in the era '06–'11 ( P <0.01). No diff erence was found in the probability of a rehospitalization within the fi rst 5 years aft er diagnosis: 34.0% (era '91–'98) vs. 31.5% (era '99–'05) vs. 38.4% (era '06–'11) ( P =0.29). In the propensity score model for phenotype progression, 264 immunomodulator users could be matched to 264 nonusers. Th e cumulative 5-year probability of phenotype progression was 19.0% in users vs. 22.8% in nonusers that did not diff er signifi cantly between groups (aHR 1.01; 95% CI 0.60–1.71). For the anti-TNFα analyses, 110 anti-TNFα users could be matched to 110 nonusers, also resulting in a similar cumulative 5-year probability of phenotype progression between groups (21.3% vs. 21.0%, aHR 0.76; 95% CI 0.39–1.48). Results were similar in the sensitivity analyses, with cutoff values of 6 and 12 months for medication use ( Supplementary Table S1 ). Hospitalization In total, 1221 CD-related hospitalizations took place in 644 patients. Overall, the cumulative 5-year probability of hospitalization attenuated over time, from 65.9% (era '91–'98) to 53.1% (era '99–'05) and to 44.2% (era '06–'11) ( P <0.01), see Figure 3a . Part of this eff ect was found to be explained by a decrease in the hospitalization rate at diagnosis: 39.9% in the era '91–'98, 27.0% in the era '99–'05, and 21.2% in the era '06–'11 ( P <0.01) ( Table 2 ). However, if we only consider patients not hospitalized at diagnosis, the decrease in hospitalization risk remains ( Table 3 ). Patients with a complicated phenotype at diagnosis had a higher risk of © 2017 by the American College of Gastroenterology In the propensity score model for hospitalization, 352 immunomodulator users could be matched to 352 nonusers. Th e cumulative 5-year probability of hospitalization was higher in users than in nonusers (35.6% vs. 27.0%), but did not reach statistical signifi cance (aHR 1.25; 95% CI 0.86–1.80). For anti-TNFα therapy, 168 users could be matched to 168 nonusers and the cumulative 5-year probability of hospitalization was 35.1% in users and 25.1% in nonusers that also did not reach statistical signifi cance (aHR 1.13; 95% CI 0.68–1.87). Th e sensitivity analyses showed similar results ( Supplementary Table S1 ). Surgery In total, 361 patients required a total of 456 surgical resections. Surgery type and indication are shown in Table 4 . Overall, the cumulative 5-year probability of surgery gradually decreased over time, from 42.9% in the era '91–'98 to 26.2% in the era '99–'05, to 17.4% in the era '06–'11 ( P <0.01), see Figure 3b . Over time, surgeries were less oft en performed for active, luminal disease, and proportionally more oft en for stricturing disease ( P =0.03). Eighty surgeries were already performed at diagnosis, corresponding to a cumulative probability of 8.0%. Over the past two decades, the probability of undergoing surgery at diagnosis decreased from 17.1% in the era '91–'98 to 7.6% in the era '99–'05 to 2.2% in the era '06–'11 ( P <0.01). A majority of these surgical resections were performed for infl ammatory disease (76.3%), either before or shortly aft er the diagnosis was established, whereas 17.5% was operated for stricturing disease and 6.3% for penetrating disease at that time. No diff erence herein was observed between eras ( P =0.65). Results regarding the decreasing surgery risk were concordant when only patients were considered who were not operated at diagnosis: the cumulative 5-year probability in these patients was 33.2% in the era '91–'98, 20.8% in the era '99–'05, and 15.9% in the era '06–'11 ( P <0.01). Besides era of diagnosis, an ileal disease location was signifi cantly associated with an increased risk of surgery at both diagnosis and during follow-up, and a complicated phenotype at diagnosis was found to be associated with surgery during follow-up ( Tables 2 and 3 ). The of American Journal GASTROENTEROLOGY In the propensity score model for surgery, 315 immunomodulator users could be matched to 315 nonusers and the cumulative 5-year probability of surgery was similar between groups (19.2% vs. 22.8%, aHR 0.72; 95% CI 0.45–1.16, respectively). In the antiTNFα analyses, 159 users could be matched to 159 nonusers and the cumulative 5-year probability of surgery was also found to be similar between groups (24.3% vs. 21.9%, aHR 1.07; 95% CI 0.56–2.04). Results were concordant in the sensitivity analyses ( Supplementary Table S1 ). Cumulative CS use CS therapy was ever prescribed to 665 patients (57.2%). Th e cumulative 5-year exposure was 50.0% in the era '91–'98, 56.2% in the era '99–'05, and 54.8% in the era '06–'11 ( P =0.20). Although VOLUME 112 \| FEBRUARY 2017 www.nature.com/ajg Table 3 . Parameters associated with a complicated phenotype, hospitalization, and surgery during follow-up the 5-year exposure rate was similar among eras, more patients in the era '06–'11 (48.5%) than in the era '91–'98 (38.5%) had already used CS therapy within the fi rst year of disease (aHR 1.32; 95% CI 1.05–1.65). Colonic and ileocolonic location of the disease at diagnosis were associated with early CS use (aHR 2.73; 95% CI 2.18–3.41 and aHR 2.16; 95% CI 1.71–2.73 as compared with ileal location, respectively). Furthermore, an age at diagnosis of >40 years was associated with a lower need for CS therapy within the fi rst year (aHR 0.69; 95% CI 0.57–0.83). fi rst year of disease ( P =0.15 and P =0.71, respectively). In contrast, the cumulative use of CS (days and dosage) in the subsequent 4 years of disease decreased over time: from a median of 198 days (IQR 26–653)/2,320 mg (IQR 158–7,487) in the era '91–'98 to a median of 0 days (IQR 0–83)/0 mg (IQR 0–1,260) in the era '06–'11 ( P <0.01 for both outcomes). In line, the total cumulative 5-year CS use decreased over time ( P <0.01 for both days and dosage analyses), see Table 5 . Th e cumulative CS use was determined in CD patients who had a fi rst prescription within 5 years aft er diagnosis and had a followup of at least 5 years ( n =430) ( Table 5 ). Both the total number of days and the total dosage were not diff erent among eras in the © 2017 by the American College of Gastroenterology DISCUSSION In this real-life, population-based, Dutch IBDSL cohort, the long-term outcome of CD has improved over the past two Figure 3 . The cumulative risks of long-term outcome measures among the three eras. ( a ) Hospitalization and ( b ) surgical resection. The cumulative risks of hospitalization ( a ) and surgery ( b ) among the three eras. Era '91–'98, patients diagnosed between 1991 and 1998; era '99–'05, patients diagnosed between 1999 and 2005; era '06–'11, patients diagnosed between 2006 and 2011. \| \| \| Era 1991–1998 ( N =173) \| Era 1999–2005 ( N =118) \| Era 2006–2011 ( N =70) \| \|---\|---\|---\|---\|---\| \| Indication of surgery \| \| \| \| \| \| Active, luminal disease \| N (%) \| 7 9 (45.7) \| 4 1 (35.0) \| 2 4 (34.3) \| \| Stricturing disease \| N (%) \| 5 9 (34.1) \| 4 4 (37.6) \| 3 6 (51.4) \| \| Penetrating disease \| N (%) \| 2 7 (15.6) \| 3 0 (25.6) \| 8 (11.4) \| \| Other \| N (%) \| 8 (4.6) \| 3 (2.5) \| 2 (2.9) \| \| Type of surgery \| \| \| \| \| \| Ileocecal resection \| N (%) \| 135 (78.0) \| 1 00 (84.7) \| 5 4 (77.1) \| \| Colonic resection \| N (%) \| 1 9 (11.0) \| 4 (3.4) \| 7 (10.0) \| \| Right hemicolectomy \| N (%) \| 1 5 (8.7) \| 9 (7.6) \| 5 (7.1) \| decades and, in parallel, marked changes were observed in the medical management. Over time, the use of immunomodulators and anti-TNFα agents increased profoundly and these agents were prescribed earlier aft er CD diagnosis. Th e more recently diagnosed CD patients had lower hospitalization and surgery rates, both at diagnosis and on the long-term, and less days of CS exposure during their course. Although fewer patients had complicated CD in more recent eras, the risk of progression from an infl ammatory to a stricturing or penetrating phenotype has not changed. Th e use of immunomodulators or anti-TNFα agents within 2 years aft er CD diagnosis was not signifi cantly associated with a lower hospitalization, phenotype progression, or surgery rate. Nowadays, the vast majority (70.8%) of CD patients will ever use immunomodulators and nearly half (49.5%) starts treatment in the fi rst year aft er CD diagnosis. Th is is in line with observations in other large cohorts ( 15,17,18 ) and with current guidelines that advocate the use of immunomodulators as fi rst-line maintenance therapy and CS sparing agent in CD ( 6,7 ). Th e immunomodulator exposure is rather high in the IBDSL cohort, as compared with other population-based cohorts from the same era, that observed 5-year exposure rates of 45–59% ( 15,18,35 ). Nearly one-third of our CD patients diagnosed aft er the year of anti-TNF α introduction (1999) is exposed to these agents within 5 years aft er diagnosis that is also high as compared with other cohorts, such as the Copenhagen County cohort (23.3% within 7 years between 2003 and 2011) ( 36 ) and the ECCO-EpiCom cohort (19% within 1 year in 2011–2012) ( 37 ). Increasing exposure rates of immunomodulators and, in particular, anti-TNF α agents, will inevitably lead to higher medication costs The of American Journal GASTROENTEROLOGY VOLUME 112 \| FEBRUARY 2017 www.nature.com/ajg Table 5 . Cumulative corticosteroid use IQR, interquartile range. Analyses on the cumulative use of corticosteroids were performed in patients with a corticosteroid prescription within 5 years after diagnosis and a minimum follow-up of 5 years. and overtreatment looms. Although total costs for IBD care have not increased over time, the Dutch COIN study recently showed that costs for IBD medication have increased and are currently the main cost driver in IBD ( 38 ). Future studies that aim to stratify patients in order to select the optimal treatment strategy for each CD patient are warranted to avert under- and overtreatment. Induction and maintenance of steroid-free clinical remission is the primary treatment goal in CD, but data regarding the cumulative CS use are scarce. A Canadian population-based study (UMIBDED) found no change in cumulative CS use between 1995 and 2010, despite increasing immunomodulator use ( 31 ). Th e present study is the fi rst European study including this important outcome parameter and shows a clear reduction in cumulative CS use in more recently diagnosed CD patients. Th is discrepancy between studies may be explained by regional diff erences in prescription policy, but a more profound increase in the cumulative 5-year exposure rates of immunomodulators (UMIBDED: 19.8% (1995–2000) to 31.7% (2005–2009) vs. IBDSL: 30.6% (1991–1998) to 70.8% (2006–2011)) and anti-TNFα agents (UMIBDED: 5.1% (2001–2004) to 12.7% (2005–2009) vs. IBDSL: 19.9% (1999–2005) to 41.2% (2006–2010)) in our area must be acknowledged. Next, we observed that more CD patients in the era '06–'11 than in the era '91–'98 received a CS prescription within the fi rst year aft er diagnosis. Th is probably results from a high adherence to recent guidelines that advocate the use of CS for remission induction for all newly diagnosed CD patients, except for patients with limited ileal disease ( 6,7 ). Th e observed cumulative use in the fi rst year of disease in the era '06–'11 (median 79 days (IQR 48–144)/1,580 mg (IQR 840–3,060)) corresponds to approximately one course of CS (63 days, 1,505 mg), assuming a start dose of 40 mg prednisolone and a standard 8–10 weeks of tapering regime as recommended in the Dutch guideline from 2009 ( 6 ). Beyond the fi rst year aft er diagnosis, we observed a clear reduction in the cumulative CS use in more recent eras. Th is may be the result of more awareness for © 2017 by the American College of Gastroenterology steroid sparing in more recent years, a milder course of the disease (whether or not because of changes in medical therapy), an earlier diagnosis of the disease (and thus earlier start of treatment), or a combination of these factors. In all eras, a considerable number of patients suff ered from a complicated CD behavior. Over time, a reduction in the number of patients presenting with a complicated behavior was seen in the present study as well as in the cohort from Hungary ( 15 ). Th is may be explained by earlier diagnosis of CD, as strictures and internal fi stulas are considered to be the result of longstanding infl ammation and subsequent bowel damage ( 39,40 ). Regrettably, no data on the time from fi rst symptoms to diagnosis were available for study. Th e cumulative 5-year probability of having a complicated CD behavior was 35.5% in our cohort, and this is lower than reported in other population-based studies (40–55%) ( 1,13,14 ) and lower than in the landmark study from Cosnes et al. ( 12 ) on this topic (52%). Of note, previous studies oft en used the Vienna consensus ( 30 ) to classify disease behavior, in which perianal fi stulas were also considered penetrating disease. When we reclassify disease behavior accordingly ( Supplementary Figure S1 ), the proportion of patients with a complicated behavior within 5 years aft er diagnosis is more alike (43.1%). Progression from B1 to either B2 or B3 disease occurred in 21% within 5 years and was similar among the three eras, despite the earlier and higher exposure to immunomodulators and antiTNFα agents in more recent eras. Th is is of relevance, as the prevention of structural bowel damage is currently suggested as a novel therapeutic goal in CD ( 8,41 ). In parallel to an increasing use of immunomodulators and antiTNFα agents, we observed a considerable drop in the surgery rate, both at diagnosis and during follow-up, even within the biological era. Th e lower surgery rate at diagnosis may be explained by a combination of improved diagnostics, disease awareness, or a change in treatment policy. A local eff ect is suspected, as other cohorts did not fi nd such a decrease in the surgery rate at diagnosis ( 17,18 ). Th e 5-year surgery rate decreased as well, even aft er correcting for surgeries performed at diagnosis. Th is observation is in line with Danish data that show a decrease in the surgery rate from 44.7% in 1979–1986 to 19.6% in 2003–2011 ( 17 ), and with Cardiff data that show a decrease from 59% in 1986–1991 to 25% in 1998–2003 ( 18 ). Th e present study is the fi rst to include the indication of surgery and shows that the drop in surgery rate is mainly caused by a reduction in surgeries for refractory infl ammatory disease rather than complicated disease. To assess whether the temporal improvements in the longterm outcome of CD are related to the observed changes in the medical management of CD, we compared the long-term outcome of immunomodulator and anti-TNFα users with matched controls. No signifi cant association was found between the use of these agents in the fi rst 2 years of disease and the subsequent hospitalization, surgery, or phenotype progression risk. Results were concordant in the sensitivity analyses in which cutoff values of 6 months and 1 year were used for the defi nition of "user". Th erefore, the results of the present study seem to indicate that the observed improvements in the long-term outcome are mainly caused by other factors than changes in medical management, such as (local) changes in the indications for hospitalization and surgery, or disease monitoring. Referring to the latter, IBD patients are more tightly monitored nowadays: biochemically (e.g., regular checks for blood and fecal infl ammation markers), radiologically (e.g., assessment of proximal disease activity and extension), and personally (e.g., easily accessible specialized IBD nurses, adherence coaching). As a result, disease activity or disease-related complications may be recognized and treated at an earlier stage, thereby possibly preventing further progression. Previous studies refl ecting on the question of whether medication can alter the natural history of IBD did fi nd an association between the use of azathioprine and/or anti-TNFα and a lower surgery rate ( 15,42–45 ). However, not all studies adequately adjusted for confounding by indication or immune time bias. Propensity score matching is commonly used to control for confounding by indication ( 46 ), yet its performance depends on the quality of the variables included in the model. In IBD, accurate (clinical) predictors for the disease outcome are currently lacking, limiting the extent to which we can account for such confounding ( 47 ). As a result, the fi ndings from the propensity score analyses may therefore be underestimated. Referring to immune time bias ( 48 ), Targownik et al. ( 49 ) postulated that this type of bias may explain the strong benefi cial eff ects of immunomodulators and anti-TNFα agents on surgery risk or phenotype progression that were found in some observational studies. Th is may explain the discrepancy between the negative fi ndings in the present study and the positive fi ndings in others. Ultimately, because of the complexity of establishing proper models to study the relation between treatment and outcome and the large number of patients required to measure an eff ect, our fi ndings should be interpreted with care. Future studies, in particular in cohorts with more patients treated with anti-TNFα agents The of American Journal GASTROENTEROLOGY or combination therapy early in disease course, are needed to further refl ect on the question whether specifi c treatment strategies can change the natural history of CD. Th e strengths of this study reside in the prospective registration of newly diagnosed IBD patients in a well-defi ned geographical area, the large number of CD patients included and high completeness of the cohort (over 93%) ( 28 ), the long follow-up time, and the level of detail of the clinical data directly retrieved from patients' fi les rather than from administrative databases. Th is enabled us to study time trends in medical management and outcomes in an unselected CD population in real-life clinical practice. Nonetheless, several limitations have to be addressed. First, because of the observational design of the study, no causal relations can be claimed. Second, data on the diagnostic delay would have provided insight into the observed changes in disease presentation, but were not available and are diffi cult to obtain because of recall bias. Th ird, hospitalization, surgery, and cumulative CS use were used as proxy measures for a severe disease outcome. Clinical and endoscopic disease activity scores and biochemical markers would have provided additional insight, yet are very hard to collect and interpret in large, observational cohort studies. Finally, data on the cumulative CS use were retrieved from medical records rather than pharmacies, inducing a certain amount of inaccuracy. In conclusion, the hospitalization and surgery rates decreased over the past two decades, whereas progression to complicated disease is still common in CD. Th e improvements were not signifi cantly associated with the use of immunomodulators or anti-TNFα agents. Future studies should address whether novel treatment strategies, such as treat to target, can further improve the long-term outcome, in particular the risk of developing structural bowel damage. CONFLICT OF INTEREST Guarantor of the article: Marieke J. Pierik, MD, PhD. Specifi c author contributions: S.F.G.J.: Study concept and design, data collection, analysis and interpretation of data, draft ing of the manuscript, and fi nal approval of the submitted version. T.R.A.v.d.H.: Study concept and design, data collection, analysis and interpretation of data, critical revision of the manuscript, and fi nal approval of the submitted version. L.Y.L.L.: Study concept and design, data collection, analysis and interpretation of data, critical revision of the manuscript, and fi nal approval of the submitted version. M.P.Z., W.H.H., M.J.L.R.-C., L.E.O., A.A.M.M. and D.M.A.E.J.: Study concept and design, analysis and interpretation of data, critical revision of the manuscript, fi nal approval of the submitted version. M.J.P.: Study concept and design, data collection, analysis and interpretation of data, draft ing of the manuscript, critical revision of the manuscript, study supervision, and fi nal approval of the submitted version. Financial support: Part of this work was supported by funding from the European Union Seventh Framework Programme (FP7/2007– 2013) under grant agreement no. 305564. Potential competing interests: None. VOLUME 112 \| FEBRUARY 2017 www.nature.com/ajg Study Highlights WHAT IS CURRENT KNOWLEDGE [x] Over the past decades, treatment options and strategies for Crohn's disease have changed, including a more frequent use of biological therapy. [x] The long-term outcome of Crohn's disease varies widely among patients and many have an unfavorable outcome. [x] It is currently poorly understood whether the long-term outcome of Crohn's disease has improved and what role medical therapy played herein. WHAT IS NEW HERE [x] Similar, the cumulative corticosteroid use has attenuated, in particular after the ﬁ rst year of disease. [x] Between 1991 and 2014, the hospitalization and surgery rates have decreased markedly, even within the biological era. [x] The observed improvements in the long-term outcome seem not to be related to the use of immunomodulators and biologicals. [x] Progression to a complicated disease phenotype is still common, illustrating the need for further optimization of the management of Crohn's disease. REFERENCES 1. Solberg IC , Vatn MH , Hoie O et al. Clinical course in Crohn's disease: results of a Norwegian population-based ten-year follow-up study . Clin Gastroenterol Hepatol 2007 ; 5 : 1430 – 8 . 2. Wolters FL , Russel MG , Sijbrandij J et al. Phenotype at diagnosis predicts recurrence rates in Crohn's disease . Gut 2006 ; 55 : 1124 – 30 . 3. Silverstein MD , Loft us EV , Sandborn WJ et al. Clinical course and costs of care for Crohn's disease: Markov model analysis of a population-based cohort . Gastroenterology 1999 ; 117 : 49 – 57 . 4. Faubion WA Jr , Loft us EV Jr , Harmsen WS et al. Th e natural history of corticosteroid therapy for infl ammatory bowel disease: a population-based study . 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Surgical rates and medical management in a population-based inception cohort from Western Hungary between 1977-2009 . Am J Gastroenterol 2012 ; 107 : 579 – 88 . 16. Nguyen GC , Nugent Z , Shaw S et al. Outcomes of patients with Crohn's disease improved from 1988 to 2008 and were associated with increased specialist care . Gastroenterology 2011 ; 141 : 90 – 7 . 17. Rungoe C , Langholz E , Andersson M et al. Changes in medical treatment and surgery rates in infl ammatory bowel disease: a nationwide cohort study 1979-2011 . Gut 2014 ; 63 : 1607 – 16 . 18. Ramadas AV , Gunesh S , Th omas GA et al. Natural history of Crohn's disease in a population-based cohort from Cardiff (1986-2003): a study of changes in medical treatment and surgical resection rates . Gut 2010 ; 59 : 1200 – 6 . 19. Targan SR , Hanauer SB , van Deventer SJ et al. A short-term study of chimeric monoclonal antibody cA2 to tumor necrosis factor alpha for Crohn's disease. Crohn's Disease cA2 Study Group . N Engl J Med 1997 ; 337 : 1029 – 35 . 20. Hanauer SB , Feagan BG , Lichtenstein GR et al. Maintenance infl iximab for Crohn's disease: the ACCENT I randomised trial . Lancet 2002 ; 359 : 1541 – 9 . 21. Hanauer SB , Sandborn WJ , Rutgeerts P et al. Human anti-tumor necrosis factor monoclonal antibody (adalimumab) in Crohn's disease: the CLASSIC-I trial . Gastroenterology 2006 ; 130 : 323 – 33 . 22. Colombel JF , Sandborn WJ , Rutgeerts P et al. Adalimumab for maintenance of clinical response and remission in patients with Crohn's disease: the CHARM trial . Gastroenterology 2007 ; 132 : 52 – 65 . 23. Akobeng AK , Zachos M . Tumor necrosis factor-alpha antibody for induction of remission in Crohn's disease . Cochrane Database Syst Rev 2004 ; (1) : CD003574 . 24. Behm BW , Bickston SJ . Tumor necrosis factor-alpha antibody for maintenance of remission in Crohn's disease . Cochrane Database Syst Rev 2008 ; (1) : CD006893 . 25. Chande N , Tsoulis DJ , MacDonald JK . Azathioprine or 6-mercaptopurine for induction of remission in Crohn's disease . Cochrane Database Syst Rev 2013 ; (4) : CD000545 . 26. Chande N , Patton PH , Tsoulis DJ et al. Azathioprine or 6-mercaptopurine for maintenance of remission in Crohn's disease . Cochrane Database Syst Rev 2015 ; (10) : CD000067 . 27. Centraal Bureau voor de Statistiek . CBS StatLine - Bevolkingsontwikkeling; levendgeborenen, overledenen en migratie per regio 2015 . 28. van den Heuvel TR , Jonkers DM , Jeuring SF et al. Cohort profi le: the Infl ammatory Bowel Disease South Limburg Cohort (IBDSL) . Int J Epidemiol 2015 ; pii : dyv088 . 29. Satsangi J , Silverberg MS , Vermeire S et al. Th e Montreal classifi cation of infl ammatory bowel disease: controversies, consensus, and implications . Gut 2006 ; 55 : 749 – 53 . 30. Gasche C , Scholmerich J , Brynskov J et al. A simple classifi cation of Crohn's disease: report of the Working Party for the World Congresses of Gastroenterology, Vienna 1998 . Infl amm Bowel Dis 2000 ; 6 : 8 – 15 . 31. Targownik LE , Nugent Z , Singh H et al. Prevalence of and outcomes associated with corticosteroid prescription in infl ammatory bowel disease . Infl amm Bowel Dis 2014 ; 20 : 622 – 30 . 32. Kleinbaum DG , Klein M . Survival Analysis: A Self-Learning Text , 3rd edn Springer-Verlag : New York , 2012 . 33. Walker AM . Confounding by indication . Epidemiology 1996 ; 7 : 335 – 6 . 34. Suissa S . Immortal time bias in pharmaco-epidemiology . Am J Epidemiol 2008 ; 167 : 492 – 9 . 35. Vester-Andersen MK , Vind I , Prosberg MV et al. Hospitalisation, surgical and medical recurrence rates in infl ammatory bowel disease 2003-2011-a Danish population-based cohort study . J Crohns Colitis 2014 ; 8 : 1675 – 83 . 36. Vester-Andersen MK , Prosberg MV , Jess T et al. Disease course and surgery rates in infl ammatory bowel disease: a population-based, 7-year followup study in the era of immunomodulating therapy . Am J Gastroenterol 2014 ; 109 : 705 – 14 . 37. Vegh Z , Burisch J , Pedersen N et al. Treatment steps, surgery, and hospitalization rates during the fi rst year of follow-up in patients with infl ammatory bowel diseases from the 2011 ECCO-Epicom Inception Cohort . J Crohns Colitis 2015 ; 9 : 747 – 53 . 38. van der Valk ME , Mangen MJ , Leenders M et al. Healthcare costs of infl ammatory bowel disease have shift ed from hospitalisation and surgery towards anti-TNFalpha therapy: results from the COIN study . Gut 2014 ; 63 : 72 – 9 . 39. Rieder F , Zimmermann EM , Remzi FH et al. Crohn's disease complicated by strictures: a systematic review . Gut 2013 ; 62 : 1072 – 84 . 40. Scharl M , Rogler G . Pathophysiology of fi stula formation in Crohn's disease . World J Gastrointest Pathophysiol 2014 ; 5 : 205 – 12 . 41. Allen PB , Peyrin-Biroulet L . Moving towards disease modifi cation in infl ammatory bowel disease therapy . Curr Opin Gastroenterol 2013 ; 29 : 397 – 404 . 42. Picco MF , Zubiaurre I , Adluni M et al. Immunomodulators are associated with a lower risk of fi rst surgery among patients with non-penetrating non-stricturing Crohn's disease . Am J Gastroenterol 2009 ; 104 : 2754 – 9 . 43. Peyrin-Biroulet L , Oussalah A , Williet N et al. Impact of azathioprine and tumour necrosis factor antagonists on the need for surgery in newly diagnosed Crohn's disease . Gut 2011 ; 60 : 930 – 6 . 44. Kariyawasam VC , Selinger CP , Katelaris PH et al. Early use of thiopurines or methotrexate reduces major abdominal and perianal surgery in Crohn's disease . Infl amm Bowel Dis 2014 ; 20 : 1382 – 90 . The of American Journal GASTROENTEROLOGY 45. Safroneeva E , Vavricka SR , Fournier N et al. Impact of the early use of immunomodulators or TNF antagonists on bowel damage and surgery in Crohn's disease . Aliment Pharmacol Th er 2015 ; 42 : 977 – 89 . 46. Wise L . Risks and benefi ts of (pharmaco)epidemiology . Th er Adv Drug Saf 2011 ; 2 : 95 – 102 . 47. Torres J , Caprioli F , Katsanos KH et al. Predicting outcomes to optimize disease management in infl ammatory bowel diseases . J Crohns Colitis 2016 ; 10 : 1385 – 94 . 48. Suissa S . Immortal time bias in observational studies of drug eff ects . Pharmacoepidemiol Drug Saf 2007 ; 16 : 241 – 9 . 49. Targownik LE , Suissa S . Understanding and Avoiding Immortal-Time Bias in Gastrointestinal Observational Research . Am J Gastroenterol 2015 ; 110 : 1647 – 50 . VOLUME 112 \| FEBRUARY 2017 www.nature.com/ajg
What Do Stockholders Own? The Rise of the Trading Price Paradigm in Corporate Law Charles Korsmo & Minor Myers What Do Stockholders Own? The Rise of the Trading Price Paradigm in Corporate Law Charles Korsmo & Minor Myers 1 Corporate law is on the cusp of a paradigm shift—a revolution in the definition of the stockholder's entitlement. For a century, a simple proposition sat at the heart of corporate law: a share of stock may have some trading price, but in an intracorporate dispute that trading price has no necessary bearing on the value of an individual stockholder's entitlements. Instead, the stockholder's entitlement is determined by inquiring into the value of the corporate enterprise as a whole, not the individual fractionalized share. First articulated in the context of appraisal rights, this proposition has served as the Atlas of Delaware's corporate law, providing the theoretical underpinnings of its entire doctrinal universe. It's the centerpiece of the fairness standard, and it serves as a measure of damages for stockholders who suffer from unfaithful conduct by corporate managers. This traditional paradigm is foundational in the merger context, animating landmark decisions like Unocal and Revlon, for the powers and obligations of boards of directors make little sense if trading prices are the measure of the stockholders' entitlement. A new paradigm is emerging, however. In a series of important decisions, the Delaware Supreme Court has thoroughly refashioned the appraisal remedy, elevating the role of trading prices in delineating the stockholder's entitlement. These decisions have unfortunate consequences even in their native appraisal rights context. But they portend a far broader change that has thus far escaped the attention of commentators, one that goes to the very foundation of Delaware's corporate law. As we show in this Article, the Delaware Supreme Court has redefined the nature of the stockholders' entitlement, and the implications are potentially revolutionary. Most notably, the new paradigm calls into question the power of corporate directors to fight off a hostile bid. In concrete terms, it directly undermines the high-profile line of cases that culminates in the controversial 2011 Airgas v. Air Products decision. In Airgas, which has stood for a decade as the high-water mark of board power under Delaware law, the court allowed directors to repel a bidder offering a large premium to the market price by crediting the board's view that the corporation's value—and the value to which the stockholders were entitled—exceeded both the unaffected trading price and the 1. Korsmo is Professor of Law at Case Western Reserve University School of Law and Myers a Professor of Law at the University of Connecticut School of Law. We received helpful research assistance from Habib Olapade, Yale Law School Class of 2020. We have provided compensated advice on stockholder appraisal rights individually and through various entities. We received no compensation for the preparation of this article, and none of the views we express here were developed directly out of our advisory work, although, of course, general experience serves as helpful background. bidder's offer. If, as the Delaware Supreme Court suggests in its recent appraisal cases, the legal position of stockholders entitles them to nothing more than the trading price of their shares, then the justification for the board's sweeping powers in Airgas to defend the corporation against hostile suitors has been swept away. I. INTRODUCTION In a spate of recent decisions involving stockholder appraisal rights, the Delaware Supreme Court has embraced a shift in its doctrine that augurs foundational change for corporate law. These decisions have birthed a new regime in appraisal rights—a development that has attracted considerable commentary. Their greatest impact, however, may lie beyond appraisal and may be still to come. With these decisions, the Delaware Supreme Court has set loose a new conception of how trading prices bear on the stockholder's entitlement, one that would alter basic ideas surrounding mergers, stockownership, and the very nature of the corporation as a vehicle for co-ownership. Delaware's corporate law appears to be on the verge of a paradigm shift. 2 At the heart of the shift is a question that has proved enduringly confounding: How should the stockholder's interest in the corporation be measured, in dollars and cents? Although a variety of doctrines allow a court to evade the question in many circumstances, sometimes the inquiry cannot be avoided. In particular, a court might be called to evaluate the value directors or others attribute to a corporation (as in a control fight), or it might be called itself to assign some value to the corporation (as when calculating damages or performing a statutory appraisal). Where a public market exists in a corporation's shares of stock, the answer to this valuation question can seem alluringly simple: the bundle of entitlements held by the stockholder ought to be valued at an amount equal to the trading price of a share of stock. Outside of the corporate domain, this easy answer is, in fact, the law. When tax authorities, for example, must determine the value of a share of stock received by gift, the market price supplies a ready answer. Delaware, however, has famously refused this easy answer when the question involves an internal corporate dispute. 3 In deciding what value a stockholder is entitled to receive, the trading price of the stock has had little or no bearing on the determination. At some level, this answer is unavoidable, since the trading price of a share of stock represents nothing more than the market's estimate of the value of the legal entitlements belonging to the owner of the share. In the tax context, the judicial inquiry is irrelevant to the stockholder's entitlements. But in the intracorporate context, the judicial inquiry determines the entitlements of the stockholder. To attempt to determine the content of the stockholder's legal entitlements by reference to a market price that itself depends entirely on the content of those legal entitlements would be an exercise in circularity. The merger context puts these issues in the sharpest relief. For a century, Delaware has largely disregarded trading prices in this context. Instead, Delaware doctrine attends to a conceptual distinction between, on the one hand, the trading price of a marginal share 2. See THOMAS KUHN, THE STRUCTURE OF SCIENTIFIC REVOLUTIONS (1962) (describing the importance of revolutionary changes, or 'paradigm shifts', in the history of science). 3. See infra Part I. and, on the other hand, the hypothetical value of the entire corporation. 4 As the Court of Chancery noted in the landmark 1934 case of Chicago Corp. v. Munds, "no more than a moment's reflection is needed to refute" the idea that the trading price of a share of stock is "an accurate, fair reflection of its intrinsic value." 5 This conclusion was rooted not so much in a mistrust of market pricing, as such, but rather in the more fundamental insight that the market in question—for single shares of stock—was not the proper object of inquiry in a merger dispute. 6 The trading price of the stock represents the value of only the share of stock; the value of the corporation is something else, especially when the risk of opportunism is afoot. 7 As a result, in a corporate dispute at merger—whether a statutory appraisal or a fiduciary case for damages 8 —the court's focus is on "the corporation itself, as distinguished from a specific fraction of its shares." 9 In this inquiry, "the corporation is valued as an entity, not merely as a collection of assets or by the sum of the market price of each share of its stock." 10 This principle is at the heart of Delaware's most important merger doctrines. 11 In the landmark Unocal case, the supreme court endorsed a corporate board's conclusion that a pending $54 offer for the corporation was "wholly inadequate," 12 even though the stock had never traded higher than $44. 13 A board is not only empowered to reject a bid that exceeds the prevailing trading price, but it may also be compelled by its so-called Revlon duties to seek out better alternatives even where an above-market bid is in hand. 14 In Smith v. Van Gorkom, directors who assessed the adequacy of a bid by comparing it to the "current and historical stock price" were held to have committed such a basic error that they exposed themselves to personal liability. 15 Deep change is afoot in Delaware, however. Beginning in 2017, the Delaware Supreme Court has issued a series of decisions involving appraisal rights—DFC Global, Dell, Aruba, and Jarden—that announced a shift in appraisal doctrine and more broadly in the fundamental conception of the stockholder's entitlement. In all four cases, the Delaware Supreme Court expressed a newfound deference to trading prices as the measure of this entitlement. In each case, stockholders had dissented from a public company merger, seeking an amount above what the target board had negotiated. 16 In Dell, the supreme court claimed that it was difficult to conceive of a difference "between Dell's stock price and the 4. See infra notes 55–56. 5. Chicago Corp. v. Munds, 20 Del. Ch. 142, 150 (Del. Ch. 1934). 6. See infra Part I. 7. Smith v. Van Gorkom, 488 A.2d 858, 876 (Del. 1985) ("[A] publicly-traded stock price is solely a measure of the value of a minority position and, thus, market price represents only the value of a single share."). 8. See infra Part II.B. 9. Cavalier Oil Corp. v. Harnett, 564 A.2d 1137, 1145 (Del. 1989). 10. Matter of Shell Oil Co., 607 A.2d 1213, 1218 (Del. 1992) (citations and internal quotations omitted). 11. Rutherford B. Campbell, Jr., Fair Value and Fair Price in Corporate Acquisitions, 78 N.C. L. REV. 101, 127 (1999) ("[T]he discrete common-law rules respecting the determination of fair price are in many respects similar to the discrete rules respecting fair value."). 12. Unocal Corp. v. Mesa Petroleum Co., 493 A.2d 946, 950 (Del. 1985). 13. Mesa Petroleum Co. v. Unocal Corp., No. CIV. A. 7997, 1985 WL 44691, at 1 (Del. Ch. May 13, 1985), rev'd, 493 A.2d 946 (Del. 1985). 14. See generally Revlon, Inc. v. MacAndrews & Forbes Holdings, Inc., 506 A.2d 173 (Del. 1986) (establishing the requirement that a company's board of directors must try to obtain the highest price when a hostile takeover has become imminent). 15. Smith v. Van Gorkom, 488 A.2d 858, 876 (Del. 1985). 16. See infra Section II. Company's intrinsic value," for that would be "contrary to the efficient market hypothesis." 17 Pursuing this reasoning, the Court indicated that the stockholder's entitlement could best be measured by trading prices where shares trade on an efficient market. 18 In Aruba, the Supreme Court noted that a stock's trading price was "an important indicator of [the corporation's] economic value that should be given weight." 19 In Jarden, the supreme court reached the culmination of this line of reasoning. The trial court had concluded that stockholders were entitled only to the value of the pre-bid trading price. 20 On appeal, the dissenters contested this finding, pointing out that the lower court had "ignored . . . a 'long-recognized principle of Delaware law' that a corporation's stock price does not equal its fair value." 21 In affirming the lower court's decision, the supreme court proclaimed "[t]here is no 'long-recognized principle' that a corporation's unaffected stock price cannot equate to fair value." 22 In this Article, we argue that these appraisal cases represent the beginnings of a paradigm shift in Delaware's corporate law. Although we and others have explored and critiqued the appraisal cases for their appraisal law implications, this Article is the first to identify and examine the fundamental implications of these cases for corporate law generally. While we previously argued that the Delaware Supreme Court's mistakes had caused it to misapply Delaware law's conception of a stockholder's entitlement, we have now concluded that the Court has actually departed from it. In a real sense, the supreme court in the appraisal cases has simply altered its conception of the public corporation as a form of property. What a stockholder is entitled to receive in a merger depends on what claims the stockholder has as an owner of property in the first place. The longstanding paradigm in Delaware has been that the stockholder's entitlement is to a pro rata equitable claim on the value of the entire corporate estate. 23 The focus, as a result, was "on the determination of the intrinsic worth of the merged corporation, not on the distribution of shares among shareholders." 24 In the new paradigm, the stockholder's equitable claim to the corporate estate has been replaced with an interest in the share of stock as an ordinary chattel, like a gold nugget or a toaster, where the trading price is perfectly appropriate as the beginning and the end of any inquiry into value. There are thus no grounds for a stockholder to make a claim on 17. Dell, Inc. v. Magnetar Glob. Event Driven Master Fund Ltd., 177 A.3d 1, 23–24 (Del. 2017). 18. Id. at 6 (noting that the market for Dell stock was "efficient and, therefore, likely a possible proxy for fair value"). 19. Verition Partners Master Fund Ltd. v. Aruba Networks, Inc., 210 A.3d 128, 138 (Del. 2019). 20. In re Appraisal of Jarden Corp., C.A. No. 12456-VCS, 2019 Del. Ch. LEXIS 1446, at 86 (Del. Ch. Jul. 19, 2019) ("[T]he Company's high trading volume and the intense scrutiny paid it by market analysts has convinced me that the market understood Jarden's holding company structure as an operative reality, considered the high overhead costs associated with decentralized management and imputed those factors into Jarden's Unaffected Market Price."). 21. Fir Tree Value Master Fund, LP v. Jarden Corp., 236 A.3d 313, 313 (Del. 2020). 22. In re Appraisal of Jarden Corp., C.A. No. 12456-VCS, 2019 Del. Ch. LEXIS 1446, at 3 (Del. Ch. Jul. 19, 2019). 23. E.g., Global GT LP v. Golden Telecom, Inc., 993 A.2d 497, 507 (Del. Ch. 2010) (noting that, in appraisal, the Court's job is "to value the corporation itself, as distinguished from a specific fraction of its shares as they may exist in the hands of a particular shareholder"); Cavalier Oil Corp. v. Harnett, 564 A.2d 1137, 1144 (Del. 1989). 24. Harnett, 564 A.2d at 1146. the corporation that exceeds the value the market assigns to that chattel. Expressed in the conventional analytical framework, 25 Delaware now protects the stockholder's entitlement in a public corporation with a liability rule, where the stockholder's entitlement may be taken in a non-consensual exchange like a merger at any price exceeding the prevailing trading price. This paradigm shift augurs dramatic change not simply in appraisal, but in all of merger law. Most obviously, the shift will necessarily affect the basic measure of damages in other contexts. Indeed, the Court of Chancery has already confronted this scenario: a breach of fiduciary duty that gave rise to no damages because the transaction was at a premium to the market price. But perhaps the most notable doctrinal reckoning involves Unocal and its progeny, which afford directors the power to defend against the threat of acquisitions where the price is "too low." 26 That power reached is fullest expression in the 2011 Air Products v. Airgas decision, 27 a ruling that remains controversial. 28 The board of Airgas blocked a $70 acquisition offer from Air Products, even though Airgas stock had previously been trading between $40 and $50 per share. 29 The Court of Chancery held that the "inadequate price" justified the continuing defenses by Airgas, 30 bringing the control fight to an end. The continuing force of the reasoning behind Airgas is now in serious doubt. If the best evidence of the value of the corporation is the market price, as the supreme court held in Aruba, and the absence of higher bidders is sufficient demonstration of the attractiveness of the bid, as the supreme court held in DFC Global, and the opinion of informed insiders is insufficient to call into question the fairness of a market-tested bid, as the supreme court held in Dell, on what ground can Airgas still stand? It could, of course, be argued that the recent decisions are simply a tempest in the appraisal rights teapot and may not reflect a broader paradigm shift in Delaware's law. For its part, the Delaware Supreme Court itself disclaimed any novelty, even in the narrow context of appraisal. 31 The breadth of the language used in the opinions, however, is undeniable, and their implications—if taken seriously—are crystal clear. Market participants, for their part, have recognized the changes to appraisal doctrine and responded with a sharp drop in the filing of appraisal petitions. 32 This would not be the first time the Delaware Supreme Court has recently tried to hide sweeping doctrinal change beneath a 25. See generally Guido Calabresi & A. Douglas Melamed, Property Rules, Liability Rules and Inalienability: One View of the Cathedral, 85 HARV. L. REV. 1089 (1972). 26. Unocal Corp. v. Mesa Petroleum Co., 493 A.2d 946, 956 (Del. 1985). 27. Air Prod. & Chem., Inc. v. Airgas, Inc., 16 A.3d 48, 57 (Del. Ch. 2011). 28. SeeLeslie Picker,Why Airgas Was Finally Sold, for $10 Billion Instead of $5 billion, N.Y. TIMES(Sept. 5, 2016), https://www.nytimes.com/2016/09/06/business/dealbook/why-airgas-was-finally-sold-for-10-billioninstead-of-5-billion.html [https://perma.cc/2JS9-RVY6] (noting that the court outcome "was—and remains— controversial"). 29. Air Prod. & Chemicals, Inc., 16 A.3d, at 57 (Del. Ch. 2011) ("The Delaware Supreme Court has recognized inadequate price as a valid threat to corporate policy and effectiveness."). 30. Id. 31. Verition Partners Master Fund Ltd. v. Aruba Networks, Inc., 210 A.3d 128, 135 (Del. 2019) (expressing surprise at the "apparent novelty the trial judge perceived" in Dell and DFC Global and citing cases purportedly showing a "long history of giving important weight to market-tested deal prices in the Court of Chancery and this Court"). 32. Wei Jiang et al., The Long Rise and Quick Fall of Appraisal Arbitrage, 100 B.U. L. REV. 2133, 2173 (2020). veneer of "nothing-to-see-here" consistency. 33 Still, it may seem unlikely that the recent decisions mark a fundamental shift. Delaware's historic indifference to trading prices in intracorporate disputes has been the object of sustained academic criticism for more than a generation, yet the Delaware Supreme Court has doggedly rejected these criticisms. Although a mainstream view has always accepted Delaware's approach, 34 a group of influential law and economics scholars has long argued that Delaware should adopt a benchmark of corporate value tied to stock market prices. In its extreme form, this view argues that it is a matter of "economic fact" that the value of a corporation is nothing but the trading price of its shares, and that Delaware's approach must be based on "a deep suspicion of the fairness and rationality of even highly developed and well-informed markets." 35 This line of criticism has been repeatedly and unequivocally rejected in Delaware, and the appraisal cases might seem to be a peculiar vehicle for such a major reversal of course. We think it unlikely, however, that the justices either (1) did not understand the broader implications of their holdings; or (2) understood them but intended to restrict them to appraisal, thus injecting a new and deep inconsistency into Delaware's merger law. The same critics who have long urged fundamental changes in Delaware's broader merger law also advocated for precisely what the Delaware Supreme Court did in the appraisal cases, and on the same grounds as their broader objections. 36 Furthermore, the appraisal opinions deliberately echoed the language of critics of Delaware's traditional rejection of market price, declaring the identity of market prices and fair value as "economic fact." 37 Moreover, appraisal law is a natural site for initiating such a change. Just as a century ago it was in the crucible of appraisal that Delaware forged its original conception of the stockholder's entitlement. It is altogether natural that appraisal would be the vehicle for the Supreme Court to articulate its replacement. The new paradigm is, on the whole, a negative development for Delaware's corporate law and for American capital markets more generally. The new approach renders appraisal essentially nugatory, functionally eliminating a remedy with beneficial corporate governance effects. More broadly, however, it puts the public Delaware corporation at a systematic disadvantage to other forms of property as a vehicle for organizing enterprise. If the stockholder's entitlement is based on the trading price of a marginal share, rather than the value to an owner of the unified equity interests, would-be entrepreneurs or suppliers of equity capital have a diminished incentive to invest through the public corporation, with consequences for the market, for corporate control, and for the continued 33. See Charles R. Korsmo, Delaware's Retreat from Judicial Scrutiny of Mergers, 10 U.C. IRVINE L. REV. 55, 59 (2019) (noting that "the Chief Justice has argued that Corwin [v. KKR] is simply a straightforward application of long-standing Delaware doctrine" but that "[g]iven the amount of commentary Corwin has provoked, the claim that it is nothing new is, on its face, difficult to credit"). 34. See WILLIAM T. ALLEN ET AL., COMMENTARIES AND CASES ON THE LAW OF BUSINESS ORGANIZATION 157–58 (5th ed. 2016) ("[P]rices in a large, liquid, informed market for shares should be regarded as prima facie evidence of the true value of the traded shares. Whether the market price of a company's shares also reflects, in a straightforward way, the value of the entire company (or all of its equity in aggregate) is a more complicated question. . . ."). 35. William J. Carney & Keith Sharfman, The Death of Appraisal Arbitrage: Ending Windfalls for Deal Dissenters, 43 DEL. J. CORP. L. 61, 65 (2018). 36. See generally Brief of Law and Corporate Finance Professors as Amici Curiae in Support of Reversal, DFC Glob. Corp. v. Muirfield Value Partners, L.P., 172 A.3d 346 (2017) (No. 10107). 37. See infra, Part IV. vitality of public equity markets in the United States. Delaware should recommit to its historic approach that afforded a stockholder a pro rata claim on the same basket of rights in a corporation as a sole owner. 38 In the context of the corporate form, as in any other, "[i]t would be astounding if weakening well-defined property rights increased welfare." 39 The paper proceeds as follows. In Part I, we set out the historic conception of stockholder entitlements in Delaware corporate law, where the trading price was largely ignored as a measure of the stockholder's interest. In Part II we describe the series of appraisal cases in which the Supreme Court articulates a new role for trading prices in intracorporate disputes and, consequently, a distinctly new paradigm for determining the stockholder's entitlements. Part III explores the notable implications of this new paradigm for Delaware's corporate law—for fiduciary enforcement and for defensive tactics—and also offers a normative critique of the new paradigm. II. THE LONGSTANDING CONCEPTION OF THE STOCKHOLDER'S ENTITLEMENT For nearly a century, Delaware's corporate law has embraced a distinct conception of the stockholder's entitlement when resolving intracorporate disputes. The focus is on the value of the juridical entity—the corporation—and stockholders are entitled to share pro rata in that value. The value of the corporate enterprise determines the value of any shares of stock, not the other way around—even where the shares of stock are traded publicly and have an observable trading price. This Part articulates this long-prevailing conception of the stockholder's entitlements and details the ways it suffuses Delaware corporate doctrine. A. The Necessity of Defining Stockholder Entitlements at Merger What, precisely, do stockholders own? Despite its roots in the law of property, 40 corporate law struggles with the rhetoric of ownership. 41 The corporation's power as an entity to own assets in its own name is among its defining features, 42 bundling together ownership claims in a tidy and easily-transferred package. 43 But who owns the 38. E.g., Cavalier Oil Corp. v. Harnett, 564 A.2d 1137, 1145 (Del. 1989) ("More important, to fail to accord a minority shareholder the full proportionate value of [the petitioner's] shares imposes a penalty for lack of control, and unfairly enriches the majority shareholders who may reap a windfall from the appraisal process by cashing out a dissenting shareholder, a clearly undesirable result."). 39. David D. Haddock et al., Property Rights in Assets and Resistance to Tender Offers, 73 VA. L. REV. 701, 740 (1987). 40. See KRAAKMAN ET AL., THE ANATOMY OF CORPORATE LAW: A COMPARATIVE AND FUNCTIONAL APPROACH 6 (2d ed. 2009) ("The first and most important contribution of corporate law, as of other forms of organizational law, is to permit a firm . . . to serve as a single contracting party that is distinct from the various individuals who own or manage the firm."). 41. E.g., Richard A. Booth, Who Owns a Corporation and Who Cares?, 77 CHI.-KENT L. REV. 147, 177 (2001) ("The theory that a corporation is owned by its stockholders is fine for many purposes but it is too simple for others."). 42. E.g., ROBERT CLARK, CORPORATE LAW 15 (2nd ed. 1986) ("One of the law's most economically significant contributions to business life, and one often ignored by lawyers because it generates less litigation than many other contributions, has been the creation of fictional but legally recognized entities or 'persons' that are treated as having some of the attributes of natural persons."); see also Morgan Ricks, Organizational Law as Commitment Device, 70 VAND. L. REV. 1303, 1322 (2017) (noting that corporate law "allows the individual coventurers to divest themselves of all direct property interests in specific business assets"). 43. As Kenneth Ayotte and Henry Hansmann have observed, the corporation provides "a low-cost means of assembling complementary contracts into discrete bundles that can be freely transferred to a new owner, but corporation? A prominent strain of scholarly discourse regards this as a trick question. After all, nobody owns the corporation the way a person owns, say, a pair of trousers. Thus, while stockholders may own their shares, some commentators argue that this should not be confused with owning the corporation. As Leo Strine and Jonathan Macey have asserted, "[s]hareholders simply are owners of investment interests with certain contractual rights" and "are not 'owners' of the corporation in any sense of the word." 44 The stockholder's relationship to the corporation, on this view, is "purely statutory and contractual." 45 As a descriptive matter, this claim is difficult to square with judicial practice. Whether or not the colloquial understanding of the term "ownership" is useful in understanding the entitlements of stockholders, 46 Delaware's corporate law has long treated the stockholders as equitable owners of the corporation and its assets. 47 To be sure, the holder of a share of stock does not have the same set of rights over the corporation as does the owner of land held in fee simple absolute. 48 A stockholder, for example, has no power to act for the corporation, 49 and even a sole stockholder cannot exercise dominion over the property of the corporation. 50 Additionally, the stock of a corporation is fractionalized to accommodate multiple co-venturers, and at public companies the ownership stake—the stock—can be divided into billions of shares to facilitate trading and diversification. 51 Nevertheless, the stockholder plainly has some set of entitlements in the corporation. "Ownership" in this context, as in so many others, means something distinct. 52 In particular, stockholders are commonly said to have three basic entitlements: (1) a right to a pro rata share of distributions by the corporation; (2) the right to vote to elect directors only if the contracts are transferred together as a bundle." Kenneth Ayotte & Henry Hansmann, Legal Entities as Transferable Bundles of Contracts , 111 M ICH . L. R EV . 715, 717–18 (2013) ; see also T HOMAS H. J ACKSON , T HE L OGIC AND L IMITS OF B ANKRUPTCY L AW 14 (1986) ("[A] collection of assets is sometimes more valuable together than the same assets would be if spread to the winds. It is often referred to as the surplus of a goingconcern value over a liquidation value."); Ricks, supra note 42, at 1306 (arguing that the corporation and other organizations "provides a mechanism for business co-owners to relinquish their legally cognizable property interests in specific business assets" such that no future co-owner may "defect with individual business assets, thereby allowing the creation of durable asset configurations and, hence, going-concern value"). 44. Jonathan Macey & Leo E. Strine, Jr., Citizens United as Bad Corporate Law, 2019 WIS. L. REV. 451, 454. 45. Id. 46. In other contexts where the full connotations of "property" are inapt, the U.S. Supreme Court has used the term "quasi property." Int'l News Serv. v. Associated Press, 248 U.S. 215, 236 (1918) (treating "the news"— as between competing newspapers—as "quasi property, irrespective of the rights of either as against the public"). 47. Harden v. E. States Pub. Serv. Co., 122 A. 705, 706–07 (Del. Ch. 1923) ("The stockholders, however, who are to be regarded as the ultimate beneficial owners of the corporate assets, have an interest therein which equity in a proper case will protect. It is the duty of the corporation itself to proceed to redress the wrongs done to it and thus mediately to safeguard the interests of its stockholders."). 48. WILLIAM BLACKSTONE, BLACKSTONE ON PROPERTY 2 (1753) (famously describing the conventional set of powers associated with ownership as "that sole and despotic dominion which one man claims and exercises over the external things of the world, in total exclusion of the right of any other individual in the universe"). 49. See, e.g., DEL. CODE ANN . tit. 8, § 141 (1953). 50. Green v. Victor Talking Mach. Co., 24 F.2d 378, 380 (2d Cir. 1928) ("[E]ven a sole shareholder has no independent right which is violated by trespass upon or conversion of the corporation's property."). 51. General Motors, for example, has 1.4 billion shares of common stock outstanding. General Motors, Inc., Annual Report, (Form 10-K) (Dec. 31, 2019). 52. KRAAKMAN ET AL., supra note 40 at 6, n.11 ("We use the term 'owners' simply to refer to the group who have the entitlement to control the firm's assets."). and certain other matters, such as mergers; and (3) the right to compel directors to live up to their fidelity obligations. 53 Stockholders, in other words, are owners in the sense that they hold the beneficial interest in the corporate estate and also a discrete set of powers to select those who manage the corporation's affairs. As the trust beneficiary is said to "own" an equitable interest in the trust corpus, 54 the stockholder is the owner in equity of the corporation and its assets. 55 Delaware's corporate law is perfectly clear on this bedrock proposition: "The stockholders of a corporation are the equitable owners of its assets. They have a welldefined interest in its present and future welfare, including its entire policy of operation." 56 Precisely because they are equitable owners, stockholders have the power to bring a derivative action on the corporation's behalf. 57 For the same reason, they have the power to access corporate books and records. 58 While corporate doctrine thus routinely recognizes the stockholder's equitable interest in the corporation, it is rare that a court must define that interest in any detail. In some circumstances, however, courts must unavoidably confront hotly contested claims about what stockholders are entitled to receive. The most consequential is that existential event for the stockholder: the merger. 59 A merger invites, in multiple ways, the question of whether stockholders "will receive the substantial equivalent in value of the shares [they] held before the merger." 60 The doctrines surrounding mergers thus involve some of the knottiest and most contentious questions in corporate law, for they require delineation of the stockholder's entitlement—and often require it to be assigned some precise value in dollars and cents. This question arises in statutory appraisal actions, 61 of course, but is also 53. Id. at 146 ("We associate 'ownership' with rights to control an asset and the right to residual cash flows the asset produces. Common stock holds both control rights, through its powers to designate the board, and the residual claim on the corporation's assets and income."); see also Clark, supra note 42, at 13. 54. See RESTATEMENT (THIRD) OF TRUSTS § 3 (AM. L. INST. 2003); see also Taliaferro v. Taliaferro, 921 P.2d 803, 809 (1996) ("[T]he backbone of trust law is the concept of separate ownership of equitable and legal interests."). 55. See J. D. P. v. F. J. H., 399 A.2d 207, 210 n.1 (Del. 1979) ("The stockholders are the equitable owners of the property and assets of the corporation . . ."); see also Paladini v. Flink, 26 F.2d 21, 23 (9th Cir. 1928), aff'd, 279 U.S. 59 (1929) ("[T]echnically speaking, stockholders are not owners; but, in a broad popular sense, and for certain purposes in a legal sense, they are sometimes so regarded."); Lynch v. Turrish, 236 F. 653, 656 (8th Cir. 1916), aff'd, 247 U.S. 221, (1918) stating: It is true that a corporation holds the legal title of, and the right to manage, control, and convey, its property, and that a stockholder is without that title and right. But, after all, the corporation is nothing but the hand or tool of the stockholders, in which they hold its property for their benefit. They are the equitable and beneficial owners of all its property, and it is the mere holder and manager of it for them. 56. State ex rel. Waldman v. Miller-Wohl Co., 28 A.2d 148, 153 (Del. Super. Ct. 1942). 57. See, e.g., Quadrant Structured Prod. Co. v. Vertin, 115 A.3d 535, 550 (Del. Ch. 2015) ("In Delaware, the Court of Chancery permitted stockholders to assert corporate claims derivatively because the stockholders were the ultimate beneficiaries of the directors' fiduciary duties and the equitable owners of the corporation."). 58. E.g., State ex rel. Miller v. Loft, Inc., 156 A. 170, 172 (Del. Super. Ct. 1931) ("The stockholders of a corporation are the equitable owners of its assets and in an application to inspect its books their rights and interests must be considered . . ."). 59. Munds, 20 Del. Ch. at 151–52. 60. Sterling v. Mayflower Hotel Corp., 33 Del. Ch. 293, 299 (1952). 61. In certain circumstances, stockholders have the right to withdraw their pro rata share on terms set by a court—the appraisal right. DEL. CODE ANN., TITLE 8, 262 (WEST 2020). implicated in the full suite of equitable remedies available to stockholders. 62 Where corporate managers have engaged in "fraud, misrepresentation, self-dealing, deliberate waste of corporate assets, or gross and palpable overreaching," the Court of Chancery's "powers are complete to fashion any form of equitable and monetary relief as may be appropriate." 63 The claim that stockholders are not "owners," but instead have only statutory and contractual rights as security-holders, ignores the equitable stake stockholders have in the corporation. B. The Irrelevance of Trading Prices to Stockholder Entitlements Whether at law or in equity, the question at the heart of any merger dispute often boils down to the value that can be ascribed to the stockholder's entitlement. 64 Delaware's methodology for determining that value has developed over the course of a century, but the fundamental approach has remained remarkably consistent. In valuing the stockholder's entitlement at merger, the object of the inquiry in Delaware is the pro rata value of the corporation—distinct from market value of the stock, the summed value of its assets, or the summed value of the individual shares. 65 First developed in the context of statutory appraisal, this approach has been firmly incorporated into other doctrines and serves as the organizing principle of Delaware's corporate law. In fiduciary analysis—both the substantive standard of review for fiduciary behavior and also the calculation of damages arising from any breach—Delaware has firmly embraced the distinction between the price of a share and the value of the enterprise. Another significant body of Delaware law animated by this distinction is Delaware's permissive approach to defensive tactics by target boards. The entire premise for allowing directors to exercise discretion in fighting off hostile bids at a premium to the stock price is that the enterprise can command some value at sale that is distinct from the price of a single share. 1. The Statutory Right to Dissent Delaware first articulated its approach to the basic valuation inquiry in the appraisal rights context. Throughout the 1920s, the Court of Chancery consistently rejected the use of trading prices as a measure of value in intra-corporate disputes, 66 but it was in the 1934 62. See In re Dole Food Co., Inc. S'holder Litig., No. CV 8703-VCL, 2015 WL 5052214, at 44 (Del. Ch. Aug. 27, 2015) see also Cole v. Nat'l Cash Credit Ass'n, 18 Del. Ch. 47, 56 (1931) ("As a general proposition dissenting stockholders are thus put to an election by the statute. There may be circumstances, however, under which a court of equity will say that the duty to make the election does not arise."). 63. Weinberger v. UOP, Inc., 457 A.2d 701, 714 (Del. 1983). 64. E.g., Cole, 18 Del. at 55 ("The crucial point on which [the stockholders'] complaint turns is one of value—whether or not they as stockholders in one of the constituents are to receive in exchange for their present holdings, stock which has a value commensurate with the asset contribution which their company is making to the common pool."). 65. Matter of Shell Oil Co., 607 A.2d 1213, 1218 (Del. 1992) ("In the appraisal process the corporation is valued 'as an entity,' Cavalier Oil Corp. v. Harnett, 564 A.2d 1137, 1144 (Del. 1989), not merely as a collection of assets, Bell v. Kirby Lumber Corp., 413 A.2d 137 (Del. 1980), or by the sum of the market price of each share of its stock, Chicago Corp. v. Munds, 172 A. 452 (Del. Ch. 1934)."). 66. Allaun v. Consol. Oil Co., 16 Del. Ch. 318, 329 (1929) ("The worth of any testimony concerning the selling price of shares of stock as a safe reflection of the net value of the corporate assets underlying the stock is of extreme dubiousness."); Bodell v. Gen. Gas & Elec. Corp., 15 Del. Ch. 119, 137 (1926), aff'd, 15 Del. Ch. 420 case of Chicago Corp. v. Munds that the Delaware courts first squarely confronted this basic question of how, if at all, a trading price should bear on the stockholder's entitlement. 67 In Munds, the respondent corporation argued that Delaware's appraisal statute entitled the stockholder to an amount "determined exclusively by market transactions when such are available." 68 For support, the corporation relied on a New Jersey case holding that "the market value of the stock was the true criterion of the damages resulting to the stockholders" from the merger. 69 The Court of Chancery rejected this approach, despite the general reliance of Delaware courts in that era on New Jersey's judicial interpretations. 70 In the language at the heart of the appraisal statute, Delaware had departed from New Jersey's statutory text, which the Delaware legislature had otherwise copied wholesale in 1899. 71 While New Jersey's statute called for a determination of the "full market value," Delaware's called simply for an appraisal of the "value." The Munds court attached "[s]pecial interpretive significance" to this change, 72 as it represented a "material variance" in Delaware's statute. 73 "The difference in language," the court said, "persuasively demonstrates that 'value' as used in . . . our act is not synonymous with market value." 74 Having foresworn market value, the Court of Chancery set out in Munds some basic principles about the "value" due to dissenters that have endured into the present century. First, the court noted that a stockholder "buys into a corporation as a going concern." 75 Investors take "an aliquot share of a business," and in determining the value of their investment what mattered was "not alone its present asset condition and earning power but as well its future prospects as a continuing enterprise." 76 A dissenting stockholder, the Court said, should be paid for "what he is deprived of," and that was "his proportional share of an active enterprise which but for the compulsion of others he could continue to be associated with in the indefinite future." 77 In addition, the Munds court evinced a more straightforward skepticism of market values. 78 The court noted: (1927) ("[T]here is no reliability to be placed in market quotations as showing true value."); Allied Chem. & Dye Corp. v. Steel & Tube Co. of Am., 120 A. 486, 493 (Del. Ch. 1923) (rejecting the "unsound premise" that a sales price of a share of stock was "a reliable indication of the market value of the assets"). 67. Munds, 20 Del. Ch. at 146. 68. Id. 69. In re Capital Stock of Morris Canal & Banking Co., 104 N.J.L. 526, 527 (1928). This holding was embraced by Prall v. U.S. Leather Co., 143 A. 382, 382 (N.J. Sup. Ct. 1928), aff'd, 105 N.J.L. 646 (1929). 70. Wilmington City Ry. Co. v. People's Ry. Co., 38 Del. Ch. 1, 23 (1900) ("[O]ur general incorporation law as a whole and the general policy of our legislation favor, rather than rebut, the presumption that the legislature, in adopting the language of the New Jersey statute, had in mind the construction given to it by the New Jersey courts, and intended to incorporate it into the statute . . ."). 71. Munds, 20 Del. Ch. at 146–47. 72. Id. 73. Id. ("[T]he Delaware act in its original form in the matter of valuation of stock in cases of merger con-stituted a material variance from the language of the then existing general act of New Jersey. Instead of "the full market value" prescribed by New Jersey, the Delaware Legislature prescribed simply "value"). 74. Id. at 148. 75. Id. at 149. 76. Munds, 20 Del. Ch. at 455. 77. Id. 78. Id. (noting market quotations are safe to accept as unerring expressions of value). When it is said that the appraisal which the market puts upon the value of the stock of an active corporation as evidenced by its daily quotations, is an accurate, fair reflection of its intrinsic value, no more than a moment's reflection is needed to refute it. There are too many accidental circumstances entering into the making of market prices to admit them as sure and exclusive reflectors of fair value. 79 The still-recent experience of the 1929 stock market crash and subsequent gyrations clearly informed the court's thinking. 80 Other early opinions likewise suggested that market prices might reflect too many variables that ought not to bear on the judicial inquiry. 81 Even in more typical market conditions, however, the Munds court insisted that a dissenting stockholder should not be bound to receive a value that is "affected by numerous circumstances which are wholly disconnected from considerations having to do with the stock's inherent worth." 82 The court acknowledged that "[m]arket value undoubtedly is a pertinent consideration," but it should not be treated as exclusive in the statutory inquiry. 83 For fifty years following Munds, until the landmark Weinberger decision, Delaware courts applied the so-called Delaware block method in appraisal proceedings, in which the trading price of stock typically played a modest role. 84 Under the block method, corporate earnings were the primary consideration, 85 but where trading prices existed for a corporation's stock and the trading was "uninfluenced by the merger," that figure had to be at least considered in the statutory valuation. 86 The weighting of the trading price 79. Id. 80. Id. at 455 ("The experience of recent years is enough to convince the most casual observer that the market in its appraisal of values must have been woefully wrong in its estimates at one time or another within the interval of a space of time so brief that fundamental conditions could not possibly have become so altered as to affect true worth. Markets are known to gyrate in a single day. The numerous causes that contribute to their nervous leaps from dejected melancholy to exhilarated enthusiasm and then back again from joy to grief, need not be reviewed."). 81. Allaun v. Consol. Oil Co., 147 A. 257, 262 (Del. Ch. 1929) ("Too many adventitious circumstances having no connection with ultimate underlying values are apt to enter into the sale and purchase of stock to allow much weight to be given to the sale price of stock as a reflection of the sales value of the assets represented by it."). 82. Munds, 20 Del. Ch. at 455. 83. Id. 84. ERNEST L. FOLK III, FOLK ON THE DELAWARE GENERAL CORPORATION LAW 380 (1972) ("[M]arket value of stock is not controlling, although it may be, of course, an important factor in appraised value."). The Delaware block method assigned weights to figures for earnings value, market value, and asset value to derive a composite statutory value. 85. Levin v. Midland-Ross Corp., 194 A.2d 50, 57 (Del. Ch. 1963) ("earnings value should ordinarily receive primary consideration"). 86. Tri-Cont'l Corp. v. Battye, 74 A.2d 71, 74 (Del. 1950) ("Had there been an actual market value uninfluenced by the merger in existence, it would have been error to disregard it, but the absence of such an element does not require the construction of a hypothetical market value to be given effect in the final determination of value."); see also Application of Delaware Racing Ass'n, 213 A.2d 203, 211 (Del. 1965) ("It is, of course, axiomatic that if there is an established market for shares of a corporation the market value of such shares must be taken into consideration in an appraisal of their intrinsic value."). varied. 87 If the court was less confident in the market price, it would afford it less weight. 88 For example, the court weighted market value at 10% where a market existed but was "influenced somewhat by the company's buying of its own stock." 89 Where a controlling stockholder was responsible for nearly all transactions in the stock, the Court concluded that the trading prices should receive no weight. 90 By the 1970s, the Court of Chancery noted "a trend which gives market value a significant role" in appraisal proceedings. 91 The thrust was not wholesale deference to market prices but instead simply a choice to afford market prices "greater weight to such value than was customarily allotted" in earlier cases. 92 The court gave the impression it was simply adding some flexibility to the "strict rule" of Munds, which was dismissed as a "depression days ruling." 93 By the time the block method was abandoned in Weinberger, the court typically considered the market price but continued to decline to treat it as "the overriding consideration." 94 While market skepticism undoubtedly played a role at various times, 95 the enduring reason for refusing to rely too heavily on market prices is that doing so would get the inquiry backwards. The cornerstone of Delaware appraisal law, laid in Munds, is that the valuation of the individual shares must be derived from a valuation of the entire corporate estate, not the other way around. 96 As the supreme court explained in Cavalier Oil, "[t]he objective . . . is to value the corporation itself, as distinguished from a specific fraction of its shares as they may exist in the hands of a particular shareholder." 97 The ownership stake of the dissenting stockholder is, naturally, "irrelevant" to this inquiry. 98 In fulfilling its statutory mandate, then, the court first determines the value of the entity and then determines the stockholders proportionate interest. 99 The supreme court has made clear 87. In re Olivetti Underwood Corp., 246 A.2d 800, 809 (Del. Ch. 1968) (giving a 50% weight to market price and noting that "market-pricing is not controlling here, but I think it is worthy of high weight because, in the long run as in Delaware Racing, market would be the most likely way in which an investor in Underwood stock (had he been permitted to hold shares) would have realized something on his investment."); see also Jacques Coe & Co. v. Minneapolis-Moline Co., 75 A.2d 244, 246 (Del. Ch. 1950) (30% weighting of market value); In re Gen. Realty & Utilities Corp., 52 A.2d 6, 15 (Del. Ch. 1947) (25% weighting of market value). 88. Adams v. R.C. Williams & Co., 158 A.2d 797, 802 (Del. Ch. 1960) ("[T]he question of the unreliability of the market price can be considered when market value is weighted in arriving at appraised value."). 89. Swanton v. State Guar. Corp., 215 A.2d 242, 246 (Del. Ch. 1965). 90. Sporborg v. City Specialty Stores, Inc., 123 A.2d 121, 124–25 (Del. Ch. 1956) (noting the "absence of a market other than that made by one party in interest"). 91. Gibbons v. Schenley Indus., Inc., 339 A.2d 460, 474 (Del. Ch. 1975). 92. Id. 93. Id. 94. M.P.M. Enterprises, Inc. v. Gilbert, 731 A.2d 790, 797 (Del. 1999). 95. See, e.g., Rapid-Am. Corp. v. Harris, 603 A.2d 796, 806 (Del. 1992) ("Recent price changes in the stock market dramatically illustrate the defects of an overstated reliance on market price to determine a corporation's intrinsic value in an appraisal proceeding."); Glassman v. Unocal Exploration Corp., 777 A.2d 242, 248 (Del. 2001) ("[I]f the merger was timed to take advantage of a depressed market, or a low point in the company's cyclical earnings, . . . the appraised value may be adjusted to account for those factors."). 96. Cede & Co. v. Technicolor, Inc., 684 A.2d 289, 298 (Del. 1996) (noting a corporation must be valued as an operating entity). See Asaf Raz, Share Law: Toward A New Understanding of Corporate Law, 40 U. PA. J. INT'L L. 255, 313 (2018) (noting that the law surrounding appraisal rights in Delaware is "rooted in equitable considerations" and that "a determination of [shares'] true value, when they are taken from their owners, involve[s] more than looking at their market price, if they have one at all"). 97. Cavalier Oil Corp. v. Harnett, 564 A.2d 1137, 1145 (Del. 1989). 98. SeeHintmann v. Fred Weber, Inc., No. 12839, 1998 WL 83052, at 8 (Del. Ch. Feb. 17, 1998). 99. Cavalier Oil, 564 A.2d, at 1144 ("The dissenting shareholder's proportionate interest is determined that adhering to this approach avoids imposing "a penalty for lack of control and unfairly enriches the majority shareholders who may reap a windfall from the appraisal process by cashing out a dissenting stockholder, clearly an undesirable result." 100 Dissenting stockholders thus share pro rata in the value of control rights over the corporation 101 —an asset that commands a substantial premium to the market price. 102 Control is vested in the board of directors, which has the exclusive authority to agree to the terms of a merger on behalf of all stockholders. Under normal conditions, the considerable value of that control will not be reflected in trading prices. Thus, the trading price will reflect a "minority discount" relative to the full value of the stockholder's interest in the corporation. As the supreme court has recognized in a related context, the "publicly-traded stock price is solely a measure of the value of a minority position and, thus, market price reflects only the value of a single share." 103 Delaware has always recognized that the inchoate value of the control rights and the associated premium to the value of the minority stake are nevertheless part of the stockholder's entitlement. These two related concepts—the minority discount and the control premium—are central to Delaware's historic conception of stockholder entitlements. As then-Vice Chancellor Strine noted: As a practical matter, correction of a minority discount requires the court to add back a control premium to the value of the enterprise, and to spread that premium equally across all the enterprise's shares. The resulting value for a minority share is thus not what would be considered "fair market value" in valuation terms, but an artificial value that reflects policy values unique to the appraisal remedy. In simple terms, those values may be said to consist in this proposition: if a majority stockholder wishes to involuntarily squeeze-out the minority, it must share the value of the enterprise with the minority on a pro rata basis. 104 The control premium issue arises for the Court of Chancery most directly when it values a company by reference to trading prices of stock of comparable companies. 105 This methodology is problematic because these trading prices will reflect only the value of a minority stake. 106 The Court of Chancery has observed that "[b]ecause that value is not fully reflective of the intrinsic worth of the corporation on a going concern basis, this court has applied an explicit control premium in calculating the fair value of the equity in an only after the company as an entity has been valued.”). 100. Id. at 1145. 101. Application of Vision Hardware Grp., Inc., 669 A.2d 671, 677 (Del. Ch. 1995), aff'd sub nom. Young v. Vision Hardware Grp., Inc., 676 A.2d 909 (Del. 1996). 102. Gibbons, 339 A.2d at 468 (noting that "the fact that more than the market price for stock is often paid for control being [is] recognized in the corporate world"). 103. See Smith v. Van Gorkom, 488 A.2d 858, 876 (Del. 1985) (stating that the publicly traded stock price is solely a measure of a minority position and market price represents only the value of a single share). 104. Agranoff v. Miller, 791 A.2d 880, 888 (Del. Ch. 2001). 105. Borruso v. Commc'ns Telesystems Int'l, 753 A.2d 451, 457 (Del. Ch. 1999) ("There is no dispute between them that the comparable company method produces a minority valuation of the shares subject to appraisal, as has been recognized in decisions of this court."). 106. Id. at 458 (Del. Ch. 1999) ("The problem that both Huck and Kern sought to address is, as I have said, that the comparable company method of analysis produces an equity valuation that inherently reflects a minority discount, as the data used for purposes of comparison is all derived from minority trading values of the comparable companies."). appraisal proceeding." 107 Notwithstanding some variation, 108 the court has reported "consistently" using "a 30% adjustment" to the prevailing market price. 109 This approach comports with the empirical reality of merger transactions, in which the median transaction price is at a level substantially above the trading price. 110 Even when the Court of Chancery first began to rely on the transaction price in appraisal proceedings, as opposed to the market price, it hewed to this approach of inquiring after the value of the corporate enterprise. In Union Illinois, for example, the court articulated its obligation requiring a determination of "the fair value of [the company in question] as an entity." 111 And when relying on the price negotiated by the target board, the court emphasized that it felt comfortable doing so because the transactional process that gave rise to that price represented "the market's opportunity to price [the subject company] directly as an entity." 112 Under the right conditions, the merger sales process can deliver what the court has always sought: the value of the unified entity. 2. The Fair Price Analysis When Evaluating the Conduct of Fiduciaries The approach Delaware developed in the law of appraisal long ago transcended that specific context and now unifies all aspects of Delaware's merger-related doctrines. Notably, Delaware has drawn on the same valuation principles (1) when evaluating the fair price prong of the entire fairness challenge to a merger and (2) when computing damages to stockholders arising from a merger-related fiduciary breach. In these contexts, as in appraisal, the criterion that Delaware law relies upon is the value of the enterprise. When evaluating the fairness of a transaction, the Delaware Supreme Court made clear in the landmark Weinberger decision that the "concept of fairness has two basic aspects: fair dealing and fair price." 113 In evaluating the fairness of price, the Weinberger court expressly embraced the appraisal standard. Subsequent decisions have reinforced that "the economic inquiry called for by the fair price aspect [of the entire fairness test] is the same as the fair value standard under the appraisal statute." 114 By calling for an inquiry into the "value of a company," 115 the Weinberger court rejected any suggestion that a comparison to the trading price can determine the fairness of a merger. 116 The value of the company could not be determined by reference to the trading 107. Id.; see also Doft & Co. v. Travelocity.com Inc., No. CIV.A. 19734, 2004 WL 1152338, at 10 (Del. Ch. May 20, 2004) ("The equity valuation produced in a comparable company analysis does not accurately reflect the intrinsic worth of a corporation on a going concern basis. Therefore, the court, in appraising the fair value of the equity, 'must correct this minority trading discount by adding back a premium designed to correct it.'"). 108. Kleinwort Benson Ltd. v. Silgan Corp., No. CIV. A. 11107, 1995 WL 376911, at 3 (Del. Ch. June 15, 1995) ("In prior appraisal actions, this Court has rejected the use of a control premium derived from merger and acquisition data because the control premium incorporates post-merger value."). 109. Doft, 2004 WL 1152338, at 11. 110. See infra note 161. 111. Union Illinois 1995 Inv. Ltd. P'ship v. Union Fin. Grp., Ltd., 847 A.2d 340, 357 (Del. Ch. 2004). 112. Id. at 359 (emphasis added). 113. Weinberger v. UOP, Inc., 457 A.2d 701, 711 (Del. 1983). 114. ACP Master, Ltd. v. Sprint Corp., No. CV 8508-VCL, 2017 WL 3105858, at 18 (Del. Ch. July 21, 2017), opinion corrected and superseded, No. CV 8508-VCL, 2017 WL 3421142 (Del. Ch. July 21, 2017), aff'd, 184 A.3d 1291 (Del. 2018). 115. Weinberger 457 A.2d at 713 (emphasis added). 116. For example, in the early 1970s, Vice Chancellor Marvell expressed support for the idea of evaluating the fairness of a merger based in part on the trading price. See Greene v. Schenley Indus., Inc., 281 A.2d 30, 34 price for a share but instead required an inquiry into the "intrinsic or inherent value of a company's stock." 117 In this regard, the Weinberger opinion went further by eliminating the trading price from the fairness analysis and calling for a modernization of proof in appraisal proceedings. Gone was the old "Delaware block" approach, which to a limited extent called for the trial court to consider trading value, 118 as the court emphasized its desire to "obviate the very structured and mechanistic procedure that has heretofore governed such matters." 119 Two years later, the Delaware Supreme Court in Smith v. Van Gorkom delivered a vivid illustration of the irrelevance of trading price in the fiduciary analysis. The Van Gorkom defendants had attempted to demonstrate the informed nature of their decision to sell the company for $55 per share based on the raw premium over the earlier-prevailing $38 trading price. 120 The court acknowledged that a premium to the market price might be one factor bearing on a board's recommendation, but noted that a premium alone is not enough to judge the fairness of a transaction. 121 As the court pointed out, the directors had made clear their view that the trading price "consistently undervalued" the stock and failed to reflect the "inherent" worth of the company. 122 Notably, the Van Gorkom court reiterated the core distinction between the value of a single share and the value of the entire entity. The court emphasized that "a publicly-traded stock price is solely a measure of the value of a minority position and, thus, market price represents only the value of a single share." 123 For this reason, the director defendants made a category error when they "assessed the adequacy of the premium over market" by comparing it to the "current and historical stock price." 124 In contrast with the trading price, the transaction price has sometimes played a larger role in evaluating fiduciary conduct, depending on the adequacy of the transactional process giving rise to the transaction. In the context of evaluating the fairness of a transaction, for example, then-Vice Chancellor Jacobs relied on his finding of fair dealing to conclude that the resulting transactional price was fair. 125 Where "a transaction price was forged in the crucible of objective market reality," the court could regard such a market test as "strong evidence that the [negotiated transaction] price is fair." 126 The court carefully specified the precise asset that was being priced in such a transaction: "corporate control (or the corporation itself)," 127 which would not be reflected in the prior trading (Del. Ch. 1971), stating: [M]arket price, when it can be established by free trading in an open forum, is, in my opinion, the most significant element to be taken into consideration in reaching a judgment on the overall fairness of a corporate merger. It is the element which, on the whole, most attracts the attention and interest of the average investor, and is a reality of the financial world which has recently been taken into consideration by the Delaware Legislature. 117. Weinberger, 457 A.2d at 711. 118. See supra notes 79–89 and accompanying text. 119. Weinberger, 457 A.2d at 713. 120. Smith v. Van Gorkom, 488 A.2d 858, 875 (Del. 1985), overruled by Gantler v. Stephens, 965 A.2d 695 (Del. 2009). 121. Id. at 875. 122. Id. at 876. 123. Id. 124. Id. 125. Van de Walle v. Unimation, Inc., Civ. A. No. 7046, 1991 WL 29303, at 17 (Del. Ch. Mar. 7, 1991). 126. Id. 127. Id. at 18. price of the stock. Indeed, the only hesitation the court had in assessing the fairness of the transaction price in this way was the paltry premium it reflected over the pre-announcement trading price. 128 The court concluded that the pre-announcement price was, however, influenced by rumors of the transaction, and, as a result, the premium over the "uninfluenced" price was larger, consistent with the fairness conclusion. 129 3. Measuring Damages in the Fiduciary Context In setting damages arising from a fiduciary breach, Delaware doctrine has also embraced the conception of the stockholder's entitlement from the appraisal context. 130 When a transaction fails the fairness test, "the remedy could well be a damages award equal to the fair value that would have been awarded in an appraisal." 131 The damage award might exceed the appraisal standard, however, because the judicial task in the fiduciary context exceeds the charge in an appraisal. 132 The remedial goal in a fiduciary case is to "discourage disloyalty" 133 instead of merely delivering "fair value." 134 When necessary to vindicate that goal, the court will often note that its damage calculations produce outcomes that exceed what an appraisal would generate. 135 But in the absence of special aggravating factors, Delaware courts look to the appraisal inquiry to establish a baseline measure of damages in the fiduciary context. 136 128. Id. at 19 ("The only arguably problematic value criterion was the premium over market price."). 129. Id. at 20 ("What is clear, however, is that the merger price represented an above-market premium of some magnitude. In terms of a "fair price" analysis, that market premium was at worst a neutral factor, but most likely the premium was at least 17% or higher, which would evidence that the $21 merger price was fair."). 130. The fair price prong, where Delaware has embraced the principles from appraisal, is part of a standard of review for the conduct of fiduciaries. That fair price analysis "is not itself a remedial calculation." Reis v. Hazelett Strip-Casting Corp., 28 A.3d 442, 465 (Del. Ch. 2011). 131. Id. at 466. 132. Int'l Telecharge, Inc. v. Bomarko, Inc., 766 A.2d 437, 440–41 (Del. 2000) ("In an appraisal action, a court must determine the fair value of the stockholders' shares at the time of the merger. The question faced by the trial court in the instant action was determining what ITI's stockholders' 'shares would have been worth at the time of the Merger if Haan had not breached his fiduciary duties.'"). 133. Thorpe by Castleman v. CERBCO, Inc., 676 A.2d 436, 445 (Del. 1996) ("The strict imposition of penalties under Delaware law are designed to discourage disloyalty."); Guth v. Loft, Inc., 5 A.2d 503, 510 (Del. 1939) The rule, inveterate and uncompromising in its rigidity, does not rest upon the narrow ground of injury or damage to the corporation resulting from a betrayal of confidence, but upon a broader foundation of a wise public policy that, for the purpose of removing all temptation, extinguishes all possibility of profit flowing from a breach of the confidence imposed by the fiduciary relation. 134. DEL. CODE ANN. tit. 8, § 262 (2020). 135. Gesoff v. IIC Indus., Inc., 902 A.2d 1130, 1155 (Del. Ch. 2006) ("Because the court is convinced [that its remedial analysis] yields a value at least as high as a formal appraisal, the court will not perform a separate statutory appraisal, but instead, uses the value ascertained as a basis on which to compensate all individual and class plaintiffs."); Bomarko, Inc. v. Int'l Telecharge, Inc., 794 A.2d 1161, 1185 n.9 (Del. Ch. 1999), as revised (Nov. 16, 1999), aff'd, 766 A.2d 437 (Del. 2000) "([B]ecause [the defendant's] misconduct in the May–June 1992 timeframe injured ITI and devalued its shares, it is insufficient, as a remedy, to award only out-of-pocket damages measured by the actual value of ITI's shares at the time of the Merger"). 136. Reis v. Hazelett Strip-Casting Corp., 28 A.3d 442, 468 (Del. Ch. 2011) ("This case does not call for a remedy other than an award of fair value."); In re PNB Holding Co. S'holders Litig., No. Civ.A. 28-N, 2006 WL 2403999, at 32 (Del. Ch. Aug. 18, 2006) (finding that "the damages award to the Plaintiff Class is identical to the difference between the fair value of a PNB share and the merger consideration"). The appraisal inquiry serves as "a proxy for the damages that would be awarded to any of the plaintiffs if they succeed in their equitable action for breach of fiduciary duty." 137 In a fairness case, the standard remedy is keyed to any harm arising from the breach, which as then-Vice Chancellor Strine noted is simply "any deficiency between the Merger price and my assessment of fair value." 138 In this way, the "appraisal of [the target company's] shares as of the merger date . . . determine[s] the damages award for the Plaintiff Class." 139 As a matter of judicial economy, the court will often analyze the value only in circumstances "where the fair price analysis and remedial determination coincide." 140 The entire fairness inquiry is thus "the same essential inquiry as in an appraisal, albeit with more leeway to consider fairness as a range and to consider the remedial objectives of equity." 141 In some of most notable merger-related liability cases of the past decade, Delaware has looked to this appraisal-based conception of stockholder entitlements in fashioning the damages remedy. In the Rural/Metro decision, the supreme court affirmed the lower court's approach to damages that relied on "discover[ing] the 'fair value' or 'intrinsic value' of the shares held by the Class 'using the same methodologies employed in an appraisal [proceeding] . . . .'" 142 Likewise, in fashioning damages in the Southern Peru derivative case, then-Chancellor Strine sought to estimate what the buyer "should have paid" in the transaction, and looked to approaches that were customary in appraisal. 143 4. Justifying Defensive Tactics in M&A The core precept of the appraisal inquiry—that the value of the corporation is distinct from the trading price of a single share—also forms the conceptual foundation for Delaware's approach to defensive tactics by target boards. This issue is still among the most consequential in Delaware law, governing the outcome of high-stakes contests for corporate control. In the face of the rising onslaught of hostile acquisitions in the 1970s and 1980s, defense lawyers developed a set of tactics—most famously, the poison pill—with which corporate boards could fend off suitors. The tactics were defended by corporate insiders on the grounds that a company's stock price is an unreliable guide to the value of the entire enterprise. Martin Lipton, the inventor of the poison pill, argued at the time that "directors are not required to accept a takeover bid simply because it represents a premium to market." 144 In the famous Unocal case, the Delaware Supreme Court made clear that boards possessed the discretion to deploy defensive tactics of this sort, subject to an intermediate 137. Andaloro v. PFPC Worldwide, Inc., No. Civ.A. 20289, 2005 WL 2045640, at 8 (Del. Ch. Aug. 19, 2005). 138. In re PNB Holding Co. Shareholders Litig., No. Civ.A. 28-N, 2006 WL 2403999, at 22 (Del. Ch. Aug. 18, 2006). 139. Id. 140. Reis, 28 A.3d at 468. 141. PNB Hldg., 2006 WL 2403999, at 22. 142. RBC Capital Markets, LLC v. Jervis, 129 A.3d 816, 867 (Del. 2015). 143. In re Southern Peru Copper Corp. S'holder Derivative Litig., 52 A.3d 761, 816–19 (Del. Ch. 2011), aff'd sub nom. Americas Mining Corp. v. Theriault, 51 A.3d 1213 (Del. 2012). 144. Martin Lipton, Twenty-Five Years After Takeover Bids in the Target's Boardroom, 60 BUS. LAW. 1369, 1370 (2005). level of judicial scrutiny. 145 At the time, a strain of academic work advocated for a very different approach: board passivity in the face of a takeover attempt. 146 Under this view, any takeover bid above the prevailing market price was per se desirable, and any actions by a board to thwart an acquisition should receive the most searching judicial scrutiny. The Delaware Supreme Court decisively rejected this view in Unocal, deferring instead to the directors' determination that "the value of Unocal was substantially above the $54 per share offered," 147 despite the yawning gap between that offer and the prior trading price of the stock. 148 In Unocal, the supreme court afforded directors the discretion to deploy takeover defenses in response to any "threat" that faces the corporation. And in case after case Delaware courts have recognized that an offer to acquire the corporation can constitute a "threat" based on the board's opinion that the offered price is inadequate—even where that offer exceeds the prior trading price. In Paramount v. Time, for example, the court deferred to the Time board's conclusion that the Paramount offer constituted a threat to Time by comparison to "what a target board in good faith deems to be the present value of its shares." 149 Likewise, in Unitrin, the court noted that the target board had determined "that Unitrin's stock was undervalued by the market at current levels," 150 and that, in light of that estimate, the offer posed a "threat," despite being at a large premium to the market price. 151 Borrowing a term from the academic literature, the supreme court in Unitrin used the term "substantive coercion" to describe the threat posed by an inadequate offer. 152 As Ronald Gilson has observed, "the mere incantation of substantive coercion now seems sufficient to establish a threat under Unocal without any inquiry into the facts or management's explanation for the market's underpricing of the company's shares." 153 In light of the extraordinary deference, Delaware law affords boards in selecting a non-market benchmark for evaluating merger proposals, the nominally "intermediate" standard of review under Unocal amounts to something more akin to the business judgment rule. 154 145. Unocal, 493 A.2d at 956. 146. See discussion accompanying notes 279–81 and 339–43. 147. Unocal Corp. v. Mesa Petroleum Co., 493 A.2d 946, 956 (Del. 1985). 148. Mesa Petroleum Co. v. Unocal Corp., No. Civ. A. 7997, 1985 WL 44691, at 1 (Del. Ch. May 13, 1985), rev'd, 493 A.2d 946 (Del. 1985) ("During the year and a half prior to the events described hereafter, Unocal stock traded between $29.87 and $43.75 per share."). 149. Paramount Commc'ns, Inc. v. Time, Inc., 571 A.2d at 1152–53; see also Unitrin, Inc. v. Am. Gen. Corp., 651 A.2d 1361, 1384 (Del. 1995). 150. Id. at 1384. 151. Id. at 1385 (describing the threat in light of "the Board's assessment of the long-term value of Unitrin's stock"). 152. Id. The term was coined first by Gilson and Kraakman, who had suggested that Delaware apply a demanding proportionality test when an incumbent board perceives a threat arising from the inadequacy of the offer, requiring the board to produce "a coherent statement of management's expectations about the future value of the company" and "a showing of how—and when—management expects a target's stockholders to do better" than the allegedly inadequate offer. See Gilson & Kraakman, Delaware's Intermediate Standard: Is There Substance to Proportionality Review?, 44 BUS. LAW. 247, 266–68 (1989). The Delaware Supreme Court embraced the Gilson and Kraakman's terminology but not their test. See also Chesapeake Corp. v. Shore, 771 A.2d 293, 329 (Del. Ch. 2000). 153. Ronald J. Gilson, Unocal Fifteen Years Later (And What We Can Do About It), 26 DEL. J. CORP. L. 491, 498 n.23 (2001). 154. WILLIAM T. ALLEN ET AL., supra note 34, at 541 ("Unitrin makes clear how limited an 'enhancement' The Unocal line of cases reached its apogee in the Court of Chancery's 2011 Airgas decision, involving perhaps the most high-profile merger battle of the last twenty years. Air Products had offered a $70 per share for Airgas, whose stock had earlier been trading in the $40-50 range, and Air Products had successfully elected three directors to the Airgas board. The Airgas board, however, repeatedly rejected overtures from Air Products, whose offer was "clearly inadequate" in view of the Airgas board. Airgas maintained a poison pill to fend off Air Products, and Air Products filed suit challenging the continued use of the pill. The Court of Chancery upheld the Airgas board's tactics, reiterating the foundational proposition that "[t]he directors of a Delaware corporation have the prerogative to determine that the market undervalues its stock and to protect its stockholders from offers that do not reflect the long-term value of the corporation under its present management plan." 155 At bottom, the board has the discretion to fight off unwanted takeovers precisely because Delaware's jurisprudence has embraced the same bedrock principle from the state's appraisal regime, its fiduciary review, and its computation of damages: that the corporation has a value distinct from the trading price of a single share. C. The Empirical Reality of the Distinction Between Entity Value and Trading Prices Delaware's refusal to defer to trading prices has been a lightning rod for critics. The most facile version of the criticism is that Delaware courts believe "markets must be wrong," 156 and relatedly that the doctrine fails to appreciate the academic literature on market efficiency. 157 This critique of Delaware is unpersuasive, given the global renown of the state's law and judiciary. 158 Delaware's corporate law is based not on any misunderstanding of markets but instead on its definition of the stockholder's entitlement. 159 As Daniel Fischel has noted, the "most charitable interpretation" of Delaware's corporate law is that the object of the inquiry should be "the value of the company sold as a whole rather than focusing on the trading price of a single share." 160 to the business judgment rule Unocal can be.”). 155. Air Prod. & Chemicals, Inc. v. Airgas, Inc., 16 A.3d 48, 112 (Del. Ch. 2011) (quotingUnitrin , 651 A.2d at 1376). 156. Carney & Sharfman, supra note 35, at 75 ("The notion that markets must be wrong on any given day is a common one, often held by such 'casual observers.'"); id. at 65 (arguing that Delaware law embodies "a deep suspicion of the fairness and rationality of even highly developed and well-informed markets"). 157. Carney & Sharfman, supra note 35, at 75 (noting that "generations of careful theory and evidence of markets and valuation by brilliant, and in some cases, Nobel Laureate financial economists, [have] validat[ed] efficient capital markets in the scientific literature, but not in the courts"); id. at 76 ("Delaware courts have rarely seen a market that they liked or trusted."). 158. Daniel R. Fischel, Market Evidence in Corporate Law, 69 U. CHI. L. REV. 941, 961 (2002) ("[I]t is worth speculating why so many courts have been hostile to market evidence. One possibility is ignorance, although the points are so simple that this is hard to believe."). 159. FRANK H. EASTERBROOK & DANIEL R. FISCHEL, THE ECONOMIC STRUCTURE OF CORPORATE LAW 206 (1991) (noting that "an old theme in the Delaware cases" is the "difference between market and 'intrinsic value'"); Alan Schwartz, The Fairness of Tender Offer Prices in Utilitarian Theory, 17 J. LEGAL STUD. 165, 167 nn.4–5. 160. Fischel, supra note 158, at 952. Fischel offers a more sophisticated criticism, arguing that the distinction between the shares of the corporation and the entity itself is itself "specious." Id. Fischel raises two objections. The first is that "[m]inority status is just as much a characteristic of an investment as the firm's management or its business strategy, and is equally factored into the price the investor paid in the first place." Id. at 946. As we explain elsewhere, this may not be a problem for the minority stockholder who both buys her shares at a discount And, indeed, the empirical evidence on mergers makes clear that the market for entire firms is very different from the market for individual shares, with buyers in mergers consistently paying a substantial premium to the prevailing trading price. Roughly speaking, aggregated ownership of a corporation sells for around 30% more than the trading price of the marginal share. 161 The source of this premium has been described as a "continuing puzzle." 162 And it is puzzling if you assume that the trading price reflects the full value of the equity in a firm. 163 For those who hold such a belief, the most common explanation is that the premium reflects not anything latent in the firm itself, but expected efficiency gains from the merger. 164 This was the view of Easterbrook and Fischel, for example, who posited that "the gains (if any) come from the subsequent changes in the corporate structure and operations" at the target firm. 165 The historic difficulty for this view is that accounting data has not really supported it, as the premiums paid are consistently too large to be justified by efficiency gains. 166 Others have advanced alternative explanations, with varying degrees of plausibility. 167 The most natural way to understand the observed premium, however, is as a product of the fact that a merger involves, as the Delaware courts have historically recognized, an asset that is different than the fractionalized ownership claim that can be purchased on the and has them confiscated at the same discount. But it is a serious problem for the original owners of the company who can only sell the shares to minority stockholders in the first place at this discount . See Charles Korsmo & Minor Myers , Single-Owner Standard , 47 J. C ORP . L. (forthcoming Spring 2022). Second, Fischel suggests that trading prices incorporate the possibility of a change-of-control transaction. Fischel, supra note 158, at 953. As we point out elsewhere, however, this argument is circular, in that the market will only value the ability to share in the gains from a merger if the stockholders have an enforceable right to share in the gains from a merger, which is precisely what Fischel is arguing they should not have. See Korsmo & Myers, supra note 160. 161. The average one-week acquisition premium between 1990 and 2015 was 36%. See Benjamin Bennett & Robert Dam, Merger Activity, Stock Prices, and Measuring Gains from M&A, Table 1 (Feb. 20, 2021), https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3000574 [https://perma.cc/HC4V-JM2Z]. Earlier periods were no different: The median bid premium was approximately 38% during the 1990s was approximately and 35% during the 1980s. K. J. Martijn Cremers et al., Takeovers and the Cross-Section of Returns, 22 REV. FIN. STUD. 1409, 1410 n.1 (2009). 162. Bernard S. Black, Bidder Overpayment in Takeovers, 41 STAN. L. REV. 597, 598 (1989). 163. E.g., William J. Carney & Mark Heimendinger, Appraising the Nonexistent: The Delaware Court's Struggle with Control Premiums, 152 U. PA. L. REV. 845, 858 (2003) ("The basic conclusion of the Efficient Capital Markets Hypothesis (ECMH) is that market values of companies shares traded in competitive and open markets are unbiased estimates of the value of the equity of such firms."); Easterbrook & Fischel, supra note 158, at 207 (arguing that "neither logic nor data supports the belief that there is a difference between the current price and intrinsic value"). 164. See generally Michael Bradley et al., Synergistic Gains from Corporate Acquisitions and Their Division Between the Stockholders of Target and Acquiring Firms, 21 J. FIN. ECON. 3 (1988); Jensen, The Takeover Controversy: Analysis & Evidence, 4 MIDLAND CORP. FIN. J. 6 (1986). 165. EASTERBROOK & FISCHEL, supra note 159, at 163. 166. See Richard E. Caves, Effects of Mergers and Acquisitions on the Economy: An Industrial Organization Perspective, in THE MERGER BOOM 149, 150 (L. Browne & E. Rosengren eds., Fed. Rsrv. Bank of Bos. 1987). 167. Black, supra note 162, at 599 (arguing that the premium, which exists due to bidders overpaying for targets, does not ultimately affect the bidders' market price because "investors already expect the bidder to waste the money, one way or another."). Lynn Stout has suggested that the premium paid in a merger simply reflects a downward-sloping demand curve for the target's stock. Lynn A. Stout, Are Takeover Premiums Really Premiums? Market Price, Fair Value, and Corporate Law, 99 YALE L.J. 1235, 1295–96 (1990). In particular "[i]f the bidder who buys a controlling block of shares in a target firm is 'cornering the market' in a unique good with limited supply, it seems natural that buying larger and larger quantities of stock should inevitably bid up the market price." Id. at 1236. stock market. A merger delivers an aggregated ownership interest in a corporation, while open-market purchases of shares can only, as a practical matter, involve fractionalized claims. 168 This assembled ownership interest is valuable, and the trading price of single shares will not typically reflect this value. 169 Purchasing shares, or even blocks of shares will never result in a change in corporate control. As a result, the buyer in a merger acquires and pays for the assembled entity, something different than what an investor buys through a stock market. In this sense, the premium is not a premium at all; it is simply the marketclearing price for a different asset than what trades over stock exchanges. 170 By giving the board the power to block a transaction under Unocal and its progeny, and an obligation to seek the highest price reasonably available under Revlon and its progeny, Delaware law puts the board in the traditional position of a sole owner of an asset—who has the right to say no to any sale, and the incentive to get the highest price available. 171 As the Delaware Court of Chancery acknowledged in the landmark case of Moran v. Household International, corporate law empowers boards of directors to "to extract concessions from an acquiror which it otherwise would not secure, or to deter the acquisition effort entirely." 172 These powers are utterly conventional in the American law of property. 173 Corporate law simply replicates in the board the power of any traditional owner of a conventional asset to negotiate over control of that asset—a power no individual shareholder possesses. As a result, the price should approximate what a single owner of the whole corporation would receive. 174 This, of course, is a choice on Delaware's part. The distinction between the deal market and the market for single shares would not exist (at least in the same way) if Delaware denied boards the powers it currently gives them. 175 Likewise, the observed 168. See Jeffrey N. Gordon & Lewis A. Kornhauser, Efficient Markets, Costly Information, and Securities Research, 60 N.Y.U. L. REV. 761, 825 n.173 (1985) ("Where the asset in question—control—is not readily divisible and trading is 'lumpy' (a firm makes an acquisition or does not), the prevailing share price will not necessarily perform the clearing function."). 169. Ann Lipton, Shareholder Divorce Court, 44 J. CORP. L. 297, 337 (2018) If one assumes that open and developed markets efficiently price stocks at their true value, the premium is likely to represent the fact that stock aggregated into a single controlling block, without the need to cater to a minority shareholder base, is more valuable than dispersed stock, for a variety of reasons (including synergies from the combination of complementary businesses, elimination of the transaction costs of dealing with minority shareholders, reduction of agency costs associated with a lack of control, and the benefits a controlling shareholder can extract when implementing new business plans). 170. See, e.g., Jeffrey N. Gordon & Lewis Kornhauser, Efficient Markets, Costly Information, and Securities Research, 60 N.Y.U. L. REV. 761, 825 (1985) ("[T]he market in shares generally and the market in all (or substantially all) of the shares of a specific firm may be very different markets."). 171. E.g., THOMAS MERRILL & HENRY SMITH, PROPERTY: PRINCIPLES AND POLICIES 32 (3d ed. 2017) (noting as a general matter that "the law allows the owner of the resource to repel any and all intrusions that do not have the owner's consent"); see generally Guido Calabresi & A. Douglas Melamed, Property Rules, Liability Rules, and Inalienability: One View of the Cathedral, 85 HARV. L. REV. 1089 (1972). 172. Moran v. Household Int'l, Inc., 490 A.2d 1059, 1083 (Del. Ch. 1984), aff'd, 500 A.2d 1346 (Del. 1985) (disapproved of by Tooley v. Donaldson, Lufkin & Jenrette, Inc., 845 A.2d 1031 (Del. 2004)). 173. E.g., MERRILL & SMITH, supra note 171, at 961 ("[P]roperty rights are strongly associated with 'property rule' protection."). 174. Korsmo & Myers, supra note 160. 175. Jonathan Macey, Displacing Delaware: Can the Feds Do a Better Job Than the States in Regulating Takeovers?, 57 BUS. LAW. 1025, 1039 (2002) (noting "the common sense intuition that, despite the fact that takeover premium would surely be lower and perhaps might not exist at all. 176 But the regime Delaware has long embraced vests the board with the power to aggregate the interests in the corporation into a single sale and negotiate such that the target stockholders share in the gains from selling that unified interest. D. The Use of Trading Prices When Not Fixing Stockholder Entitlements As further evidence that the Delaware courts do not simply misunderstand the notion of market efficiency, Delaware courts have been far more willing to defer on the trading price when valuing a share of stock in contexts—unlike the merger context—that do not simultaneously involve the definition of the stockholders' entitlements. The use of trading prices in corporate disputes is context-dependent, 177 a hallmark of Delaware law generally. 178 As far back as Munds, Delaware courts observed that "for many purposes market values when they exist are accepted by the courts as the values to be taken for the admeasurement of damages." 179 The trading price of a share of stock might be the appropriate yardstick of damages in a conversion action, for example. 180 A plaintiff would not suffer under that standard because "the plaintiff can easily step into the market and replace presumably at the quoted prices the chattels or stock which the defendant converted" and so "[p]aying him the market price puts him as a rule in position to restore what was taken from him." 181 The same logic does not apply in an end-period transaction like a merger that cancels the dissenter's stock by operation of law. As the Munds court observed: [H]ow can the payment to the holder of stock of its market value put him in the way of restoring his position as a continuing part owner of a going corporation, when a merger has destroyed its individual identity and wiped out of existence all the stock of the kind he owned? As there is none in existence, none is available to be bought. The only restoration that can be made to him is to substitute for the vanished stock its intrinsic worth, and if the market quotations are lower than what all the relevant facts that bear on value show it to have been worth, he should not be compensated according to the market's estimate. 182 poison pills and other anti-takeover devices are subject to abuse, such devices provide incumbent managers with greater power to negotiate with outside bidders, and this greater negotiating power results in higher premiums for target firm shareholders"). 176. EASTERBROOK & FISCHEL, supra note 159, at 204 (noting that the existing "legal rules and private devices that facilitate auctioneering" at the board level "lead to higher premiums when offers occur"). 177. Bodell v. Gen. Gas & Elec. Corp., 15 Del. Ch. 119, 137 (1926), aff'd, 15 Del. Ch. 420, (1927) ("The case of Hodgman v. Atlantic Refining Co. is cited in support of the proposition that the market value of stock is a proper criterion to accept as the price at which directors ought to issue similar stock. The case does not so hold. Market value was referred to in that case for the purpose of measuring damages and no more. That is an entirely different proposition from that with which we are here concerned."). 178. E.g., McMullin v. Beran, 765 A.2d 910, 918 (Del. 2000) ("The statutory duties and common law fiduciary responsibilities that directors of a Delaware corporation are required to discharge depends upon the specific context that gives occasion to the board's exercise of its business judgment."). 179. Munds, 20 Del. Ch. at 152. 180. Id. 181. Id. 182. Id. at 151–52. This contextual sensitivity is characteristic of Delaware law. In Applebaum v. Avaya, for example, the court was comfortable relying on market prices in valuing fractional shares canceled in a reverse stock split. 183 Section 155(2) entitles holders cashed out in such fashion to the "fair value of fractions of a share," and the plaintiff argued that the meaning of "fair value" should mirror the meaning in the appraisal context. The court found the analogy inapt. While leaving open the possibility of insisting on an appraisal-informed inquiry of opportunism, 184 the court noted that stockholders who were cashed out could reinvest the proceeds directly back into the company on the same terms if they desired. In short, "[a] payment based on market price is appropriate because it will permit the stockholders to reinvest in Avaya, should they wish to do so." 185 III. THE EMERGENCE OF A NEW PARADIGM In a recent series of opinions, the Delaware Supreme Court has reoriented the stockholder's appraisal right, and in doing so it has also articulated a new conception of stockholder entitlements, one that is far more tied to trading prices than Delaware's historic practice. These cases constitute a shift in the basic paradigm through which Delaware conceives of the stockholder's entitlement in the public corporation. A. The First Signs of a Shift: DFC Global and Dell The first indication of a new paradigm came in 2017 with DFC Global and Dell. In both cases, the lower court had found a statutory fair value in excess of the negotiated transaction price. In both cases, the Delaware Supreme Court vacated the trial court's determination and faulted the lower court for failing to afford sufficient weight to the price negotiated by the target company board. In DFC Global, the Delaware Supreme Court held that, in light of the attributes of the sales process leading to the deal, the trial court had abused its discretion by giving only a one-third weighting to the deal price. 186 The underlying transaction, the supreme court emphasized, exhibited three important characteristics: (1) it was the product of an extended sales process involving strategic and financial buyers, (2) it involved an arm's length sale to a third-party buyer, and (3) it carried "no hint" of self-interest that undermined the process. 187 In light of these findings, the supreme court noted that "economic principles suggest that the best evidence of fair value was the deal price." 188 The supreme court remanded the case with a not-so-subtle suggestion that it adopt the deal price as the statutory fair value. 189 The DFC Global opinion, while involving deference to a negotiated transaction price rather than a stock market price, evinced an enthusiasm for market mechanisms generally that was strikingly new for Delaware. The court bristled at the idea that it might be 183. Applebaum v. Avaya, Inc. 812 A.2d 880, 893 (Del. 2002). 184. Id. at 891. 185. Id. at 892. 186. DFC Glob. Corp. v. Muirfield Value Partners, L.P., 172 A.3d 346, 351 (Del. 2017). 187. Id. at 349. 188. Id. 189. Id. at 351 ("On remand, the Chancellor should reassess the weight he chooses to afford various factors potentially relevant to fair value, and he may conclude that his findings regarding the competitive process leading to the transaction . . . suggest that the deal price was the most reliable indication of fair value."). "ignoran[t] to the economic reality that the sale value resulting from a robust market check will often be the most reliable evidence of fair value." 190 This was not exactly novel, of course, as the Court of Chancery had in the past looked to the transaction price as evidence of the fair value of the company. 191 The supreme court went beyond this context-specific proposition, however, to give a sweeping endorsement of market pricing. The court emphasized the general hazards of ever doubting trading prices: "[S]econd-guessing the value arrived upon by the collective views of many sophisticated parties with a real stake in the matter is hazardous." 192 It would be "unlikely" for any party to "have a judgment about an asset's value that is likely to be more reliable than the collective judgment of value embodied in a market price." 193 The supreme court noted that common sense and empirical evidence supported the view that "the most reliable evidence of value is that produced by a competitive market, so long as interested buyers are given a fair opportunity to price and bid on the something in question." 194 While avoiding categorical claims, the supreme court generally left the impression that it was folly to suspect that a market price might be biased or faulty. 195 At the same time, the court enunciated a significant shift in the central object of the appraisal remedy. The court first acknowledged that Delaware law had long resolved to ignore the trading price, and the focus of an appraisal proceeding instead is on "the fair market value of the company being appraised." 196 But it then blurred that focus by announcing that the "purpose of an appraisal" is to deliver stockholders "fair compensation for their shares in the sense that it reflects what they deserve to receive based on what would fairly be given to them in an arm's-length transaction" 197 —a novel formulation in Delaware. The court insisted that the value of an asset "is what it will fetch in the market." 198 But it is difficult to discern from the opinion precisely what kind of "market" prices the court believed to be relevant. For example, when it said "real world transaction prices can be the most probative evidence of fair value even through appraisal's particular lens," 199 did the court mean negotiated merger prices or stock market trading prices, or both? If referring to transaction prices, the observation would not be particularly problematic, but elsewhere the court mused about how to assign a value to "an asset . . . such as the value of a company as reflected in the trading value of its stock." 200 Throughout the opinion, the traditionally sharp distinction between share price and corporate value was hazy at best. At times, however, the fog lifts, revealing an unmistakable belief that the pre- ``` 190. Id. at 366. 191. E.g., Smith v. Van Gorkom, 488 A.2d 858 (Del. 1985). 192. DFC Glob. Corp. v. Muirfield Value Partners, L.P., 172 A.3d 346, 366 (Del. 2017). 193. Id. at 367. 194. Id. 195. Id. at 367. This, of course, is not to say that the market price is always right, but that one should have little confidence she can be the special one able to outwit the larger universe of equally avid capitalists with an incentive to reap rewards by buying the asset if it is too cheaply priced. 196. DFC Glob., 172 A.3d at 368 (emphasis added). 197. Id. at 371(emphasis added). 198. Id. at 368–69. 199. Id. at 370. 200. Id. ``` transaction trading price offers useful insight into the statutory fair value. 201 The court notes, for example, that the old Delaware block method used as one of its inputs "the market prices of securities when there was an active market and where no special circumstances existed to render the price unreliable." 202 Despite the disavowal of the Delaware block method in Weinberger, the DFC court believed this past practice represented a judicious commitment to the view that "[w]here there is a free and active market, averaging of market prices on the last trading day before the announcement of a merger will reflect the fair market price." 203 Ultimately, the Court was explicit in its reference to trading prices: When, as here, the company had no conflicts related to the transaction, a deep base of public shareholders, and highly active trading, the price at which its shares trade is informative of fair value, as that value reflects the judgments of many stockholders about the company's future prospects, based on public filings, industry information, and research conducted by equity analysts. 204 While the holding itself ultimately involved deference only to the transaction price, the language used by the court placed little daylight between the value of the corporation and the value of a single share. The Dell opinion, issued only months later, revisited many of these issues. Again, the supreme court concluded that the trial court had abused its discretion by disregarding the transaction price where the "record as distilled by the trial court suggests that the deal price deserved heavy, if not dispositive, weight." 205 As in DFC Global, the holding itself commanded deference to the transaction price. And again, the supreme court invoked the familiar standard about what the trial court is valuing—"the corporation itself, as distinguished from a specific fraction of its shares as they may exist in the hands of a particular shareholder . . . ." 206 But as in DFC, the opinion consistently blurred the distinction between the transaction price—paid for the entire company—and the trading price of individual shares. 207 In particular, the supreme court explicitly faulted the trial court for its decision "to give no weight to Dell's stock market price or the deal price . . . ." 208 For its part, the Court of Chancery had detailed what it regarded as "widespread and compelling evidence of a valuation gap between the market's perception and the Company's operative reality." 209 For example, informed insiders like Michael Dell and other managers thought the stock price failed to reflect the value of the company. 210 Indeed, the company's management team prepared internal valuations showing that the firm was 201. DFC Glob., 172 A.3d at 373 ("That Weinberger got rid of the Delaware Block Method does not mean that the pre-transaction trading price of a public company's shares is not relevant to its fair value in appraisal, particularly given the focus on going concern value."). 202. Id. at 365. 203. Id. at 365 (quoting Folk, supra note 84, at § 262.10). 204. Id. at 373. 205. In re Appraisal of Dell Inc., No. CV 9322-VCL, 2016 WL 3186538, at 23 (Del. Ch. May 31, 2016), aff'd in part, rev'd in part sub nom. Dell, Inc. v. Magnetar Glob. Event Driven Master Fund Ltd, 177 A.3d 1 (Del. 2017). 206. Id. at 20 (quoting Cavalier Oil, 564 A.2d at 1144). 207. Id. at 36. 208. Id. at 36. 209. Dell, 177 A.3d at 32. 210. Id. at 2. worth roughly double its trading price, 211 as did the financial advisors to the Dell special committee. 212 Another advisor—Goldman Sachs—advised the company that its analyses showed standalone values for Dell "significantly higher than the current share price." 213 The evidence that the lower court had relied on was especially striking because it included testimony and other evidence from sophisticated, knowledgeable corporate insiders. 214 The supreme court waved away these doubts about the probative nature of Dell's stock price. Because the market for Dell stock exhibited the "hallmarks of an efficient market"— in particular, active trading and diffuse holdings 215 —the supreme court was comfortable declaring that the market price was "efficient and, therefore, likely a possible proxy for fair value." 216 The court made clear its belief that the market price was reliable, not only as to the value of individual shares, but also for the company as a whole, expressing skepticism that any gap could exist "between Dell's stock price and the Company's intrinsic value" and claiming that such a conclusion would be "contrary to the efficient market hypothesis . . . ." 217 B. The Elevation of Trading Prices: Aruba and Jarden Dell and DFC Global, while nominally involving deference to transaction prices, left behind a tangle of dicta on the probative nature of trading prices that the Supreme Court would soon be called upon to revisit in Aruba and Jarden. The court's 2019 Aruba decision further deepened the court's reinterpretation of stockholder entitlements, while the Jarden opinion in 2020 revealed the new paradigm in full flower, explicitly equating the stockholder's entitlement and the trading price of the stock. 218 The Aruba trial in the lower court had occurred prior to the supreme court's Dell and DFC Global decisions, but the trial court requested supplemental briefing from the parties to address the opinions. 219 In particular, the trial court asked for the parties' views on "the extent to which attributes of the market for Aruba's stock resembled the attributes that the Delaware Supreme Court emphasized in Dell." 220 Following this supplemental briefing, the trial court found that the unaffected trading price of Aruba Networks provided "persuasive evidence of fair value." 221 The trial court read DFC Global and Dell as embracing a view that "the unaffected trading price provides evidence of the fair value of a proportionate interest in the company as a going concern" and that such evidence is "more reliable than the single estimate of any one individual, be he a knowledgeable market participant, corporate insider, valuation professional, or trial 211. Id. at 34. 212. Id. at 35. 213. Id. at 34. 214. In re Appraisal of Dell Inc., No. CV 9322-VCL, 2016 WL 3186538, at 32 (Del. Ch. May 31, 2016), aff'd in part, rev'd in part sub nom. Dell, Inc. v. Magnetar Glob. Event Driven Master Fund Ltd, 177 A.3d 1 (Del. 2017). 215. Dell, 177 A.3d at 25. 216. Id. at 6; see also id. at 34–35 (claiming that the trading price had "substantial probative value"). 217. Id. at 23–24. 218. Fir Tree Value Master Fund, LP v. Jarden Corp., 236 A.3d 313, 323–25 (Del. 2020). 219. Verition Partners Master Fund Ltd. v. Aruba Networks, Inc., No. CV 11448-VCL, 2018 WL 922139, at 23 (Del. Ch. Jan. 26, 2018). 220. Id. 221. Id. at 24. judge." 222 The trial court noted that in both opinions, the supreme court had said that the trading price was "informative of fair value," 223 and "[t]he forceful discussion of the efficient capital markets hypothesis in Dell and DFC indicates that Aruba's unaffected market price is entitled to substantial weight." 224 Ultimately, the trial court placed exclusive weight on the unaffected market price, declining to give any weight to the transaction price on the grounds that it would include synergies and other gains from the merger, in which the dissenting stock holders were not entitled to share under the logic of the supreme court's new opinions. 225 In taking this approach, the trial court noted: Delaware Supreme Court decisions on appraisal that pre-dated Dell and DFC expressed skepticism about the reliability of the market price as an indicator of fair value. In my view, Dell and DFC changed things. I regarded the Delaware Supreme Court's endorsement of the efficient capital markets hypothesis and its emphasis on market indicators over the subjective views of knowledgeable insiders as altering the decisional landscape and authorizing greater reliance on market value. 226 As the trial court reasoned, compared to trying to calculate and deduct such gains from the transaction price, "using its unaffected market price provides the more straightforward and reliable method for estimating the value of the entity as a going concern." 227 The trial court thus awarded the dissenters the thirty-day average of unaffected market price, which was $17.13 per share, approximately a 30% discount to the $24.67 value of the merger consideration. The appeal offered the supreme court an opportunity to deliver some broader coherence in the wake of DFC and Dell, but it declined to do so. The Aruba opinion insisted that its recent decisions did not imply "that the market price of a stock was necessarily the best estimate of the stock's so-called fundamental value at any particular time." 228 The supreme court was especially irked by the trial court's suggestion that Dell and DFC represented a break from past Delaware precedent, expressing surprise at the "apparent novelty the trial judge perceived." 229 To demonstrate the alleged continuity, the supreme court pointed to "our historic reliance on the deal price as a market indicator of fair value," citing a number of appraisal cases endorsing the uncontroversial proposition that the negotiated merger price, under the right conditions, can be informative of the value of the target company. 230 At the same time, however, the Aruba court also continued to insist that the trading price is "an important indicator of its economic value that should be given weight." 231 222. Id. 223. Id. at 51 (quoting DFC Global, 172 A.3d at 373). 224. Aruba, 2018 WL 922139, at 51. 225. Id. at 35–45, 51–55. 226. Verition Partners Master Fund Ltd. v. Aruba Networks, Inc., No. CV 11448-VCL, 2018 WL 2315943, 13 (Del. Ch. May 21, 2018). 227. Aruba, 2018 WL 922139, at 54. 228. Id. at 137. 229. Aruba, 210 A.3d at 135. 230. Id. at 135 n.41. The supreme court found, in conclusory fashion, that those conditions were satisfied in Aruba, despite the presence of only a single bidder and significant obstacles to any additional bidders. Id. at 136. 231. Id. at 138. Though the court suggested that this was a longstanding principle of Delaware law, the cases it cited in support merely embraced a trading market value for setting damages in contexts where the definition of the stockholder's entitlement was not at stake. 232 Indeed, the most recent case the supreme court cited—Applebaum v. Avaya—acknowledged, as described earlier, 233 that "in many circumstances a property interest is best valued by the amount a buyer will pay for it" but expressly noted that this standard was not "employed in all valuation contexts," singling out appraisal as a context where it is not appropriate. The supreme court in Aruba continued to elide the fact that Delaware had never relied seriously on trading prices in determining the entitlements of stockholders. In Aruba, the supreme court reversed the lower court decision and purported to reaffirm the high court's preference for the deal-price-minus-synergies approach to the fair value inquiry. 234 Instead of remanding the case, the supreme court performed the analysis itself. After deducting the buyer's estimates of anticipated cost savings from the value of the merger consideration, the supreme court awarded the dissenters $19.10 per share, higher than the trial court's award but still 23% below the merger value. 235 The court's treatment of "synergies" was perhaps the most striking aspect of the Aruba decision and the most indicative of a break with past conceptions of the stockholder's entitlement in a merger. In the supreme court's view, all of the gains and cost reductions that the buyer anticipated could be captured by the concept of "synergies." 236 While Delaware law had traditionally attempted to place stockholders in the position of a single owner—who would share in such "synergies" in a negotiated sale—Aruba suggested that dissenting stockholders had no entitlement to share in such gains. The supreme court reached the logical conclusion of this shift in its 2020 Jarden decision, embracing much of the reasoning of the trial court in Aruba. 237 In Jarden, the Court of Chancery accepted the acquirer's argument that the unaffected stock price represented the company's statutory fair value. 238 So long as the company's stock traded in a sufficient deep market with coverage by enough analysts, no further inquiry was necessary: the stock price represented the value of the entity. 239 The closest the court came to acknowledging the distinction between the price of a single share and the value of the entity was when it brushed aside the idea of adjusting the market price to reflect a minority 232. Id. (citing Poole v. N. V. Deli Maatschappij, 243 A.2d 67, 70 n.1 (Del. 1968) (defining "[f]air market value . . . as the price which would be agreed upon by a willing seller and a willing buyer under usual and ordinary circumstances, after consideration of all available uses and purposes, without any compulsion upon the seller to sell or upon the buyer to buy"). 233. See supra notes 183–85 and accompanying text. 234. Aruba, 210 A.3d at 130 ("On remand, the Court of Chancery shall enter a final judgment for the petitioners awarding them $19.10 per share, which reflects the deal price minus the portion of synergies left with the seller as estimated by the respondent in this case, Aruba."). 235. Id. at 141. 236. Id. at 134 ("[A]ll the cost reductions HP expected as a widely held, strategic buyer were likely to be fully accounted for by its expected synergies."). 237. Fir Tree Value Master Fund, LP v. Jarden Corp., 236 A.3d 313, 315 (Del. 2020). 238. In re Appraisal of Jarden Corp., No. CV 12456-VCS, 2019 WL 3244085, at 1 (Del. Ch. July 19, 2019), on reargument in part sub nom. In re Jarden Corp., No. CV 12456-VCS, 2019 WL 4464636 (Del. Ch. Sept. 16, 2019), and aff'd sub nom. Fir Tree Value Master Fund, LP v. Jarden Corp., 236 A.3d 313 (Del. 2020). 239. Id. at 31 ("[T]he Company's high trading volume and the intense scrutiny paid it by market analysts has convinced me that the market understood Jarden's holding company structure as an operative reality, considered the high overhead costs associated with decentralized management and imputed those factors into Jarden's Unaffected Market Price."). discount. 240 Doing so was only appropriate, the court suggested, in the presence of a controlling stockholder. The court's reasoning was somewhat cryptic, as it suggested that the "the premise [for a minority discount] is that the appraiser must consider the conflict of interest between Company management and a diffuse stockholder base and account for minority trading multiples." 241 Without a controller, the court saw no cause for adjusting the trading price. 242 The stockholders' minority status, and the resulting "agency costs were embedded in [Jarden's] operative reality and reflected in its Unaffected Market Price." 243 This reasoning appears to endorse Daniel Fischel's decades-old argument that if minority stockholders received a minority discount in purchasing their shares, they should also face a minority discount in determining fair value. 244 The trial court's approach in Jarden makes explicit the stark departure from Delaware's historic approach, and it was affirmed in the Supreme Court. While the earlier supreme court opinions only hinted at a break with precedent 245 —and Aruba explicitly denied it—the supreme court's Jarden opinion brought the tectonic shift into sharp relief. The supreme court squarely rejected the argument offered by petitioners that the lower court had "ignored . . . a 'long-recognized principle of Delaware law' that a corporation's stock price does not equal its fair value." 246 In the court's view, "[t]here is no 'longrecognized principle' that a corporation's unaffected stock price cannot equate to fair value." 247 The supreme court held that it was entirely natural and appropriate for the lower court to look to the unaffected price, approvingly quoting language from Dell that made clear that "the price at which [a company's] shares trade is informative of fair value." 248 Likewise, it drew support from its Aruba decision for the proposition that "it is a 'traditional Delaware view' that in some cases 'the price a stock trades at in an efficient market is an important indicator of its economic value' and 'should be given weight.'" 249 The court also invoked its observation in Aruba that "when a market was informationally efficient . . . the market price is likely to be more informative of fundamental value.'" 250 C. The Articulation of a New Paradigm The recent appraisal opinions are messy, and they contain multitudes, but taken together, they unmistakably embrace a new paradigm in corporate law: Where public markets are sufficiently deep and liquid, the trading price of a share of stock represents the measure of the stockholder's entitlement in the corporation, full stop. When the supreme 240. Id. ("The minority discount, likewise, does not fit here."). 241. Id. 242. Id. ("Setting aside that Petitioners have offered no credible evidentiary basis to quantify any minority discount here, I see no basis to even try given that the foundation for applying the discount has not been laid."). 243. Id. at 31–32. 244. See supra at n. 160. 245. Charles Korsmo & Minor Myers, Flawed Corporate Finance of DFC Global and Dell, 68 EMORY L. J. 221, 246 (2018) (arguing that the Supreme Court "put forth a novel conception of the purpose of appraisal, one that dramatically reformulated the historic fair value inquiry"). 246. Jarden, 236 A.3d at 316. 247. Id. 248. Id. at 324. 249. Id. at 325 (quoting Aruba, 210 A.3d at 138). 250. Id. (quoting Dell, 177 A.3d at 7). court in DFC Global looked toward market evidence, it looked to the market for exchangetraded shares, not the market for entire firms. 251 In Dell, the supreme court insisted that the trading price of shares of company stock was categorically stronger evidence of the value of the corporation than the views of sophisticated, knowledgeable insiders. 252 The old distinction between the value of the individual share and the value of the whole enterprise—and the conviction that the stockholder is entitled to share in the value of the whole—has been washed away. In declaring a sea change in Delaware law, a note of caution is perhaps appropriate. The Delaware Supreme Court, for its part, has yet to acknowledge that the appraisal cases represent a doctrinal change at all—even in that discrete domain of appraisal rights, let alone in the wider universe of corporate law. This position, however, is difficult to credit. The stark change in appraisal doctrine has been noted by practitioners, scholars, and, of course, the Court of Chancery in attempting to apply the new doctrine. The trial court in Aruba thought the change was obvious, noting that "trial courts now can (and often should) place heavier reliance on the unaffected market price." 253 It further indicated that "this aspect of the Dell and DFC decisions represented a change in direction for Delaware appraisal law," 254 and that the new decisions carried "doctrinal heft as a means of altering the traditional skepticism with which Delaware decisions have approached the stock market price when determining fair value." 255 While the supreme court bristled at these suggestions when reversing on appeal in Aruba, 256 in Jarden it ultimately endorsed precisely such a view: that "in some cases 'the price at which a stock trades at in an efficient market is an important indicator of its economic value' and 'should be given weight'" in intra-corporate disputes. 257 In the subsequent Stillwater Mining case, the supreme court cemented the change in appraisal doctrine, leaving undisturbed the Court of Chancery's framing of the fair value inquiry as asking whether awarding the deal price "would result in the petitioners being exploited," 258 rather than seeking to calculate their pro rata share of the company as a whole. 259 That the paradigm shift is not a mirage is further evidenced by the fact that it was not merely invented by the Delaware Supreme Court, but instead closely mirrors a conception of the appraisal remedy advocated for many years by Lawrence A. Hamermesh and Michael L. Wachter, prominent commentators on Delaware law. 260 Like the supreme 251. DFC Glob. Corp. v. Muirfield Value Partners, 172 A.3d 346, 369 (Del. 2017) ("[O]utside of the appraisal context, this Court has often embraced these concepts of value: '[I]n many circumstances a property interest is best valued by the amount a buyer will pay for it . . . well-informed, liquid trading market will provide a measure of fair value superior to any estimate the court could impose.'" (quoting Applebaum v. Avaya, Inc., 812 A.2d 880, 890 (Del. 2002))). 252. See Dell, Inc. v. Magnetar Glob. Event Driven Master Fund Ltd., 177 A.3d 1, 27–28 (Del. 2017). 253. Aruba, 2018 WL 2315943, at 7 (Del. Ch. May 21, 2018). 254. Id. at 8. 255. Id. at 13. 256. Aruba, 210 A.3d, at 135 (claiming the trial court's reading of Dell and DFC Global were "not supported by any reasonable reading of those decisions or grounded in any direct citation to them"). 257. Jarden, 236 A.3d at 324 (quoting Aruba, 210 A.3d at 138). 258. In re Appraisal of Stillwater Mining Co., C.A. No. 2017-0385-JTL, 2019 WL 3943851, at 44 (Del. Ch. Aug. 21, 2019). 259. Brigade Leveraged Capital Structures Fund Ltd. v. Stillwater Mining Co., No. 427, 2019, 2020 WL 6038341, at 5 (Del. Oct. 12, 2020). 260. See Lawrence A. Hamermesh & Michael L. Wachter, Rationalizing Appraisal Standards in Compulsory Buyouts, 50 B.C. L. REV. 1021, 1023–24, 1034–35, 1044, 1046–54, 1067 (2009) [hereinafter Rationalizing court, their argument embraces the view that shares of widely-held corporations "trade at the pro rata value of the corporation as a going concern." 261 In a judicial appraisal involving such a firm, they argue that "because financial markets are efficient, one can simply use the market price" to determine the dissenter's entitlement. 262 The recent cases make this the law of appraisal in Delaware. The only real question issue is to what extent this new paradigm will spread to other areas of corporate law. D. The Breadth of the New Paradigm It is possible that the new paradigm may remain confined to appraisal, despite the resulting intellectual incoherence. Appraisal is, after all, a distinct body of law. 263 For one thing, the appraisal right is constrained by its statutory roots, 264 while the remedial possibilities in fiduciary actions are "plastic, limited only by the particular facts, broad principles governing equitable remedies and the imagination of court and counsel." 265 The fact that the appraisal statute commands that dissenters receive "the fair value of the shares exclusive of any element of value arising from the accomplishment or expectation of the merger or consolidation" 266 may provide a basis for cabining the recent appraisal cases. This so-called "synergies exclusion" could be argued to mandate the exclusion of gains from a merger from the stockholder's entitlement in appraisal, while leaving the traditional understanding of the stockholder's entitlement unchanged in other contexts, given the lack of any similar statutory provision governing other facets of Delaware's corporate law. 267 In addition, the practitioner-led effort to impose the new paradigm was driven by a specific desire to reduce appraisal activity. During the early part of the 2010s, stockholders Appraisal Standards]; Lawrence A. Hamermesh & Michael L. Wachter, The Short and Puzzling Life of the "Implicit Minority Discount" in Delaware Appraisal Law, 156 U. PENN. L. REV. 1, 30–36, 49, 52, 60 (2007) [hereinafter "Implicit Minority Discount"]; Lawrence A. Hamermesh & Michael L. Wachter, The Fair Value of Cornfields in Delaware Appraisal Law, 31 J. CORP. L. 119, 128, 132–33, 139–42 (2005) [hereinafter Cornfields]. 261. "Implicit Minority Discount," supra note 260, at 52; id. at 60 ("As a matter of generally accepted financial theory . . . share prices in liquid and informed markets do generally represent th[e] going concern value . . . ."). 262. Rationalizing Appraisal Standards, supra note 260, at 1033–34. 263. E.g. ,Cornfields, supra note 260, at 127. Appraisal is therefore generally understood as entirely a valuation exercise, in which evidence of breach of fiduciary duty is irrelevant. It is true, of course, that many appraisal claims proceed concurrently—and sometimes in a consolidated proceeding—with allegations of breach of fiduciary duty. This is a judicially economical approach, where the appraisal analysis would overlap with the determination of fair value as part of entire fairness scrutiny. 264. DEL. CODEANN. tit. 8, § 262 (West 2020). 265. Cede & Co. v. Technicolor, Inc., 1987 WL 4768, at 7 (Del. Ch. Jan. 13, 1987); see also Ams. Mining Corp. v. Theriault, 51 A.3d 1213, 1252 (Del. 2012) (noting that it is "undisputed that the Court of Chancery has greater discretion when making an award of damages in an action for breach of duty of loyalty than it would when assessing fair value in an appraisal action."); M.P.M. Enterprises, Inc. v. Gilbert, 731 A.2d 790, 797 (Del. 1999) ("A fair merger price in the context of a breach of fiduciary duty claim will not always be a fair value in the context of determining going concern value."); Thorpe v. CERBCO, Inc., 676 A.2d 436, 445 (Del. 1996) ("While there are no transactional damages in this case, we find the Eriksons liable for damages incidental to their breach of duty."). 266. DEL. CODEANN. tit. 8, § 262(h) (West 2006 & Supp. 2016) (emphasis added). 267. SeeRutherford B. Campbell, Jr.,Fair Value and Fair Price in Corporate Acquisitions, 78 N.C. L. REV. 101, 127 (1999) (suggesting that the "rhetoric of [fiduciary] fair price cases, unlike the rhetoric in [appraisal] fair value cases, seems to require the inclusion of some measure of synergy generated by the challenged transaction”). began to take more frequent recourse to their appraisal rights at merger. 268 This rise in appraisal activity provoked serious consternation among transactional advisors, who first sought legislative changes to limit the ability of stockholders to dissent. 269 After careful study, however, the blue-ribbon committee that evaluates proposed amendments to Delaware's corporate statute refused to endorse the dramatic limits on appraisal rights that deal advisors advocated. 270 Having failed to obtain legislative change, the deal advisors shifted their lobbying efforts to the Delaware Supreme Court, with the decisions discussed above soon following. The opinions have had precisely the effect that the transactional advisors desired: appraisal activity dropped precipitously in their wake. 271 The supreme court's appraisal cases, then, did not arise by accident or by the slow evolution attendant upon common law judging. As such, they may represent more legislative-style policy tinkering, which can be applied only in appraisal, rather than judicial-style reasoning from principles that are applied consistently across corporate law. A recent Court of Chancery decision indicates that the statutory fair value determination indeed may have limited application on the core questions in a fiduciary case. Following a 2016 merger that cashed out the stockholders of Columbia Pipeline Group, Inc. at $25.50 per share, dissenting stockholders initiated a statutory appraisal proceeding, and the Court of Chancery, embracing the reasoning behind the new paradigm, determined that the merger price was the best evidence of the statutory fair value. 272 Other stockholders, after reviewing the evidence presented in the appraisal case, thereafter used that public evidence in a new complaint alleging fiduciary breaches by the Columbia Pipeline's top excutives and also an aiding and abetting breach by the acquiror. 273 The defendants sought to dismiss the case, arguing that "the Appraisal Decision . . . already decided each issue adversely to the plaintiffs." 274 In particular, the defendants argued that the Court's earlier appraisal decision required dismissal of the plaintiffs' claims about the inadequacy of the sales process, contending that the fair value finding "necessarily means that the sale process could not have been inadequate." 275 The court noted that the "defect in this argument is that the Appraisal Decision focused exclusively on whether the sale process 'was sufficiently reliable to make the deal price a persuasive indicator of fair value.'" The court emphasized that the appraisal decision "did not examine 268. Charles Korsmo & Minor Myers, Appraisal Arbitrage and the Future of Public Company M&A, 92 WASH. U. L. REV. 1551, 1552 (2015). 269. See generally Charles Korsmo & Minor Myers, Reforming Modern Appraisal Litigation, 41 DEL. CORP. L. 279 (2017) (discussing the various reforms proposed by transactional advisors). J. 270. Id. 271. See Jiang et al., supra note 32 (registering the fall in appraisal activity following relevant opinions issued by the Delaware Supreme Court). 272. In re Appraisal of Columbia Pipeline Grp., Inc., No. CV 12736-VCL, 2019 WL 3778370, at 47 (Del. Ch. Aug. 12, 2019), judgment entered, (Del. Ch. 2019) (concluding that "the deal price is a reliable indicator of fair value"). 273. In re Columbia Pipeline Grp., Inc., No. CV 2018-0484-JTL, 2021 WL 772562, at 13 (Del. Ch. Mar. 1, 2021), cert. denied sub nom. In re Columbia Pipeline Grp. Inc. (Del. Ch. 2021), and appeal refused sub nom. In re Columbia Pipeline Grp., Inc. Merger Litig., 249 A.3d 801 (Del. 2021) ("Among other things, Mississippi PERS relied on evidence developed in the Appraisal Proceeding that had become public during the course of that litigation. In July 2018, Mississippi PERS moved to modify the confidentiality order in the Appraisal Proceeding so that Mississippi PERS could gain access to the full, unredacted discovery record."). 274. In re Columbia Pipeline Grp., Inc., No. CV 2018-0484-JTL, 2021 WL 772562, at 16 (Del. Ch. Mar. 1, 2021), cert. denied sub nom. In re Columbia Pipeline Grp. Inc. (Del. Ch. 2021), and appeal refused sub nom. In re Columbia Pipeline Grp., Inc. Merger Litig., 249 A.3d 801 (Del. 2021). 275. Id. at 91. whether the sale process resulted in the best value reasonably available for the stockholders,'" the key question in a Revlon claim. The limited finding in the appraisal case did not "determine whether management's conduct undermined the Board's ability to obtain a higher price from TransCanada or a different bidder." 276 Despite the care with which the Columbia Pipelines court circumscribed the reach of the new paradigm, we think it unlikely that the new paradigm will remain confined to the appraisal context in the long term. This is for three main reasons. First, Delaware law has always adopted a coherent trans-doctrinal conception of stockholder entitlements. 277 Even in its recent appraisal decisions, the supreme court emphasized that the appraisal rules are a component part of the cohesive corporate law delineation of stockholder entitlements. 278 Likewise, the supreme court has suggested that the appraisal remedy, like the fiduciary duty action, encompasses broader equitable ends such as ensuring that a transaction does not "unfairly enrich[] the majority shareholders who may reap a windfall from the appraisal process by cashing out a dissenting shareholder." 279 No clear dividing line exists between the policy goals of the two forms of relief, and both can fairly be said to contribute to Delaware's substantive definition of stockholder entitlements at merger. Furthermore, even though the statutory "synergies exclusion" applies only to appraisal, the supreme court had always, prior to Jarden, minimized the exclusion's importance in its articulation of the stockholder's entitlements. The landmark Weinberger case, for example, called this clause a "very narrow exception," and said its sole consequence was "that one cannot take the speculative effects of the merger into account." 280 Second, in its recent decisions, the supreme court embraced arguments advanced not only by critics of its prior appraisal jurisprudence but also by critics of Delaware's broader historic conception of stockholder entitlements—well beyond the context of appraisal. For example, Daniel Fischel has argued for greater reliance on market prices in valuation disputes not only in appraisal but also in fiduciary duty cases, 281 which he suggests could be dismissed summarily "based on the premium paid over the preexisting market price." 282 Likewise, Fischel and Easterbrook rejected wholesale the proposition that "there is a difference between the current price and intrinsic value." 283 They would reform not just appraisal but also defensive tactics, for "[e]very device giving managers the power to delay or prevent an acquisition makes shareholders worse off." 284 Viewed in light of this wellknown critique, the supreme court's appraisal cases are not a completed set of policy changes but instead an opening salvo that constitutes "a major step in the right direction." 285 276. Id. at 96. 277. See supra Section I.B.1 (describing the history of Delaware law in relation to stockholder entitlements). 278. DFC Glob. Corp. v. Muirfield Value Partners, L.P., 172 A.3d 346, 371 (Del. 2017) (noting the combined effect of "Delaware's own legal doctrines such as sell-side voting rights, Revlon, Unocal, the entire fairness doctrine, and the pro rata rule in appraisals"). 279. Cavalier Oil Corp. v. Harnett, 564 A.2d 1137, 1145 (Del. 1989). 280. Weinberger v. UOP, Inc., 457 A.2d 701, 713–14 (Del. 1983). 281. Fischel, supra note 158, at 941 (suggesting that "courts should rely more heavily on market prices when resolving valuation disputes than has occurred to date"). 282. Id. at 952. 283. EASTERBROOK & FISCHEL, supra note 159, at 207. 284. Id. at 204 (emphasis in original). 285. Carney & Sharfman, supra note 35, at 64 (suggesting that modern investors have no use for the "fair value" remedy—and fair "is a word they would not generally use"—and because determining the value of a share Third, the policy arguments that the supreme court used to justify its holdings in the appraisal cases apply as much or more to the rest of corporate law doctrine. Notably, in DFC, the court emphasized the "important . . . policy concern that the specific buyer not end up losing its upside for purchase by having to pay out the expected gains from its own business plans for the company it bought to the petitioners." 286 This concern drove the court's interpretation of the appraisal statute, 287 but it applies well beyond the appraisal context. 288 As a result, by all rights, it should play a similarly prominent role where the Court is called upon to confront the nature of the stockholder's entitlement in other mergerrelated doctrines. If it is important to preserve the buyer's incentive when determining the entitlements of stockholders who dissent, why not when deciding whether to permit the board to negotiate for value beyond the trading price in the first place? Indeed, the desire to maximize the buyer's incentives to pursue a merger has long been the central motivation for critics of Delaware's traditional conception of stockholder entitlements. 289 In the context of hostile bids or appraisal rights, any legal rule that increases the cost of a merger necessarily has the effect of decreasing the number of mergers, 290 leading to a potential efficiency loss. 291 The same policy considerations that supported weakening the stockholder's entitlement in appraisal will also apply to doctrines governing fiduciary claims, hostile defenses, and others. 292 IV. THE REVOLUTIONARY IMPLICATIONS OF THE NEW PARADIGM The new paradigm represents a direct shift of the bedrock of Delaware's appraisal jurisprudence. Given the historic centrality of appraisal doctrine in delineating the stockholder's entitlement, the new paradigm is poised to send shockwaves across some of the most high-stakes areas of Delaware law. Most obviously, if the price of a single share is the measure of what stockholders are entitled to, any transaction that occurs at a premium of stock “is as simple as looking at the current price of the stock”). 286. DFC Glob., 172 A.3d at 368, 371 (noting that buyers in public company transactions "are more likely to come out a loser than the sellers, as competitive pressures often have resulted in buyers paying prices that are not justified by their ability to generate a positive return on the high costs of acquisition and of integration"). 287. Id. at 368 (noting that excluding "synergy gains could have also been thought of as a balance" to ensure that buyers have sufficient profits to pursue transactions); id. at 371 (noting that the incentive effects are "[p]art of why the synergy excision issue can be important"). 288. The Court noted that the core issue was that Delaware law "caused the sell-side gains for American public stockholders in M&A transactions to be robust." Id. 289. Easterbrook & Fischel, supra note 283, at 173. Whether resistance drives up the price or reduces the probability of an acquisition, it makes the process of monitoring and bidding less profitable. When the price of anything goes up, the quantity demanded falls. Changes in the incentives of bidders affect the utility of monitoring by outsiders, and that affects the size of agency costs and in turn the preoffer price of all firms' stock. 290. Id. at 119 ("All share prices ex ante will be highest when the probability of a value-increasing transaction in the future is the greatest."). 291. See Lucian Arye Bebchuk, The Sole Owner Standard for Takeover Policy, 17 J. LEGAL STUD. 197, 203 (1988) ("The problem with the sole owner standard, and the reason why Schwartz objects to it, is that it might sometimes prevent an efficient acquisition."). 292. Easterbrook & Fischel, at 157; see also Alan Schwartz, The Fairness of Tender Offer Prices in Utilitarian Theory, 17 J. LEGAL STUD. 165, 165 (1988) (arguing that any bid above the prebid market price reflects "an increase in welfare" and ought to be treated for any legal purpose as "fair, if economic efficiency is the standard by which the fairness of a transaction is measured"). to the unaffected price necessarily does stockholders no harm, whether the stockholders' claims sound in appraisal or in fiduciary duty. This is not a hypothetical exercise, as one Delaware case has already reached that result. Perhaps more importantly, however, the new paradigm also heralds a major change to Delaware's approach to defensive tactics. If the trading price represents the benchmark for a stockholder's entitlements, by what justification could a board of directors rebuff a suitor offering a premium to the trading price? This Part explores the implications of the new paradigm in these two contexts. It also sketches a normative critique of the new paradigm. A. The Eclipse of Fiduciary Duties As noted, Delaware courts have traditionally looked to appraisal for their definition of fair value in fiduciary duty actions. 293 The Delaware Supreme Court has made clear that the applicable principles in entire fairness claims "flow from the statutory provisions permitting mergers and those designed to ensure fair value by an appraisal." 294 More broadly, any harm flowing from a fiduciary breach depends entirely on how the court understands the underlying entitlements of the stockholders: As then-Vice Chancellor Strine observed, "the ultimate issue of fairness turns on my perception of the economics." 295 The appraisal cases indicate a foundational change in Delaware's "perception of the economics," one that will substantially limit the reach of fiduciary liability. 296 This of course is precisely the result that critics of Delaware's regime have hoped for. 297 This shift has already begun in Delaware law with the Court of Chancery's 2018 decision in In re PLX Technology. 298 Former stockholders of PLX Technology brought a 293. E.g., Kahn v. Tremont Corp., No. 12339, 1996 WL 145452, at 9 (Del. Ch. Mar. 21, 1996) (noting that in fair price analysis the Court must consider the plaintiff's "pro rata value of the entire firm as a going enterprise"). 294. Bershad v. Curtiss-Wright Corp., 535 A.2d 840, 845 (Del. 1987) (citing DGCL §§ 251–53, 262); see also Lawrence A. Hamermesh & Michael L. Wachter, Rationalizing Appraisal Standards in Compulsory Buyouts, 50 B.C.L. REV. 1021, 1029–31 (2009) ("[I]t is generally accepted in the Delaware case law and the major treatises on Delaware corporate law that in evaluating the 'entire fairness' of a squeeze-out merger, the courts generally utilize the same valuation analysis for both the fair price prong of the fiduciary duty action and the appraisal action.") (internal quotation marks omitted); Guhan Subramanian, Fixing Freezeouts, 115 YALE L.J. 2, 43–44 (2005) ("As a starting point, courts in entire fairness proceedings generally look to the appraisal remedy . . ."); John C. Coates IV, "Fair Value " as an Avoidable Rule of Corporate Law: Minority Discounts in Conflict Transactions, 147 U. PA. L. REV. 1251, 1260–62 (1999) ("In entire fairness cases, corporate fiduciaries are required to show that the terms of a proposed conflict transaction include a 'fair price,' and Delaware courts look to appraisal cases for guidance in deciding whether a given price is fair, even when a merger does not trigger appraisal rights."). 295. In re PNB Holding Co. Shareholders Litig., No. Civ.A. 28-N, 2006 WL 2403999, at 22 (Del. Ch. Aug. 18, 2006). 296. One sophisticated observer noted this in the wake of the Jarden decision. See CHANCERY DAILY, July 25, 2019 ("Although the [Jarden trial] Court expressly does not address breaches of fiduciary duty, one might speculate that flaws in the sale process found to have rendered deal price unreliable would also support a finding of "unfair process," and that fair value found to exceed the merger price could also support a finding of "fair price" in a breach of fiduciary duty context."). 297. Fischel, for example, has argued that market evidence from trading prices ought to be sufficient to defeat stockholder claims of liability. Fischel, supra note 158, at 942–48. 298. In re PLX Tech. Inc. Stockholders Litig., No. CV 9880-VCL, 2018 WL 5018535 (Del. Ch. Oct. 16, fiduciary class action based on the company's 2014 merger. While the Court of Chancery concluded that the defendants had knowingly participated in a breach of fiduciary duties, the plaintiffs' claims still failed because they were unable to demonstrate any damages. 299 The Court noted that the stockholders are entitled to "money damages equal to the 'fair' or 'intrinsic' value of their stock at the time of the merger, less the price per share that they actually received" 300 with intrinsic value "determined using the same methodologies employed in an appraisal." 301 Applying the new paradigm, the PLX Technology court determined that—despite a process so flawed as to satisfy the other elements for a breach of fiduciary duty claim—the deal price had "heavy, if not overriding, probative value." 302 Furthermore, the Court did not restrict the exclusion of synergies to appraisal. Instead, it reasoned that the deal price likely included some component of "synergies" because the transaction was between two companies in the same industry, and thus that "the deal price likely exceeded the standalone value of the Company." 303 By applying the new paradigm from the appraisal cases to the fiduciary aiding and abetting claim, the Court's analysis was at once conventional and radical. It was conventional in that the standard for determining damages in the fiduciary context has always drawn on Delaware's approach to valuation in statutory appraisal, as the underlying inquiry—what is the stockholder's entitlement worth?—is the same. It was radical in that the Supreme Court's new paradigm itself is a radical shift from Delaware's historic approach. The sales process was, as the PLX Technology court concluded, "flawed from a fiduciary standpoint," but at the same time the plaintiff class was unharmed because stockholders "received consideration that exceeded the value of the Company on a standalone basis." 304 The Court of Chancery did not remark on the anomalous outcome, instead comforting itself in the style of the high court that its conclusions comported with "realworld market evidence." 305 On appeal, the plaintiffs argued that the lower court's decision was built on a "fundamental error of law": the idea that when assessing "damages in a plenary action, it was bound by recent precedent from [the Supreme] Court regarding statutory appraisals." 306 The plaintiffs argued that "relying on a market-clearing price as an overriding indication of fair value is inconsistent with longstanding Delaware law." 307 They noted that the mountain of cases since Unocal permitting directors to fight off hostile bids for the company are built upon the idea that "the existence of a market-clearing price does not mean a company should be sold." 308 The plaintiffs further emphasized on appeal that the Airgas case stood for the proposition that directors could reject even a marketclearing offer for the firm and instead "follow a course designed to achieve long-term value ``` 2018), aff'd, 211 A.3d 137 (Del. 2019). 299. See Stone v. Ritter, 911 A.2d 362, 370 (Del. 2010). 300. Strassburger v. Earley, 752 A.2d 557, 579 (Del. Ch. 2000). 301. PLX, 2018 WL 5018535 at 50. 302. Id. at 54 (quoting Dell, 177 A.3d at 30). 303. Id. at 55. 304. Id. 305. PLX, 2018 WL 5018535, at 55. 306. Opening Brief of PLX Plaintiff, at 2, In re PLX Tech. Inc. Stockholders Litig., 211 A.3d (Del. 2019). 307. Id. at 25. 308. Id. at 26. ``` even at the cost of immediate value maximization," 309 and that Revlon stood for the proposition that directors had an obligation to do so. In short, the plaintiffs' appeal perceived the implications of the trial court's ruling and drew them to the attention of the supreme court. If a passive "market check" were held to be sufficient to defeat claims targeting a disloyal fiduciary, it would "nullify decades of Delaware jurisprudence setting forth appropriate standards of conduct in a sales process." 310 As a result, "any self-dealing, bad faith conduct or aiding and abetting thereof could be cleansed" so long as the minimal conditions for deference to the deal price were satisfied. 311 That, the plaintiffs insisted, "cannot be the law." 312 The supreme court, in a two-page unpublished order, affirmed the Court of Chancery's judgment. The order made clear that the supreme court was affirming, in particular, the trial court's finding "that the plaintiff-appellants did not prove that they suffered damages." 313 B. The Fall of Airgas As the plaintiffs in PLX recognized, perhaps the most momentous implication of the new paradigm is that it directly calls into question the justification for allowing boards to employ defensive tactics in response to hostile bids. 314 If the stockholder's entitlement is to nothing more than their shares of stock as chattel, and if—as the supreme court made clear in Dell—the views of sophisticated insiders are not sufficient to call into question the trading price as a measure of the value of the share, 315 what grounds could a board have for blocking a potential hostile acquisition? Again and again through the 1980s and 1990s, the Delaware Supreme Court held that an offer to acquire the company could constitute a threat to the corporation, justifying defensive tactics even if the offer exceeds the trading price. 316 The threat arises specifically from the risk that stockholders might accept an offer that the board judged to be inadequate. 317 This doctrine reached its apotheosis in the 2011 Airgas case, where despite his obvious misgivings, Chancellor Chandler felt compelled to acknowledge that the threat of an "inadequately priced offer . . . has been clearly recognized by our Supreme Court as a valid threat" under Unocal. 318 As a result, Airgas's board was permitted to use a poison pill to ward off a hostile bid at $70 per share—well above the pre-bid market price. 309. Id. (quoting Airgas, 16 A.3d at 124–25). 310. Id. at 27. 311. Opening Brief of PLX Plaintiff, at 27, In re PLX Tech. Inc. Stockholders Litig., 211 A.3d (Del. 2019). 312. Id. 313. In re PLX Tech. Inc. Stockholders Litig., 211 A.3d 137 (Del. 2019). 314. See Ronald J.Gilson & Reinier Kraakman, Delaware's Intermediate Standard: Is There Substance to Proportionality Review?, 44 BUS. LAW. 247, 260 (1989) (noting that the inquiry into what constitutes a "threat" sufficient to justify defensive tactics like a poison pill is "the single most important issue" under Delaware's intermediate standard). 315. Dell , 177 A.3d at 28. 316. See Paramount, 571 A.2d at 1153 (recognizing "inadequate value" of an all-cash, all-shares tender offer at a premium to the trading price as a "legally cognizable threat"); Unocal, 493 A.2d at 955 (identifying "inadequacy of the price offered" as among the possible types of threats). 317. See, e.g., Unitrin, 651 A.2d at 1385 (finding a sufficient threat where the board worried that "shareholders might accept [an] inadequate Offer because of 'ignorance or mistaken belief' regarding the Board's assessment of the long-term value of Unitrin's stock"). 318. Air Products & Chemics, Inc. v. Airgas, Inc., 16 A.3d 48, 57 (Del. Ch. 2011). In the decade since the Court of Chancery's ruling, the tale of Airgas has been transformed into a corporate parable, 319 oft-told by boardroom advisors. 320 For after successfully fighting off the $70 per share bid in 2011, Airgas was ultimately acquired for $143 per share in 2016. According to the New York Times, "Wall Street law firms now hold up Airgas as one of the best arguments for management's right to defend its company." 321 Martin Lipton touted the battle and subsequent sale as "vindication of the Airgas board's judgment and confirmation of the wisdom of the Delaware case law." 322 The case law of defensive tactics that Lipton touts, however, is built upon a commitment to the idea that there exists some "difference between a firm's short-run value, reflected in market prices, and 'intrinsic value.'" 323 The existence of some independent value is necessary to justify a board's defensive powers, 324 for only in light of such a value can it be said that the "'inadequacy of the price offered' justifies (nay, compels) resistance" by the board. 325 As Lipton himself was able to declare in 2005, the doctrinal foundations of defensive tactics were "well established" and that the idea of equating the stock price with the value of the corporation in intracompany disputes has been "rejected by both legislatures and the common law." 326 No longer. The new paradigm sets the benchmark for a stockholder's entitlement as the trading price of the stock. The consequences of this conception are evident in Jarden itself, where the supreme court made clear that the merger had conferred on stockholders more than they were legally entitled to receive. 327 The new paradigm stands in irreconcilable conflict to the longstanding body of law recognizing that an offer at a premium to the trading price can constitute a threat. It is perhaps a bitter irony, that the changes wrought in appraisal law—changes urged and applauded by Lipton's firm—have washed away the conceptual foundations of the body of Delaware law permitting defensive tactics that Lipton spent a lifetime fostering. Once the stockholder's entitlement is keyed to the trading price, the doctrinal consequences are straightforward. As Alan Schwartz 319. Leslie Picker, Why Airgas Was Finally Sold, for $10 Billion Instead of $5 billion, N.Y. TIMES (Sept. 5, 2016) ("Business schools around the country are seeking to turn the tale into a case study."). 320. See, e.g., Kai Liekefett, The Comeback of Hostile Takeovers, HARV. L. SCH. F. ON CORP. GOVERNANCE (Nov. 8, 2020), https://corpgov.law.harvard.edu/2020/11/08/the-comeback-of-hostile-takeovers/ [https://perma.cc/3BHW-VN4U] (Liekefett is a Sidley Austin partner) (attributing the decline in hostile takeover bids to "the board-friendly case law on takeover defenses—particularly the decision of the Delaware courts in the Airgas case, which upheld a target company's poison pill even though the bidder's tender offer had been pending for a year"). 321. Picker, supra note 319. 322. Martin Lipton, The Long-Term Value of the Poison Pill, HARV. L. SCH. F. ON CORP. GOVERNANCE (Dec. 18, 2015), https://corpgov.law.harvard.edu/2015/12/18/the-long-term-value-of-the-poison-pill/ [https://perma.cc/LSK7-GMGP]. 323. EASTERBROOK & FISCHER, supra note 159, at 206. 324. E.g., Stout, supra note 167, at 1269 (suggesting that her argument supplied "theoretical support for claims by target management that a premium bid that substantially exceeds market price may nevertheless be 'inadequate'"). 325. EASTERBROOK & FISCHER, supra note 159, at 206. 326. Lipton, supra note 144. 327. Alex Peña and Brian J. M. Quinn have recognized this tension. See Alex Peña & Brian J. M. Quinn, Appraisal Confusion: The Intended and Unintended Consequences of Delaware's Nascent Pristine Deal Process Standard, 103 MARQ. L. REV. 457, 461–62 (2019) (noting that the reliance on the ECMH in the appraisal cases is "at odds with past precedent" because Delaware cases have held that trading prices are "sufficiently imperfect" that boards can engage in defensive tactics and the appraisal cases "appear to throw away much of the court's previous reticence, permitting markets to dictate what is fair value to boards of directors"). observed, if the trading price represents the stockholder's entitlement, "poison pills should be illegal, and the many judicial decisions allowing target managers and directors to bargain effectively for shareholders, so as to make the takeover process 'fair,' should be reversed." 328 The appraisal cases suggest that Airgas is now bad law. C. The Undesirability of the Trading Price Paradigm The new paradigm in Delaware law is, on balance, undesirable as an organizing principle for corporate law. We critique it here along three dimensions. First, within the discrete domain of appraisal rights, the doctrinal changes represent a public policy mistake. Second, any effort to disconnect appraisal rights—and the consequences of the new paradigm—from the rest of corporate law would be ineffective and indefensible. Third, the new paradigm is a deficient foundation for the rest of Delaware's corporate law. It harms allocative efficiency, discourages socially valuable investment, and puts the public Delaware corporation at a disadvantage for organizing enterprise and for raising capital from the public. The reform implications are straightforward: Delaware should not allow the new paradigm to metastasize from appraisal rights to the rest of Delaware's corporate law, and likewise, it should rethink its application in appraisal. Abandoning the recent changes in appraisal would preserve those areas of corporate law yet undistorted by the new paradigm and recapture the benefits of the traditional approach to appraisal rights. 1. The Immediate Error: The New Paradigm in Appraisal Rights The recent appraisal decisions are bad substantive law even on their home turf in appraisal. In other work, we have cataloged the missteps in Dell and DFC Global, 329 mistakes that were entrenched and deepened in Aruba and Jarden. The new trading price paradigm renders the appraisal remedy a nullity for public company stockholders. The statutory remedy has long served as a backstop for stockholders in a merger negotiation—an independent value of the unified equity interest, functioning as an exogenous reserve price. 330 Albert Choi and Eric Talley have argued that even a policy of deferring to the negotiated merger price—as the Dell and DFC courts ultimately did—"functionally vitiates the appraisal right, and whatever value enhancing implications the reserve-price effect portends." 331 The trading price paradigm put forward in Jarden and Aruba makes this conclusion inescapable. If the merger price represents a deficient substantive reserve price, then the pre-announcement stock price is no reserve price at all. It would supply "protection" only against merger transactions negotiated at a discount to the pre-announcement price. 328. Alan Schwartz, Fairness of Tender Offer Prices, 17 J. LEGAL STUD. 165, 195 (1988). 329. Charles Korsmo & Minor Myers, The Flawed Corporate Finance of Dell and DFC Global, 68 EMORY L.J. 221, 221 (2018). 330. On this point there is broad agreement. See Albert Choi & Eric Talley, Appraising the Merger Price Appraisal Rule, 34 J.L., ECON. & ORG. 543, 545 (2018) (stating that the appraisal remedy is a sort of "reserve price", which can protect shareholder interests better than shareholder voting or managerial incentives by themselves); EASTERBROOK & FISCHEL, ECONOMIC STRUCTURE OF CORPORATE LAW 145 (1991) (treating "appraisal as a presumptive contractual term that sets the minimum price at which the firm can be sold in situations where those in control are tempted to appropriate wealth"). 331. Choi & Talley, supra note 330, at 548. Indeed, while some scholars have expressed support for Delaware's recent appraisal decisions, the support typically comes from a desire to eliminate the appraisal remedy rather than improve it. If there were some empirical basis for this hostility—evidence that the appraisal remedy was being abused or produced negative consequences for the deal market—then appraisal's judicial nullification might be a welcome development, leaving aside one's view of the proper role of the judiciary vis-à-vis the legislature. But the empirical results to date on the appraisal remedy uniformly suggest the appraisal remedy plays a beneficial role in corporate governance. In particular, the evidence suggests that stockholders are not abusing appraisal rights, but rather are targeting the "right" transactions—those with markers of opportunistic behavior on the part of management. 332 Similarly, the two empirical papers to study the issue have found evidence that meaningful appraisal rights increase stockholder welfare ex-ante. Boone, Broughman, and Macias find that legal developments that strengthen appraisal rights associated with a more thorough deal process and higher acquisition premiums for Delaware targets. 333 Crucially, they also found that the chances of a Delaware firm being targeted for an acquisition increased with strengthened appraisal, suggesting that these gains did not come at the expense of a vibrant deal market. 334 A meaningful appraisal remedy, in other words, helped to increase bids for targets, improved the process used by the target board, and did nothing to diminish deal activity. 335 In separate work, Callahan, Palia, and Talley—employing a different methodology—reached similar conclusions. 336 In adopting the new paradigm, the Delaware Supreme Court has rendered appraisal largely useless to stockholders, resulting in a precipitous drop in appraisal petitions and forsaking the beneficial effects of the remedy. 337 Even in the discrete domain of appraisal rights, the change was a mistake. 2. The Folly of Separate Rules for Appraisal One possibility is that the Delaware Supreme Court will simply embrace doctrinal incoherence, giving trading prices relevance in appraisal but nowhere else. Such a 332. See, e.g.,Charles R. Korsmo & Minor Myers, Appraisal Arbitrage and the Future of Public Company M&A, 92 Wash. U. L. Rev. 1551, 1553 (2014–2015) (finding appraisal activity associated with abnormally low merger premia and insider participation); Charles R. Korsmo & Minor Myers, The Structure of Stockholder Litigation: When Do Merits Matter?, OHIO STATE L.J. 829 (2014); Wei Jiang et al., Appraisal: Shareholder Remedy or Litigation Arbitrage, 59 J.L. & ECON. 697, 699–700; Id. at 727 ("[P]etitioners seem to target deals with characteristics that are most likely to be tainted by conflicts of interest, such as going-private deals, minority squeeze outs, and short-form M&A with low premiums."); Jonathan Kalodimos & Clark Lundberg, Shareholder rights in mergers and acquisitions: Are appraisal rights being abused, 22 FIN. RSCH. LETTERS 53, 56 (2017) (interpreting their findings as "consistent with petitioned acquisitions occurring at prices below fundamental value and is not consistent with appraisal rights generally functioning as an abusive channel for opportunistic investors"). 333. AUDRA BOONE ET AL., MERGER NEGOTIATIONS IN THE SHADOW OF JUDICIAL APPRAISAL 1 (2017), http://www.shareholderforum.com/appraisal/Library/20170919_Boone-Broughman-Macias.pdf [https://perma.cc/SQW9-D396]. 334. Id. at 21. 335. Id. at 4 ("[O]ur analysis suggests that bidders protect themselves against threat of appraisal, not through contractual terms that would allow the bidder to walk away from the deal . . . but rather by increasing their upfront bid and improving the price-setting process . . ."). 336. See generally Scott Callahan, Darius Palia & Eric L. Talley, Appraisal Arbitrage and Shareholder Value, 3 J. L. Fin. & Account 147 (2018). 337. Wei Jiang et al., supra note 32. development would represent a radical break, given the historic centrality of appraisal doctrine in defining the stockholder's entitlements. The grounds for thinking such a break might occur, however, are not doctrinal logic but rather raw realpolitik. Corporate defense counsel and deal advisers are an important constituency in Delaware. The same practitioners who championed the shift in appraisal rights and celebrated the supreme court's decisions as "important and welcome rulings" 338 are also strong supporters of Delaware's ample deference to board use of defensive tactics, 339 and would not welcome the application of the new reasoning in that context. Indeed, we suspect that a phalanx of boardroom advisors would press their substantial influence into service to shield the board's defensive powers from the consequences of the court's newfound respect for trading prices—likely deploying many of the same marketskeptic arguments they ridiculed in the appraisal cases. This development would avoid some of the worst consequences of the new paradigm, and the Columbia Pipelines decision illustrates how the Court of Chancery has worked to preserve the utility of private enforcement despite the new paradigm. 340 Such a cleave in Delaware's corporate law, however, would be regrettable. There would be no principled grounds for defending such a two-faced corporate doctrine: defining the entitlement of stockholders one way in appraisal but another way in all other contexts. The coherence that has long been a signal virtue of Delaware's corporate law would be shattered in a particularly unmistakable fashion. 3. The New Paradigm Disadvantages the Public Corporation as a Form of Ownership Across the broader universe of corporate law, the new trading price paradigm would be a mistake, placing the public corporation at a serious disadvantage as a form of ownership of enterprise. 341 As we have noted, the traditional paradigm seeks to empower and incentivize a corporate board to act like a single owner in the merger context. By permitting broad use of defensive tactics, Unocal vests in the board power akin to that of a single owner to sell or refuse to sell the corporation, together with the ability to engage in hard-nosed negotiations that comes with this power. 342 Revlon and its progeny give directors the incentive to use this power as a single owner would, requiring that a board, upon deciding to sell, "seek the maximum value reasonably obtainable for the stockholders." 343 In short, the traditional paradigm permits (and may require) the board to 338. Theodore N. Mirvis et. al., The New New Regime in Delaware Appraisal Law, HARV. CORP. GOVERNANCE F. (Mar. 1, 2018), https://corpgov.law.harvard.edu/2018/03/01/the-new-new-regime-in-delawareappraisal-law/ [https://perma.cc/8YJC-PV22] ("In an arm's length deal with a private equity buyer, the merger price should now be seen a reliable indicator of fair value, if not a ceiling"). 339. E.g., William Savitt, The Genius of the Modern Chancery System, 2012 COLUM. BUS. L. REV. 570, 570–71 ("The Court's approach has allowed it to supervise the market for corporate control and clarify the competing rights and obligations of corporate stakeholders with efficiency uncommon for a common law court."). 340. In re Columbia Pipeline Grp., Inc., No. CV 2018-0484-JTL, 2021 WL 772562, at *16 (Del. Ch. Mar. 1, 2021), cert. denied sub nom. In re Columbia Pipeline Grp. Inc. (Del. Ch. 2021), and appeal refused sub nom. In re Columbia Pipeline Grp., Inc. Merger Litig., 249 A.3d 801 (Del. 2021). 341. See Korsmo & Myers, supra note 160 for a more detailed development of this argument. 342. Ronald J. Gilson & Alan Schwartz, An Efficiency Analysis of Defensive Tactics, 11 HARV. BUS. L. REV. 2, 3 (noting that a poison pill "entirely precludes a hostile bid by making it impossible for a potential acquirer to realize value from buying target shares"). 343. McGowan v. Ferro, 859 A.2d 1012, 1032 (Del. Ch. 2004) (describing Revlon doctrine). negotiate with bidders to maximize the sales price in a merger, just as a single owner would. By contrast, the new paradigm embraces the central reasoning of the rival "market standard" long advocated in a strain of law and economics scholarship, most prominently by Frank Easterbrook, Daniel Fischel, and Alan Schwartz. 344 Under this approach, the market price is the only proper measure of the value of the stockholders' entitlements in publicly traded firms. 345 As a result, any takeover bid at a premium to the market price— no matter how small—would necessarily be fair to stockholders. 346 This approach offers no justification for allowing boards to employ takeover defenses in fighting off a hostile bid or as leverage to negotiate for a better deal. The logic, in short, is that—because market prices provide a reliable benchmark for value—bargaining over gains will only serve to waste resources and prevent value-enhancing transactions. 347 As such, a market standard would, its advocates claim, facilitate the market for corporate control, reduce agency costs, and maximize economic efficiency by assuring the transfer of corporate assets to higher value uses. 348 Those who defend Delaware's traditional approach—most prominently, Lucian Bebchuk—have typically done so on three major grounds. 349 First, they question the notion that stock prices can serve as a reliable measure of the value of the firm. Second, they doubt whether a market standard would have the effect of hampering the identification of highest valuing users of corporate assets. Third, they argue that a market standard would create inefficient incentives at target firms by denying target stockholders a share of the potential synergy gains produced by their investments. In a separate paper, we develop another justification for the traditional single-owner standard, rooted in dynamic considerations. Whatever its other merits, a market standard— the logic of which the new paradigm embraces—would disadvantage public company stockholding as a form of ownership of enterprise. The traditional paradigm puts public stockholders on as close to an even footing with a single owner as possible, in particular by allowing them to share in the gains from a sale of corporate assets (including the entire firm) just as a single owner would. A market standard, on the other hand—again, the logic of which the new paradigm embraces—would deprive public stockholders of this ability, forcing them to discount their shares relative to what they would be worth to a single owner. 344. See EASTERBROOK & FISCHEL, supra note 159, at 154 (justifying the use of market price over the Delaware Block Method); Alan Schwartz, The Fairness of Tender Offer Prices in Utilitarian Theory, 17 J. LEGAL STUD. 165, 165 (1988) (comparing the standards of fairness of the market standard and the single-owner standard). 345. See EASTERBROOK & FISCHEL, supra note 159, at 157 (arguing that the benchmark for the value of the stockholder's entitlement in all domains of corporate law—appraisal, hostile defenses, and others—should be the trading price of the stock); Schwartz, supra note 328 (arguing that any bid above the prebid market price should be treated as "fair, if economic efficiency is the standard by which the fairness of a transaction is measured"). 346. Schwartz, supra note 28. 347. Frank H. Easterbrook & Daniel R. Fischel, The Proper Role of a Target's Management in Responding to a Tender Offer, 94 HARV. L. REV. 1161, 1175 (1981) (arguing that "even resistance that ultimately elicits a higher bid is socially wasteful"). 348. See EASTERBROOK & FISCHEL, supra note 159, at 173 (discussing how the incentives of bidders affects agency costs); Schwartz, supra note 328, at 170 (explaining the economic efficiency in takeovers above market price). 349. See, e.g., Lucian Arye Bebchuk, The Sole Owner Standard for Takeover Policy, 17 J. LEGAL STUD. 197, 199–210 (1988) (arguing against the use of the market standard and for the use of the single-owner standard); David D. Haddock et al., Property Rights in Assets and Resistance to Tender Offers, 73 VA. L. REV. 701, 707–08 (1987) (explaining the role of bargaining in markets and related asset valuations). Not only would this increase the cost of capital for existing firms but, working backward in the life cycle of a firm, it would give entrepreneurs a disincentive to employ the classic public corporation form in the first place. In short, if the law were to disadvantage public company stockholding as a form of ownership, entrepreneurs seeking to raise capital would pay a penalty for doing so via a public equity offering. Instead, entrepreneurs would face incentives to remain private or otherwise maintain plenary control. To the extent that public markets and dispersed ownership are socially beneficial—for reducing the cost of capital; for generating information and allocating capital efficiently; for allowing small investors to share in the wealth creation of large enterprise; and so on—penalizing this form of ownership would be a bad thing. As a result, far more is at stake in the debate over a market versus single-owner standard—and the new paradigm emerging from appraisal—than simply how the spoils from any individual merger will be divided. The traditional paradigm plays a crucial role in preserving the viability of the publicly traded corporation as a form of enterprise. V. CONCLUSION The Delaware Supreme Court has articulated a new paradigm that relies on the trading price as a measure of the stockholder's entitlement in the corporation. This new paradigm is in direct tension with the long-standing bedrock of Delaware's various doctrines surrounding mergers, in which the corporate estate has a value distinct from the trading value of an individual share. In appraisal, the traditional approach has been to value the unified enterprise and award a pro rata share to the dissenter. Likewise, in the fiduciary context, both the standard of review and the measure of damages have been inextricably tied to this approach. Perhaps most importantly, in affording directors the discretion to fight off hostile transactions, Delaware law assumes that the entity can have some value—which directors are bound to protect and maximize—that is not fully reflected in the market price of fractionalized ownership claims. The new paradigm throws all these bedrock propositions of Delaware corporate law into uncertainty.
Level 1 Alaska Interagency Coordination Center Situation Report Monday - 05/09/2005 \| Alaska Fire Service (AFS) 1 1 3 0 \| 4 455.0 \| \|---\|---\| \| \| 4 455.0 \| \| State of Alaska (DOF) 4 10 15 0 \| 71 5,487.7 \| \| \| 3 42.1 14 396.7 14 77.3 2 0.2 12 4,962.3 21 3.4 1 2.5 4 3.2 \| \| Forest Service (USFS) 1 0 1 0 \| 3 16.5 \| \| \| 3 16.5 \| \| 0 0 0 0 \| 1 \| \| \| 1 \| \| Statewide Totals 6 11 19 0 \| 79 5,959.2 \| Ytd Fires Ytd Acres New Active Acres on 5/8 BQ4R Northern Lights Name: Legal: Lon: Lat: 64:49:40 147:40:50 1S 1W 14 F Start Date: Acres: Cause: Out Date: Status: Out 5/8/05 0.3 5/8/05 Human Owner: Admin: Area: Option: CRITICAL MIL MIL ARMY 075 # Northern Lights Name: Cause: Human Admin: ARMY 075 # Narrative: New - DOF 512079 Island of Trees Name: Legal: Lon: Lat: 64:08:00 145:49:00 9s 10e 8 F Start Date: Acres: Cause: Out Date: Status: U/C 0.5 5/8/05 Human Owner: Admin: Area: Option: CRITICAL DAS PRI 079 # A column of smoke was reported by a helicopter responding to a different fire. Three engines were dispatched to a farm field with an island of trees that were torching. The engines quickly brought the fire under control. Narrative: 512078 Billy Burn Name: Legal: Lon: Lat: 63:20:00 144:03:00 24n 7e 4 C Start Date: Acres: Cause: Out Date: Status: U/U 15.0 5/8/05 Human Owner: Admin: Area: Option: FULL DAS STA 078 # A large column of smoke was spotted from Dot Lake in a remote area near Tee Lake. Helitack was called out and found the fire was well within the burned area of the Billy Creek fire of 2004. It was determined that no action would be taken at this time. Narrative: 513077 Pump Station Road Name: Legal: Lon: Lat: 63:21:14 143:01:47 18n 13e 12 C Start Date: Acres: Cause: Out Date: Status: Out 5/8/05 0.1 5/8/05 Human Owner: Admin: Area: Option: CRITICAL TAS STA FOR 077 # An abandoned campfire was reported. One engine with 2 personnel responded and extinguished the fire. Narrative: 511076 F/A #2 Name: Legal: Lon: Lat: 65:14:00 146:52:00 5n 4e 24 F Start Date: Acres: Cause: Out Date: Status: F/A 5/8/05 0.0 5/8/05 False Alarm Owner: Admin: Area: Option: CRITICAL FAS STA 076 # The fire was reported at 50 mile Steese by people driving down the road. Helitack responded and found no smoke. An engine responded later in the day and nothing was found. Narrative: 511074 Destiny Name: Legal: Lon: Lat: 64:45:00 148:01:00 2s 2w 7 F Start Date: Acres: Cause: Out Date: Status: U/C 0.1 5/8/05 Human Owner: Admin: Area: Option: CRITICAL FAS PRI 074 # A structure fire spread into the wildlands. Engines and 2 squads responded along with local cooperator engines. The fire was suppressed and remains in monitor status. Narrative: New - USFS 537001 P0BEV0 Peterson Creek Name: Legal: Lon: Lat: 60:53:46 145:24:16 9n 3e 11 S Start Date: Acres: Cause: Out Date: Status: S/U 2.0 5/8/05 Human Owner: Admin: Area: Option: FULL CGF USFS CGF C03 # Page 2 Mon - 05/09/2005 Generated at: 8:21 Narrative: The fire was burning on a 60% slope by the rifle range on Peterson Creek. Mat-Su helicopter and engines, A-2, Anchorage FD engines and tenders, Girdwood VFD engine and tender, Troopers, and a CGF engine all responded. Numerous bucket drops were made. Hose line was laid surrounding the fire. Active - AFS BQ3D Stuart Creek Name: Legal: Lon: Lat: 64:41:36 146:35:42 2S 6E 32 F Start Date: Acres: Cause: Out Date: Status: U/U 50.0 5/6/05 Human Owner: Admin: Area: Option: LIMITED MIL MIL ARMY 066 # The fire was not monitored. Narrative: BQ0D M-16 Name: Legal: Lon: Lat: 64:48:29 147:37:39 1S 1E 19 F Start Date: Acres: Cause: Out Date: Status: U/C 400.0 5/4/05 Human Owner: Admin: Area: Option: LIMITED MIL MIL ARMY 057 # Called contained at 1700. A few smokes were noted at the north east corner of the fire. Fire Behavior was limited to smoldering in that area. Monitoring will continue. Narrative: BQW6 100 Mile Creek Name: Legal: Lon: Lat: 64:01:05 146:20:18 10s 7e 27 F Start Date: Acres: Cause: Out Date: Status: U/U 5.0 5/3/05 Human Owner: Admin: Area: Option: LIMITED MIL MIL ARMY 054 # No report from dispatch. Narrative: Active - DOF BQ4F 511073 Rental Road Name: Legal: Lon: Lat: 68:48:00 147:33:00 2s 2e 6 F Start Date: Acres: Cause: Out Date: Status: U/C 3.8 5/7/05 Human Owner: Admin: Area: Option: CRITICAL FAS PRI 073 # Two squads gridded, checked for smokes, and picked up hoselay. The fire remains in monitor status. Narrative: 503072 Greenwood Name: Legal: Lon: Lat: 59:44:00 151:15:00 5s 12w 14 S Start Date: Acres: Cause: Out Date: Status: U/C 0.5 5/7/05 Human Owner: Admin: Area: Option: CRITICAL KKS PRI 072 # The fire was not checked and remains in monitor status. Narrative: 501065 Delroy Name: Legal: Lon: Lat: 61:35:01 149:45:02 17N 3W 2 S Start Date: Acres: Cause: Out Date: Status: U/C 0.5 5/6/05 Human Owner: Admin: Area: Option: CRITICAL MSS PRI 065 # No report on this fire at this time. Narrative: 503064 Reba Fire Name: Legal: Lon: Lat: 60:02:00 151:38:00 2S 2E 15 C Start Date: Acres: Cause: Out Date: Status: U/C 0.3 5/6/05 Human Owner: Admin: Area: Option: CRITICAL KKS PRI 064 # Narrative: No report was received from dispatch. Page 3 Mon - 05/09/2005 Generated at: 8:21 501062 Lat: Lon: Legal: 61:31:00 149:36:00 17n 2w Acres: Start Date: 0.1 5/5/05 Option: CRITICAL Area: MSS 27 S PRI # Valley View Name: Out Date: Cause: Human Owner: Admin: 062 Page 4 Mon - 05/09/2005 Generated at: 8:21 Status: U/C Lat: 61:17:00 Acres: Status: Out 0.1 Option: FULL 501071 Lon: 149:55:00 Start Date: 5/7/05 Area: MSS Page 5 Mon - 05/09/2005 Generated at: 8:21 511004 Leuthold Road Name: Legal: Lon: Lat: 65:08:00 147:32:00 4n 1e 33 F Start Date: Acres: Cause: Out Date: Status: Out 5/8/05 0.3 4/22/05 Human Owner: Admin: Area: Option: FULL FAS PRI 004 # Narrative: The fire was patrolled and declared out. Page 6 Mon - 05/09/2005 Generated at: 8:21
Geneva Centre for Security Sector Governance Security Sector Reform in Azerbaijan: Key Milestones and Lessons Learned Elkhan Mehdiyev 1 About DCAF DCAF - Geneva Centre for Security Sector Governance is dedicated to improving the se curity of people and the States they live in within a framework of democratic governance, the rule of law, and respect for human rights. DCAF contributes to making peace and de velopment more sustainable by assisting partner states and international actors supporting them to improve the governance of their security sector through inclusive and participatory reforms. It creates innovative knowledge products, promotes norms and good practices, provides legal and policy advice and supports capacity building of both state- and non-state security sector stakeholders. Active in over 70 countries, DCAF is internationally recognized as one of the world's leading centres of excellence for security sector governance (SSG) and security sector reform (SSR). DCAF is guided by the principles of neutrality, impartiality, local ownership, inclusive participation, and gender equality. www.dcaf.ch. The author's opinion does not represent DCAF. Publisher DCAF - Geneva Centre for Security Sector Governance P.O.Box 1360 CH-1211 Geneva 1 Switzerland email@example.com +41 (0) 22 730 9400 Author: Elkhan Mehdiyev Copy-editor: Richard Steyne, Elizaveta Chmykh Design & layout: DTP Studio ISBN: 978-92-9222-594-0 An Analysis o f Sec urity Sector Reform in Azerbaijan Table of Contents List of Abbreviations ANAMA Azerbaijan National Agency for Mine Action ASAN service Azerbaijan Service and Assessment Network CIS Commonwealth of Independent States DEEP Defense Education Enhancement Program IPAP Individual Partnership Action Plan MoI Ministry of Interior MoD Ministry of Defense MPs Members of Parliament NSM National Security Ministry OCC Operational Capabilities Concept OSCE Organization for Security and Co-operation in Europe PFP Partnership for Peace PARP Planning and Review Process SSR Security Sector Reform SSS State Security Service SBS State Border Service WMD Weapons of Mass Destruction An Analysis o f Sec urity Sector Reform in Azerbaijan Introduction Traditionally, the security sector is understood as including "those organizations that have the legitimate authority to use force, to order force or to threaten with the use of force in order to protect the state and its citizens." 1 This includes all institutions responsible for the provision and management of security, including the armed forces, national and local police organs, intelligence services, justice ministry agencies, private security agencies, paramilitary forces and other security forces mandated to use force by the state. Noting the important role of military and other security forces in ensuring the indepen dence and security of the nation-state, it must also be noted that in the absence of dem ocratic control security actors may be used as an instrument to further political agendas and threaten a state's political system writ large. It is especially true where democratic institutions are not developed and where political instability prevails. Peter Feaver char acterizes this civil-military problem as a simple paradox: "because we fear others, we create an institution of violence to protect us, but then we fear the very institution we created for protection". 2 From these perspectives, parliamentary and public oversight over the security sector are two important dimensions for the practice of civil-military relations in a democratic soci ety, along with a clear division of authority between the political leadership and security agencies. Obviously, the patterns of civilian control vary with changes in domestic ideol ogy, domestic legal institutions, and any external threat. 3 In this context, Azerbaijan's civil-military relations have not been representative of those typically associated with democratic systems. The early years of independence were dominated by the period of the Armenian-Azerbaijani conflict and the use of the military in internal politics. Military formations affiliated with different factions and their defiance of elected national Azerbaijani governments have served as non-democratic examples for post-Soviet civil-military relations. Their weak institutional foundations drove instability and rebellion within the armed forces. While other components of the security sector, like the Interior Ministry and the Intelligence Service, had their own Soviet-originated struc ture and command headquarters, within a short period of time after independence they adapted their operations to the realities of a recently independent country. The national armed forces had no institutional history, and were very vulnerable to manipulation by non-democratic actors. The reform of security institutions in post-Soviet countries became part of the democrati zation process and required clearly defined legislative frameworks for each institution. In the Azerbaijani case, the constitutional framework has had insufficient legal grounds for democratic control, placing greater emphasis on a presidential style of governance, while privileging the parliament and its relevant committees with less powers. As dictated by the political conditions in the early 1990s, control of the security sector was a cornerstone of influence and governance. The Security Council headed by the President, composed of key security ministries and civilian leadership, represents itself as a coordinating agency rather than a decision-mak 1 DCAF. Intelligence Practice and Democratic Oversight. 2003. PP. 6-7- Available at: https://dcaf.ch/sites/ default/files/publications/documents/op03_intelligence-practice.pdf 3 Huntingdon Samuel P., The Soldier and the State: The Theory and Practice of Civil Military Relations, Cambridge, Harvard University Press, 1957. 2 Feaver P., The Civil-Military Problematique: Huntingdon, Janowitz, and the Question of Civilian Control. Armed Forces & Society (0095327X); Winter 96, Vol. 23 Issue 2. 1 2 ing body. As a consultative body, it exerts power over the entire security sector, and acts as the coordinating body between different ministries. This paper examines the process of security sector reform in Azerbaijan through recourse to legal, political and educational developments. The paper concludes that there is a scope to enhance oversight of the security sector, and that to do so, existing challenges within security sector ministries should be addressed. While this paper includes statistics on military armaments and forces, its primary purpose is to determine the laws, concepts and regulations that have both driven and hindered reform of the security sector, as well as the effects of international cooperation programs. The Security Environment In the early years of independence, several internal and external factors influenced the process of security sector reform in Azerbaijan. Internal political struggles with the use and influence of military elements undermined the fragile foundations of the newly inde pendent state leading to political turmoil, instability and insecurity. The conflict with neigh bouring Armenia has played a significant role in determining Azerbaijani security policy and its approach to security institutions during the last 26 years. The notion of stability and security has always been used by the ruling elite for internal political purposes and nation-building processes: "Public-political stability is important for successful state building. Stability is important for social-economic reforms. Stability is necessary for building of a market economy." 4 Highlighting the achievement in creating domestic stability, and security and economic improvement, the government policy em phasized stability in a society dominated by the security sector. This need for stability and security has shaped the approach of the Azerbaijani government to governance issues. 5 Consequently, the absence of free democratic elections and debate have served to en hance corruption and non-transparency; becoming a heavy burden for the government as stated by President Aliyev on several occasions. 6 These characteristics of the Azerbaijani society have become a real challenge to ensuring state security. Energy resources have become a major underlying component of the nation's security and economic independence. They also serve as a source of insecurity, as demonstrated by the effects resulting from the sharp fall in oil prices in late 2020, and the limited devel opment of other sectors of the economy. Azerbaijani relations with neighboring Russia, Iran and Turkey as well as with NATO have been dictated by the notion of security and territorial integrity. Relations with Russia and Iran have overwhelmingly been dominated by challenging security factors, while relations with Turkey and NATO have ensured that Azerbaijani security interests have been sup ported. Thus, the process of security sector reform depended on the elements of internal politics and traditions of the past. As the elements of security are expanding with the emergence of new technological threats like cyber-security, security sector reform specialists need to obtain advanced technical knowledge and on its applicability to a democratic system. 4 Heydər Əliyev və Qanunçuluq Bakı «Adiloğlu» nəşriyyatı, 2008. Page 396. President Heydar Aliyev, Presidential Speech on the Occasion of the 80th Anniversary of the Prosecutor's Office November 28, 1998. 6 President Ilham Aliyev, ASAN service is most effective tool against corruption and bribery, December 7th, 2017. Available at: https://www.azernews.az/nation/123636.html. 5 Heydər Əliyev və Qanunçuluq Bakı «Adiloğlu» nəşriyyatı, 2008. Page 365. Meeting of President H. Aliyev with Council of Europe Delegation, April 1st, 1998. An Analysis of Security Sector Reform in Azerbaijan Normative acts for reform and the adopted laws regulating the functions and obligations of security institutions should also meet new challenges facing security institutions within a democratic society. 3 4 I. Armed Forces Reform of the Azerbaijan Army At the time of independence in 1991, Azerbaijan was one of the former Soviet repub lics with a heavy Soviet military contingent stationed on its soil because it was locat ed so close to the Middle East. Azerbaijan was home of the Soviet Fourth Army of the Trans-Caucasus Military District (Zakavkazskiy Voenniiy Okrug) with its motorized rifle divisions, 7 air defense, air force and the naval elements. In addition, the 104th Airborne Division, Helicopter Assault regiment, three air force regiments (bomber, a reconnais sance, ground attack), and ground support units were located in Azerbaijan. 8 Air defense and radar systems were based on the Soviet-Iranian border and the Caspian Sea. The Caspian Sea Fleet was based in Baku with its naval combat forces. 9 Another military in stallation, the Gabala radar station, served to identify and track ballistic missiles over the area of Middle East and southern borders of the Soviet Union. 10 At the time of the collapse of the Soviet Union, conventional weaponry stationed in Azer baijan was estimated at 391 tanks, 1285 armored combat vehicles, 463 artillery pieces, 24 helicopters, 124 fighter aircraft, with a combined total of 66,000 military personnel. 11 The formation of the national army was initiated with the decision of the Supreme Soviet of Azerbaijan dated 3 September 1991 "On formation of self-defense forces of the Azer baijan republic." 12 The government at that time proposed forming a self-defense force of 10,000 contractors comprising of professional military personnel rather than conscripts. However, the self-defense forces had only limited capabilities. For that reason on 9 Octo ber 1991, the Parliament adopted a Law "On the Military Forces of Azerbaijan" legalizing the formation of the Azerbaijani Army. 13 According to the law, draftees of ages 18 to 25 were obliged to serve in the army for 18 months; contractors for three years, and women of ages 18-35 could serve with contracts on a voluntary basis. Alternative service was also allowed. The law guaranteed military ranks of the officers obtained during their ser vice in the Soviet Army. At the same time, the Azerbaijani government declared the former Soviet forces stationed on Azerbaijani territory as a foreign army and demanded to define the status of the ar my. 14 Meanwhile Moscow opposed the formation of independent militaries for newly in dependent Former Soviet Union (FSU) countries, instead proposing single United Armed Forces for the former Soviet republics. 15 This idea was opposed by Azerbaijan, Moldova, and Ukraine and led to the Minsk summit of Commonwealth of Independent States (CIS) countries in December 1991, where a decision was made that each CIS country has the "legitimate right to create its own armed forces." 16 7 "Nezavisimaya gazeta", August 12th, 1992. 9 The Military Balance, 1991-1992. 8 Patrick Gorman Central Asia Monitor, No1, 1993. 10 "Krasnaya Zvezda", May 28,1991. 12 Heyat, September 3rd, 1991. Decree of President A. Mutalibov. 11 Webber M., The International Politics of Russia and Successor States. Manchester University Press St. Martin's press. New York, New York. 13 Azərbaycan Respublikası Ali Sovetinin Məlumatı»nda dərc edilmişdir (№ 210-XII , 1991-ci il, № 19-20, maddə 329). 15 Odom W., Dujarric R., 1995. Commonwealth or Empire. Hudson Institute: Indiana, Indianapolis. 14 "Nezavisimaya gazeta", N132, October 1991. Interview with A. Mutallibov. 16 Webber M., The International Politics of Russia and Successor States. Manchester University Press St. Martin's press. New York, New York. An Analysis of Security Sector Reform in Azerbaijan Concurrently, many voluntary self-defense forces in border areas and in the areas of hostility emerged on a regional basis, with their own commanders and independent fi nancial sources for the purchase of military equipment. They acted independently from one another; refusing to be subordinated to the Ministry of Defence as each represented particular interests and agendas. 17 They were patriotic, but discipline was low and the lack of professional military experience, self-reliance, and a lack of coordination among different groups was a source of poor operational readiness. The Ministry decided to build the army from mobile units based on a Brigade-Corps sys tem, which was different from the Soviet system of regiment-division-army principles. Each brigade consisted of five operational battalions. Each battalion comprised of about 450 personnel. First volunteers and national army draftees formed the first Azerbaijani brigade in late 1991. Additional brigades consisted of about 3000-3,500 personnel each. 18 The strategy for the new armed forces was intended to ensure the security of the Azerbai jani-Armenian border and to allow interior ministry forces to ensure safety and security. However, Azerbaijani military capabilities were not sufficient to secure its borders with Armenia, including its airspace. 19 The military's inability to protect the country's popula tion led to the replacement of four defense ministers within six months of independence. 20 During this period, the process of dividing Soviet military equipment among the former union republics was formalized in a CIS Defense Minister meeting in Tashkent in May 1992. Despite the Azerbaijani opposition, the Russian Defense Minister Gracev pres sured the nation to accept an equal equipment quota with Armenia and Georgia. 21 After the signing of the Tashkent Treaty, Azerbaijan had a limit of 100 aircrafts. During the night of 9-10 June, fighter aircrafts from Cital-chay and bombers from Kurdamir area departed for Russian territory, 22 with only three aircraft remaining in Azerbaijan. In August 1992, the army leadership decided to dissolve the units of volunteers with ex perience from Soviet-era military service and man the army only with draftees. However, the draftees displayed their lack of experience during fighting with Armenia that conse quently led to failures on the battlefield. International efforts with active Russian media tion yielded a cease-fire agreement in May 1994. The process of forming a new national military structure began with the establishment of political stability that included the destruction of opposition 's armed forces and groups inside the Azerbaijani governmental structures. The creation of a coalition government combining President Heydar Aliyev administration with rebel forces was a significant challenge because the rebels had their own influence inside the military and security el ements. In October 1994 rebel forces clashed with government forces loyal to President Aliyev, resulting in the rebel leader's dismissal and arrest. 23 In March 1995, powerful in ternal security forces (OMON) rebelled against president Aliyev. The rebels were defeat 17 According to interviews conducted with numerous war veterans in Baku, Gance. 2001. 19 "Kommunist", July 27th, 1990. 18 Mekhtiev E., 1999-2001. NATO-EAPC Research Fellowship: "Security Policy in Azerbaijan". Available at: https://www.nato.int/acad/fellow/99-01/mekhtiev.pdf 20 There was a need to select a figure who had a public support at that time. Mr. Gaziyev had popular sup port for his volunteer activities in the front lines and for that reason he was appointed as Defense Minister in March 1992. He was one of the leaders of the Popular Front. 22 Military analyst H. Huseynov who was a member of Azerbaijani military commission that received Russian weapons under the Tashkent Treaty confirmed the unilateral steps of the Russian Defense Ministry. 21 Azerbaijan experienced political turmoil at the time and Armenia were advancing in the Lachin area. There was no time or possibility for dispute over the number of weapons. 23 Heydər Əliyev qiyamı belə yatırdı. 2015. Available at: https://axar.az/news/gundem/66921.html. 5 6 ed by the armed forces and their commander was killed. 24 These two events reflected a dark period of civil-military relations for the newly independent nation. At the same time, these events also created an opportunity for the Ministry of Defense (MOD) to take control over the armed forces and create a single, unified military within the MOD. The combination of the creation of a single command structure and the dismissal of many army veterans of the 1992-1994 war with the arrival of newly trained officers from Azerbaijani and Turkish military schools was the beginning of a new era for the armed forces. By 1998, the army had completed the formation stage of a professional force and significantly reduced the number of serving draftees, resulting in a more streamlined military structure. NATO Oriented Educational Reform Reform of the military required intervention by senior politicians as many high-level of ficers feared losing their influence and sources of income. In addition, every reform ini tiative was encountered with suspicion from the army and the political leadership, as it would require a reduction in the number of military personnel while the country was in the state of war with Armenia and the majority of soldiers were serving in active combat duty. The first components of reform began with military education and support from NATO and the Turkish military. Azerbaijan was one of the first members of the 1994 NATO Partner ship for Peace (PfP) initiative. This represented an Azerbaijani foreign policy change to establish integrated relations with NATO and other western institutions. 25 The initiative created a cooperation framework with NATO and ensued strong relationship with the Alli ance. Azerbaijan used the NATO PFP platform for cooperation on a multilateral level with NATO and a bilateral level with individual NATO allies. Turkey was then able to introduce a Turkish-NATO style military education system. In late 1990s and early 2000s, the U.S. and other Western countries invested heavily in Azerbaijani oil and gas fields. The US government and Congressional leaders repeat edly expressed their interest in "boosting bilateral military cooperation through NATO's Partnership for Peace program." Azerbaijan's "geo-strategic importance in the region had repeatedly been emphasized for its immense oil reserves and as a transit country playing the role of a gateway between Europe and Asia." 26 By 2003, Azerbaijan openly indicated its intention to join NATO or host US bases. The government established a State Com mission on the relationship with NATO under the deputy prime minister and President Aliyev declared the country's intention to join NATO. 27 Expanded bilateral Azerbaijani-NATO relations and the US-Azerbaijan Security dialogue, 28 along with frequent visits of U.S. European Command leaders to Baku, have been a sign of firm policy decision on greater integrated relations with NATO. 29 President Aliyev's policies started to gradually change the shape of the Azerbaijani armed forces. NATO military training and education programs played an essential role for alter natives and change. Changes to the military education system and the full participation of Azerbaijani officers at NATO headquarters led to incremental steps to conform with NATO standards. As an example, Azerbaijan's participation in PfP sponsored exercises and 24 1995-ci ilin mart hadisələri. 2018. Available at: https://sia.az/az/news/social/668285.html. 26 Interfax News Agency, Moscow. April 8th, 1998. 25 Statement of MFA of Azerbaijan Republic, Sintra, Portugal. May 1997. 27 Analysis: A time of change for Azerbaijan. 2003. United Press International. 29 JCorrell, John T., European Command Looks South and East. Air Force Magazine, December 2003, Vol. 86, No. 12 Air Force Association. 28 Joint statement on US-Azerbaijan relations. 1997. USIA, EUR 506. An Analysis of Security Sector Reform in Azerbaijan training dramatically increased from 75% in 1997 to 100% in 1998. 30 Azerbaijan hosted some PfP training programs in Baku and took part in their activities. Active military cooperation with Turkey took place on both a bilateral basis and within the PfP program. The Council on Military Cooperation (Askeri Ish Birliyi Koordinasyon Kurulu) was formed between Azerbaijan and Turkey with its office in Baku; responsible for coordinating the training of of Azerbaijani officers in Turkey and in Azerbaijan. 31 This military training was conducted according to NATO standards. Turkey had already been serving as a link between Azerbaijan and the PfP program because Turkey was the NATO Liaison Country for Azerbaijan. By 1997, the Higher Military Academy began adapting NATO military education system standards into its educational program, followed later by other military institutions like the War College of the Armed Forces and the Education and Training Center. Military education has also been a part of Individual Partnership Program (IPP) initiated between Azerbaijan and the Alliance. This program included english language training, defense policy and strategy building, as well as participation in military exercises. These programs also created the opportunity for the Azerbaijani military to be trained to partici pate in international peacekeeping operations. Joining the NATO Planning and Review Process (PARP) in 1997 allowed Azerbaijan to develop peacekeeping units in accordance with NATO standards. This allowed Azerbai jan to enhance the interoperability of peacekeeping forces in multi-national peace opera tions and be able to operate alongside NATO forces. PARP participation ensured defense and force planning could be conducted in accordance with NATO standards. PARP also served as a platform for the Azerbaijani military to work together with NATO experts to review and further develop a set of NATO partnership goals. 32 Within this framework new NATO-Azerbaijan partnership structures had been initiated such as the NATO Individual Partnership Action Plan (IPAP) for Azerbaijan, envisioning a reform of military and force structures as well as a societal reform. The application of NATO standards into the military training and education systems was part of the IPAP program, including curriculum for tactical and operational-level courses on defense plan ning and strategy as conducted in NATO countries. 33 This program has been developed and implemented in different stages. Five stages of cooperation included the periods of 2005-2007, 2008-2010, 2011-2013, 2014-2016 and 2017-2019. 34 Referring to IPAP, the Azerbaijani national security concept called it a "mechanism for reforming the security sector to meet NATO standards." 35 Experience and knowledge gained from NATO's Operational Capabilities Concept's (OCC) Evaluation and Feedback Programme (E&F) served to develop the armed forces in accordance with the requirements of modern warfare and to achieve the necessary operational capabilities of NATO, allowing direct participation in NATO-led operations. It is also intended for achieving a level of interoperability with NATO forces. Under the su pervision of NATO and national evaluators, including experts from the U.S. and Turkey, Azerbaijan conducted evaluation exercises for a number of its units including elements 30 Howard G., Caspian Crossroads, Volume 4, Issue N3. 32 MOD. Military interoperability of forces with NATO. Available at: https://nato-pfp.mfa.gov.az/content/21. 31 Mekhtiev E., 1999-2001. NATO-EAPC Research Fellowship: "Security Policy in Azerbaijan". Available at: https://www.nato.int/acad/fellow/99-01/mekhtiev.pdf. 33 MOD. Education and training. Available at: https://nato-pfp.mfa.gov.az/content/23. 35 National security concept of the Republic of Azerbaijan. Signed by the President on 23 May 2007. Page 9. Available at: https://www.files.ethz.ch/isn/154917/Azerbaijan2007.pdf. 34 MOD. Cooperation with NATO. Available at: https://mod.gov.az/az/nato-ile-emekdasliq-028/. 7 8 of a motorized-rifle division with the participation of nearly 900 personnel, 100 vehicles, and helicopters. 36 Azerbaijani officers have also served at seven various tactical, operational and strategic level staff positions in NATO including at U.S. Central Command Headquarters in the U.S. and in the International Multi-Coalitional Headquarters in Baghdad, Iraq. 37 NATO's Defense Education Enhancement Program (DEEP) program was initiated in 2008 with the purpose of fostering defense reform by adapting NATO standards into the curriculum and faculty development at the War College and High Military School, and establishing a foreign language training centre. 38 NATO DEEP has a particular role in the development of foreign languages, which plays a crucial role for facilitating interoperabil ity and cooperation. The Ministry of Defense has also been cooperating with the security and peace program. 39 All of these programs allowed the MOD to conduct defense reforms, including the devel opment of strategic documents, implementation of NATO standards in the military educa tion and training systems, preparation of peacekeeping forces, personnel management, maritime security, cyber-security, energy security consultations, and airspace surveil lance. The Azerbaijani foreign ministry reiterated that the relations within the PfP were "one of the important directions" of Azerbaijan's "foreign and security policy," while the MOD called the program "one of the most successful engagements" between Azerbaijan and NATO. 40 In turn, senior NATO officials commended Azerbaijan for being a "close, trusted and valued partner." 41 Conceptual Documents for the Development of the Armed Forces The Ministry of Defense was restructured by a December 2013 Presidential decree adopting a new Charter for the ministry that regulated the staff structures and numbers of servicemen. A strategic decision was made to modernize the army, including the high precision–guided weapon systems. 42 Professionalization of the army was expanded with professional soldiers under contract. These were tank, artillery, and special forces, whose role in the 2020 conflict was critical: "90% of the army are now professional soldiers. Pro fessional soldiers are serving in all positions related to combat tasks. For instance, tank crew members must serve on active duty for at least three years, but many of them have served 5 and 10 years." 43 36 Azərbaycan Respublikasının müdafiə naziri, general-polkovnik Zakir Həsənovun AzərTAc-a müsahibə si. 2014. Available at: https://mod.gov.az/az/news/azerbaycan-respublikasinin-mudafie-naziri-gener al-polkovnik-zakir-hesenovun-azertac-a-musahibesi-12046.html. 38 Ibid. 37 MOD of Azerbaijan. Cooperation with NATO. Available at: https://mod.gov.az/en/cooperation-with-na to-028/. 39 MOD of Azerbaijan. Participation at peacekeeping operations. Available at: https://mod.gov.az/en/partici pation-in-international-peacekeeping-operations-027/. 41 NATO Military Committee Chairman. Air Chief Marshal Sir Stuart Peach Azerbaijan a trusted and valued partner. 2019. Trend Agency. Available at: https://www.azernews.az/nation/150124.html. 40 Azerbaijan and NATO Mark 25 Years of Partnership. 2019. Available at: https://jamestown.org/program/ azerbaijan-and-nato-mark-25-years-of-partnership/ 42 Azərbaycan Respublikasının müdafiə naziri, general-polkovnik Zakir Həsənovun AzərTAc-a müsahibə si. 2014. Available at: https://mod.gov.az/az/news/azerbaycan-respublikasinin-mudafie-naziri-gener al-polkovnik-zakir-hesenovun-azertac-a-musahibesi-12046.html. 43 Azərbaycan Respublikasının müdafiə naziri, general-polkovnik Zakir Həsənovun AzərTAc-a müsahibəsi 25 Iyun 2014. Available at: http://www.moderator.az/news/253444.html. An Analysis of Security Sector Reform in Azerbaijan In analyzing the development and the reform process in the army, it is apparent that insti tutional and organized reform policy was improved following the adoption of three strate gic documents. These documents elaborated the road map of the Azerbaijani armed forc es, which, in practical terms, had the primary purpose of strengthening defense capability and restoration of territorial integrity of the country. The impact of the 2007 National Security Concept that formulated defense policy and reform objectives can now be estimated as mostly accomplished with clear and tangible evidenced as regard increased combat capabilities. 44 The Concept declared the nation's defense capability as key for supporting the two major aspirations of the nation: * Protecting the independence and sovereignty of the Republic of Azerbaijan, restor ing its territorial integrity, and ensuring control over its territory. * Maintaining the capability of the Armed Forces to mobilize and conduct military op erations for the purpose of preventing and repulsing foreign armed aggression. 45 Establishing the optimal correlation between the economy and defense and developing the national defense industry is highlighted as one of the important directions of the national defense policy. Integration into the Euro-Atlantic security system, establishing interoperability with the forces of NATO member-states, and participation in peacekeep ing operations were among the main objectives of the defense policy declared in the National Security Concept. Comprehensive development of international military-political and military-technical relations has been stated as an important factor in the process of strengthening the defense capability of the country. Azerbaijan's National Security Concept laid out the purposes, foundations, and princi ples of defense policy and defense reform and it has served as a basic document for the development of the nation's Military Doctrine. 46 Adopted in 2010, this document defined the objectives and tasks, current and mid-term priorities, and reform objectives of the Azerbaijani armed forces to form an effective defense system with efficient interagency interaction. The Military Doctrine has elaborated the position of the Azerbaijani government on military security and the preparation of the state, population and territories for the development of an expedient military security system. It highlighted the complex security environment created by the unresolved conflict and the necessity of removing it either by peaceful or military means. The Military Doctrine also identified the conditions for the stationing of foreign military forces in Azerbaijan, declaring that "except in the cases stipulated in its international agreements," Azerbaijan does not allow any foreign military base on its soil; but in case of substantial military–political circumstances, it reserves the right for the temporary hosting of foreign military forces." 47 The Doctrine defines the main principles of defense policy as: * Centralized command over the armed forces and democratic control over its actions; 44 National security concept of the Republic of Azerbaijan. 23 May 2007. Baku. Available at: https://www. 46 "Azərbaycan Respublikasının hərbi doktrinasının təsdiq edilməsi haqqında Milli Məclisin Qərarı. 2010. Bakı. Available at: https://mod.gov.az//images/pdf/1840a650b19f3c1a6b1e8166000f1ef2.pdf. files.ethz.ch/isn/154917/Azerbaijan2007.pdf. 45 İbid. 47 Military doctrine of Azerbaijan. Chapter 1V, article 29. Available at: https://mod.gov.az//images/pd f/1840a650b19f3c1a6b1e8166000f1ef2.pdf 9 * Early prognosis of potential challenges to military security, their identification and assessment; * Early planning of activities and their timely implementation; * Ensuring necessary means, power and reserves, their planning and beneficial de ployment for maintaining military security; * Implementation of unified state policy on military-technical issues. In peacetime the Military Doctrine envisages the following activities for defense policy: * Protection of state borders and ensuring its inviolability; * Preventing of infiltration of foreign terror groups, weapons, narcotics, and weapons of mass destruction; * Protection of Caspian Sea borders; * Maintaining combat readiness of the armed forces; * Development of defense industry infrastructure and its improvement; * Maintaining the appropriate readiness of the armed forces and other security forma tions for immediate transition into fighting. The Military Doctrine identifies Armenia as a major challenge to Azerbaijan's national security, and predicts that the emergence of other military threats from external states is unlikely. The Doctrine defines options for the resumption of military operations against Armenia, options for expansion of military conflict to full-scale military operations, and conditions for the employment of military forces for the restoration of territorial integrity. The Military Doctrine connects future military organization and structure with the political/ military situation in the South Caucasus and in the mid-term creates the following priori ties for the Azerbaijani force development: * Acquire modern defensive and offensive capabilities to be able to rapidly adjust to changing operational situations; * Develop an effective capacity to counter opposing asymmetric military operations; * Create a system of management, control, communication and automation for the armed forces; * Interoperability between the Azerbaijani armed forces and specified foreign military forces; * Development and strengthening of special forces; * Application of NATO's IPAP program. The 2020 conflict demonstrated the implementation of many provisions of the Military Doctrine for the interoperability of different branches of the Azerbaijani armed forces. The MOD's Strategic Defense Review (SDR) that developed the national defense transfor mation strategy created the basis for the development of a more effective and capable armed forces organization, infrastructure, and capacity to implement required security missions as identified by the Military Doctrine. 48 48 Azerbaijan-NATO relations, Defense reforms,/ Mission of the Republic of Azerbaijan to NATO. Available at: https://nato-pfp.mfa.gov.az/content/21. 10 An Analysis of Security Sector Reform in Azerbaijan The 2017 Armed Forces Law of the Azerbaijan Republic regulates the armed forces mis sion, management and military building issues as well as obligations and legal foundations of their actions. 49 In determining the mission, it prioritizes issues related to the country's national security and the issues described in the military doctrine, as well as controversial issues like the role of the armed forces in ensuring public security. It is a summary of laws and regulations for the functioning of the armed forces. It also contains the provisions of military doctrine specifying the armed forces missions and responsibilities. The Law declares that personnel of the armed forces of Azerbaijan are composed of mil itary servicemen, state servicemen, and other civilians. According to the Law, the legal foundations of military service and rights and social security of military service personnel and their families, as well as reserved and retired servicemen are also regulated by the laws on the "Status of Military Personnel;" 50 "Military Duties and Military Service;" 51 "Char ter on Military Service;" 52 "Law on "State Service;" 53 the Azerbaijani "Labor Code" 54 as well as the Internal Charter of the Armed Forces. Administrative and criminal responsibilities of military servicemen and armed forces civil ian personnel are regulated by the Criminal Code of the Azerbaijan Republic. Any crimi nal activity conducted by military service personnel is also regulated by Azerbaijani civil codes. Internal control is carried out by the commanders of military units and the leader ship of state structures. According to the Law on the Armed Forces, the Supreme Commander, President of the country, has general control over the Azerbaijani Armed Forces. Defense of the country during mobilization and war time is executed by the direction of the Security Council and orders of the Supreme Commander. The Supreme Commander has the sole authority over the delegation of power among military commanders during mobilization and war time. 49 Azərbaycan Respublikasl silahlı qüvvələri haqqında Azərbaycan Respublikasının qanunu, № 955-VQ. 29 Dekabr 2017-ci il. Available at: https://mod.gov.az//images/pdf/8e68f1fdc10d2d83f17c3aade5013e43.pdf. 51 Hərbi xidmət və hərbi vəzifə haqqında Azərbaycan Respublikasının qanunu. N274-IVQ. 23 Dekabr, 2011. Baku. Available at: http://e-qanun.gov.az/alpidata/framework/data/23/c_f_23021.htm. 50 Law of the Azerbaijan Republic "About the status of the military personnel". December 25th, 1991. Baku. Available at: https://cis-legislation.com/document.fwx?rgn=2894. 52 Hərbi xidmətkeçmə haqqında Əsasnamə. N 377-İQ. Baku. 3 Oktyabr, 1997. Available at: https://mod.gov. az/en/regulations-013. 54 Azerbaijan Labour Code. 1999. Available at: http://www.ilo.org/dyn/natlex/docs/WEBTEXT/54131/65184/ E99AZE01.htm. 53 Law of Azerbaijan Republic on Civil Service, 21 July 2000. Available at: https://www.caa.gov.az/index. php?option=com_k2&view=item&id=118:the-republic-of-azerbaijan-civil-service-law&Itemid=173&lang=az. Conditions for Military Personnel and Changes to Internal Regulations Social conditions for military personnel, especially those in combat units, have improved as regard food and accommodation. Soldiers are now freed from garrison maintenance responsibilities, which are still practiced in many former Soviet military system militaries. "Over 20,000 civilians" are working for military installation maintenance in services like dish washing, cooking, sanitary and cleaning, and laundry activities. This policy creates new working places for civilians and permits military personnel to devote themselves to training and combat readiness." 55 Also, serious efforts have been made to ensure the military receives food that has been deemed safe by health authorities. Within the reform processes, the Soviet-inherited Military Commissariat functioning with in the Defense Ministry was abolished in 2012 and the State Service for Mobilization and Conscription was established. Recruitment of conscripts is now carried out directly by this Service and through its agencies across the country. According to the law on "Military Duties and Military Service", all men from age 18 to 35 in proper health standards are called on to serve in the armed forces and conscripts with higher education serve for one year while the conscripts with no higher education serve for 1.5 years. Exemptions are made for those that have three children or where the potential service member is the only child in the family whose father is disabled, has health problems, or possesses a doctoral degree. The Constitution guarantees alternative service for some but there is still no law on alternative service. Students studying in a master's degree program are not conscript ed during their studies. Those that have completed their military service as reservists, or women, can became contracted service personnel for a period of three years, which may be extended every five years until retirement. Non-commissioned officers initially serve for five years, which can be extended every five years until retirement. Reserve officers (that graduated from a high school military education program) are contracted for 1.5 years of service. 56 There is now less evidence of abuse and hazing within the armed forces, while 10-15 years ago numerous reports about abuse and non-combat deaths of soldiers had been reported by media and civil society groups. Military personnel now have a right to com plain about issues such as social and housing conditions; there is a hotline for commu nications and military prosecutors encouraging soldiers to complain about any abuses. Military commissions regularly visit units and listen to complaints of soldiers. Widespread bribery practiced in the past has also been reduced. While still imperfect, the Azerbaijani approach to corruption and abuse within the armed forces has dramatically improved. International Military Cooperation The foundation for relations with NATO, partner nations, and Azerbaijani international commitments to international peace and security have been conceptualized in the Na tional Security Concept, stating that integration into the European and Euro-Atlantic po litical, security, economic, and other institutions is the strategic goal of the Republic of Azerbaijan. It also views such partnerships as means for contributing to bilateral security and economic prosperity as well as for strengthening Azerbaijani defense capability. 57 Military cooperation comprises of a number of areas including military education for mili tary-political and military-technical cooperation, bilateral and multilateral cooperation with 55 56 Hərbi xidmət və hərbi vəzifə haqqında Azərbaycan Respublikasının qanunu N274-IVQ 23 Dekabr,2011. Baku. Available from: http://e-qanun.gov.az/alpidata/framework/data/23/c_f_23021.htm. Azerbaijan Labour Code, February 1st, 1999. Available at: http://www.moderator.az/news/253446.html. 57 Ministry of Defense, International Military Cooperation. Available at: https://mod.gov.az/en/internation al-military-cooperation-025/. 12 An Analysis of Security Sector Reform in Azerbaijan regional states, and cooperation with Euro-Atlantic structures and international organiza tions. Such cooperation involves participation in international military exercises. Different tactical, peacekeeping, and computer-assisted military exercises ensure higher levels of combat readiness and international interoperability for the Azerbaijani armed forces. 58 The MOD developed close military–technical relations with Russia and Belarus, as well as with Israel and Turkey. The development of strategic cooperation with Turkey and Isra el is aimed at developing defense industry and technology infrastructure. The Azerbaija ni-Turkish Agreement on Strategic Partnership and Mutual Support (Stratejik İşbirliği An laşması) signed in 2010 declared an allied relationship in case of a military attack or other aggressive behavior against either of the countries and promoted intensified military and military-technical cooperation. 59 The Office of Defense Cooperation (ODC), established at the U.S. Embassy in Baku, also boosts military-to-military cooperation by supporting a broad spectrum of military-to-military programs. According to the ODC, Azerbaijan re ceived funding to increase the interoperability of Azerbaijan's forces deployed in NATO and coalition operations, defense reform, and the modernization of air base facilities. 60 As a member of the Commonwealth of Independent States (CIS), Azerbaijan is also represented in the CIS defense and security structures, with the exception of the mili tary component, which is a part of the Collective Security Treaty Organization (CSTO). Bilateral military cooperation activities, conducted with more than 40 nations, are pri marily program-based, and in general last for one year. Multilateral level relations and consultations with NATO, Turkey and Georgia are part of multilateral military cooperation focused on the security of international strategic projects such as energy and transporta tion routes. 61 Peacekeeping Operations The "Law on the Participation of the Azerbaijan Republic in Peacekeeping Operations" adopted in 2010 62 established the foundation for Azerbaijani peacekeeping forces to be deployed in international missions. The purpose, roles and international foundations for participation in peacekeeping forces are reflected in the Military Doctrine. In the context of international cooperation, an Azerbaijani peacekeeping platoon served in a UN Mission in Kosovo as part of a Turkish Mechanized Infantry Company. Also, an Azerbaijani detachment served in Iraq within the International Coalition Forces from Au gust 2003 to December 2008. Another 100 Azerbaijani personnel began serving under the International Security Assistance Force (ISAF) in Afghanistan in November 2002. As of January 2019, Azerbaijani forces have been deployed on the United Nations Mission in South Sudan (UNMISS). Azerbaijan also provided opportunities for members of the Afghan military to study and train in Azerbaijan's military schools: "By providing troops to the NATO-led Resolute Support Mission and by contributing to the Afghan National Army Trust Fund with troops and assistance and to NATO Allies on transit routes, on land, in the air, and by rail, Azerbaijan works with us in furthering international peace and securi 58 Ministry of Defense, Bilateral and Multilateral Military Cooperation. Available at: https://mod.gov.az/en/ bilateral-and-multilateral-military-cooperation-023/. asia.net. Available at: http://www.eurasianet.org/node/62732. 59 Abbasov S., 2011. Azerbaijan-Turkey Military Pact Signals Impatience with Minsk Talks – Analysts. Eur 60 US Embassy in Baku. Office of Defense Cooperation. Available at: https://az.usembassy.gov/embassy/ baku/sections-offices/odc/. 62 "Sülhməramlı əməliyyatlarda iştirak haqqında". Azərbaycan Respublikasının Qanunu. 11.05.2010. Col lection of Legislative Acts of the Republic of Azerbaijan, No. 7, 31.07.2010, Article 573, p. 1392-1404. Available at: http://e-qanun.az/framework/19857. 61 International cooperation activities of the Ministry of Defense. Available at: https://mod.gov.az/en/coopera tion-with-nato-028/. ty", said the Director General of NATO's International Military Staff. 63 "Today our practical cooperation covers many areas, from capability development to energy security, to co operation in the defense and security sector, defense institution building, civil emergency planning, scientific cooperation, and public diplomacy." 64 Azerbaijani National Security agencies have worked with NATO to establish an Inter national Anti-Terrorism Training Centre ensuring training for the security of energy and transportation links, including against terrorist attacks. Cooperation with the Euro-Atlantic Disaster Response Coordination Centre focused on development of Azerbaijan's national civil emergency and disaster management capabilities. Participation in the Partnership Interoperability Initiative is again serving to increase the interoperability of Azerbaija ni troops. Through NATO sponsorship and expertise, Azerbaijan converted highly toxic stocks of mélange into harmless chemicals. The NATO Trust Fund project supported the Azerbaijan National Agency for Mine Action (ANAMA) to demilitarize hundreds of thou sands of unexploded ordinance in large areas. 65 Azerbaijan has acceded to the CFE Treaty and the Vienna Document on Confidence and Security Building Measures within the OSCE and participates in the Annual Exchange of Information (AEI) and Annual Exchange of Military Information (AEMI) on its military forces. It also accepts inspections from other State Parties. 32 "evaluation" visits and 70 inspections of "specified areas" in the Azerbaijan Army had been held under the frame work of the Treaty. 66 In addition, since 2015, the Azerbaijani armed forces have taken part in International Military Competitions such as the Tank Biathlon, Sniper Frontier, Military Medical Relay Race, Field Kitchen, and the Masters of Artillery Fire Sea Cup. 67 Azerbaijan cooperated with the International Committee of the Red Cross (ICRC) during the recent fighting. The military ensured protection for civilian objects and the civilian population living in the war zone as well as Armenian military prisoners captured during the conflict. Soldiers were provided with education materials on International Humanitar ian Law, and the rules of human treatment of enemy soldiers. In addition, more officers study International Humanitarian Law during their studies at the War College. 68 Military Education System of the Azerbaijan Armed Forces The military education system comprises of a network of military education institutions and management agencies implementing consistent multi-stage education programs for the Azerbaijani military. The management of the military education system, the rights and duties of the personnel involved in military education system, and the fundamental principles and norms in the field of military education are determined in accordance with the regulations of military education institutions and requirements of the "Law on the Education of the Republic of Azerbaijan" adopted in 2009. Multiple education institutions 63 25 years of NATO-Azerbaijan partnership: Director General of NATO International Staff visits Azerbaijan. 16 April, 2019. Baku. Available at: https://www.nato.int/cps/en/natohq/news_165769.htm?selectedLo cale=en. 65 Successfully implemented first ANAMA-NATO/NSPA Partnership for Peace Trust Fund Project – unex ploded ordnance clearance Project in Saloglu (2005-2011). Available at: http://anama.gov.az/en/opera tions/intproj. 64 Air Chief Marshal Sir Stuart Peach, Chairman of the NATO Military Committee: Azerbaijan a trusted and valued partner. 3 May 2019. Trend Agency. Available at: https://www.azernews.az/nation/150124.html. Chairman of the NATO Military Committee, Air Chief Marshal Sir Stuart Peach: Azerbaijan a trusted and valued partner. 3 May 2019. Trend Agency. 66 MOD. International arms control activities in the Azerbaijan Army. Available at: https://mod.gov.az/en/co operation-with-osce-029/. 68 MOD. Cooperation with ICRC. Available at: https://mod.gov.az/en/cooperation-with-icrc-520/. 67 MOD. International army games. Available at: https://mod.gov.az/en/international-army-games-797/. 14 An Analysis of Security Sector Reform in Azerbaijan support the MOD: The War College of the Armed Forces, Training and Education Center of the Armed Forces, Azerbaijan High Military School named after Heydar Aliyev, Military Lyceum named after Jamshid Nakhchivansky and Military Lyceum named after Heydar Aliyev. The MOD defines the main purpose of the military education system as to train officers, warrant officers and non-commissioned officers (NCO) and soldiers to use weapons and military equipment, preparing dedicated military personnel to enhance the combat read iness of the army as well as increase their overall military and intellectual qualifications. The Law on Education determines the stages and levels of the military education in the Armed Forces as secondary education, further education, high education (bachelor and master levels) and ad juncture. The initial or lowest level of military education (secondary education) is implemented in the Military Lyceums named after Jamshid Nakhchivansky and Heydar Aliyev. Further education is conducted at a complementary military education institution known as the Training and Education Center. Azerbaijan High Military School (Azərbaycan Ali Hərbi Məktəbi) named after Heydar Aliyev specializes in 23 academic disciplines, and grants bachelor's degrees to newly commissioned lieutenants in all three services. 69 The War College of the Armed Forces (Silahlı Qüvvələrinin Hərbi Akademiyası) was es tablished in 1999 to educate senior military officers. Students with two years of educa tion at the War College are prepared for command and staff positions at the operational level. The War College focuses on military strategy, operational-tactical issues, and as well as military-political and military-economic issues. A NATO-standard Simulation and Modeling Center was established within the War College to address operational plans, maps, and terminology used in commanding post and field exercises. 70 According to a protocol signed between Azerbaijani and Turkish militaries, the Training and Education Center of The Armed Forces (TEC) was established in 2001 to facilitate the adaptation of NATO standards into the Azerbaijani Armed Forces. It conducts a sixweek officer's advanced course four times a year to professionalize the training of cap tains. Reserve officer training courses, warrant officer training courses, and Non-Com missioned Officers (NCO) training courses are also provided to prepare personnel for command and specialist positions. The Military Medical Faculty within Azerbaijan Medical University is designed to prepare professional military medical officers. Selected students who have completed four years of study continue their education on specialized subjects for two years. 71 There is also a military medical school within the Military Medical Faculty where military doctor's assis tants are trained for 2 years. 72 69 MOD. Azerbaijan Military Academy named after Heydar Aliyev. Available at: https://mod.gov.az/en/azer baijan-military-academy-named-after-heydar-aliyev-070/). 71 MOD. Military medical faculty of Azerbaijan Medical University. Available at: https://mod.gov.az/en/the-fac ulty-of-military-medicine-of-azerbaijan-medical-university-065/. 70 MOD. War College of the Armed Forces. Available at: https://mod.gov.az/en/war-college-of-the-armedforces-435. 72 MOD. Military medical school. Available at: https://mod.gov.az/en/military-medical-school-145/. II. State Border Service The State Border Service (SBS) originated from the former State Border Troops which were part of the National Security Ministry (NSM) until 2002. The SBS is a separate government agency with its own statute and structure, and is responsible for border se curity and protection. The SBS structure consists of border troops, coastal service, rapid reaction forces, border control services, military aviation groups, maritime forces, other military groups and non-military entities (such as education, training, communication, etc.). The SBS has wide-ranging responsibilities for security of the state and its citizens, including a broad variety of activities on land, sea and air. Azerbaijan's geographic location - with land and sea borders with five countries - makes it vulnerable to international terrorism, illegal immigration, transnational organized crime, human and drug trafficking, and the proliferation of weapons of mass destruction, and requires a wide range of specialized personnel to deal with it. For that reason, the SBS has its own intelligence and counter-intelligence agencies to assess and detect the illegal movement of goods, prohibited materials, and terror elements, and to ensure protection of the state border on a daily basis. Border security facilities on land and sea have been upgraded and modernized, and personnel are trained to international standards. The U.S. Defense Department and Cus toms Service personnel have trained and equipped the Azerbaijani border guards and customs officials to prevent and detect weapons of mass destruction (WMD) at border checkpoints. 73 Azerbaijan-U.S. cooperation on border and maritime security have helped to upgrade the old systems and the U.S.-donated patrol boats have helped to monitor and improve Azerbaijan's ability to secure its territorial waters in the Caspian Sea. 74 To prevent the trafficking of illegal products in the international waters of the Caspian Sea, under a Caspian Guard initiative, 75 Azerbaijani Navy personnel were trained on the mar itime interception of terrorists, drugs and weapons. 76 Two radar stations were built with U.S. assistance to strengthen border security in the country. 77 Border security is an increasingly important concern, particularly in the context of secur ing international energy transit corridors for gas and oil. The SBS guards the borders with Iran and Russia on the land and sea, which themselves have their own complications due to sanctions, requiring more international cooperation and knowledge, particularly re garding the transportation of dual-use goods and materials through Azerbaijan. Azerbai jan also has maritime borders with Kazakhstan and Turkmenistan with their own specific issues on international maritime law and fishery. After 44 days of war in 2020, Azerbaijan managed to restore its 132 km border with Iran and 530 km with Armenia, resulting in a completely new situation for border troops and the SBS. Azerbaijan will have more responsibility with the expanded international border and more required coordination with the armed forces in unstable areas of the state bor der. For implementation of these tasks, post-war training programs for personnel will be needed and appropriate specialists should be trained. Given these new realities, Azerbaijan's border security concept could benefit from revi sion. The militarized structure of border troops has changed and been transformed into 73 USIA. European file. 10/07/99. 75 Air Force Magazine: European Command Looks South and East By John T. Correll. December 2003. Vol. 86, No. 12 Air Force Association. 74 United States is going to deliver two new radar stations and three boats to Azerbaijan, January 17, 2006. Available at: http://www.day.az/news. 76 United Press International. August 29, 2005. 77 ITAR-TASS news agency, Washington, D.C., USA. April 7, 2006. 16 An Analysis of Security Sector Reform in Azerbaijan a law enforcement agency. International cooperation with the European Union, the In ternational Organization for Migration, the International Atomic Energy Agency, and the International Conference on Border Management have helped the SBS to achieve inter national border monitoring standards. 78 A more effective border control system has been established as a result of the reforms carried out in cooperation with NATO and other foreign partners. In cooperation within the IPAP program, Azerbaijan had a large reform agenda with NATO, including border management reform, an increase in border security standards, improvement of communications systems, better border control and technical facilities, improved maritime security, and raising the border control education system to international standards. 79 As a security sector agency, the SBS is accountable to the nation's president. The SBS personnel have the same rights and privileges as those serving in the Armed Forces. As in the case of the Interior Ministry, the SBS remains in regular contact with the interna tional community, providing a greater opportunity to evaluate its transformation process. To increase effectiveness and transparency and "increase trust and respect of people for the state border service", the SBS adopted an ethical code regulating the behavior of its service personnel. 80 78 Azərbaycan Respublikası dövlət sərhəd xidmətinin rəsmi saytıl. Available at: http://www.dsx.gov.az/ beynelxalq_elaqe; 80 Azərbaycan Respublikası dövlət sərhəd xidməti əməkdaşlarının etik davranış qaydaları. Available at: http://www.dsx.gov.az/senedler/doc_54. 79 Ibid. III. Intelligence Services Brief History The first branch of the intelligence services emerged within the Defense Ministry during the initial rise to modern Azerbaijani statehood between 1918-1920. 81 Such structures existed as part of different agencies of Soviet Azerbaijan and ultimately led to a united security service in the Soviet Union known as the Committee of State Security (Komitet Gosudarstvennoy Bezopasnosti (KGB)). Similar to other republics, Azerbaijan also had its own KGB with its branches in all administrative regions of Azerbaijan. A historical orga nizational legacy of brutality, intimidation, and fear catalyzed a perception that this entity would be a major threat to Azerbaijan at the time of its independence in 1991. Neverthe less, in November 1991, using the former KGB staff as a basis, the Ministry of National Security was formed. 82 The Ministry adopted its internal statute with a commitment to the newly independent State of Azerbaijan. Complex Environment In the months proceeding after the independence, the security sector remained un changed. When the first democratically elected president came to power in June 1992, changes in the National Security Ministry began. A six-month training course taught by former Soviet KGB personnel was conducted for new National Security Ministry person nel. New sections and departments emerged. In the early 1990s, the National Security Ministry was primarily used to support the state-building process, and to establish stability and control over the country. In addition to it, issues including ethnic cleansing, loss of properties, dentitions of hostages, and so-called "tent cities" for hundreds of thousands of refugees and internally-displaced per sons, produced numerous security challenges. Many Chechen refugees had also found shelter in Azerbaijan in 1990s. The National Security Ministry also had to deal with the groups that committed numerous terror attacks around the country. 83 The cease-fire agreement with Armenia allowed the central government to establish con trol over the rest of the country. Despite this, internal political confrontations continued between rival factions within the government, all of whom commanded their own troops. Continued conflict with the existing prime minister's forces and then the revolt of the dep uty interior minister against the Aliyev government 84 resulted in the overreaction of the National Security Ministry, leading to the arrests of alleged anti-government forces. 85 While not diminishing the legitimite functions of the security services in those periods of Azerbaijani history, it should be noted that they had also been used as an instrument by the political leadership. As a former National Security Ministry official said, "(the) mid 81 Azərbaycan Xalq Cümhuriyyətinin təhlükəsizlik orqanları. 1918-1920. Available at: http://www.dtx.gov.az/ tarix1.php. 83 26 лет назад армяне совершили теракт на пароме шедшем из Красноводска в Баку. January 9, 2018. Available at: cbc.az/ru/news/news1515485992; Акиф Наги. Кровавая хроника Карабахской войны. 1985 -2020. Available at: ru.wikipedia.org/wiki/Katastrofa_MI-8_bliz_Şuşi_28_yanvarya_1992_ qoda; 27 лет назад армяне взорвали поезд. Kislovodsk-Baku. Vesti.az. 2020. Available at: vesti.az/ politika; Azərbaycan Respublikası Ali Məhkəməsi ,Azərbaycan ərazisində törədilən terror –təxribat faktları. Available at: supremecourt.gov.az/static/wiew/12; «Kommersant» qəzeti (Rusiya), 22.03.1994. Available at: ru.wikipedia.org/wiki/Vzrivi_v_Bakinskom_metropolitene_(1994). 82 Azərbaycan xüsusi xidmət orqanlarının tarixi. Available at: http://www.dtx.gov.az/tarix3.php. 84 OMON hadisələrindən 25 il ötür. Criminal.az. 17 Mart, 2020. Available at: https://criminal.az/omonhadiselerinden-25-il-tur/. 85 Based on the interviews conducted with the former security service people. 18 An Analysis of Security Sector Reform in Azerbaijan 1990s was also a period of time at the ministry when many professionals left the minis try due to internal diasagreement with the top leadership over excessive arrests and for pressure of officers for illegal actions against suspects. This politically motivated period had also influenced the Security Ministry in selection and in firing (of) employees." 86 Objectives and Structure The National Security Ministry (NSM) by its statute was an executive agency acting under the authority provided by the Azerbaijani legislation. It was structured along the lines of the former Soviet KGB, with directorates, senior directorates, divisions and a bureaucrat ic apparatus. It had branches in all regions, (including a National Security Ministry of the Nakhchivan Republic but under Baku's subordination), military counter-intelligence agen cies, national security academy, and military-medical enterprises. State border troops were also part of the ministry, but in 2002 were separated into an independent State Bor der Service. The Special Service Department for counterintelligence that operated under the president had been dissolved by that time and transferred to the NSM as a miltary counterintelligence department. With the arrival of a new minister in 2004, new bureaucratic and other high profile struc tures were organized but did not lead to any reforms. Additional senior directorates includ ed: Counter-Intelligence, Military-Counter-Intelligence, Anti-Terror, Energy and Transpor tation Security, Personnel, and Investigations. The number of personnel increased to an estimated 7,500 personnel. 87 Some of the directorates served as a source of bribery and corruption. 2004 was a significant year, with a number of decrees related to national security passed, including one decree that reformed the security services as an independent entity. The National Security Ministry's statute, structure and the number of personnel were deter mined by a presidential decree dated March 27, 2004. 88 The National Security law adopt ed in June 2004 determined the legal foundation for national security policy. 89 The Law on National Security, the Law on Intelligence and Counter Intelligence activities, the Law on Operational and Search activities, the Law on State Secrets, and the Internal Regulation of the National Security Ministry served as the legal basis for the functioning of the Minis try. The Ministry prioritized the protection of Azerbaijani constitutional system, economic interests and security by preventing the activities of the special services of foreign coun tries, organizations, criminal groups and espionage activities. 90 Under the Law on National Security, the ministry is required to provide counter-intelli gence information to the Ministry of Defense and other security agencies. It provides information to state agencies on political, economic, military and environmental issues, and was responsible for military-security issues, including security of weapons and am munition of armed forces, protection of poisonous and radioactive materials, protection of military objects, and problems that could lead to an emergency situation. 91 It is also 86 Interview with the former national security officer. 88 Azərbaycan Respublikasının MilliTəhlükəsizlik Nazirliyi haqqında Əsasnamə. Available at: http://www.e-qanun.az/framework/5860. 87 Paper presented at Istanbul Conference on Security Sector Reform on Nov20, 2018 by I. Ismail who served as a national security officer for 19 years. 89 «Azərbaycan» qəzeti, 6 avqust 2004, № 181 Available at: http://www.dtx.gov.az/pdf/qanunlar/1.pdf. 91 The Law on National Security. «Azərbaycan» qəzeti, 6 Avqust 2004. № 181. 19.2.9-10 of the Law. Available at: http://www.dtx.gov.az/pdf/qanunlar/1.pdf. 90 Ibid. responsible for maintaining secrecy in diplomatic missions abroad, the protection of state secrets, providing encrypted codes for communication, and ensuring their security. 92 The Law also identified three major subjects to be protected by the security services: * human beings: their freedom and liberties; * society: its material and moral values; * state: its independence, soverignty, constitutional formation, and territorial integrity. However, the Law has some provisions that could be interpreted differently in different societies and might be used against political opponents and activist groups in internal politics. 93 The Law has special provisions for the protection of human rights and liberties and declares that every citizen may obtain information regarding the restriction of his/her rights while security services are involved in ensuring security. The security services will bear full responsibility for any action they take beyond their authority. 94 The Law on National Security enables the security services to detect, prevent and pre empt any activities which may weaken armed forces preparedness and military capabili ties, as well as military, and economic capabilities of the country in a timely manner. They should also prevent any proliferation of the weapons of mass destruction, their develop ment, production or their transit via the country. It also ensures the security of military research, information and personnel are part of the security services' responsibility. 95 The Law on Intelligence and Counterintelligence adopted in June 2004 96 states that coun terintelligence activities are focused on protection from circumstances, processes, and factors that threaten or undermine the national security. The Law stipulates the main principles of intelligence and counterintelligence activities as legality, respect for human rights and liberties, humanity, transparent and non-transparent methods. The Law states that no one should be humiliated during intelligence and counterintelligence activities and any personal cooperation with these agencies should be on their own accord. 97 Any information obtained about a person and/or their family should not be disclosed with out their consent. The rights of any individual are inviolable and must be protected, with the exception in some rare cases, as indicated by Law. 98 In contrast, the Law on "Search and Operations" and articles of the Criminal Code provide for the possibility of justifying violations of privacy, as well as surveillance measures for gathering of information. 99 The Law states that citizens have a right to obtain information about the activities of se curity services 100 but in reality it is limited to statements released by a ministry's press service, along with information about food security, economic embezzlement, or any op eration carried out jointly with other agencies. 92 Ibid. 94 Ibid., Article 13. 93 Ibid., Article 11. 95 Articles 19.2.9-10 of the Law on National Security. Available at: http://www.dtx.gov.az/pdf/qanunlar/1.pdf. 97 Article 3 of the Law on Intelligence and Counterintelligence. Available at: http://www.dtx.gov.az/pdf/qanun lar/2.pdf. 96 «Azərbaycan» qəzeti, 5 avqust 2004, № 182. Available at: http://www.dtx.gov.az/pdf/qanunlar/2.pdf. Kəşfiyyat və əks-kəşfiyyat fəaliyyəti haqqında Azərbaycan respublikasının qanunu. Available at: https:// www.dtx.gov.az/uploads/documents/2020/08/01/5f2525e5a9bf4-aea3f359be877a43196bde9abad3be 665f2525e5a9bff-r-7Jz8BUJuBN46g.pdf. 98 Ibid., Article 4. 100 Article 5 of the Law on Search and Operations. Available at: http://www.dtx.gov.az/pdf/qanunlar/4.pdf. 99 Əməliyyat –axtarış (Search and operations) jfəaliyyəti haqqında Azərbaycan respublikasının qanunu. «Azərbaycan» qəzeti. 17 noyabr 1999, № 263. Available at: http://www.dtx.gov.az/pdf/qanunlar/4.pdf. 20 An Analysis of Security Sector Reform in Azerbaijan According to the Law, the authority of security services responsible for intelligence and counterintelligence activities is determined by the appropriate executive agency. Coor dination of their activities is regulated by the rules made by the appropriate executive agency. 101 The Law lists the objectives of counterintelligence activities as the prevention and elimina tion of the plans of foreign intelligence services operating inside the country and abroad, that seek to undermine the independence, sovereignty, integrity and other national inter ests of Azerbaijan. In addition to information related to military capabilities, it emphasizes information securi ty and securing the means of providing information security. Article 12.1 of the law states that the findings of intelligence and counterintelligence activities be reported on a regular basis to the government's senior leadership. During the organization and implementation of intelligence and counterintelligence activ ities, it must be ensured that all conduct conforms to the existing laws of the Azerbaijani Republic. 102 To that end, intra-departmental and external control is carried out by a sep arate department and the appropriate executive agency of the country. According to the Law, 103 control over operational-search activities by counterintelligence units is regulated by the Law on "Search and Operational Activities." The Prosecutor General and authorized prosecutors carry out investigations and prelim inary counterintelligence investigations. Control over the activities of counterintelligence service investigations, compulsory measures undertaken by them, and operational and search activities are regulated by the government's criminal procedural laws. In practice, the extent of the applicability of these provisions is a subject for additional research. According to the Law on State Secrets 104 adopted in 2004, agencies responsible for pro tection of state secrets are the appropriate central executive agency. State agencies, departments, business sectors and organizations, and their appropriate sections are responsible for protection of state secrets. Rules for identifying information as a state secret are determined by the appropriate executive agency. The security services are responsible for protection of all state secrets. 105 According to the Law on Search and Operational Activities, 106 the application of search and operation measures in counterintelligence activities is based on the Law on Search and Operational Activities, the Law on Intelligence and Counterintelligence Activities and state criminal procedural law. Severe measures are applied by the Law on Religious Extremism, 107 which granted the security services intrusive powers. 108 The Law does not currently define, which security actor is responsible for designating a particular group as a religious extremist group. If the executive agency itself decides, then the law will be applied automatically. But such an approach may also contradict the rule of law provisions of other national laws. It is 101 Ibid., Article 6. 103 Ibid., Article 22.4. 102 Article 7 of the Law on Intelligence and Counterintelligence. Available at: http://www.dtx.gov.az/pdf/qanun lar/2.pdf. 104 Dövlət sirri haqqında Azərbaycan Respublikasının qanunu. 7 Sentyabr 2004. Bakı. «Azərbaycan» qəzeti, 16 noyabr 2004, № 266. Available at: http://www.dtx.gov.az/pdf/qanunlar/3.pdf. 105 106 17 Noyabr 1999, № 263, «Azərbaycan» qəzeti. Available at:http://www.dtx.gov.az/pdf/qanunlar/4.pdf. The Law on State Secrets, Article 31, 1, 2. Available at: http://www.dtx.gov.az/pdf/qanunlar/3.pdf. 107 «Azərbaycan» qəzeti, 6 dekabr 2015, № 269. Available from: http://www.dtx.gov.az/pdf/qanunlar/3.pdf. 108 Law of Azerbaijan Republic on the fight against religious extremism Article 7, 8. Available at: http://www. dtx.gov.az/pdf/qanunlar/5.pdf. apparent that the Law on Religious Extremism provides for harsher measures than those contained in the Law on Terrorism. 109 From National Security Ministry to State Security Service The National Security Ministry gained popularity in 2005 when it arrested an organized crime group led by senior officials from the Ministry of Interior, who were involved in the the murder of high profile Azerbaijanis, along with human trafficking and the kidnapping of wealthy families for ransom. Following the successful completion of the operation "Black Belt", 110 the Interior Ministry's popularity rose, with it being viewed as the only "effective" security institution operating in Azerbaijan. Taking advantage of the trust and confidence of the political leadership, the ministry's senior leadership became involved in similar actions, including corruption and bribery, racketeering and extortion. 111 They were involved in corruption and bribery, blackmailing businessmen people for money, and imposing certain monthly extortion amount on gov ernment ministries. After the President's intervention and removal of the minister, the Prosecutor General's office made a statement regarding the arrests and detentions in the ministry. As reported, the prosecutor's office formed a special investigation-operation group to investigate the "misuse of positions and other violations of law" by some high profile officials in the min istry and as a result revealed that "some officials of the ministry misused their positions, violating the requirements of the law on search and operation and unlawfully intervened in the entrepreneurial activities of people, violated their rights and benefits." Under the criminal code of the Republic, by the decison of the courts, seven high-profile officials of the ministry were arrested and jailed. 112 Arrests expanded as the investigation continued 113 and extended to senior officials in other ministries. The Prosecutor General's office only released limited information detail ing the arrests and changes in the former ministry. In response to these developments, the President signed a decree 114 on 14 December 2015 restructuring the old system and dividing the National Security ministry into two parts. The State Security Service (SSS) and Foreign Intelligence Service (FIS) emerged from the former National Security Min istry. Their new statutes, structures, and the number of personnel were endorsed by the President but their content was not made public. 115 Both the SSS and its predecessor, the National Security Ministry, have had to adhere to the same laws and regulations. The SSS underwent a radical transformation, with the number of employees reduced by approximately 30%, and new branches opened to fo 109 Terrorçuluğa qarşı Azərbaycan Respublikasının qanunu. 18 İyun 1999. Baku. Available at: http://www.dtx. gov.az/pdf/qanunlar/10.pdf. 111 MTN generallarına görə hakimlərə etiraz edildi Meydan TV. 29 Oktyabr 2018. Available at: https:// d9mc3ts4czbpr.cloudfront.net/ru/article/mtn-generallarina-gore-hakimlere-etiraz-edildi/. 110 Hacı Məmmədovun bandasının ifşasından 10 il ötdü. Yeni Müsavat 10 Mart, 2015. Available at: http:// musavat.com/news/kriminal/haci-memmedovun-bandasinin-ifshasindan-10-il-otdu_252076.html 112 Mətbuat icmalı: MTN də həbslər, biznes və media. BBC news. "Xalq qəzeti": Milli Təhlükəsizlik Nazirliyinin 7 vəzifəli şəxsi barəsində həbs qətimkan tədbiri seçilib (7 high officials of the national ministry have been arrested). Available at: https://www.bbc.com/azeri/azerbaijan/2015/10/151021_media_review_10_21. 113 114 Müstəqil Azərbaycan Respublikasının Təhlükəsizlik Orqanları. 1991-2020. Available at: https://www.dtx. gov.az/az/history/musteqil-azerbaycan-respublikasinin-tehlukesizlik-orqanlari.html. Naxcıvanın milli təhlükəsizlik naziri həbs olundu Qlobal,az. Mart 19,2016. Available at: http://qlobal.az/ naxcivanin-milli-tehlukesizlik-naziri-hebs-olundu/. 115 Dövlət Təhlükəsizliyi Xidmətinin Əsasnaməsi və strukturu təsdiq edildi. 2016. Available at: //atv.az/news/ social/56948-dovlet-tehlukesizliyi-xidmetinin-esasnamesi-ve-strukturu-tesdiq-edildi. 22 An Analysis of Security Sector Reform in Azerbaijan cus on larger urban centers. 116 Also, new employees were hired and professionals that had been dismissed by the former ministerial leadership were rehired. In addition, the SSS established "Appeal Councils" for complaints by people in case of any obstacles to their business activities. Due to the above issues and others, the security services of Azerbaijan have traditionally been viewed with suspicion by the Azerbaijani population. Dissatisfaction of the counter intelligence services had even been voiced by President Aliyev, the former head of the Azerbaijan KGB. 117 However, the newly formed Azerbaijani intelligence and counterintel ligence services demonstrated their effectiveness through successfully identifying enemy targets, including highly sophisticated weapons and storage facilities. Combating Terrorism and International Cooperation The SSS cooperates with security services and law-enforcement agencies of 51 countries on issues of global challenges, organized crime, and terrorism, and participates in activ ities organized by international organizations. Further cooperation is taking place within the Council on Special Services and Security Agencies of CIS countries and with Turkic States (which include Azerbaijan, Turkey, Uzbekistan, Kazakhstan and Kyrgyzstan) Spe cial Service Agencies. 118 The issues of terrorism, economic crimes, cybercrimes, illegal transit of narcotics, and security of international transportation lines are coordinated and discussed. The security services participate in international anti-terrorism coalitions. These include detainment and extradition of terrorists to foreign countries, the prohibition of the activity of organizations serving as terrorist structures falsely represented as serving humanitar ian purposes, the freeze of terrorist-related bank accounts; all due to the cooperation of the Ministry with other international bodies. 119 Despite this, cooperation and coordination with the security services of foreign countries needs to be improved, particularly in the areas of illicit transit of nuclear materials, radioactive substances and narcotics. An important aspect of this coordination began after the events of 9/11, with coopera tion with international organizations and foreign intelligence services to detect and ar rest al-Qaeda suspects. In recent years, this cooperation has expanded with the fighting in Syria. The SSS's counter-terrorism center is cooperating with NATO within the IPAP program. To this end, the Counsel of Europe's MONEYVAL Committee has praised the Azerbaijani Security Agencies efforts against money laundering, and funding for terrorist, and its institutional capacity, which have been assessed as meeting internationally rec ognized standards. 120 Since 9/11, counter-terrorism cooperation was mostly focused on surveillance and de tection of foreign terror suspects inside Azerbaijan or during their transit through Azer baijan. But in the Syrian case it was directly related to Azerbaijani citizens that had been recruited by radical Islamic groups fighting in Syria. The work of Azerbaijani security 116 Qlobal.az, Dövlət təhlükəsizlik xidmətinin rayon şöbələri olmayacaq-açıqlama. Dekabr 16, 2015. Available at: http://qlobal.az/dvlet-tehlukesizlik-xidmetinin-rayon-sbeleri-olmayacaq/. 118 DTX-nin beynəlxalq əməkdaşlıq sahələri. Available at: https://www.dtx.gov.az/az/beynelxalq-emekdasliq. html. 117 Azərbaycan respublikası prezidenti Heydər Əliyevin Azərbaycan Milli Təhlükəsizlik orqanlarının yaradıl masının 80 illiyinə həsr olunmuş təntənəli yubiley mərasimində nitqi. 27 Mart, 1999. Available at: http:// files.preslib.az/projects/toplu/v2/f3_9.pdf. 119 State Security Service of Azerbaijan Republic. İnternational documents. Available at: https://www.dtx.gov. az/en/international-cooperation.html. 120 CoE MONEYVAL. Committee has positively evalluated counter-terrorism financing system in Azerbaijan. Available at: http://www.fiu.az/eng/the-council-of-europe-moneyval/. services has intensified as these people started returning from Syria. Many of them have been arrested and/or killed in clashes with the Security Services. The SSS has issued numerous reports of arrests of individuals who had been accused of fighting in Syria, 121 the killing of members of radical religious groups 122 and individuals, and the arrests of religious groups. 123 121 "Azerbaijan arrests 10 citizens suspected of fighting in Syria". January 07, 2015. Available at: https://www. rferl.org/a/azerbaijan-syria-connection-islamic-state-isis/26781551.html. 123 "Azerbaijani authorities say two extremists killed in tense city of Ganca". November 5, 2018. Available at: https://www.rferl.org/a/azerbaijani-authorities-say-two-extremists-killed-in-tense-city-of-ganca/29583259. html. 122 Country report on Terrorism 2017-Azerbaijan, US Department of State, 19 september, 2018. Available at: https://www.refworld.org/docid/5bcf1fb813.html. 24 An Analysis of Security Sector Reform in Azerbaijan IV. Ministry of Interior Structure of the Ministry The Ministry of Interior (MoI) is one of the older and more capable institutions inherited from the Soviet past, having to confront political turmoil in the nation as it attempted to provide public safety and security in the early years of independence. As the only legit imate law-enforcement agency to use force, it was deployed to protect the safety of the population in the early 1990s. During this time, 460 police officers and 511 MoI troops were killed while performing their duties. 124 The Ministry is organized with militarized in terior troops and around 20 departments focusing on issues including criminal investiga tion, interrogation and organized crime. 125 The ministry is headed by the minister appointed by the President. It has its adviso ry Board composed of deputy ministers and other senior members of the ministry. The semi-autonomous Internal Troops have both police and military functions and are em ployed to protect important state locations, military bases and facilities, safeguard com munication facilities, prison facilities, to assist in rescue operations and to prevent mass riots. 126 During wartime, internal troops serve as part of the land forces. The MoI's internal troops have been very receptive to reform and international coopera tion. Extensive relations with separate foreign countries and NATO helped to modernize the training and educational system of the internal forces and to infuse international stan dards into their operations. A special relationship has been developed with the Turkish Gendarmerie within the framework of a 1997 Protocol forming the legal foundations for comprehensive mutual military cooperation. Under the Protocol, new training for Internal Troops has been developed and MoI internal troops have taken courses in Turkish mil itary schools. 127 Cooperative relations with similar French, Italian, Russian, Belarusian and Chinese organizations have also been developed. The MoI has also engaged in various NATO programs, especially within the IPAP pro gram and several tasks have been implemented designed to modernize interior troop training. Dozens of internal troop personnel have participated in NATO-conducted cours es in Europe. Internal troops also joined NATO's Operational Capabilities Concept (OCC) to assess their performance capabilities. 128 The cooperation with the OSCE Baku office has also ensured participation in international seminars on "Management of Mass Ca sualty Events," "Police Duties in a Legal State," "International Human Rights Law" and "International Humanitarian Law." 129 Police Reform In general, the Azerbaijani population mistrusted its police forces until the 2000s, con sidering them corrupt. Such perceptions emerged from daily encounters with policemen, especially with traffic police officers or during investigations resulting in false accusations 124 Ministry of Internal Affairs. Historical background of the MIA. Available at: https://m.mia.gov.az/?/en/con tent/131/. 126 Ministry of Internal Affairs. Internal troops. Available at: http://m.dq.mia.gov.az/?/en/menu/12/. 125 Ministry of Internal Affairs. Structure of the Ministry. Available at: https://m.mia.gov.az/index.php?/en/con tent/129/. 127 MIA. Internal Troops within the framework of international relations. Available at: http://m.dq.mia.gov.az/?/ en/menu/16/. 129 Azerbaijan, OSCE polis. Available at :https://polis.osce.org/country-profiles/azerbaijan. 128 Ibid. and unjust treatment. The 2005 revelations of the crimes of the MoI's organized crime unit compounded these perceptions. 130 This case clearly played a role in the formation of Azerbaijan's policing system. For ex ample, the once corrupt passport department, responsible for issuing foreign passports to Azerbaijan citizens, is now considered as one of most trustworthy departments within the MoI. During the 2000s, the MoI became more responsive to people's calls for assistance; with its forces deployed to keep public order during political protests and demonstrations gradually began adhering to international calls of the Council of Europe and OSCE to ensure traditional Euro-Atlantic police practices were followed. For example, this ensured that journalists would be respected during public disturbances. Dramatic changes occurred in the composition, behavior, and style of work of the traffic police. They were transformed from a profoundly corrupt organization into much more transparent one. While traffic police could stop and make unfounded demands against any driver in the past, now they can only stop a car for a speed limit violation. Any vio lation made by a car is registered by the central computer system and available to both traffic police officers and the accused. Significant transformation of the police force has been made to some degree through in creased social support of police officers by dramatically increasing the wages for all law enforcement agencies. Their wages are now much higher than any teachers, doctors, or state clerks. Police are also more sensitive to treating the public fairly because any serious compliant could lead to dismissal. Also, some police administrative requirements have been transferred to an electronic system (ASAN), which has transformed the bribery traditions deeply rooted in the police system. The systemic changes are not yet complete with some adjustments not yet transferred to the ASAN system, but much progress has been made. Beginning in 2004, the ministry conducts crime analysis on a bi-annual basis with the intent to determine the roots of crime in the society and identify ways to eliminate them. A comparative analysis is made, comparing the new results with the previous years' crime statistics, the degree and scale of the crimes, and whether the crime is a threat to a general public safety. As an example, their analysis for the first half of 2020 indicated that 87.2% of crimes committed in the first six months of 2020 were not the crimes posing a significant threat to public safety. They classify crimes as crimes against individuals, crimes committed in the economic field, crimes against property, crimes against public safety and public order, and crimes committed against state authority. A list of all types of crimes is compiled from drug trafficking to human trafficking, and identifies the compo sition of criminals – male, female, educated, uneducated, employed and unemployed. 131 The current crime level in Baku makes it one of the safest cities in Eurasia. A "Safe City" System has been implemented using technical surveillance and traffic regulation sys tems. There was a 10% drop in acts of violence from 2019 to 2020. Crimes committed against foreign citizens in Baku account for less than one per cent of all recorded crimes. 43 of the 52 crimes committed against foreign citizens (82.7%) were solved. 132 Finally, the number of crimes committed in public places decreased by 35.1%, with the restrictive impact of the COVID pandemic likely playing a role. 130 Hacı Məmmədovun bandasının ifşasından 10 il ötdü.Yeni Müsavat 10 Mart, 2015. Available at: http:// musavat.com/news/kriminal/haci-memmedovun-bandasinin-ifshasindan-10-il-otdu_252076.html. 131 MIA. Crime Analysis of the 1st half of 2020. Available at: https://m.mia.gov.az/?/en/content/30007/ 132 Ibid. 26 An Analysis of Security Sector Reform in Azerbaijan According to the Law on Police, "police is a centralized and united executive law enforce ment body" and the "police officer is a public servant." Objectives of police forces are "to protect human lives, rights and freedoms of people, property of physical and juridical entities and the state from illegal actions." 133 The law determines the duties and principles of police force activities, highlighting the principles of respect for individual rights and freedoms. But, "in case of any restriction of rights and freedom of an individual, the police officers shall explain the reasons and grounds for this restriction." Any damage inflicted by the illegal actions of police officers shall be compensated. 134 Any failure to implement the legitimate demands of the police officer, including resistance, violence and insults shall entail legal liability. However illegal actions of police are not always compensated or condemned, and such cases and behavior are becoming a subject of debate in Azerbaijan, triggering popular condemnation and protest. Omissions in the law governing police conduct contradict its own provisions and allow for different interpretation depending on circumstances and conditions. An example is Article 24 of the Law on Police, which attempts to regulate the access of police into private residences, while other parts of the article refer to circum stances that automatically grant the police the authority to act on their own discretion. These cases took place during the time of the COVID pandemic in Baku, when police behavior sparked popular grievances among society. Human trafficking-related activities of the MoI, both within and outside the nation's bor ders, have been impressive. The country adopted a special law on combating human trafficking and joined a number of international conventions and cooperation activities within the CIS and other international organs: the "UN Convention Against Transnational Organized Crime," the Council of Europe "Convention on Action Against Human Traffick ing." 135 The MoI approved its own National Action Plan on Human Trafficking in 2008 and has extended it every four years since its inception. This plan is focused on prevention and protection as well as exploring the causes and ways to eliminate human trafficking. This includes reducing the risks of exposure and protection of victims. It also contains measures for rehabilitation, integration of victims into society and improvement of their living standards. International cooperation, the involvement of civil society organizations and educational activities are also part of the plan. 136 The Ministry has also established an Organized Crime Department by presidential decree to tackle the most dangerous types of criminal offences, including terrorism, banditry, hostage taking, extortion and money laundering. In addition to operations, search, detec tion and neutralization activities, the department is involved in the "collection and storage of data on organized crime, data analysis and drafting manuals." 137 Despite the cited improvements, interviews and a survey among lawyers and other ex perts indicates that reform is still needed for some separate MoI departments; which lack proper oversight or control mechanisms and their functions sometimes overlap. 138 The high number of investigation and interrogation departments inside the ministry and in other law enforcement agencies is still a pending reform issue. Formation of a single 133 The law on Police of the Republic of Azerbaijan adopted on December 13th, 2002. Baku. Available at: https://m.mia.gov.az/index.php?/en/content/29004/. 135 MIA, Main department on Combating Trafficking in Human beings. Available at: https://www.mia.gov.az/ index.php?/az/content/153/. 134 Ibid. 136 National coordinator on Combating Trafficking in Human beings. Available at: http://www.insanalveri.gov. az/. 138 Based on İnterviews conducted with lawyers and law enforcement agensies officials. Baku 2020. 137 MIA, Main organized crime department. Available at: https://m.mia.gov.az/?/en/content/28968/. Investigation Center would eliminate the multiple investigation departments that currently exist in all security, law enforcement agencies, and financial institutions, and could lead to the removal of outdated practices in investigation and interrogation procedures. Education and Training Schools The MoI has created an education and training system for its members. This includes the Police Academy established in 1992 139 to prepare officers for the Ministry. Admission is governed by the "Law on Education" as applied to other civilian Universities but it also requires meeting certain physical requirements. The High Military School of the Internal Forces was established in 2011 to prepare senior personnel for service in the internal forces. It also serves to train junior officers and sergeants. It is a four-year program designed to train new lieutenants for the Ministry. 140 Another school named after A. Hey derov is designed to train newly recruited police officers. International cooperation activities with European and Black Sea countries (especially CIS members) law-enforcement agencies are multifaceted. Bilateral agreements have been created to regulate relations between the appropriate ministries on issues of com bating transnational organized crime, international terrorism, illegal transfer of drugs and weapons, human trafficking, criminal identification and detention, and information ex changes between the signatories. Membership in the International Criminal Police Or ganization (Interpol) has also promoted stronger relations with foreign law enforcement agencies. Within the past 18 years, 48 bilateral and 27 multilateral cooperative agree ments have been signed with 40 nations. This included consultations with legal special ists from France, Germany, Spain, and the UK. 141 In support of the anti-terror campaign associated with the events of 9/11 and the Syrian war, Azerbaijani police forces have executed numerous operations to search for and arrest suspected criminal elements and extradite them to their countries of origin. This has included work with foreign partners to identify and capture radical religious elements supporting the conflicts in Afghanistan and Syria. 139 MIA. Educational institutions. Police Academy. Available at: https://www.pa.edu.az/?/az/menu/44/. 141 MIA. Internal Troops within the framework of international relations. Available from: http://m.dq.mia.gov. az/?/en/menu/16/. 140 MIA. Educational institutions. The High Military School of the Internal Forces. Available at: https://m.mia. gov.az/?/az/content/242/. 28 An Analysis of Security Sector Reform in Azerbaijan V. Military Justice History Since Azerbaijan did not have its own armed forces during the Soviet era, the military justice system at the time (military prosecutor and tribunals) did not operate within the legal system of the Azerbaijan Soviet Republic and were directly accountable before the appropriate agencies of the Transcaucasia Military District of the Soviet Army located in Tbilisi, Georgia. 142 In the early years of independence, the newly established military prosecution bodies and military tribunals of Azerbaijan followed Soviet practice under the traditions of the appropriate Soviet justice system. 143 Since the country was in a state of war at that time, war time regulations governing discipline, violence and other irregularities required adoption of new laws on the role of military prosecutors and military courts. The operational situation on the ground dictated more power and authority be provided to military forces and law enforcement bodies for public safety and discipline in the newly formed armed units. Consequently, the provi sions of the "Law on the Military Prosecutor's Office" 144 and "Law on Military Tribunals" 145 clearly reflected war time realities. These laws delegated more power and authority to military forces and law enforcement bodies in the newly formed armed units. Consequently, all justice related issues regarding the activities of military units were en trusted to the Military Prosecutor's Office of Azerbaijan by the order of MoD. The staff members of the Military Prosecutor Office were included on the staff list of the Armed Forces of Azerbaijan. The provisions of the Charter and Regulations designed for the mil itary service had been applied to active duty personnel in the Military Prosecutor's Office. The list of positions and appropriate ranks for the positions nominated by the Prosecutor General's Office had to be approved by the Chief of the General Staff of the MoD, who was responsible for defining the budget of the Military Prosecutor's Office. As a result, each military or security service (Army, Air Force and Air Defense, Navy, Interior, and Border Troops) created its own military prosecutors and tribunals. Many of these bodies have since been abolished due to various reform processes. Steps toward Reform Transformation of the military justice system began as part of the transformation of the civil justice system in the late 1990s. As state officials claim, "Azerbaijan took the course of bringing all areas of state management to international standards" and in this context "democratic reforms based on respect for human rights and fundamental freedoms" were launched. 146 Based on the experience of other newly formed nations, the formation of new legal and judicial systems was considered a critical factor for independence. The nation's ambition to become a fully-fledged democracy with the rule of law and human rights as priorities, close bilateral and multilateral cooperation with Western democratic and security institutions, a bid to join the Council of Europe, the presence of European 142 Prosecutor General's Office of Azerbaijan, History. Available at: https://genprosecutor.gov.az/en/page/ sistem/herbi-prokurorluq/tarixi. 144 Azərbaycan Respublikasının hərbi prokurorluğu haqqında. Available at: https://az.wikipedia.org/wiki/Azər baycan_Respublikasının_Hərbi_Prokurorluğu. 143 Hərbi Tribunallar Haqqında Azərbaycan Respublikasının qanunu № 138. 27 may 1992. Bakı. Available at: http://www.e-qanun.az/framework/7166. 145 146 AR Ali Məhkəməsinin sədri Ramiz Rzayev: Yeni məhkəmə hakimiyyətinin formalaşdırılması dövlət müstəqilliyimizin bəhrəsidir. 2011. Available at: http://www.supremecourt.gov.az/post/view/242. Ibid. and U.S. democratic institutions in Azerbaijan, and the desire to bring an independent state structure into the harmony with other democratic nations played decisive roles in reforming the military legal system. However, while on paper, laws and regulations have become more democratic, their implementation remains problematic. The transformation of the Azerbaijani legal system occurred in three stages. By the adop tion of 1995 Constitution the protection and the observation of human rights and individ ual freedoms were declared to be the duty of legislative, executive and judicial bodies. The term "Judicial Power" was introduced into the Constitution and the concept of judicial system reform considered, among other things, to ensure an independent court system through which citizens could make complaints. 147 Azerbaijan's cooperation with European legal systems encouraged new reforms and the start of the second stage of legal reforms. A 2006 Supreme Court decision directed that all courts of the Azerbaijan Republic apply the norms of the European Convention on "Protection of Human Rights and Freedoms" in their court proceedings. The presiden tial decree of 2006 on "Modernization of the Court System in Azerbaijan" 148 character ized the state's third stage of legal reforms. 149 This reform period addressed the filing of complaints, negative court tendencies, the introduction of new technologies in the court system, formation of a territorial court of appeals, the status of local economic courts, and other issues. Among these reforms, the "Law on Courts and Judges," 150 "Law on the Prosecutor's Office," 151 and the "Law on the Judicial-Legal Council" 152 (Mehkeme- Huquq Surasi) were part of the additional reforms implemented in the judicial system. New laws considered the immunity and tenure of judges. Judgeships were determined to be lifelong and their disciplinary responsibilities delegated to Legal-Judicial Council's authorities. The process through which judges were selected also underwent a series of changes, including through the introduction of face-to-face interviews and written tests to ensure the most suitable and knowledge candidates were chosen. Similar procedures ap plied to candidates for the prosecutor's office. This process involved international experts and scholars, including the Council of Europe's Human Rights Commissioner, European Court of Human Rights judges, and experts from the American Bar Association (ABA), the Central and Eastern European Law Initiative Institute (CEELİ), and the European Center for General Law. As a result of the reform of the judiciary, a new three-part independent judicial system was established comprised of trial courts, courts of appeal, and cassation (appellate court to interpret relevant law). New regional courts of appeal were formed and the number of judges doubled. At present, the Azerbaijani judicial legal system consists of district (city) courts, military courts, local administrative-economic courts and courts that address se rious crimes; all three operate under territorial jurisdiction. The Military Tribunals formed in 1992 have been replaced by military courts. Military courts on serious crimes were 147 Ibid. 148 bəzi qanunvericilik aktlarına dəyişikliklər və əlavələr edilməsi haqqında". Azərbaycan Respublikası Azərbaycan Respublikasında məhkəmə sisteminin müasirləşdirilməsi və "Azərbaycan Respublikasının Prezidentinin Fərmanı. 19 Yanvar 2006, Baku. Available at: http://www.e-qanun.az/framework/11357. 150 The law of Azerbaijan Republic on Courts and Judges signed by President H. Aliyev. June 10, 1997. Available at: http://www.judicialcouncil.gov.az/Law/AR/emehkemeler.pdf. 149 AR Ali Məhkəməsinin sədri Ramiz Rzayev: Yeni məhkəmə hakimiyyətinin formalaşdırılması dövlət müstəqilliyimizin bəhrəsidir. 2011. Available at: http://www.supremecourt.gov.az/post/view/22. 151 Law of Azerbaijan Republic on Prosecutor's office on December 7th, 1999 N767 IQ/ Available at:http:// cis-legislation.com/document.fwx?rgn=2800. 152 Məhkəmə hüquq şurası haqqında Azərbaycan Respublikasının Qanunu № 818-IIQ. Bakı. 28 dekabr 2004. Available at: http://www.e-qanun.az/framework/7303. 30 An Analysis of Security Sector Reform in Azerbaijan completely abolished in 2010. 153 Military prosecutors and judges act under the "Law on the Prosecutor's Office" and the "Law on Courts and Judges." According to Article 132 of the Azerbaijani Constitution, courts of appeal function in six regions of the country under relevant territorial jurisdiction and consist of four boards: civil, criminal, military and administrative-economic. Each Territorial Court of Appeals has its own military judges. The Supreme Court of Azerbaijan 154 as an instance of Cassation has four Collegiums – Civil, Criminal, Military and Administrative-Economical Court. The Constitutional Court of Azerbaijan 155 ensures the supremacy of the Constitution of Azerbaijan as the supreme constitutional judicial body. The "Law on Constitutional Court" elaborates the mecha nisms for exercising the right of citizens to appeal directly to the Constitutional Court. The military justice system has authority over the service personnel of the state's De fense Ministry, State Border Troops, Emergency Ministry, and Internal Security Forces. Its authority over National Security Agencies has some modalities. In sum, the military justice system in Azerbaijan is part of the civil justice system with its own military prose cutors and judges. Military Prosecutor's Structure Within the context of judicial-legal reforms, the role of prosecution bodies has also been restructured in view of international standards and as the authorities sought to align themselves with best democratic practice. A new law adopted in 1999 on the Prosecutor's Office relinquished some of prosecutors' powers such as "sanctions for arrest" which is now under the competence of trail courts, and "supervision over courts." The Prosecutor's Office now serves as an independent body to initiate criminal cases, conduct preliminary investigations, supervise the enforcement of laws and defense of state prosecution, and file claims for the defense of state interests in civil cases. All these functions and roles are characteristic of military justice systems and are part of Azerbaijan's Unified Judicial Portal. 156 Today, there is one centralized Military Prosecutor's office and single military prosecutor of Azerbaijan. Its functions are based on legal processes and laws adopted from the state Constitution, the Law on the Prosecutor's Office, the Law on the Service in the Prosecutor's Office, 157 the Law on Conscription and Military Service, 158 and the Law on the Status of Military Personnel 159 and other regulations. Military Prosecutor offices are located in the military garrisons of the Armed Forces de pending of the number of military units. There are eight territorial-military prosecutor's of fices in the country. The Military Prosecutor of the Azerbaijan Republic is a Deputy Pros ecutor General of Azerbaijan Republic. Within its authority the Military Prosecutor of the Republic issues orders, instructions, and other acts, with their implementation compulso 153 Məhkəmə quruluşunda bəzi dəyişikliklər və hakimlərin ümumi sayı haqqında Azərbaycan Respublikası prezindentinin Fərmanı № 310. 9 avqust 2010. Bakı. Available at: http://www.e-qanun.az/frame work/19913. 155 Azərbaycan Respublikası Konstitusiya Məhkəməsi haqqında. Available from: http://constcourt.gov.az/en/. 154 Structure of the Supreme Court. Available from: http://www.supremecourt.gov.az/en/static/view/252. 156 Azərbaycan Respublikasının vahid məhkəmə portalı. Available at: https://courts.gov.az/az/main/page/Mh km-hakimiyyti_2306. 158 Law of the Azerbaijan Republic about conscription and military service N274 IVQ, December 23, 2011. Available at: http://cis-legislation.com/document.fwx?rgn=50247. 157 Law N 167-IIQ of 29th of June 2001. "On Service in the Prosecutor's Office", amended 17 November 2017. Available at: http://e-qanun.az/framework/4363. 159 Law of Azerbaijani Republic on the status of Military personnel N36. December 25, 1991 amended in 20.11.2020. Available at: https://cis-legislation.com/document.fwx?rgn=2894. ry for all Military Prosecutor office members. Military Prosecutor office members are ap pointed and dismissed by the Prosecutor General on the recommendation of the Military Prosecutor. The military prosecutor's office of Azerbaijan, as a specialized prosecutor's office, performs its duties according to Article 12 of the "Law On the Prosecutor's Office" and is responsible for control over the observance of the laws and military regulations in detention centers and prisons, disciplinary units, as well as for the proper exercise of law in military units. It exercises intra-departmental coordination within the armed forces. The application of legal reform can be demonstrated by the recent events in the NagornoKarabakh (NK) region. After the conclusion of fighting in November 2020, new regional military prosecutors and military courts were formed or included in adjacent territorial courts and the Military Prosecutor's Office. Hundreds of lawsuits alleging the committal of crimes in the conflict area are currently being reviewed. As of January 2021, there are 7000 investigative actions for murder in the Military Prosecutor's Office. Criminal investigation could be launched on the basis of applications, complaints, ap peals, criminal search activities, as well as other information related to the destruction of property, criminal acts committed or planned by servicemen, or for activities against the armed forces. The Military Prosecutor's Office may sanction investigations inside the military and can form a group of specialists for this purpose to ensure whether the derived information is sufficient for criminal prosecution. The Military Prosecutor's Office performs its duties independently, without any direction from the military command and management bodies, and it enjoys free access to the premises and territory of military management, units, and infrastructure. Military prosecutors have a significant degree of independence because they have no affiliation with the leadership of the Armed Forces. In cases where the nation's political stability comes under threat or where an investiga tion might lead to the disclosure of classified information, the security sector's inter-agen cy decision-making process will likely be enacted. Also, in case of discovery of customary violations inside the armed units, law enforcement bodies could cooperate with army leadership to dismiss the case. 32 An Analysis of Security Sector Reform in Azerbaijan Military Courts Chapter VI of the "Law on Courts and Judges" addresses military courts. Article 31 of the Law describes military courts and their powers: "Military Courts are courts of first instance, which consider the cases within its powers as well as disciplinary offences." Military courts are formed in the administrative territorial units where Azerbaijani Armed Forces and other military units are deployed. The organization of a military court, its lo cation, and territorial jurisdiction is determined by the Judicial-Legal Council according to the Azerbaijani Constitution (Provision 109, point 32). Courts consist of a chairman and judges. If military courts have twelve or more judges then the position of deputy chairman is created. Military courts operate as part of the unified court system and are formed on a territorial basis. There are six territorial military courts in the country. 160 Prosecutor's General Office. The structure of military prosecutor's office. Available at: http://www.genpros ecutor.gov.az/project/57/struktur. There is no specific education requirement for the appointment of military judges. Any civilian judge may be appointed as a military judge. They are all part of a unified Azerbai jani state court system and act under the Criminal Code. Within their territorial jurisdiction they deal with criminal actions that are considered "against military service committed by military servicemen." If such criminal actions are committed by a civilian that is not in military service then their case could also be considered by the military court. The division of labor between civilian and military law enforcement bodies and the courts is regulated by the "Law on the Prosecutor's Office", and the "Law on Courts and Judges." The responsibilities are clearly identified under the "Reform of the Legal System," under which law enforcement bodies now operate. If a military service member is suspected of criminality, then the Military Prosecutor will investigate. If one military serviceman and three civilians are involved into one case, then the case will be pursued by a Military Pros ecutor. But in cases where civilian criminal actions are committed within the MoD, then the civilian justice system will investigate. National security bodies are also under the military prosecutor's sovereignty but in some cases the civilian system is also involved. The Ministry of Interior only deals with the civilian justice system, while internal forces fall under the jurisdiction of the military justice system. The military units of the Emergency Ministry fall under the military law enforcement bodies. Despite significant improvements in the justice system in terms of amending the rules for the selection of judges and hiring young people into the Prosecutor's Office, problems still remain. These include issues related to the rule of law and independence of the jus tice system. Despite acts and laws adopted by the parliament, presidential decrees, and directly by the Prosecutor's Office, the leadership of the justice system is still de facto dependent on the will of nation's political leadership. Instructions and telephone calls from the executive are still decisive, sometimes to the detriment of the will of the judges and investigators. From this perspective, there is an expectation that the military justice system will become independent. As independent experts argue, 161 some influential polit ical figures have created their own investigative departments inside their own ministries and agencies, thus restricting the activities of military prosecutor inside those agencies. Complaint Mechanisms The Military Prosecutor's Office schedules meetings with people issuing complaints and it includes the military prosecutor, their deputies and senior staff, and the territorial military prosecutors. Civilian citizens may be included twice a week and in case of emergency they should be received immediately. The Prosecutor General's Office has developed a long list of complaint mechanisms for people related to the responsibilities of military prosecutors and their offices. Complaints can be submitted via mail, fax, and e-mail as well as during the live events on TV and radio with the participation of the prosecutor's office. The Presidential decree of February 2014 establishing the "Electronic Court Informa tion System" 162 allows citizens to file their complaints via email. The system ensured the conduct of all cases in electronic form beginning from submission of complaints to all procedural documents and testimonies. Under the Prosecutor Office rules, the territorial military prosecutors should visit military units at least once a month to receive any com plaints. According to the law, the complaints must be received, registered and placed in 161 Interview with a civil society activist conducted in 2020. 162 Elektron Məhkəmə informasiya sistemi haqqında əsasnamənin təsdiq edilməsi barədə Azərbaycan Respublikası prezidentinin fərmanı № 1043. . Bakı. 1 iyun 2020. Available at: http://www.e-qanun.gov.az/ framework/45080. 34 An Analysis of Security Sector Reform in Azerbaijan an electronic database within one day of receipt. The law demands designating appro priate assistance to the prosecutor to supervise the organization of the efficiency of citi zens' reception and obliges the district and territorial prosecutors for proper organization to receive people. To that end, the Prosecutor's Office has developed a special form for complaints. 35 VI. Civilian Oversight over the Security Sector The purpose of oversight is to protect the rights and liberties of citizens by identifying and preventing abuses within the government and to ensure the government acts in a transparent manner; and holding the government accountable for tax revenue spend ing. 163 This issue remains a problem for the Azerbaijani security sector. To make inquiries or organize committee hearings with the participation of security service representatives is not possible nor can an individual visit security services facilities. The appointment of high-ranking officials at security ministries does not require parliamentary confirmation. The Azerbaijani Constitution has stipulated no significant oversight responsibilities for Parliament. Despite this, the two Parliamentary Committees, the Defense, Security and the Anti-corruption Committee and the Law and State Building Committee are constitu tionally involved in developing and approving legislative acts for the security sector. Parliamentary oversight is minimal in today's Azerbaijan. Major legislation like military draft laws, the "National Security Concept" and the "Military Doctrine" do not include pro visions for parliamentary oversight. The same is true for the "Law on the Armed Forces," and further complimentary laws and decrees such as the "Law on the Status of Military Servicemen," the "Law on Veterans," 164 the "Law on the Armed Forces Discipline Charter," and the "Law on Military Duties and Military Service," none of which include oversight with the exception of their budgets. The parliamentary authorized auditor general and his office do not disclose the analysis it receives from the security ministries. 165 The "Law on Peacekeeping Operations" did not include any requirement for additional oversight and the "Law on State Secrets" adopted by the parliament in 2004 created obstacles for any oversight initiatives. Another example concerns the 2015 scandal in the Ministry of National Security, which demonstrated the limited power of the parliament as regard oversight of the security sec tor. The Parliament chose not to create an investigative commission or hearing on the subject, nor was there any discussion or assessment on the years of criminal activities inside the MNS. Defense and Security Committee roles for defense procurement and weapon purchases have not been stipulated in legislation and consequently defense procurement issues remain outside the realm of parliamentary oversight. The analysis of the draft laws sub mitted to the Defense and Security Committee have demonstrated that the Committee had considered important draft laws but the Constitution did not specify any provision for parliament to monitor or oversee those laws. While Azerbaijani parliamentary inter national cooperation and participation with NATO and OSCE Parliamentary Assemblies have contributed to the emergence of experienced parliamentarians who believe in par liamentary oversight, no advances in parliamentary oversight practices can be made until parliamentary internal procedures and Constitutional provisions for oversight have been adapted. One option would be the Azerbaijani parliamentary invocation of Section III Article 95 of the Constitution, which mandates oversight of the security sector and other state bodies. 166 163 See: The Role of Parliaments, Hans Born. Oversight and Guidance: Parliaments and Security Sector Governance Editors Eden Cole, Philipp Fluri & Simon Lunn. Published by DCAF Geneva in 2015. 165 Interview with a MP conducted in 2020. Baku. 164 Veteranlar haqqında Azərbaycan respublikasının qanunu N841 25 İyun 1994. Bakı. Available at: http://e-qanun.az/alpidata/framework/data/8/f_8964.htm. 166 Section III of the Article 95 says that "Resolutions shall also be adopted with respect to issues in respect of which the Milli Majlis of the Republic of Azerbaijan deems necessary to express its position. Available at: http://www.president.az/articles/1616. 36 An Analysis of Security Sector Reform in Azerbaijan Effective oversight requires experienced parliamentarians with either a security sector background or a sincere interest in the security sector and parliamentary staff members with significant security sector expertise. This is a problem in the Parliament where the entire committee has a maximum of two experts and each parliamentarian only has one assistant. Another decisive factor is the need for political will on the part of parliamentar ians to hold the government accountable, requiring a legal framework and competencies for the Committee they represent. In addition, because of the military situation on the ground, any parliamentarian involved in the investigation of defense issues such as military procurement or the social condi tions of personnel inside the Armed Forces could be viewed in a negative light. As a re sult, parliamentarians have often distanced themselves from issues involving the security sector. One of the reasons for a cautious approach is that parliamentarians do not have sufficient access to the Defence Ministry, security agencies, 167 or the justice system. If the political leadership is not interested in the public disclosure of such reports, then it is unlikely that the information will be provided to parliamentarians by security agencies. As a re sult, the parliamentarians are becoming overwhelmingly dependent on executive branch and security sector personnel to obtain needed information. Owing to the 2020 conflict, receiving any information which is not in the interest of the security ministries is unlikely due to secrecy arguments, except in the case of scandalous events and whistle-blowers. Responses to MP inquiries are typically too official and polished and therefore cannot be used for oversight purposes. 168 There are some elements of oversight or control that could be carried out now if a Parlia mentary Committee like the Budget Committee or auditing office would address security sector accountability. In such a case, the Committee might be able to obtain more infor mation regarding corruption and embezzlement, which would further open channels for expanded oversight. Parliamentary initiatives in the form of commissions or inquiries could lay the foundation for further involvement of the Parliament in overseeing the security sector. Legislation provides for authorized prosecutors to carry out investigation and preliminary investiga tion into intelligence services and court control over investigations, but these measures are all regulated by internal control mechanisms existing within intelligence services with no practice for parliamentary bodies. Societies in transition frequently face corruption by intelligence personnel for unaccount ed expenses. Absence of oversight bodies and consequent ex-ante or ex-post oversight, along with the absence of internal and external oversight entities is wide-spread in such countries due to the absence of a tradition of governmental and legislative oversight re quired. As regard oversight of the police, the "Law on the Police" has no effective provision regarding the oversight of police activities; only referring to intra-organization and out side supervision. The lack of objective internal of control mechanisms is not in line with democratic principles. There is an internal investigation department within the Ministry of Interior that supervises compliance of officers with law, human rights, and civil liberties in executing their duties. It conducts inquiries into complaints, carries out investigations, and reports about illegal actions of its officers to the Minister of Interior. 169 Referring to 167 Interviews with a former and current MPs conducted in Baku. 2020 169 Ministry of Internal Affairs, Internal Investigation Department. Available at: https://m.mia.gov.az/index. 168 Interviews with a former and current MPs conducted in Baku. 2020. external supervision or oversight the Law says that "it shall be exercised by the other respective executive body", which again refers to intra-executive agencies control, not parliamentary. Any media reports are viewed as exceptional occurrences, which, in the worst case may be deplored or punished administratively by the ministry. The Law recog nizes the role of prosecutor's office and courts over the implementation of the state's laws by the police. In reality interviews with MPs show that the MoI is the most responsive to parliamentary inquiries. It concerns inquires related to citizens' complaints and reports of the ministry's officials before the parliament. Regarding the military justice system, Chapter 8 of the "Law on Prosecutor's Office" states that the prosecutor's office informs the parliament about its activities except for the investigation of criminal cases. The "Law on Ombudsmanship" 170 gives the right to an ombudsman's office to independently investigate the violations of human rights, but the ombudsman office is not significantly involved in the military justice system. The auditor general is accountable before the parliament, but the analysis of available reports indi cates that no audits have been carried out for law-enforcement bodies during the recent period. 171 There are no constitutional guarantees or any law guaranteeing civil society's oversight and involvement. The role for civil society has been stipulated in bilateral international programs and documents signed between Azerbaijan and NATO and others such as IPAP, the OSCE Code of Conduct, and the European Convention on Human Rights. On the other hand, civil society groups will need greater experience and expertise to be able to adequately monitor or provide oversight over the security sector. The general atmo sphere of transparency in the society is also not fertile for any robust oversight let alone over the security sector. Civil society's role is confined to interviews, articles, research materials, fact-finding initiatives, conferences, and calls for reform in the media as well as in advocacy activities for the protection of rights of servicemen. They are typically acting on behalf of abused or deceased military conscripts. Retired or reserve officers defend their rights at courthouses and sometimes win their cases. But these activities can only now be carried out on an individual basis by qualified lawyers. The access of defendants to lawyers is not limited but civil society activists may assist in filling out necessary documents, file complaints with appropriate agencies, and educate them on their legal rights, but they are not allowed to defend them in the courts, as they did in the past. php?/en/content/285/. 171 Azərbaycan respublikası hesablama palatası fəaliyyətləri, hesabatları. Available at: http/sai.gov.az/1/hes abatlar/. 170 Azərbaycan Respublikasının İnsan hüquqları üzrə müvəkkili (ombudsman) haqqında Konstitusiya qanunu № 246-IIKQ. 28 dekabr 2001-ci il. Bakı. Available at: http://e-qanun.az/framework/1407. 38 An Analysis of Security Sector Reform in Azerbaijan VII. Conclusion As demonstrated, a number of positive changes have been identified within Azerbaijan's security sector. The adaptation of newly crafted doctrines, equipment procurement, and supporting legislation has allowed the armed forces to become more aligned with its Eu ro-Atlantic counterparts. The professional military education system has become reform oriented and is employing NATO-standard curricula and teaching methodologies. This has also led to the development of national strategy documents. Finally, the overall pro fessionalism of the officer corps and contract enlisted personnel has increased, in part because of improved social conditions, and a reduction in the cases of abuse and hazing against junior soldiers. Many observes contend that in the given context, there will be greater opportunities for improved oversight, as people and the society feel greater ownership over the armed forces. The central role of popular social media outlets is becoming important in this re gard. Reforms of the State Border Service have transformed the organization into a modern law enforcement agency. Cooperation with foreign counterparts and a reform agenda have promoted professional border security standards and border control mechanisms. The service is now equipped with modern equipment and trained personnel. Reform of the Ministry of Interior is highly visible in its components that are in daily con tact with the populace. Reforms in the areas of passport control, traffic police manage ment, and the patrol service have led to a clear change in the perception of the police in Azerbaijani society. International cooperation on terrorism, organized crime, and human trafficking has expanded and, in contrast to other security sector institutions, the MoI has become much more comfortable and professional in its reaction to media reporting and parliamentary inquiries. The formation of a national intelligence service with its own national objectives represents an ongoing professionalization process. Recent structural changes and the cleansing of corrupt intelligence service elements are encouraging. The implementation of anti-cor ruption activities is also an additional indication of increased trust in the intelligence ser vices. Legal reform mechanisms have helped to change the military justice system. This was demonstrated by the separation of the military prosecutor's office from the MOD. Military courts have replaced previously existing military tribunals and now operate as part of the country's unified court system. The military justice system is regulated and is now part of the civil justice system with its own military prosecutors and judges. VIII. Lessons Learned: * Azerbaijan is open to cooperation with the international organizations, to include NATO, for transformation of its security sector actors. * Reform of its military education system has demonstrated significant change in ad herence to Euro-Atlantic standards and is contributing to international interoperabil ity. * The progress of reforms is allowing both civil society and the nation's security sector to discard old animosities and mistrust; creating a far more amenable working rela tionship in their daily conduct. * The 29 years of the country's existence have indicated that any fundamental secu rity sector reform requries political reform; without which the style and methods of security sector agencies will be limited in their ability to change. * In the Azerbaijani case, the state power's is heavily concentrated with the president and the division of power principle reflected in the Constitution does not give enough authority to the parliamentary legislative body to take advantage of a genuine divi sion of power, therefore weakening effective control oversight. * To a great degree, the concept of oversight will be dependent on the effectiveness of the state's security agencies. This becomes particularly important for a nation with a strong executive, a weak legislative body, and an ineffective and efficient security sector. In this case, the executive may not be willing to accept criticism of the secu rity sector because it will reflect poorly on it. Without a strengthened legislative body, Azerbaijani oversight mechanisms are likely to remain underdeveloped. There is no specific model to apply for each country but the experiences of developed nations in the last two decades could serve as examples. For a democratically governed security sector to flourish with independent oversight, there will be a need for a real polit ical reform entailing transformation and transparency for both governing institutions and the security sector's ministries and agencies. In the Azerbaijani case, its specific location and security environment necessitate employment of the best practices of developed na tions and multinational organs to strengthen the nation's security capacities. 40 An Analysis of Security Sector Reform in Azerbaijan
820 First Street, NE, Suite 510 Washington, DC 20002 Tel: 202-408-1080 Fax: 202-408-1056 email@example.com www.cbpp.org May 31, 2005 OUT-OF-POCKET MEDICAL EXPENSES FOR MEDICAID BENEFICIARIES ARE SUBSTANTIAL AND GROWING By Leighton Ku and Matthew Broaddus Key Findings Federal and state officials are discussing possible ways to reduce Medicaid expenditures. One commonly mentioned proposal is to increase the copayments that poor Medicaid beneficiaries must pay when receiving medical care. A related proposal would reduce the benefits that Medicaid covers for some groups. 1 A rationale offered for these changes is that Medicaid policies are outdated and have not kept pace with changes in the private market. 2 Many assume that because cost-sharing in Medicaid is limited, low-income Medicaid beneficiaries pay almost nothing and bear little financial responsibility for their health care. The analysis presented here shows, however, that the amounts that Medicaid beneficiaries pay out-ofpocket for medical care already are substantial and are growing twice as fast as their incomes. The data also indicate that out-of-pocket expenses have been growing significantly faster for poor adults on Medicaid than for people with private health insurance. Medicaid policies that further increase cost-sharing significantly or reduce the benefits that Medicaid covers will shift more costs to low-income Medicaid beneficiaries. Such costs are likely to affect access to health care for significant numbers of low-income people. The risks from such policy changes would be most serious to those in the poorest health, since they need the most health care services and thus could face more copayment charges or the loss of more services. Using data from the Medical Expenditure Panel Surveys, we examined the out-of-pocket medical expenses both of poor Medicaid beneficiaries and of people at higher income levels who had private health insurance. (The Medical Expenditure Panel Surveys are a series of nationally representative surveys conducted by the Agency for Healthcare Research and Quality, which is part 1 Robert Tanner, "U.S. Governors Consider Medicaid Reform: U.S. Governors May Have Poor Pay Larger Share of Health Care Bills as Part of Medicaid Reform," AP story carried in ABCNews.com, April 24, 2005. Robert Pear, "States Proposing Sweeping Change to Trim Medicaid," New York Times, May 9, 2005. 2 For example, see Vern Smith and Greg Moody, "Medicaid in 2005: Principles and Proposals for Reform," Health Management Associates, report prepared for the National Governors Association, Feb. 2005. of the U.S. Department of Health and Human Services.) The out-of-pocket expenses examined include the amounts that people pay as copayments, deductibles, and coinsurance, as well as the amounts paid for medical services not 3 findings are as follows: covered under insurance policies. The key * Out-of-pocket medical expenses for adult Medicaid beneficiaries who are not elderly or disabled and have incomes below the poverty line (about $16,090 for a family of three in 2005) grew by an average of 9.4 percent per year from 1997 to 2002, the most recent year for which these data are available. The out-of-pocket medical expenses of these beneficiaries rose twice as fast as their incomes, which grew 4.6 percent per year. 4 * Out-of-pocket medical expenses also grew for non-elderly, non-disabled adults who are not low income and have private health insurance, but at a slower pace. For privately insured adults with incomes above 200 percent of the poverty line (more than $32,180 for a family of three), out-of-pocket medical expenses increased an average 6 percent per year from 1997 to 2002. * Expressed as a percentage of income, the out-of-pocket medical expenses that adult Medicaid beneficiaries bear are substantially larger than those borne by non-lowincome adults with private insurance. Poor adult Medicaid beneficiaries spent 2.4 percent of their incomes on out-of-pocket medical expenses in 2002. Privately insured adults with incomes exceeding twice the poverty line spent 0.7 percent of their incomes. ("Adult" as used here and later in this paper refers to adults who are not elderly or disabled, except as otherwise noted.) * People with serious health problems bear heavier burdens. Out-of-pocket medical expenses were especially high for poor disabled Medicaid beneficiaries, consuming an average of 5.6 percent of the incomes of these beneficiaries in 2002. * Out-of-pocket expenses for prescription drugs have been rising especially rapidly. Between 1997 and 2002, out-of-pocket costs for prescription drugs rose 14 percent per year for adult Medicaid beneficiaries who are not elderly or disabled, 17 percent per year for adult Medicaid beneficiaries with disabilities, and 10 percent per year for people with private insurance. Increases in Medicaid Cost-sharing in Recent Years Because Medicaid is designed to make health care coverage affordable for low-income people, it limits cost-sharing charges and does not impose cost sharing on vulnerable populations such as children and pregnant women. Within the permissible limits, increases in Medicaid copayments — as well as reductions in the scope of the health care services that Medicaid covers — have been common in recent years. * According to the Kaiser Commission on Medicaid and the Uninsured, four states raised Medicaid copayments in 2002, seventeen states increased them in 2003, twenty states raised them in 2004, and nine states plan to do so in 2005. * Similarly, nine states reduced the scope of Medicaid benefits in 2002, eighteen states lowered benefit coverage in 2003, nineteen states did so in 2004, and nine states plan restrictions in 2005. 5 Examples of Medicaid benefit reductions include: ending dental or vision care for adults, reducing the number of prescription drugs covered in a month, reducing the number of physician visits authorized in a year, or limiting coverage of medical equipment, such as crutches. * Both copayment increases and benefit reductions affect out-of-pocket expenses. For example, if the Medicaid copayment for a prescription rises from $1 to $3, the expenses of a person who uses five prescriptions a month would rise from $60 per year to $180 per year. If a state Medicaid program stops offering dental care for adults, a Medicaid beneficiary must pay the full price for dental care, unless he or she can find a dentist who offers free or reduced price services. If a state reduces the authorized number of prescriptions from six per month to five, a person who needs six medications must pay out-of-pocket for the sixth prescription or do without. Since those who are in poorer health are more likely to use multiple medications and need more health care services, they are more likely to be harmed by higher copayments and benefit reductions. Medical research has consistently shown that cost-sharing has more serious consequences for low-income people than for those with higher incomes. Higher copayments cause some low- 5 Vernon Smith, et al. "The Continuing Medicaid Budget Challenge: State Medicaid Spending Growth and Cost Containment in Fiscal Years 2004 and 2005," Kaiser Commission on Medicaid and the Uninsured, Oct. 2004. income people to forgo health care services, including essential services, which can lead to costly consequences such as increases in emergency room care. Higher copayments also can impair the health of low-income beneficiaries who forgo necessary medical care because of the cost. 6 How Much Do Medicaid Beneficiaries Pay? Many people mistakenly assume that Medicaid beneficiaries pay almost nothing for their health care. Data from the Medical Expenditure Panel Surveys show, however, that poor adult Medicaid beneficiaries paid an average of $210 in 2002 for out-of-pocket medical expenses. 7 Nonlow-income adults with private insurance paid an average of $548. Because the average income of a poor adult Medicaid beneficiary is about one-ninth the average income of privately insured adults who are not low income, Medicaid beneficiaries pay substantially more as a share of income than middle- and upper-income people do. Moreover, because poor people have far less discretionary income (after paying for basic needs like food and rent) than people with higher incomes, the effective burden that out-of-pocket medical expenses impose is greater for people on Medicaid than these statistics portray. We also analyzed the out-of-pocket expenses of disabled Medicaid beneficiaries who receive Supplemental Security Income benefits and have incomes below the poverty line. 8 Disabled SSI beneficiaries on Medicaid bear heavier out-of-pocket costs. Due to their more serious health problems, they require more health care and incur greater expenses, including more copayments. In 2002, poor disabled SSI beneficiaries covered by Medicaid spent an average of 5.6 percent of their incomes on out-of-pocket medical expenses, more than twice the percentage of income that nondisabled adult Medicaid beneficiaries paid, and about eight times the percentage of income paid by non-low-income adults with private insurance. When Medicaid imposes cost-sharing, people with disabilities and those with chronic health problems tend to bear the highest burdens. 9 Restrictions on the needed services that Medicaid covers also have a disproportionate impact on those who have more serious health problems 6 This body of research is summarized in Leighton Ku, "The Effect of Increased Cost-sharing in Medicaid: A Review of the Research," Center on Budget and Policy Priorities, May 2005. 7 The MEPS data do not distinguish copayments or other cost-sharing from expenses for medical care not covered by insurance. The average $210 in out-of-pocket expenses paid by Medicaid beneficiaries includes both types of expenses. 8 Our main analyses contrast the expenses of non-disabled adult beneficiaries and those who are privately insured in order to make the groups more comparable. A person with permanent disabilities is much less likely to be on private insurance than on Medicaid and has much higher expenses. , 9 Bruce Stuart and Christopher Zacker, "Who Bears the Burden of Medicaid Drug Copayment Policies?" Health Affairs 18(2):201-12, 1999 Changes in Average Out-of-Pocket Medical Expenses for Poor Adults on Medicaid and higher-income Adults with Private Health Insurance, 1997 to 2002 Note: Analyses of Medical Expenditure Panel Surveys for adults 19 to 64 years old. Out-of-pocket medical expenses include deductibles, copayments, and expenses not reimbursed by insurance. Insurance coverage determined by source of coverage for the majority of the year. Conclusion Contrary to common assumptions, the out-of-pocket medical expenses that Medicaid beneficiaries pay are significant, and they have been growing rapidly in recent years. Proposals to increase Medicaid cost-sharing significantly or to reduce the scope of covered benefits could accentuate these problems and create larger burdens for poor Medicaid beneficiaries, making it harder for many to access needed care. The consequences could be especially harsh for people who have disabilities or other serious health problems. Technical Notes These data are based on the Medical Expenditure Panel Surveys (MEPS), a series of nationally representative surveys conducted by the Agency for Healthcare Research and Quality. We focused on out-of-pocket medical expenses by non-elderly adults (19 to 64 years old) and compared adults on Medicaid who have incomes below the poverty line 10 to those who have private health insurance and have incomes greater than 200 percent of the poverty line. Out-of-pocket medical expenses include cost-sharing amounts, such as copayments, deductibles or coinsurance, as well as medical expenses not covered by insurance. Consumers' payments for monthly health insurance premiums are not included as out-of-pocket medical expenses, nor are payments for over-thecounter medications. In MEPS, we cannot distinguish between cost-sharing amounts and uncovered medical expenses. To define those who were on Medicaid or private insurance, we selected individuals who were covered by either type of insurance for a majority of the year, seven months or longer. As a check, we replicated the 1997 and 2002 analyses using a stricter criterion of coverage for all 12 months of the year and produced equivalent results. Using a full-year criterion, out-of-pocket medical expenses for poor non-disabled adult Medicaid recipients rose an average of 10.2 percent per year from 1997 to 2002, and out-of-pocket medical expenses comprised 1.7 percent of this group's income in 1997 and 2.2 percent in 2002. Results for the privately-insured and those on SSI also were consistent using either a majority-of-year or full-year criterion. Thus, the trends reported here are not materially affected by medical expenses that are incurred in months when a person is not covered by Medicaid or private insurance. We base insurance coverage on the majority of a year because it increases sample size and increases the stability of estimates. We also examined data from the 1999 MEPS and found patterns consistent with those observed in 1997 and 2002. For example, poor Medicaid beneficiaries spent a larger percentage of their incomes on out-of-pocket medical expenses than did non-low-income privately-insured people in 1999, just as was true in 1997 and 2002. We did not include these data for the sake of brevity. 10 Most adult Medicaid beneficiaries have incomes below the poverty line. The majority of adult beneficiaries with incomes above poverty are pregnant women who are generally exempt from copayments under Medicaid.
An essay into Headlessness and the End of History By George Schloss. (Footnotes refer to a series of questions put to the author, which are listed with his replies in an appendix) Surely some revelation is at hand; Surely the Second Coming is at hand The darkness drops again; but now I know We shall not cease from exploration And the end of all our exploring That twenty centuries of stony sleep Were vexed into nightmare by a rocking cradle, And what rough beast, its hour come round at last, Will be to arrive where we started And know the place for the first time. Slouches towards Bethlehem to be born? W.B.Yeats The Second Coming T.S. Eliot Little Gidding Neither Yeats nor Eliot, arguably the two finest poets in English of their generation, were alone in their premonition that something was afoot, something had to give and the bubbling stew we call modernity, long since come to a boil, was coming to a head. Still, however well-versed they or anyone else were in the unexpected means the expected adopts to achieve its end, little did they dream that only a few miles away from where they were writing just before the Second World War the ultimate in revelation was about to take shape and give to airy nothing its final habitation and a name. Indeed, as with all prior epochal shifts in perspective, was to appear, not parading in full panoply to the blare of trumpets along some crowded avenue but, quite in keeping with its selfeffacing nature, was to slip in unobtrusively, almost surreptitiously, through a clearing in the woods. As many have already observed and one wag summed up nicely by noting that though history doesn't repeat itself it certainly rhymes, not since the ferment that erupted two-thousand years ago in the then known-historical- world, the arena of a dominant Rome lording it over a Carthage wiped off the face of the earth, an inert Athens and an inconsequential Jerusalem, has there been such general consensus - the correspondences are too palpable to be ignored - that humankind is about to suffer yet another sea-change, though whether into something rich and strange remains, literally, to be seen. Just as with the rise of Christianity, no sooner had the gods made in our image been banished from center stage by the Church Fathers than they began to show up under assumed names in sheep's, if not lambs', clothing and even today, despite, or maybe because of, the ministrations of our current crop of high-priests and witch-doctors, can still be spotted embracing the sporting life on any psychoanalyst's couch in the land; so recent rumors as to the demise of the one and only successor to Pan - Pan being the latest and last of antiquity's idols to be pronounced dead on the arrival of the God-man - are now seen to have also been greatly exaggerated. Summoned home at last by the experiments to where he belongs, as much a posthumous victim in triumph as ever he was of mistaken identity in defeat, the God-man, too, still lives and along with the rest of us saints and sinners can be found for the looking any day of the week in the place he never left. i The experiments. If the Greeks didn't have a word for them the Hindus did: Shruti, the absolutely indispensable text absent which root all subsequent fruits are merely flowers. Deriving from immediate insight into reality, speaking by authority of its own voice, Shruti is the one thing necessary, the bottom line for which there can be no substitute but at best only a reasonable facsimile by way of commentary. Classic examples up to now would be the Upanishads or Vedas, the Tao, the Buddhist canon, and in our Western monotheistic tradition, the Old and New Testaments and the Koran. However exalted or informative the interpretations of these sacred texts, like barnacles hitching a free ride on the back of the mother whale, the relation, though symbiotic at once totally dependent on the host's largesse for subsistence yet, at the same time, returning the favor as best it can by tidying up - is essentially asymmetrical. Our task, then, is to tidy up, always keeping in mind our total dependence on evidence provided by the experiments. By virtue of the fact that they are what they designate, these constitute the one absolutely indispensable text for which there can be no translation and no substitute and which, by reason of their all-inclusiveness, relegate image, symbol, concept, everything that's been thought or said or written or read in the past and I dare say will be in the future (including this) to the realm of commentary. Unfortunately, as Galileo discovered when his inquisitors, even those well-disposed, flatly refused to look through his telescope, one can only preach convincingly to the converted. Short of at least some acquaintance with these magical markers that render the invisible as visible as it's always been (though with rare exceptions our consciousness as a race was as ill-prepared as it was wellequipped to see it) and which, much like safety-matches or lighters compared to the hit-and-miss method of primitive flint, insure both fire and light every time, I can hardly expect those unfamiliar with them to agree with my conclusions or to see in them anything more than mere assertions. Nevertheless, it's my view that this union of the container with its content, this joining at their root of the contemplative and active, techknowledge and technology, the esoteric and exoteric, the original and the new, marks the completion of the modern project that, beginning some five thousand years ago with an ostensibly civilizational expansion but now speeding to its close in our current contraction into a global village, has, by making meditation available to the market-place, rendered transparent its reason for being. As a result, we find ourSelf, both singly and collectively, in the unique position of possessing for the first time the potential, the conscious and concrete capacity to be both "in" at the Creation and, at the same time (since the two go hand-in-hand), present at "the end of history." Fortunately, though the experiments can't be put into words, like the act itself compared to the protestation or even the confession of love, they can be shared. As I intend to demonstrate through, of all things, the testimony of history - that most unlikely vehicle for yet another "proof" it's to the providential manifestation at this time and in this place of these built-in, unassuming instruments that we must turn for assurance that God or Consciousness or Awareness – call It any "thing" you like – is alive and well and never shuts one door without opening another. A quick visit to headquarters to look over, into and finally through these simple tools of Self-confirmation should do the trick. The Pointing Finger, the Spectacles, the Closed Eye, the Paper-bag and Card-experiment along with, perhaps, the Whirling Dervish and the Foursome, the Classified and Self-portrait, should provide sufficient back-up to corroborate my claim that, as another commentator remarked in a different context, the medium is the message. Put to the proof in person, in lst Person – and performed with due diligence any or all will do – the possibilities of their application, of the implicit made explicit in every field, are virtually infinite and can't help but condition the way we go about our business of filtering reality through the partial lenses of such disciplines as religion and philosophy, mathematics and 3 rd Person science, history, even speech itself - all the mind-body stuff that precisely because it's delivered us to this pretty pass is itself, like Ariel finally set free to assume his proper place in the order of things, about to be delivered and receive its reward. ii For the first time in history – and we'll be addressing quite a few firsts before we're finished - the sacred text that speaks by authority of its own voice no longer requires translation into Mantalk or, when memory fails, needs to be set down in some new-fangled black and white derivative - the visible echo of speech we call writing - but comes to us in original living color and, to avoid confusion, in no uncertain terms: in silence, in Godspeak. This has never happened before, certainly not on a universal scale. But then, until the thirty years ago that more or less coincides with the appearance of the experiments (except, as we shall see, there are no coincidences), when was the last time you heard of, no less watched a man on the moon iii as distinct from the Man in it? Or, like Zeus surveying the goings-on at Troy from the parapets of Olympus, were you able to enjoy a war in the safety and comfort of your living-room? Or, to go from the ersatz sublime to the ridiculous by way of the absurd (which also has its uses, as witness the consummation of history itself), did you have a thousand horses at your finger-tips or like a god could command heat and light by the flick of a switch, not to mention ice in summer, a privilege once reserved for the divine Caesar but assuredly not his Alpine runners falling more dead than alive at his feet? As only a cursory glance at the modern world makes clear, we're all potential emperors now, our badge of office "the customer is always right." And gods-in-waiting too, as the engine that first propelled us out of the Fifth Great Day – the desire to know – continues to hone our Sabbath sense iv and ready or not we prepare to exit the Sixth one way or the other. And if this sounds too apocalyptic for words, it's meant to, "apocalypse" itself like its Latin synonym "revelatus" (our revelation), signifying no more nor less than an uncovery, an unveiling. Restored to their Source, no longer captive to bomb, bacteria and barbarian, such lurid futuristic imaginings and fundamentalist visionary concepts as the end of time, the end of the world, the end of history, take on new, take on their original meaning, even as the simultaneous translation provided by the experiments – at once a liberation from, and a transformation of, language – reveals ours: that with the successful negotiation of the detour we call history only to see it arrive by hook and by crook where it started, its essential task completed with the uncovery of these simple tools, we now have available and available to all the necessary means to achieve our end, to begin the Great Work of consciously rejoining the birds and the bees and the little children too. In that sense and in that sense only the possibility as possibility has already been realized, is already here and now. Not incidentally, it also offers one more instance of how the principle of asymmetrical balance - two-way looking moves in tandem to serve its own end, however unconscious it may appear on the surface. The same 4 consciousness that over millennia of struggle and suffering laid the ground-work for the final recognition that it inhabits one world is the very same that by the law of inverse progression (for every explosion an implosion, for every complexity a simplicity) has at last come to see that the world is inhabiting It. And this, too, in its universal accessibility, is a first. Whether this awareness will be made flesh and put into practice is, of course, something else again. As Father de Caussade insisted and we'd be the first to agree, our primary object is not to study the history of the operations of Providence but to become, each of us individually, the Subject of those operations, to be It as well as see It. But surely the two perspectives - a meditation for the market-place no longer solely confined to meditation on or contemplation of the market-place but combined with active participation in and for the sake of the market-place - are better than none or even one and, alone together, constitute all there is. And if it be argued, as no doubt it will be, that if past is prologue this possibility is no different from all those other possibilities, those pie-in-the-sky panaceas that, ranging from a muscular Christianity to a busy Mahayana Buddhism, were mother's milk to us, again we can only reply, it ain't necessarily so. Though congenitally starry-eyed we may still look to outer space for signs and proudly if heedlessly point to that other dream of flight once bogged down in seemingly endless rehearsals but now dotting the horizon, now we need look no further than home to, as zero is to one, its polar reciprocal revealed by a history at once humbled and fulfilled, humbled because fulfilled in, of all places, a paper-bag. v Where once the dream of idols defined the taking up of the person into heaven and against all odds and the law of gravity proved it to be no idle dream, so now, in the infinite light and lightness of the experiments, those odds are made all even vi . A conclusion that would not have been lost on a Plato with his notion of the good life as serious play or, for that matter, on a Karl Marx who, with unaccustomed insight worthy of a Zen master, announced that if history's first act ended in tragedy, its second would more closely resemble farce. Is that to be our destiny - to end up in a paper-bag? Or will there be a third act - the destiny of our destiny the freedom to have none? One thing we can say with certainty. If history teaches us anything at all - and, as we shall see, it teaches us more than we know but no more than we had a right to expect - it's that where predictions based on statistically repeatable "natural" events like the sun rising and the seasons coming and going have been shown by 3 rd Person science or just plain common sense to obey the laws of probability, when it comes to the divine-human dimension, to the realm of freedom, the law of love if you will, they have just as consistently failed where prophecy and possibility have not. No more than we might have detected an embryo Christianity slowly germinating undercover of the first great universal empire, who could have predicted the cosmic reach of the experiments or the design and form they would take beyond speech, beyond custom and tradition and boundaries, beyond history, beyond even the cosmic horizon itself? But they were prophesied; in fact, were fitted to our exact measurements. As the experiments incontestably demonstrate, not by taking thought and adding an inch to his stature shall homo faber, the maker of, among other things, history, inherit the earth, no less the Kingdom (though, God knows, more possessed by it than of it, he's tried to), but by subtracting eight. vii Yet even here the paradox inherent in the divine-human equation becomes transparent through twoway looking. Because it was precisely this disobedience to the "heavenly" injunctions characteristic of all traditions that, marking our career from the beginning and supposedly signalling our separation, not only from every other creature on earth but even, it was said, from our "Maker", provided the impetus that once upon a time was called the "fortunate fall." It was precisely this taking thought and adding an inch to his stature that qualified the toolmaker in his freedom to eventually uncover the tool (the experiments) that at once turned everything right-side up by revealing it upside-down. And it was precisely this stunning reversal to end all reversals – what the Greeks welcomed as the "catastrophe", the about-face necessary to transform tragedy into triumph that empowered him not only to arrive where he started and know the place for the first time but in the twinkling of an eye achieve what all the King's men - the seers and sages and avatars and saviors – couldn't put together again simply because the time was not ripe, not to say rotten-ripe: to establish without question once and for all and on an absolutely rock-bottom footing the meaning of who we are and why we are. And thereby hangs a tale. And that tale we call history. Not this story or that story, but the story of the story itself. To devalue it would be a serious error. To assume that simply because we've consciously come to and at long last secured the point without position from which for the first time as a race we can at once see and see with certainty, not only from here to there but from there to here as well and that all things, including history, arise from the Void, is in no way to suggest they simply pop up in a vacuum. No more than the material ingredient, though freely poured in any which way, can a-void con-forming to the structure of the cake-mold that contains it, can we continue to pretend that the Void is a vacuum or, in the Presence of the experiments, deny the Self-limiting "desire" for Selfexpression that would otherwise render null and void the capacity of a limitless Gap to reveal all its possibilities. viii To devalue history and, overly simplistic, fail to acknowledge its role as intermediary in what, for all we know, may represent the most central "experiment" of them all, the model and sine qua non of all experiments – human life on earth – would not only constitute a gross miscarriage of justice directed at both the living and the dead but a disservice to ourSelf. To find ourselves artless in an art-full, man-made world released for the first time from the time-constraints of a "natural" evolution that, if not consummated, has certainly been brought to a halt by our presence and, no longer confined to the realm of instinct, now demands a conscious art for its very survival, and then to confuse the issue by ascribing to history a simplicity God doesn't give it, a simplicity that rightfully belongs at its Source and only at its Source, would be brash enough. ix But to overlook the road and especially the road-builders that got us there or, if you prefer, here, to make a mockery of all the told and untold suffering, the tangible stuff ground into dust that literally paved the way on which we walk, would be worse. Worst of all would be the pretension, not unknown to the species, that somehow things and events simply happen, that behind what appears to be the strangest and most extraneous of all cosmic anomalies and deviations - history itself - no guiding principle both in-forms and en-folds it and that things can fly "head on" into the "face" of reality with impunity. To his dying day, Einstein, along with a few though by no means all his colleagues, insisted that God does not play dice with the universe, a faith which, taking into account the facts, is not only as far as reason and logic can go in that direction but as well-meaning an interpretation and statement of purpose as we're likely to get from the perspective of 3 rd Person Science. x The FACT, however, indicates otherwise. As witness the dearth of dinosaurs recently, not to mention the shocking display of intimacy - the scandalous foreplay still being publicly exhibited and, in some cases, publicly enjoyed, between an evil always with us and freedom - God does indeed play dice with the universe but, built for loving, the dice are loaded. Which would seem to indicate there are more things in heaven and earth than are dreamt of in even our philosophy but, in light of the absolute certainty the experiments provide, need be dreamt of no longer. One of them is the distinction often made between the contemplative and active paths, the Way Of and the Way To. Students of comparative religion may recognize variations on this theme still going on in Buddhism: the order of precedence awarded "self-power" by Zen adherents as opposed to a faith-based, almost Lutheran "Other-power" by followers of Pure Land doctrine. Conveniently enough and not surprisingly, similar distinctions arise within the three Western monotheisms. Witness the differences, if only in emphasis, between the esoteric and exoteric traditions, the way of Mary and the way of Martha, between the approach adopted by an Eckhart, say, vis-à-vis a Thomas Aquinas in Christianity or a Rumi over against an Averroes in Islam and in Judaism by the Kabbalists virtually taking on the whole Jewish canon, Torah, Talmud and Old Testament included. On the one hand, interior evidence of the Fact provided by subjective individual experience – broadly speaking, by the insights of contemplation and mysticism; on the other, exterior descriptive evidence deduced from the facts by objective and consensual observation – the outlook of a theology on its way to becoming 3 rd Person science. What we've never had, however, though there were certainly intimations of it in Eckhart's favoring of Martha and the Kabbalists' rejection of mysticism as the be-all and end-all, is evidence after the Fact, the union of both perspectives – interior and exterior – neatly packaged in one universal revelation, a wedding-gift for a marriage, though made in heaven, not yet consummated here on earth. And we never had evidence of it before for the simple reason that there had never been a need for it before on a universal scale. The returns of history, the facts impelling its re-turn to where it started and, as we see now, implicit in the structure of "Other power", were not all in yet. xi True, there had been hints and more than hints - sometimes delivered by word of mouth, sometimes written in blood and, on at least one occasion, both - that there was more than enough of the Already-here to go around and match the not-yet step by step, that, if anything, we suffered more from a lack of demand than from any lack of supply. What was required was the one thing necessary, a need on the part of the party of the second part that could only be answered by the "desire" on the part of the party of the first, a desire that, like air to the about-to-be drowned, would co-respond not only in kind but, given the nature of the beast and its gift for reciprocity, in kindness. That need was provided by the special conditions of modernity with, as Yeats and Eliot and others reminded us, its very real inklings of, if not the end, an end. The rest, too, is history. Having come full circle from, at one pole, an unrealizable commitment to total transcendence (as in, for instance, the other-wordly aspiration of the medieval cathedral), to, at the other, its consequent collapse into our current fragmentation, caught between the devil of an atomized disillusion and the deep blue sea of atomic dissolution, universal humanity suddenly awoke to find itself in a unique position, one it had never occupied before, certainly not as a collectivity. What with reaching for the moon and other points north, south, east and west – all of which turned out to be made of green cheese – it was about to discover that in a world where, given enough time, what goes round comes round and there are limits to even the worst possibilities, if you "let go hell" as one observer put it, "your fall will be broken by the roof of heaven." xii Enter the experiments - a surprise to say the least - and, if absolutely unheard of in evolutionary circles, a chance for a whole new ball-game. And this without so much as altering that will-o'-the wisp, human nature, or changing the rules that had been in effect since the beginning. On the contrary, here was an opportunity to play the game as it was originally designed - the old old-thing in the guise of the new new-thing, a cosmic face-off so to speak between Who's inhabiting What and What Who. Indeed, assuming the species' will to survive, no less live and enjoy the ride, with no place else to go, no less hide, except, one way or the other, Nowhere, there was nothing left to do except look It in the eye, head for home (which it was doing anyway) and undo. When extremes meet extreme measures are called for, not least the capacity to identify the Measure, then keep the beat. What could not have been foreseen, however, since it had to await the mandatory receptivity on our part and, in any case, could only be confirmed after the Fact, was that, like the age-old paradox of squaring the circle prophesied to be solved at the end of time, the issue had been decided in advance, had already been shaped by the contour of its beginning, in effect, by the nature of the Gap. xiii Like Plotinus' description of the flight of the Alone to the Alone, the Allone to the All-one, the unique called out to the Unique and the call was answered with the only leap in perception commensurate with a vision of one world, one humanity, a leap that not only represents a difference in degree which, tried in one form or another has been found wanting, but a difference in kind. And it makes all the difference. Not this or that one's testimony, however authentic, but a haircut to fit every sentient no-face, the only kind that will do. The vision of the veritably new held in perfect, if delicate, equipoise by its veritable – and now absolutely verified – mirrored Original. It's my claim that the manifestation of the experiments in, of all times and places, this time and this place, in this the hour of need to end all hours of need when we are witnessing, if not for the first time in history, the first time on a global scale, the complete breakdown of all "traditional" structures and beliefs in all fields – religion, science, language, the arts, modes, manners, morals, what have you – yet at the same time are privileged both to observe and participate in its concomitant breakthrough, is confirmation enough and hope that if all's not right with the world, at least God's still in his heaven and, the asymmetrical balance acknowledged and preserved, we have a chance. Which, suiting the Word to the action and the action to the need – the magnitude of the present high stakes - is no more nor less than we've always had and can only lead to the inescapable conclusion that this same revelation of Self-power - the implicit made explicit by and through the experiments , the only form adequate to the infinite content it's meant to express - also carries with it the assurance, as manifested in and by history, of Other-power. In effect, the two, generally conceived as its immanent and transcendent aspects, are one, different sides of the same coin. Just as, when gathering in a circle xiv , we link arms to form a continuum only to arrive where we started and know it for the first time, know it because we see it, so, too, the arrow of history, however aimless and random its trajectory may appear, has also been homing in on that Self-same Gap, the bull's eye whose center nowhere and circumference everywhere both contains and embraces it. In fact, as we see now and can only see now after the Fact, the two, inextricably joined at the root, arrive at their predestined destination simultaneously. Quite simply, the Self-realization now available to each and every one of us with an eye to the truth is precisely what constitutes the end and meaning of history. xv The last of a series because for the first time in history it stands outside all series including its own, it has, by delivering us to the experiments, delivered itself. As with each of us individually, so history, its mission accomplished and function fulfilled, has achieved that perspective from which for the first time it can see itSelf whole and at the same time can be seen whole for what it is - as something more than "a tale told by an idiot" or, at the opposite end of the spectrum, a human-interest story to be divined by faith. In reality it is a divine story waiting to be realized by the being-to-be dying to be free within all of us, that same being Who, until it possesses the totality of time as well as space, cannot be said to be wholly incarnate or to have realized by means of its emptiness its fullest possibility. xvi Alfred North Whitehead once noted that the last thing a science discovers is what that science is all about and, as again we see when we gather in a circle and render the future retroactive, the "end" is the only true starting point from which logical deductions can be made. xvii And Headlessness, the Science of the 1 st Person, is no exception. As befits a prerogative that, like death, presupposes finality and all-inclusiveness, there's more to it than meets the eye, a point Douglas nicely brings to our attention when he distinguishes between foundation and superstructure, between how many faces we see in the paper-bag - the experience - and what we make of it - its meaning. It's my claim that, touching all bases, the experiments now offer the opportunity to combine both perspectives. Percept and concept, subject and object, mystic, if you will, and (to indulge in a little metaphysical shop-talk) a priori and a posteriori views as ways to truth before and after the fact in a word, the long-sought philosopher's stone that the thinkers and theologians and alchemists and, yes, even the sages and seers and saviors have failed to establish on the rock-bottom foundation of absolute certainty is now available to all in the one grand omni-science of Headlessness, the union of all knowledge so long dreamed of by so many. The implications - that it's not only by reason of what the experiments "say", which is Self-evident, but that they are at all, which is not - are, by extension, enormous. It's one thing to uncover the Fact of Who we really really are and in this simple affirmation realize without emotion that whether we know it or not or even like it or not we're built for loving, that, as any fly on the wall could tell us if it could only talk, in order to exist at all the structure of reality demands it. It's quite another to discover What that Who really really really is and then re-cognize that at the very heart of the heart of All-Possibility lies an infinite compassion which, though obviously expressed in infinite ways, has never appeared more infinite and more beneficent than in the possibility of its own Selfrevelation by means of these simple instruments. Indeed, like life-giving water dammed-up and only waiting for a sign the flood-gates have been opened, like tears for the blessed who mourn and shall be comforted, its will-less willingness or, if you will, its "desire" to express and share ItSelf turns out to be in an exact mathematical, a one-to-one reciprocal relation to the need we all share to share that desire and that will, in effect to know Who we really really are. And this for the simple reason that from first to last, from beginning to end , it is Who we really really are. On this score it would be remiss not to point out yet again that it's hardly an accident that the vehicle of choice to convey the good news has been the candidate which, by general consensus and in virtually any forum, would surely be voted the least likely to succeed, namely history. Though it's not my intention to add insult to the injury of our pretensions or, going along with St. Paul, compound the error of our ways by persisting in them that "grace may abound", surely it's telling us something: that not through our good and human offices alone, our self-power, are we assured of that "Other-power" which, surpassing all other assurances, is none other than that "Non-other" Who is our Self and which will never abandon us however much we abandon It or try to. Will not because It cannot. In fact, if history tells us anything - and, thanks to the experiments, for the first time in its history it's now in a position to - it's not despite, or not only despite, our mistaken perceptions and, with rare exceptions, our faulty interpretations, that this Other-power has, like a permissive but loving mother, somehow come to the rescue of her wayward children who, parting company with the Measure and overstepping its bounds, have been caught red-handed butting their heads against a blank wall - the Not-yet not yet perceived as the wide-open space it really is, the Already-here. It's because of them. It's precisely because we've lost ourselves in this hallucination universally agreed on and, taking it to the end of the line, have exhausted all its possibilities, that, awakened from at worst a nightmare and at best a dream, we find ourselves in this age of spacetravel face to no-face with the one unexplored Possibility - the possibility of the dream redeemed. xviii God, they say, works in mysterious ways and none more mysterious than that the road to the place where we started should be paved with the stones of delusion. And we need look no further for a tidy demonstration of this than to its most recent and, as it turns out, its ultimate manifestation: the course a well-meaning "natural religion" or, as it was called, Deism, took some three centuries ago when, abandoning its faith in revelation in favor of a belief in God based on a reasonable deduction from the phenomena of nature—what it considered the facts—it ended up dispensing with God altogether in a world peopled by 3 rd Person Science. Which, God being a not-God, was just what the doctor ordered preparatory to the ultimate in revelations, a comprehensible mystery for all to see. And, for good Measure, to provide a prescription to help clarify some of the more enigmatic declarations formerly made in His name, our particular area of concern. Take, for instance, "the last shall be first" which contains in its own right the whole of the meaning of modernity we see being played out before our eyes - King Clown and his daughters finally getting their shot at the deer, a chance to go to town and raise hell. Or the otherwise even more unfathomable but nonetheless harrowing, "The kingdom of heaven suffereth violence, and the violent take it by force." And they have. xix All of which can only point us to certain inexorable conclusions . For one, an invitation to a beheading by way of raising hell is not a summons to raze it and, throwing out the baby with the bath-water which would obviously be Self-defeating, dispose of Heedlessness, assuming that were even possible, at the cost, God forbid (and He has), of Headlessness. As it was in the beginning and still is and will be world without end even now with the future behind us, the name of the game is as it's always been, two-way looking. Nor does it resolve itself into a popularity contest as the Lord God well knew when, yielding to Father Abraham's pleas, He reluctantly settled on ten good men, assuming they could be found (and they couldn't), as sufficient to spare Sodom. As Douglas suggests so succinctly in THE LITTLE BOOK OF LIFE AND DEATH, the purpose of the experiments is not to stand the world on its head, to provide a road-map, no less a road to the establishment of a heaven on earth, but, quite the reverse, to recognize ourSelf right-side up with the realization that earth is already in heaven here and now for those with eyes to see. Even for those with eyes that don't or won't. This is the message of history. This is the dream come true, not the one expected but the only one possible: the realization that, prisoners of grace, the door through which the poor in each of us must pass on the way to freedom is always open if visited by the poor in spirit Who, equally always with us -"nearer to us than our own jugular" - will never abandon us. Which, as I intend to examine in more detail in a sequel, if it's in no way to endorse a blueprint for Utopia neither is it to deny its uses, the quest for Nowhere that has at once defaced the epoch we are now quitting and, at the same time, finally unmasked it and revealed it for What It is and Where It is. Rather it's to extol it, to praise "the nothing in its life that became it like the leaving it"; that, however misplaced and misapplied the longing for It, in the long run the longing has not been misguided. And we need look no further than the century just past which, for all its unspeakable horrors, has demonstrated with unparalleled and definitive forcefulness, that it, too, if only by reason of its greatest gift - the Presence, as manifested in the experiments, of the Unspeakable ItSelf - was not immune from redemption, was something more than a catastrophe looking to tie up its loose ends. Awful as it may sound, if we hadn't taken the long way round, if we hadn't been there and done that and, suffering nihilistic breakdown after breakdown until we hit bottom and tested to their utmost limits our worst possibilities, how could we have uncovered our best and recognized that, from atom bomb to antibiotics, though all goes wrong it may still come right? Absolute creatures that we are, how could we be absolutely sure that the only place "out there" where, despite our fondest hopes, a lamb can safely lie down with a lion is in a zoo? Or that the journey that began with the expulsion from Eden and, passing by Sinai to pick up some pointers on how to behave, then headed for the Promised Land only to be detoured, inexplicably at the time, towards the building of the Heavenly Jerusalem and a vision of the perfect world, has now come full circle to arrive where it started, again not in the way expected but the only way possible? Absent the immediate certainty of the experiments - the signs of the time that are a sign of the times - how could we possibly know what finally issues, what must finally issue, when we go round in circles, especially when they seem to be spiralling out of control? xx George Schloss Biographical Note I've deliberately saved the autobiographical materal you request for last. I can't imagine you want a Who's Who kind of thing - born in such and such a place and so on - since the very reason for being of the experiments is to provide the definitive answer to that question, the Question, once and for all. Let's say that a search that took well over a half-century began, appropriately enough, in England during the blitz where, as a visiting soldier before I was posted to the Continent, it occurred to me for the first time that a guy could get killed. Which would seem to confirm Dr. Johnson's rather rueful observation that,"When a man is about to be hanged it concentrates the mind wonderfully." In any case, with many detours on the way it then went on to include such spicy items as a brief flirtation with Catholicism, a pilgrimage to India (I like to think before it became fashionable) and even a stint, a short look-in at Kyoto, before it ended some ten years ago when, after a despair only alleviated by far too many books (though they at least offered the consolation and saving grace of a reasonable facsimile), I graduated from the Lesser to the Greater Mysteries by discovering Douglas' work. And I say "Greater" advisedly since in their all-inclusiveness, allcomprehensiveness and all-embracingness - a.k.a. as omniscience, omnipresence and omnipotence the experiments cover by un-covering everything essentially worth knowing about everything and everyone. And that includes Douglas. Much as I cherish and honor him as a friend in whom, when it comes to doctrine, I've never detected one false note, I think he'd agree that the value and truth of the experiments is not dependent on his or anyone else's teaching. They are literally Godspeak, the good news announced Q.E.D. through God's body. And that, too, by virtue of its coming last, is a first. After all, in a world whose whole thrust toward self-government may anticipate Selfgovernment - and I emphasize the may - stranger things have happened, like "playing" God by putting a man on the moon. Who knows? As in our individual lives when, caught between a rock and a hard place and faced with the possibility of suffering a really real live cata-strophe like hanging on a cross and/or disappearing in a paper-bag where we're literally compelled to recognize that down is the way out, we may each of us actually begin to take the job seriously. Since we began the discussion with a consideration of history and since ideas, the concepts presumably derived from right perception, have consequences, it might be a good idea to end there and show, as the Buddhists do, how right seeing can affect right thought, how put in their proper place by the experiments, the two sides of every story, the two wrongs making in all one right, are reconciled in their one truth, in the third "thing" which is no-thing at all. We often hear it said, especially these days, that it's not the destination that counts, it's the journey. Indeed, it's become the badge of modernity, the very watchword of the now-people who, absent Presence and two-way looking, pretend to live in the present but whose now, even before they say it, has already become a then. In reality, this is just a late version, a renewal of an old quarrel that's been going on for centuries with the ancients who claimed just the opposite. For instance, taking his cue from his teacher Plato, Aristotle insisted and, by extension, was eventually joined by contemplatives everywhere, that "to find is better than to seek," whether heaven or hell is irrelevant for the moment. Well, which is it? Either/or? Or, both or neither? Or both and neither? The experiments meditation for the market-place - suggest and more than suggest that, as with the "end" of history, the journey is the destination but we have to arrive where we started before we can begin it. QUESTIONS & ANSWERS i Alan. Would you elaborate on the following: Summoned home at last by the experiments to where he belongs, as much a posthumous victim in triumph as he ever was of mistaken identity in defeat, the God man, too, still lives and along with the rest of us saints and sinners can be found for the looking any day of the week in the place he never left. George: We can approach this on two levels. First, from a spatial, let's call it a vertical, experiential dimension and, secondly, on a horizontal plane: how that experience, any experience, is expressed in time and translated into behavior - in this case, history. Let's start with the experiential and a piece Douglas wrote a few years back called "On Having a Head." As he demonstrates, once we see on present evidence - and this through any number of experiments but, in this case, primarily by means of the the Pointing Finger experiment—that all that's there, or rather here, is nothing at all, just pure awareness, it's also palpably obvious if only to the touch that something else is stirring in that region. For instance, I can lift my arms which appear to arise out of nowhere, and holding each ear, or what I've learned to call an ear, between thumb and forefinger, see that between them they contain the whole wide world or whatever part of it is in view. It could be a landscape or a room or the computer I'm writing on now or you or my own image in a mirror. That I can also realize, that is make real, a similar marvel by simply extending my arms and consciously embracing the universe is merely frosting on the cake, further corroboration of this phenomenon. I can then take a further step and - eyes open or closed makes no difference - start examining with my fingers that massive and material lump between the ears that has certain definite features: a nose, mouth, cheeks, chin etc., so shaped and formed that it distinguishes it from any other species on earth. I can then identify it as human as distinct from bird or beast or insect. Finally, I can locate unique characteristics such as a mole, a scar, a beard or buck teeth, in my case, baldness, and so on that help define my individuality. (And, by the way, to be in-dividual means to be undivided). And just for good measure and to insure this individuality I can, if I choose, take a look at the fingers that are doing the walking and notice that no two prints are alike. Well, you might ask, what has this got to do with Jesus the Christ? As it happens, a great deal. Let's start with step #1, the Pointing Finger, and call what we're pointing at the Godhead as it's generally been known to the mystics, notably Eckhart, Ruysbroek and many, many others including Sufis and Kabbalists, or as Jacob Boehme preferred, the Urgrund , the mysterium tremendum, the empty Ground that cannot be described because raining on the just and the unjust it has no characteristics whatsoever other than the capacity to make room and contain everything within it. Setting aside orthodox monotheism's difficulty with the notion that there can be an "entity" without attributes beyond Jehovah or God the Father or Allah, let's call, for argument's sake, this unbounded Source the divine - in Eastern terms, sunyata, nirvana; in the negative theology of the West, the divine darkness or, as Douglas in the Trial prefers, not-god and then move onto step #2. Although not entirely another kettle of fish, all things considered (and, after all, we are considering all things), step #2 is still a pretty big fish in its own right because it now introduces something new into the equation (and, not incidentally, the subsequent need for two-way looking). It comes up with a body and a body that unquestionably has a head. As Douglas cries out, usually with great glee, "But what a head!" What a head, indeed, because as we've seen, although itself bounded by something called ears it contains between these two extremities the entire universe. And this, by definition, is what is meant by the Christ, the Messiah, the Anointed One, the head of the Universal Church and, by extension, the cosmos itself. The Byzantines referred to him as the Pantocrator, the God-man, the Crown of Creation and Lord of the Universe. At the other end of the spectrum and just to show the process plays no favorites, he's also acknowledged in Negro spirituals as the one who has the whole world in his hand. Steps #3 and #4 follow quite naturally as we ascend from the Genus God-man to the species human (usually referred to as generic Man, though he could, of course, be a woman), and then to the top of the heap and the end of earthly evolution, to the individual, any individual. It could be you or it could be me or it could be an individual by the name of Jesus of Nazareth who, so far as we know, was the first to suspect that within the context of a particular prophetic message - and I'll get to that in a minute - he had a claim on his inherent and all-inclusive birthright or on at least three of the four perspectives listed above. Thanks to his acting on this conviction (combined with the full faith, if not credit, of those who believed in him and, spreading the good news, laid the groundwork for what subsequently unfolded), we can see now and see with certainty some two-thousand tortuous years after the event, that the universal recognition of this birthright consists of nothing more nor less than the ultimate awareness of the structure of reality and our place in it. And this, not because he said it or his followers said it or I say it or you say it or William Blake said it who, when asked what he thought of Jesus Christ, replied, " He is the only god, sir. And so am I. And so are you," but simply because the experiments say it and say it loud and clear: that this is what is and all there is, there ain't no more. Not surprisingly - since, again, it reflects the structure of reality - this four-square design, this given, is acknowledged in other traditions. In Mahayana Buddhism, for instance, it's approximated by the Three Bodies of the Buddha consisting of the Essence Body which is identical with the void, the Body of Bliss and finally the Body of Transformation, which is the Essence Body made manifest on earth as an historical Buddha, entrance into which club, according to Zen, is potentially open to everyone. Even more striking, however, is its total correspondence with Hindu doctrine or, rather, Hindu doctrine's total correspondence with it, with the rock-bottom evidence provided by the body. As outlined in the Upanishads, in the realm of sound the four portions of the Self, though pronounced OM, are written AUM, with A signifying the waking state, U the dream state, M the condition of deep sleep, and underlying and underlining all - symbol of the silent ground in which it lives and has its being - the abiding bottom- line that contains it. And if we have any doubts as to how, for the truth to be truth, it must be all-pervasive and, endlessly repeated, apply not only to special cases but to every aspect of existence even its lowliest, we have only to consider the total dependence of the print, the variable letters you're reading now, on the blank and silent and constant page it's being written on. That is, if we care to emerge from chaos into some sort of cosmic legibility. We can now turn from the first to the second category, to the dimension of time or how the real will seem. What distinguishes the Judeo-Christian tradition from its counterpart, the so-called Wisdom of the East - and a very great wisdom it is indeed - has been its emphasis not so much on "what is" but on what will be, on becoming rather than being. In contrast to the East's weary resignation to the cosmic cycle, to the everlasting round which, reflected in the relatively static nature of its societies until only yesterday when it came under Western influence, the dynamism so intimately connected with a linear history consisting of a beginning, middle and end has its origin in the West or, rather, in the Judeo-Christian West before it incorporated its Greco-Roman part and evolved into Christendom. And we can follow that way of thinking and that perspective right from the notion of the Creation, the Big Bang itself, to the subsequent expulsion from the Garden with no possibility of return but only of a forward-looking advance, to the Exodus from Egypt which, as much a flight from the tyranny of the cosmic gods made in our image as from political oppression until, passing by Sinai, it temporarily came to a halt in the Promised Land. But then a funny thing happened. Spurred on by the prophets and particularly one special prophet for whom even this first foray ever into freedom and the Beyond was not enough, pausing midway to catch its breath (and breadth), it executed an about-face and reversed itself. It literally turned everything upside down or, as we see now, right-side up - blessed are they who mourn, the last shall be first and so on. Not surprisingly, given the biblical orientation towards history and its completion, this about-face, this "when", this exclusive once and once only that we've come to know as the Incarnation, Crucifixion and Resurrection (cf. Blake), was first figured in terms of time. And if I use the word "midway" to describe this shift, I do so advisedly because, as we see now, that's what it was, a station on the way to its ultimate "where", to the end of the story and its promised fulfillment in that "heavenly" space certified by the experiments, those universal instruments of the Parousia designed to lead us by way of the Second Coming of the Christ or, since we can be more specific now, of the Christ-head, to the longed-for and, given who we really, really are, the justifiably longed-for the to to the justifiably longed-for Kingdom of God. And if the notion of a Second Coming no less is too much for us moderns to swallow - a folly to the Greeks and a stumbling-block to the Jews, some folks still get touchy about it - we can just as easily split the difference and call it the First. Now I realize that what I've just written is, if taken purely at face value, arguable to say the least; in fact, has, to put it mildly, been the subject of some violent disagreement over the years. So let's look at the record and see if we can zero-in on the truth, on not only "what is" but how "what is" appeared, how it seemed to happen. As the story goes, a human, an individual from Nazareth named Jesus decided, whatever his reasons or inspiration, to take it upon himself to announce that the aforesaid and long-awaited Kingdom as detailed in the prophecies was at hand, a proclamation not all that novel in a world which, very much resembling ours in its generous allotment of assorted kooks, was being blown about by conflicting winds of doctrine, literally feverish with great expectations and talk of a New Age in which "Pan is dead" had become almost a universal watchword. What distinguished him, however, aside from what, as reported, must have been an undoubted personal charisma, was that, unlike other itinerant preachers on the circuit, he felt called upon to do something about it. He goes out into the countryside, deliberately and fittingly enough at harvest-time, and declares the end. Nothing happens, nothing at all. In his dismay and bafflement, he retreats for the traditional and symbolic forty days into the wilderness (cf. Noah on the waters and Moses on his mountain) where, after resisting several earthly temptations, he recognizes that for the prophecy to be fulfilled it must be acted out to the letter and the letter - notably Second Isaiah - reads: that, for the Son of God to appear in person (or, as we would say, in 1 st person), the Son of Man, the Suffering Servant, must give up his life. With this in mind he decides - quite logically it appears in retrospect - "to impersonate" the Messiah, that is, to assume in his own person the necessary requirements for the role already outlined in the scenario, one of which is to offer himself as ransom. "Greater love hath no man…" etc. What's pertinent for our purposes and no doubt accounts for his Self-proclaimed deathlessness as the Way and the Truth and the Life is that, orthodox to a fault thank God, he never once as Jesus or, as we would say, the little one, designates himself the Son of God but, in perfect accordance with the script (and, by extension, reality), only refers to himself as the Son of Man who must first make the ultimate sacrifice in order that the Son of God may come. The rest is history and, as it happens, the absolute content and meaning of the cardexperiment. Looking back from its vantage-point from which, for the first time ever, we're in a position to take in the whole picture since, as the conscious Measure, we demonstrably contain it and, after all, looking back is what history is - everything falls into place and not only history but the myriad other speculations that have been littering the fields of metaphysics and religion and philosophy for millennia. And if I've perhaps gone to too great lengths to answer your question it's only to stress how truly epochal and all-inclusive the experiments are. Because it's thanks to them that we're now in a position as never before in history to trace its course from first to last and recognize how, reflecting the three stages of our own individual development, it passes from childhood, from the make-believe of myth and rumors of prophecy, to its real live enactment in the supposedly once and once only event of the Cross and from there, by however devious a route its crooked path is made straight, to its ultimate consummation in this particular experiment where, as both conscious witness to and active participant in this same drama of Incarnation, Crucifixion and Resurrection, we see the mystery played out before our very eyes, endlessly and ceaselessly repeated in Fact just as it's always been since the beginning of time by every living creature on earth. And this is what I mean when I claim that the experiments come not to destroy but fulfill the prophetic books - the Old and New Testaments as well as any other testament, personal or otherwise - that they and this experiment in particular constitute the last and final affirmation of who we really really are if only by virtue of their pride of place in the body, in God's body. As for the "as much a posthumous victim in triumph as ever he was of mistaken identity in defeat", appropriately enough we can address the last first. According to the Gospel accounts, nobody present knew quite what to make of it, including the principal figure himself who, as his last words indicate - a direct quote from the Psalms remained canonical to the end. And this condition persisted until Saul, renamed Paul, of Tarsus came along and, as the only one of the original bunch who might pass for what today we might call an "intellectual", wedded his undoubted familiarity with the mystery cults then raging throughout the Near East - the myths of the dying and resurrected god - with the certainty provided by his own overwhelming vision on the road to Damascus. Interestingly enough, it may well have been that this certainty was reinforced, not so much despite but, because he was the only one of the apostles who had never actually seen Jesus face to no-face. In any case, if Jesus is the first putative one and only Christ, Paul, on the strength of his being the first begetter of the doctrine, becomes the first Christian. And so begins the gradual conversion of Christianity, not only into the official religion of the empire three centuries later but into the exact opposite of what its founder intended or even dreamed of, into the civilizational entity we know as Christendom. But lest we're tempted to take cheap shots, as so many have and still do, at "God's providence", not to speak of the natural course of things, it's also important to remember that if the advent of the message in its institutional and organized form at once signalled the end of the beginning for its founder even as it it consecrated his new career as "posthumous victim in triumph", it also marked the beginning of the end for all of us in person, in the 1 st person of the experiments. Because as I've tried to show, using the experiments as a gauge - at once the goal to be reached yet the place from which we start - we can chart a direct line from the events characterized as Western "Christian" history to where we are now. From its self-styled universal mission and subsequent exploration (and exploitation) of the known-world to one world; from the unheard-of-till-then separation of Church and State ("render unto Caesar") to our equally unheard-of till-now recognition of the individual and his and her right to freedom of choice; and from the failure of its high hopes and great expectations for a Second Coming that inspired the medieval cathedrals to the ensuing disappointment that in turn encouraged the first halting steps towards a 3 rd person science - it's all of apiece. And the same applies to its aftermath, to that science which, no longer confined to the service of the sacred as it had been for the highly developed Chinese and Hindus and Arabs and even for the Greeks, but devoted to the less transcendent but more modest and profane improvement of the human estate, by lowering its sights, led in turn to its own reversal, to the bottom-line from where we see now for the first time that only absolute immanence has the capacity to transcend, that not until we are Nothing can we pretend to contain All. Which is no more than to say - and it has been said and not only by Jesus that the Kingdom of God is not "up there" but "in here", within us. But with this difference. No longer solely dependent on faith or belief however well-founded or on a mere assertion by him or anyone else, it's a real, live, palpable and sensible Fact to be experienced and enjoyed and celebrated by all in that marriage of matter and spirit that, once known as the resurrection of the body, we here and now call two-way looking. And if it be asked, and it has been, how then account for the undoubted and acknowledged influence on Douglas of Zen, say, as the religion of no-religion that most closely approximates Headlessness, the answer in historical terms is equally simple. As we see now and could only see now since only now has the story arrived at its happy ending, had it not been for Christendom's "perversion" of Christianity - its infiltration of pagan elements itself a perversion of its original message - and had this not been followed by its own subsequent breakdown into warring denominations until they, too, collapsed of their own weight into the totally secular, commercialized and expansionist world we live in, no one outside of China and Japan would ever have heard of Zen, least of all Douglas. We, or rather, they would still be sitting cross-legged in forest monasteries. Which, of course, would have been fine for the select few (and an all male crew at that) but what about the rest of us? And the same goes for the usual charges levelled against the West and its so-called Universal Church. Because if it's true that more often than not its outer, its exoteric rind was bitter and hard to swallow - the Crusades, the Inquisition, the innumerable atrocities committed in its name - it's equally true its pulp - its saints and mystics and great thinkers - was often sweet to the taste. Most important of all, it was they who provided shelter and protective covering for the one thing necessary, the seed. So that when the time was ripe, even rotten-ripe, and the fruit came tumbling down - and it has - the seed could safely fall to the Ground in the experiments. And it has. And we all know what happens or, at least, what may happen, if "a grain of wheat die…" ii If anyone would like to know more about these experiments I can provide either the descriptions or reference material. See also page 20 and announcements about local workshops at which they are the main content. iii Alan: Do you mean by Man in it the face we make out to be there when we look at the moon? George: Yes, that's what I do mean - the man in the moon. iv Alan: What do you mean by Sabbath sens e? George: According to the Creation story in the Old Testament, the Sabbath is the day when God rested. So, by extension, the Sabbath sense (at least as I use it) is that same sense come to awareness in the experiments when we rest in our emptiness and capacity. By the mere and sheer presence of the experiments - the fact that they exist at all and what that possibility entails - we have in a sense already exited the Sixth Day and are present in the Seventh. The Kyoto School - Nishitani, Tanabe, Abe - touch on this when they distinguish between the "already here" and the "not-yet." It's my view that, thanks to the awareness provided by two-way looking, we can now see that the "not-yet" is already here, or at least as already here as it's going to get. Paradoxical all the way, the goal, the destination, where we think we're heading, is now revealed as where we've been coming from all along. The Storehouse experiment demonstrates this very nicely: that in reality the future is already behind us. Which, I suppose, is what is meant by the concept life-in-death and the "end" of history. v The paper-bag experiment. Two people face to no-face, one at each end of a short tube. vi Alan: I need some help with "Where once the dream of idols defined the taking up of the person into heaven and against all odds and the law of gravity proved it to be no idle dream, so now, in the infinite light and lightness of the experiments, those odds are made all even." George: The ascension into heaven, so-called, has indeed, proven to be no idle dream since, as I've tried to show, it's come true, not in the way expected, of course, but the only way possible. Because it was precisely the failure of that transcendent hope and the ensuing decline and fall into modernity and disillusion that plunged us to the bottom-line and the "heavenly" immanence now available to all here and now. vii Alan: Eight inches representing the height of my head? George: That's exactly what I mean - the length of the head. viii Alan: I read this to mean the desire for my third person expression is the obstacle to the first person or Self-expression; the freeing of THIS? Is this what you mean? George: Although that may very well be, I don't think it's what I meant. The cake-mold symbolizes the structure of reality, of All-Possibility, of what is. When I pour the liquid into the mold from the left or right or center or from wherever, it can take an indefinite (not an infinite) number of paths, routes, ways, but however it flows and varies and deviates, when it congeals it still must take its ultimate shape from the shape of the structure itself. In that sense, it has no choice. I suppose, seen from the point of view of the 3 rd person, we could call that the way of life-and-death or, better yet, life-in-death. From the standpoint of the 1 st Person, however, this limiting of the shape is not a deprivation of its limitlessness. On the contrary, it's an affirmation of it. If the limitless 1 st Person - omniscient, omnipresent, omnipotent; God, if you will - could not limit its limitlessness into the limited it would not be limitless. There would be something it couldn't "do", so to speak, somewhere it couldn't "be." ix Alan: Has evolution been brought to a halt? George: I think it has, at least for the time being. Just as there've been no evolutionary changes on earth since our arrival some millions of years ago, so I seriously doubt any could occur under our watchful eye. Which is not to say that if we destroy ourselves lock, stock and barrel or are destroyed in turn by some cataclysmic cosmic event something else might not come along in time. But the whole point of history - and, by extension I might add, the experiments - is that in this business of nurture vs. nature there's no longer any need for natural evolution We have all that's necessary to be all that's necessary just as we are. And even if we do happen to modify the species either by chance, accident or design, it still won't be evolutionary; it will have been created by us. As for modifying the Genus, as suggested in my comments in Question 1, that's literally impossible. It's not by accident that the 1 st Person is absolutely, positively, non-get-attable or that there's nothing there to get at. If only in Self-defense, it "knew", knew without knowing, what it was going to have to deal with - us. x Alan: I think of absolute certainty as third person conviction because certainty and uncertainty would not apply or be relevant from a First Person perspective. Is that a correct interpretation?" George: Wow! First Person perspective is absolute certainty. We have it, It is it. Even language "knows" it. It says day-night=Day. "God has no arms, no hands but mine." (St. Teresa of Avila). I "have" the conviction that I AM is the absolute certainty. Since I can't draw it here, imagine an isosceles triangle with the points at its base signifying uncertainty/certainty and its apex Certainty. Or better yet, try one of the nice exercises in Headlessness. Let your right-hand represent certainty and your left-hand uncertainty, both small-caps. Now look. Who's got them both? If that ain't Certain what is? Or try this one on for size. Just say aloud, "All things are relative". You've just proclaimed the absolutely Certain truth and, incidentally, settled the perennial debate that's plagued philosophy and some schools of the Vedanta and Buddhism from the beginning: this whole business of non-duality vs. duality - matter vs. spirit etc. It all depends on your perspective and whose perspective. If, from a 3 rd person standpoint - God projected up there into his heaven, Blake's Nobodaddy - you imagine yourself as an observer rather than a participant as well - the Participant - of course when you train your sites on the base of a triangle all you'll see will be uncertainty/ certainty. Just to bring it closer to home, the Foursome experiment demonstrates this exactly. Seen out of the corner of your eye, those on your left and right seem to be confronting one another. But is that the whole story? Is that what they're really doing any more than you are? Of course, the pathos of the situation is that it's not just a question of your containing them which, given this experiment, couldn't be simpler or more patently obvious. The pathos lies in drawing their attention to it, in getting them to see as clearly as a mathematical equation the inequality that exists between 1 st and 3 rd persons. Are they really confronting one another, however much they may believe and are convinced they are? Which, in my view, is the task for Headlessness: not only enjoining people to love one another with feeling, with words and music - we've been trying that for aeons with only limited success - but to demonstrate it's what we're doing anyway whether we know it or not or even like it or not, that, in a word, it's in our own and best self-and-Self interest to do so. xi Alan: What is it about the present situation that you consider makes "evidence after the Fact, the union of both perspectives - interior and exterior" now necessary "on a universal scale." Please explain what has changed to make the need now. Not to pay lip-service to the Johnnies-come-lately on the scene or even to sound too alarmist since it's been a long time a-coming, but I think a glance at the recent headlines might help answer that one. One world means one universal world and a language to match. Not a sterile parody as was proposed some years ago by devotees of Esperanto or, thanks , first, to the British and now the American hegemony, the colorful if somewhat limited pidgeon English now spoken by some two or three billion people on earth, but a language that everyone can understand and, at the same time, that not only says something but has something to say - Godspeak, the voice of silence. It's time. The explosion of 3 rd Person science with its two-edged sword of danger on the one hand and opportunity on the other has led to its corresponding implosion - the experiments. It's worth noting too, that reality never fails to work in just this way. We just don't get one without the other - no atom bomb, no penicillin. Which is not to suggest we all run out and learn some equivalent homogeneous babble or give up convenient simultaneous translations but recognize where speech comes from and Who it comes from and allows, nay, encourages all those surface differences. Nor is it to suggest that I hold out any great hope that this ideal state will be realized, but only to acknowledge that for the first time ever the real possibility of transcending local religions and beliefs and customs and the means of locating and so containing them exists, that's all. But then, who could have dreamed even as recently as a hundred years ago, that fifty or sixty nations might at least give the appearance of getting together to rid the world and not just some locale of its present menace? In present menace? In any case, in an ideal world, which is no world at all, Headless people would not go around decapitating others, only their selves. Whether the experiments will foster that kind of behavior in more than a few is anybody's guess. But are more than a few necessary? Again, who could have suspected at the time that the essential message to the world from Athens would narrow down to a handful , to an Aeschylus or Socrates or a Plato and Aristotle or from Jerusalem, to the prophets and Jesus and St. Paul, that it was they who laid the Groundwork within their traditions just as a Gautama and Lao-Tze and Chuang-Tzu did within theirs.? xii Alan: Who said "let go and your fall will be broken by the roof of heaven." George:This is a joy and a beauty. It's by Djuna Barnes from her novel Nightwood. Djuna Barnes was an American lady, born in the late nineties - the 1890's that is - who was a charter member of that very vocal contingent of American expatriates in Paris after the First World War. She knew everybody - Joyce, Hemingway etc. Wrote novels, short stories, plays, but none so accomplished as Nightwood which was picked up by Eliot when he was the head honcho at Faber and Faber and who also contributed a very flattering introduction. And, in truth, it's an overlooked gem. Coming back to the States just before the outbreak of the Second War, she lived about three or four doors down from me in Greenwich Village. I used to see her in the park once in a while, a formidable presence I can assure you, in fact something of a recluse, and though I knew people who'd met her I could never summon up the courage to approach her. I would now, if only on the strength of that quote which, as far as I'm concerned, says it all. Because "let go hell and your fall will be broken by the roof of heaven" is exactly what happens and is happening all the time whether one is aware of Seeing or not. It wasn't long after I'd discovered Douglas and his work that I vaguely remembered it and sure enough, going back over my copy of forty years before, found it underlined. Interestingly enough and much to my surprise, it was the only thing in the whole book I'd underlined. So I guess there really are no accidents. I guess I was implicitly feeling my way towards what the experiments make explicit - an enormous difference, of course, the difference between dining oneself and watching other people dine. Still, as a description of what takes place in all of us when we're running on all six cylinders, it couldn't be better said. xiii Alan: Could you explain what you mean by the Gap." George: I think my response in note 8 should cover that one - the Gap as the cake-mold. (Endnote 8, above) xiv Alan: What do you mean by gathering in a circle? George: I think that is covered in my answer below. xv Alan: Could you be a bit more specific in relating the following extract to the experiments? Quite simply, the Self-realization now available to each and every one of us with an eye to the truth is precisely what constitutes the end and meaning of history. The last of a series because for the first time in history it stands outside all series including its own, it has, by delivering us to the experiments, delivered itself? As regards our interpretations of history, the problem up to now has been that, with few exceptions -St. Augustine's City of God is an early attempt - we've never been able to secure a purchase outside it from which to see it whole. It would be much like your asking me to make a fair appraisal of the Earl of Oxford (a.k.a.Shakespeare) without having read Hamlet or King Lear or the Tempest. Sure, I might make some hit-and-miss judicious comments here and there as to this and that play, just as our better historians have turned their attention to this or that period, even in some cases like Toynbee or Spengler, or Polybius and Ibn-Khaldoun and Vico before them, to universal history, but always from a conditioned as distinct from an unconditional point of view without which it's impossible to uncover its essential meaning. However indirectly, the Classified experiment addresses this issue. Let me put it this way. We know from their testimony and behavior and example that over the years Self-realization has been available to a handful of people, the rare few - the great saints and sages and mystics and so-on. We know that what they saw, usually at great cost though not necessarily so (cf. Traherne who appears to have been a natural as was Heinrich Suso, a disciple of Eckhart's, and de Caussade, one of Douglas' favorites), is now available to all of us by way of the experiments, just as we know that the equivalent of a dozen or so lackeys required to run around lighting two-hundred candles so that Louis XIV could see what he was eating is ours for the turning on of a switch. Hegel was the first to claim that this resolution of the Master-Slave or MasterServant relation - the switch replacing the lackeys - constituted the end of history, its meaning and purpose, what history had been for and finally all about - the realization of the essential equality of all people. What Hegel, great as he was, could not see, though he suspected it, was that this turnabout had in turn to be turned-about, that the Suffering Servant, the so-called King of the Jews, hadn't worn his crown of thorns for nothing, that, as exemplified in the paper-bag experiment, the Servant=Master relation which to some degree seems to have been resolved at least in the eyes of the law of democratic polities, had in turn to be modified to read its exact reverse, the Servant as Master, as omnipotent, omniscient and omnipresent ruler of the world. Nishitani, one of the great representatives of the Kyoto School of Zen, calls it "the reciprocal interchange of absolute inequality," a tough one at first bite until, coming out of the paper-bag, you chew it and digest it and realize that, taken word for word, that's exactly what takes place, I as absolutely Nobody absolutely disappearing in your favor, you, reciprocally, disappearing in mine. And this despite history's (and historians') seeming disclaimer is what's really really been going on if only underground since the beginning of time. We just didn't know it, that's all, because we didn't see it. And seeing, the basis for knowledge, comes first. Hence the centrality of the experiments. Further than this we can't go, at least conceptually, quite simply because that's all there is. What we can say with absolute assurance is that what was once accessible to the fortunate few is now available to all at least potentially thanks to this most unlikely source. And in delivering, via the experiments, this possibility of realization to each of us individually, history, its purpose satisfied and meaning made plain, has done the same for itself, has taken at least the first step towards its own liberation. Which is not to suggest it goes away any more than mine - or, I assume, yours - went away when over ten years ago I first came across Headlessness. But - and I speak for myself now - it has been transformed. What I saw as evil or, if you will, just plain bad in my own life (whether self-administered or not is beside the point ) because it failed to affirm my little one, I see now, at least in my better moments, as the only good available to me at the time, if only because it led me to a realization of who and where I AM. In this sense, Mr. Eliot was quite correct when, as regards his own personal destiny, he wrote that "In my end is my beginning." So, too, with history. Though neither its slaughters nor deliverances - the facts of its past - can be changed, in light of the FACT it served as a channel to reveal, our interpretation of its meaning most certainly can be and must be. If, in the end, as he goes on to say, the end is the place we start from, we better make sure where that end is so that we can begin. And, again, and at the risk of becoming tiresome, we have an experiment to illustrate the truth of this - the Machine, a variation on the Circle. Since it's rarely performed I don't know if you know it or not but it's a marvelous demonstration of what I'm talking about, not so much of beginnings and ends but of ends and beginnings. I remember one occasion quite forcibly. We were at a Gathering in Nacton. It was late morning and Douglas as the leader (though, of course, it could be anybody) represented himself as a very, very old inventor, a very tired, very weary party who, nevertheless, had to get through this last task before we could break for lunch and he could sit down and rest. The ground-rules were as follows. He would lower his arm which, acting as a semaphore, would indicate to the person standing closest to him that the exercise had begun. Since we were holding hands this person would in turn signal by the slightest pressure that he or she had received the signal and so it would pass from hand to hand around the circle till finally arriving back where it started, to its originator, it would trigger the semaphore and the experiment would be over. Like God he could then sit down and rest and like humans we could then sit down and have lunch. Now this experiment is generally offered as an exercise in freedom and it certainly is that. After all, whenever I receive the signal, let's say from the person on my left, I have a choice before passing it onto the person on my right. I can either do so immediately, or delay a little or a lot, or not pass it on at all, in which case, as we say over here in baseball, the game is called off because of rain. (And that may happen to the race, too, if we don't attend to our proper business). But for our purposes that's not what concerns me here, rather a variation on the theme. Because on this particular occasion it struck me that as the recipient of the impulse I had absolutely no choice either in what or when I received it. In that sense, as heir to everything that had gone before, to all the other impulses that had travelled the circle until they reached me, I stood at the end of a series over which, like the date and place of my birth or my genes for that matter, like history itself, I had no control whatsoever. By the same token, however, if I stood passively at the end, as being very much present in the Gap and aware of it I also stood actively at its beginning. I could, depending on the conditions set down and my own inner state (like love), respond accordingly. And, albeit the image speaks louder than words, this is what I mean when I say we - each of us - are at once at the end of history yet at the same time at its beginning or, at least, at the possibility of a new beginning. Because if, like man-made history, the experiments are new, for the first time in history all of us can consciously see in this particular experiment the new finally join hands and unite with its original. Can see, too, by this recognition, that the circle of history coming to a close, it paradoxically opens. As a result, to the degree I see that I'm no longer the center of the universe but the universe is centered in me, I have to take responsibility for it or, if you prefer, that I'm now "respondable" to it, literally in a position to answer to it and for it. Dostoevski in one of his novels touches on this when he has one of his characters shout (his characters are always shouting), "I see now I am responsible for everything," which, however impressive it sounded when I first read it years ago, I must admit to not having the vaguest idea of what he was talking about. I do now. Though, as in this experiment, I may appear to be free to make this or that choice right down to doing nothing (that is, depending on my psychological and sociological conditioning - my so-called state of mind - refuse to pass on the impulse so that Douglas can sit down and rest), as to making a choice one way or the other I have no choice at all. As St. Paul put it so poetically but we see now in the flesh, we are literally "prisoners of grace." That question answered with certainty, it only remains to be seen what we do with it and make of it, how that certainty translates into individual behavior, from Seeing to Being, always mindful, of course, that to the degree each of us falls short of that centered vision, to that degree do we pay a price for our absence. xvi Alan: What exactly do you mean by the being-to-be dying to be free within all of us…?, George: I guess by its very nature when we deal in language paradox has to be the name of the game. As I intend it, "the being-to-be dying to be free within all of us" is for want of a better word, God. God, or if you prefer, the 1 st Person, has no being, is a pure abstraction until "incorporated" in me or you or whoever. "God has no arms, no hands, but mine." That's St. Teresa of Avila. Angelus Silesius says it even better. "I know that without me,/the life of God were lost;/ Were I destroyed, he must/ perforce give up the ghost." "What has been said of God/ suffices not my mind./ The more-than-God is where/ my life and light I find." I don't know how far you want to go on this. I probably should have been satisfied with referring to these or Eckhart's sermons (from which the above derive) and let it go at that. xvii This refers to the 'Circle' experiment. xviii .Alan: You are saying the awakening to this space here is the redemption of awareness from the waking dream of everyday life? Or is 'the fulfilled life' the possibility you refer to? George: I interpret the manifestation of this Possibility via the experiments as an expression of what once upon a time was referred to in the Western tradition as Providence and in Buddhism as Other, as distinct from Self, Power: how all can go wrong but if pursued to the end - the world being round - can still come right. The only difference between the world and Providence, between, if you will, the perspective of the 3rd and 1st Person - and it makes all the difference - is that Providence, as again demonstrated in the Circle and Machine exercises and in the Foursome as well, is, when experienced rather than merely observed, an open circle, in reality just another name for God. Any closed circle that we can imagine or draw, like this 0, like the great globe itself, is essentially an abstraction and as such, if acted upon as the be-all and end-all, an hallucination. A necessary one, of course, which is not only the reason for two-way looking but precisely its point. Were there no hallucination, no dream to be redeemed on the dark side of the moon, we'd still be in the Garden with all the other birds and bees, but the All-Possible would have been deprived of one of its possibilities - to know itSelf, to be conscious and aware of itSelf - and, as such, unfulfilled. xix Alan: I need some explanatory comment here. George: It might help here to consider the four castes as established in Hinduism following the Aryan invasions. Working from the "top" down and in order of "importance" we have first the Brahmans, the priestly class, then the Kshatriyas, the aristocratic warriors or royal power, and then the third estate, the Vaisyas, the merchants and farmers - these three and these three categories alone qualified to be "twice-born." And we see something like this reflected in the course of Western history along with its philosophies, their reasons for being. Beneath them but still included in the scheme of things are the Sudras, the workers and peasants. What with Marx and the rise of socialism on the one hand and the emergence of consumer capitalism and democracy on the other, no need to go into that most recent development as it, too, becomes part of the mix, indeed becomes the dominant factor in what we mean by modernity, at least up to now. Every man and woman, too, doing what is right in his or her own eyes. What's often overlooked, however, is that there was a fifth caste, if it can be called that. Just as Zen has often been called the religion of no-religion (though it's my claim the title is more aptly applied to Headlessness), this was the caste of no-caste, the Chandalas, the outcasts, those with neither affiliation nor home, spiritual or otherwise. No accident that these were Gandhi's Untouchables. No accident that half-way around the globe their opposite numbers arrived in America in steerage or in Australia in chains or that from here to Hollywood they included, though not exclusively, actors and mountebanks, jugglers and medicine-men, the dispossessed, the nameless. No accident, either, that the experiments, the pure light of the single eye that, shining through the prism of this world, reveals religion, all religions in their true if various colors, were devised not in safe centers like Oxford or Cambridge or Berlin or Rome for that matter but, outside the loop entirely, by the son of a struggling lower middle-class green-grocer in a small coastal town, an obscure scholarship boy who also found himself dispossessed and with Nowhere to go (Douglas Harding). As for "The kingdom of heaven suffereth violence, and the violent take it by force." Isn't that what history's all about - violence - with the century just past (and who knows what's yet to come) witnessing the sum of death by war greater than in all the previous ages combined? And yet, and yet, inexorably and inextricably correlated with these numbers and this historical and historic breakdown like none ever seen before on the face of the earth, hand in hand comes its corresponding historical breakthrough to the bottom line. Can there be any doubt that you and I and all of us to some degree live by violence and will continue to live by violence - on Indian land, for instance, or aborigines' land? (And whose land were they living on?) To my mind the only workable translation of the sixth commandment is not "Thou shalt not kill" but "Thou shalt not murder", as even the Jains in India understand who, if they really really lived by the first rather than the second rule, would, paradoxically, all be dead in a week. Blake, that magnificent precursor of two-way looking, said it best of all. "The cut worm forgives the plow." And the plow is history and the experiments the harvest. xx Alan: A bit more elaboration here please George. George:You ask what that's all about. I guess it's about two-way looking and the need for it, at least for the likes of me. This is hardly the time or place to discuss it, but it leads us into all kinds of issues that have to be related to Headlessness - like pacifism, for instance, and non-resistance. Kierkegaard once asked whether a man has the right to allow himself to be put to death for the truth inasmuch as Jesus did it once and for all. I think the question might be better put to ask whether I have the right to stand by and watch another be put to death for any reason - like my child, for instance, or any child. There was an interesting exchange of letters during the Second World War between Martin Buber, the Jewish philosopher, and Gandhi, Gandhi insisting that the only answer to Hitler was nonresistance, Buber pointing out that were he, Gandhi, living under the Nazi rather than the more benign British hegemony, no one would ever have heard of him or his non-resistance movement. He would have been snuffed out in a second. Interestingly enough, the Bhagavad-Gita, Gandhi's Bible, adopts Buber's perspective. The point I was trying to make, however, was the danger of confusing Utopia or the hope of it -the not-yet - with the Nowhere which is of an entirely different order and already here. Douglas addresses this beautifully in the Little Book of Life and Death, the unbridgeable gap between the notion of heaven on earth and the reality of earth in heaven which is where we all are anyway only we don't know it. And we don't know it because we don't see it. Or at least haven't up to now. Experiments referred to in the Essay The following notes are intended to help readers with no previous contact to get a taste for the experiments. It is impossible to communicate what they are about in such a limited space and, in any case, they have to be tried out rather than read about. I can provide more detailed information or you can try www.headless.org or come to Richard Lang's workshops on 27 February and/or 2 March 2002. Paper-bag. An open-ended paper bag or short tube. Two people, one at each end put their faces into the bag and consider, on the evidence available to them, how many faces are present and the differences between the end they are located at and the other. Pointing Finger. Point at the place where others see your face and see what, on present evidence, it is pointing to. Two-way Looking. Becoming aware of what I am looking out of not just what I'm looking at. Symbolized by both hands, back-to-back, with first fingers pointing, one hand pointing out at the world and the other back at what is looking. Card Experiment A card with head-sized hole with a small mirror attached to one of the bottom corners. The mirror reveals the little me, the headed one, 'out there' and the hole in the card the space for everything which appears through it and then in it as it is gradually brought up to what is looking to blend with the space that awaits it here. Foursome Experiment This experiment leads to a demonstration of the Eckhart quote "the same eye with which I as subject see God as "object" is the same eye with which God as subject sees me as object". A full description with George's commentary will follow in a future edition. Four people form a square with two pairs standing opposite one another and facing inward. For any one person to see any of the others he/she must disappear or become space for that other. Yet for that person observing the others they do not appear to be disappearing for one another. So what is really happening? Classified Experiment An experiment where you are given a group identity, unknown to yourself but obvious to others, and required to find your way to your own group. Machine Experiment As described by George on page 17 Storehouse Experiment The Storehouse. Deals with "the Power behind the throne". The Storehouse requires two people. #1 sits in a chair looking directly ahead; #2 stands silently behind and, beginning at one side, either left or right, slowly, very slowly and in a semi-circular motion, passes one by one a series of objects for inspection through #1's field of vision. These objects can be anything that comes to hand: if performed outside, a stick, a stone, a leaf, a flower; if inside, a pencil, a coin, a wrist-watch, a handkerchief, a piece of paper, whatever. We can now see how everything arising out of Nowhere it reaches apotheosis at center,and then returns to where, Nowhere, it began. Ashes to ashes, dust to dust and so forth. And yet, if we want to survive, no less live, we still have to navigate the Meanwhile. Spectacles Bring a pair of spectacles slowly to the face and observe as the two eye pieces conform to the single eye or capacity that awaits them.
POLITICAL INCLUSION AS A MEANS OF GENERATING JUSTICE FOR CHILDREN A INCLUSÃO POLÍTICA COMO MEIO DE GERAR JUSTIÇA PARA AS CRIANÇAS Nicholas Munn email@example.com Abstract. In this article it is argued that the position of children can be improved by ensuring them political representation, through inclusion in democratic processes. Embedding children as equal participants in democratic processes is likely to diminish the structural disadvantages to which they are currently subjected within modern democracies. Political and social institutions will have greater incentives to act proactively to support children, and children will have the same ability as other citizens to express their approval or disapproval of public actions undertaken on their behalf. In a global environment still characterised primarily by independent nation states, democracies provide the most fertile ground for the generation of just institutions. Those institutions work best, for the most active participants in the democracy. Children are, in all states, expressly excluded from active political participation, and as such their voices, desires, needs and rights are marginalised. Political inclusion for children is a first step to address this marginalisation. Keywords: enfranchisement; voting; democracy; justice; children. Sumário. Neste artigo argumenta-se que a posição das crianças pode ser melhorada se lhes for concedida representação política, mediante a sua inclusão nos processos democráticos. A inclusão das crianças como participantes iguais nos processos democráticos provavelmente atenuará as desvantagens estruturais a que estão sujeitas nas democracias contemporâneas. As instituições políticas e sociais terão maiores incentivos para agir de forma proactiva no sentido de apoiar as crianças, e as crianças terão a mesma capacidade dos demais cidadãos para exprimirem a sua aprovação ou rejeição em relação às ações públicas realizadas em seu nome. Num ambiente global ainda caracterizado principalmente por estados-nação independentes, as democracias oferecem o solo mais fértil para a criação de instituições justas. Essas instituições funcionam primacialmente para os que mais participam na democracia. As crianças estão, em todos os estados, expressamente excluídas da participação política ativa, e, nessa medida, as suas University of Waikato (Philosophy) vozes, desejos, necessidades e direitos são marginalizados. A inclusão política das crianças é um primeiro passo para solucionar esta marginalização. Palavras-chave: emancipação; votação; democracia; justiça; crianças. 0. Introduction Each state within the global community is free to develop its own approach to the treatment of children. While members of the international community learn from each other regarding advancements in justice for children, the pace of improvement in the position of children has been slow. By comparison to the progress made in securing justice for women, persons with disabilities, or members of the LGBTQI+ community, the global position of children has remained stagnant. One partial explanation for the pace of change for children, is that the advocates for global justice for children are not children themselves. Unlike advocacy for global justice for the other groups mentioned above, advocacy for children is primarily enacted on behalf of children by others. This happens because children are, in all states, expressly excluded from active political participation (the primary expression of which is voting), and as such their voices, desires, needs and rights are marginalised. They cannot demand that governments heed their voices. An important feature of global advocacy for other groups is that evidence of the ability of the disadvantaged group is available. Women in Saudi Arabia can point to the successes of women elsewhere in articulating the flaws in the current Saudi Arabian regime. LGBTQI+ advocates in those states that discriminate against them, can make their case with reference to the situation in less discriminatory nations. Yet for children, regardless of the state, there remains widespread discrimination. In this article, I first outline the present disadvantages children as a group face, and claim that in order to overcome these disadvantages, children need to be included in the political structures of societies. This must, given the current global structure, be done on a state by state basis. Those states which are early adopters of inclusive policies regarding political participation for young people will provide exemplars for others, gradually making the continued denial of rights to these children less and less tenable. By inclusion of children I mean, in this article, political representation, through inclusion in formal democratic processes. In most states, the primary expression of this is voting. Allowing much younger children to vote will help lay the groundwork for the just treatment of children not only in the political domain, but also in the areas of social and civil rights. I then analyse the position of children with regard to both their democratic status and their degree of inclusion in modern societies. I present the case for the benefits arising from political inclusion, and I examine the comparisons between children and other disadvantaged groups. As Lecce claimed, "children's political disenfranchisement raises serious questions of justice that must be addressed rather than ignored" (Lecce, 2009, p. 133). Once children are embedded as equal participants in democratic processes, the structural disadvantages they are currently subject to within modern democracies will diminish. Political and social institutions will have greater incentives to act proactively to support children, and children will have the same ability as other citizens to express their approval or disapproval of public actions undertaken on their behalf. I have elsewhere made the case that the exclusion of children from the franchise is unjustified, but in those articles, I have not been concerned with developing a positive account of the benefits to democracy and to children, that could be gained from their political inclusion. Rather, I had focused solely on the injustice of their exclusion (Munn, 2012a, 2012b, 2014). Here, while the injustice of the exclusion of children from the franchise remains important, I also explore the benefits of inclusion, as a means of further strengthening the case. 1. The Relative Position of Children It is clear that children suffer more than the average citizen from a range of injustices. For example, if we consider poverty statistics, whether globally or within states, children are more likely to be impoverished than the average citizen is, and with that poverty comes a range of disadvantages in health and educational outcomes, as well as a diminution of future prospects. UNICEF (UNICEF, 2017) found that 19.5% of the world's children live in extreme poverty, compared to 9.2% of adults. Once we look at poverty more generally, UNICEF note that "[c]hildren represent half of the poor yet are just one third of the underlying population" (UNICEF, 2017) These global findings are reflected in comparative poverty rates in most countries, with the OECD noting that '[r]elative poverty rates for children are higher than poverty rates for the total population in 28 of the 36 OECD member countries' (OECD, 2018). Similar data is available for other considerations. For example, public spending disproportionately goes to the elderly over the young, and in states such as the USA, the amount spent on young people is declining, with the 2018 Kids Share report noting that in the next ten years, "every major category of spending on children (health, education, income security, and so on) is projected to decline relative to GDP)" (Isaacs et al., 2018). This data provides evidence of direct injustices accruing to children while they are children. Children as a group are, then, particularly disadvantaged. Not only do they suffer from higher rates of poverty than the population as a whole, but poverty is linked to a range of other negative outcomes across the life (Chaudry & Wimer, 2016). There is now, as Schweiger notes, "overwhelming evidence that different forms of harm and hardship during childhood have long-lasting and severe consequences" (Schweiger, 2015, p. 88) which means that the hardships faced as a child undermine the wellbeing of the adult in the future. This ought to provide a strong incentive for society to reduce these hardships, but it has not yet come to pass. In short, injustice in childhood can prevent justice in adulthood. Schweiger claims, and is supported by the evidence of Chaudry and Wimer, that "childhood is a particular phase of development that has significant influence on the whole life course" (Schweiger, 2015, p. 87). Similarly, Bojer notes that "[c]hildren are not a separate group, but in a phase of life through which every single human being has to pass. Justice to children is therefore not justice to a particular, distinct portion of humanity, but justice to all" (Bojer, 2000, p. 26) If these claims are correct, then one obvious reason to take injustice for children seriously, is that it influences the likelihood of the adults they will become, leading good lives. So, in addition to the direct injustices described above, we have evidence of indirect injustices, accruing to children who suffer childhood disadvantage, once they become adults. I take it that both these types of injustice are concerning, and to be addressed. So, we are in a situation where children, as a group, are disadvantaged by comparison to the general population. This is not, of course, a novel observation, but it illustrates a gap between rhetoric and action, one which our current treatment of children only exacerbates. Nicola Ansell has claimed that "[i]f the lives of children and youth are to improve, political change is needed. Yet the widespread rhetorical support for children's issues rests on them being considered apolitical" (Ansell, 2004, p. 246). This recognises that, in most democracies, children are seen as a group to be dictated to, rather than consulted with, regarding what is best for them. If children are recognised as being political agents, it becomes much harder to justify the status quo in which we systematically exclude them from political participation. 2. Democracy, Inclusion and Children It seems clear that our democratic institutions, as currently constituted, do not suffice to improve the lot of children. Children remain too likely to be living in poverty, and to suffer from a range of other disadvantages, both during childhood, and consequently through the remainder of their lives. This likelihood has not significantly changed, even while other identifiably disadvantaged groups have successfully argued for, and achieved, improvements in their wellbeing. I claim that meaningful political inclusion is an important tool for changing the position of groups in society for the better. While political inclusion does not in itself guarantee that one's situation will improve, the absence of political inclusion significantly undermines the motivation for government to assist the excluded group. It is easy to see how this undermining occurs. As Lansdown observed, "[m]uch of government policy impacts directly or indirectly on young people's lives, yet it is developed and delivered largely in ignorance of how it will affect the day-to-day lives of young people, their present and future well-being" (Lansdown, 2001, p. 6). When children are not politically included, and when consultation with them proceeds without an acknowledgement that the children being consulted in fact have the relevant knowledge that those consulting them lack, it ought not to surprise us that the outcomes of government policy are not ideal. Democratic states provide the most fertile ground for the generation of just institutions, as, for all its failings, democracy serves to make the status of citizens a desideratum for the government of the state. However, the distribution of the benefits of democratic institutions is unequal. These institutions work best, for those who are the most active participants in the democracy, and to be an active participant means, in the majority of cases, to be a voter. This is simply because extant democracies remain primarily aggregative. It is only through voting, whether in elections or referenda, that the will of the people directly controls the composition of the government, and it is through voting that voters may demonstrate their (dis)pleasure at the policies any particular government enacts. Deliberation is seldom (if ever) mandated in practice, and while there is important work being done on the potential advantages of deliberative systems of democracy, none of these systems are likely to be implemented soon. As such my assumption is that if the inclusion I am proposing occurs, it will do so within a broadly aggregative system, and as such, inclusion in the structures of voting is the most important consideration for the position of children. The identifiable groups who vote in large numbers are more important targets for policy-makers and party strategists, than are those who seldom vote. Justice in political participation is improved by reducing inequalities in participation rates between groups within a state. Doing so provides governments with incentives to value the opinions, beliefs, goals and desires of members of these groups more equally. This description of justice through political equality does not, however, provide any succour for children. This is because children are, in all states, expressly excluded from formal political participation, and as such their voices, desires, needs and rights are marginalised. While children are usually entitled to participate in informal political engagements, such as the expression of political beliefs and preferences, in contexts such as schools, they are excluded from the methods which, quite literally, count. I will argue that political inclusion for children is a first step to address this marginalisation. In this discussion I will assume that, in the states I am considering, there is for the other citizens a generally high level of justice available to them. That is, I am interested in, firstly, how children in developed democratic states can pursue justice, and secondly, in how the example of a just approach to children and childhood, embarked upon by these states, could serve as an example to other states which helps to guide their transition towards justness. By children in this context, I mean the group covered by the United Nations Convention on the Rights of the Child, that is, all those under the age of eighteen (except where the age of majority is set lower than eighteen) (United Nations, 1989). Before continuing, I will examine both how to cash out the idea of inclusion for children, and the kinds of democratic state in which such inclusion should operate. 2.1. Inclusion What does it mean to be politically included? In a deliberative democracy, being equitably part of the deliberative process which leads to political decisions would suffice. However, extant democracies are not deliberative, and so merely having a voice in public discussions and deliberations is insufficient to establish political inclusion. While there is a sense in which the presence of an NGO advocating for children's rights provides some formal representation of children's issues into the political domain, that NGO cannot vote in elections, and so under an aggregative system, no functional inclusion of children can arise in this manner. For better or worse, the democracies we currently have are aggregative, with the means of aggregation varying somewhat between systems. As such, meaningful political inclusion in these democracies is inextricably connected to voting rights. Of course, such connection does not mean that the only way to include children is via giving them full voting rights. One could argue for proportional voting rights, such that the vote of a young child is worth some fraction of a full adult vote, and the fraction increases each cycle until it reaches a full vote at a time corresponding to the current age of majority (Rehfeld, 2011). Another option would be to grant proxy votes to parents or caregivers until such time as children reach the age of majority, thereby enabling their interests to be taken into consideration without burdening the child with the responsibility of voting (Wolf, Goldschmidt, & Petersen, 2015; Wall, 2014). I take it, however, that it is both simpler and more defensible to let children vote once they can competently do so (Munn, 2012b). Further, I believe that many very young children can do so, which means that the group excluded after accounting for capacity for political participation is relatively small (Munn, 2018). For those children in this remaining group, I believe that proxy votes are a better way to enable political inclusion than fractional votes, and that either would be superior to the status quo. This raises the issue, of why we ought not to resolve the inclusion of children 111 simply by granting all of them votes by proxy. Proxy voting would give political power to children, while not requiring states to engage in the determination of voting competence. However, such a resolution would not be defensible, as we already know that many children are capable of voting competently, so only allowing them to vote by proxy still entails an unjust treatment of them, by comparison to other citizens (Munn, 2018, p. 611). Inclusion is a means of satisfying particular rights (to political participation). It is also a formal recognition of certain capacities (again, the capacity for political participation). I am not arguing, here, for inclusion as a voter, irrespective of the capability to vote. But I am arguing that those without the capacity should nevertheless be recognized via proxy votes, as there is value to be gained via these children having a voice, even if they cannot exercise it themselves. The preceding discussion makes it clear that my position re the inclusion of children is reliant on their capability for political engagement. Justice requires that a capable child be allowed to exercise that capacity, and exercising the capacity can only occur through formal inclusion as a voter. This aligns my approach with, amongst others, Dixon & Nussbaum, who claimed that "those interested in theorizing the entitlements of children should prefer the CA [to theories of the social contract]" (Dixon & Nussbaum, 2012, p. 553). Similarly, Schweiger and Graf (2016), and Graf, Schweiger, and Cabezas (2016), have developed capability-based accounts of justice for children. While my approach is similar to these, none of them argue for the inclusion of children in the manner I do. I will be utilising these accounts to ground both my claims that children suffer injustice, and that political inclusion provides a pathway to overcoming said injustice. 2.2. The Position of Children Schweiger & Graf's account begins with a recognition that children are both vulnerable and dependent on others for their wellbeing and well-becoming (Schweiger & Graf, 2016, p. 103). It is through childhood that people develop the ability to be a well-rounded adult. They claim that a capability/functioning based approach to justice for children is appropriate, because focusing on capabilities and functionings enables us to monitor what children "are actually able to do and be" (Schweiger & Graf, 2016, p. 104). Such an approach is superior to a resource based account, because resources are merely means to the end (well-being & wellbecoming), and do not of themselves guarantee that children with them in fact have the capability to live well. Having set up the general account of capabilities/functionings, Schweiger & Graf argue that four such capabilities are particularly relevant to social justice for children, namely health, education, selfrespect and inclusion. These four capabilities, they note, are commonly held by capability theorists to be intrinsically valuable elements of a good human life (Nussbaum, 2000; Sen, 1999; Alkire, 2002), and they all have instrumental value, in that access to health, education, self-respect and inclusion in childhood, and continued access to these things throughout one's life, helps the individual to achieve a range of other goods (Schweiger & Graf, 2016, p. 106). It should be noted that I, like Schweiger & Graf, take both capabilities and functionings to be relevant to children, and as such, I disagree with Anderson, who claims that "the relevant standard of justice [with respect to children] is in terms of functionings, not capabilities" (Anderson, 2010, p. 84). In this context, 'functionings' are the states of human beings and the things that those human beings do, while 'capabilities' are the (real) freedoms or opportunities to achieve functionings (Robeyns, 2016). Anderson takes functionings but not capabilities to be relevant to children as, on her account, "[c]hildren lack the autonomy to choose for themselves. Bare opportunities are of no value to children unless adults in their lives place them in those opportunities" (Anderson, 2010, p. 84). However, this is true, at best, for a small subset of children, and for particular capacities. As we are utilising the United Nations definition of a child, which covers all those aged under eighteen, it is clear that such a rejection is not tenable for everyone under consideration. Sixteen and seventeen year olds are widely held to be capable of autonomous choice. But the capacity for autonomous choice in many domains extends much further into childhood than has commonly been recognised. For example, many children, from ages as young as ten (or even lower, in certain circumstances) demonstrably have the autonomy to choose for themselves in making decisions regarding their own health, and this autonomy is recognised in law in those states which allow children to make decisions regarding medical treatment (Gillick v West Norfolk AHA, 1985). The Gillick standard specifically rejects the idea that a fixed age can be used as the sole determinant of competence in these cases. In such a case, justice for children consists in their capabilities being recognised, and their being allowed to choose their own path to well-being. We can contrast this with the political case (paralleling, in this instance, the fourth central capability, inclusion). There are many children who have the ability and desire to make political decisions, and thereby to be politically included in the structure and governance of their state. However, none of these children are allowed to do so. The proposal is that those children with the functional ability to make political decisions, who are denied the capability to do so by (unjust) laws regarding the age of political majority, ought not to be so denied. I do not claim that lowering the voting age is sufficient to resolve the injustice, but as long as voting retains its centrality in political processes, lowering the voting age will significantly improve the lot of children. Children are currently subject to a range of structural disadvantages, regardless of which state they live in. No country recognises the political capacity of all children (and most do not recognise any children as having the political capacity required to vote, while a small number of democracies allow older children, 16 & 17 years old, to do so). A similar (but less widespread) logic rejects the autonomy of children in medical decision-making, thereby subordinating their beliefs, desires and goals to those of their parents, or even completely rejecting the goals of the child. Simultaneously with this refusal to acknowledge the agency of the child in political and medical matters, most of these same countries ascribe criminal agency to children, making them eligible for criminal punishment for illegal behaviour while denying them access to civil, social and political goods (Melchiorre, 2004; UNICEF, 1998). This inconsistency in the attribution of agency generates a core injustice in society's treatment of children. For the moment, I am focused on the question of political participation, and the attribution of formal rights of political participation via voting in elections. I will assume that electoral inclusion is distinct from electoral compulsion, that is, that the voting system into which I argue we should incorporate children, is voluntary, and will not compel them to participate. Schweiger and Graf focus on the functionings of health, education, selfrespect and inclusion when discussing justice for children. They choose these capabilities/functionings as they are of "particular relevance to social justice for children" (Schweiger & Graf, 2016, p. 106). The failure of all democratic states to enfranchise children clearly undermines both the self-respect and the inclusion of children, and it seems reasonable to believe that the exclusion of children from the franchise undermines their ability to argue for better health and education outcomes for themselves, and thereby puts the capabilities of children in both these respects at a disadvantage, comparative to the population as a whole. As Maura Priest argued, in making a more general point about disenfranchisement, "[e]xclusion from democratic decisions disrespects the judgment and worth of the excluded party" (Priest, 2016, p. 22). As it is for people in general, so it is for children. Children have no choice but to live within the state they reside in, and they are refused access to the primary means of influencing government – voting. Yet despite this, they are, as I noted earlier, compelled to follow the laws of the state. As Priest notes, "[i]t is hard to think of a more straightforward example of a democratic injustice" (Priest, 2016, p. 22). So, children in states that we otherwise think of as exemplars of good governance are in a position of political impotence. They cannot directly participate in democratic processes. Those who can in theory advocate for their interests (parents, for example) are at best partially driven by the interests of the child, and must balance this against their own interests. This makes children functionally subjects rather than citizens. They are disenfranchised, and the political disenfranchisement of children is coupled with a rejection of the value of children's opinions, goals, and desires. I argue that one important vector through which to improve the global position of children is by ensuring them political representation, through inclusion in democratic processes from a young age. Once children are embedded as equal participants in democratic processes, we can hope to see the structural disadvantages they are currently subject to within modern democracies diminish. Political and social institutions will have greater incentives to act proactively to support children, and children will over time come to have the same ability as other citizens to express their approval or disapproval of public actions undertaken on their behalf. 3. The Benefits of Political Inclusion The claim that individuals and groups benefit from political inclusion is not particularly controversial. While some have recently argued that democracy is not as beneficial as it has been thought to be (Brennan, 2016; Caplan, 2011; Guerrero, 2014), the dominant position within political theory remains pro-democracy. The benefits of democracy are seen in terms of justice: a more democratic society is, other things being equal, less prone to injustice, and more capable of correcting for injustices than a less democratic society. However, these benefits accrue unevenly to citizens within a democracy. The degree to which members of identifiable groups within society benefit from the institutions of that society is linked to their propensity to vote. So for example, we see a common pattern in advanced democratic states, in which spending on the elderly (the group most likely to vote) is higher than spending for other groups, and is much higher than the spending on children. In the EU, for example, the ratio of social spending on the elderly to social spending on the young remained at roughly three from 1990 until 2003 (Börsch-Supan, 2007). More recent data from the US and UK shows the issue remains. (Isaacs, 2009; Kelly, Lee, Sibieta, & Waters, 2018) An interest in justice is therefore enhanced by having as inclusive a democracy as possible. As Iris Marion Young argues, "[n]ot only does the explicit inclusion of different groups in democratic discussion and decision-making increase the likelihood of promoting justice because the interests of all are taken into account. It also increases that likelihood by increasing the store of social knowledge available to participants" (Young, 2002, p. 83). While Young does not explicitly argue for the inclusion of children on grounds of justice, it is easy to extrapolate such a position from this claim. Children are not currently included in democratic decision-making, as they cannot vote (and inclusion without voting does not carry the same power as voting does). As children are not included, their interests are not (sufficiently) accounted for. This diminishes the likelihood that democratic decisions made by the state will promote justice for children. The argument runs similarly for the second advantage Young notes arising from broader inclusion: while children are excluded, the social knowledge of childhood that is considered is only the remembered knowledge of adults; the things they think they wanted (or should have wanted), when they were children. When children are included, then the things children actually want, must be taken more seriously by the state. This expansion of Young's position links Young's arguments to those considered by Dixon & Nussbaum, who in considering the political inclusion of children noted that "[a]nother potential reason for children to be granted the right to vote, for example, is that it may help overcome a systematic failure by democratic policy makers, in a particular national context, to pay attention to the needs and interests of children" (Dixon & Nussbaum, 2012, fn.565). Currently, all democratic contexts have this problematic feature, because no democratic context is one in which children have equal rights to political participation. As such, there is potential for the improvement of global justice for children through the institution in any particular context of equal political participation for children – the state which did this would be an exemplar, whether of the risks or the benefits of inclusion. For reasons I have discussed elsewhere, at length, I am convinced that the result of such a move towards the inclusion of the young would be beneficial, not just for the children who are enfranchised, but for the democracy which enfranchises them, and for the other citizens within that democracy (Munn, 2012a, 2012b, 2014, 2018). This is because democratic participation is a means to a range of positive ends, or, as Lansdown puts it, "democratic participation is not just an end in itself. It is also a procedural right through which to realize other rights, achieve justice, influence outcomes and expose abuses of power" (Lansdown, 2004, p. 5). I have so far considered the benefits of political inclusion generally. Now, I return to the four capabilities put forward by Schweiger & Graf as fundamentally important to justice for children: health, education, self-respect and inclusion (Schweiger & Graf, 2016). Political inclusion of children recognises their capacity as citizens, and grants them a status equivalent to other citizens within the state. While no children are currently included in such a manner, many children ought to be. The requirements for demonstrated capacity amongst adult citizens are minimal, so it should not be controversial that many currently excluded children in fact have the capability to act as electors. For younger children, who may not yet have the capability, the promise of political inclusion once they have demonstrated capability links back to the role of education. By this I mean just that if we take education of young children seriously, we can hasten their development into active citizens, who we are required to include in political decision-making. It also seems clear that the role of the state in supporting children's self-respect is enhanced by granting them political inclusion, as doing so entails a recognition on the part of the state of the child as a citizen proper, not merely a subject or citizen-in-waiting. Children's health and education are not as directly tied to their political inclusion, but the path from inclusion to better health and educational outcomes is straightforward. Other things being equal, outcomes improve as more is spent in these areas (particularly when the base levels of spending are comparatively low). Currently, spending on things which directly benefit health and educational outcomes for children is lower than spending in other areas, and it does not seem too cynical to attribute some part of the justification for this to children's current lack of democratic power. As such, the cost to governments of lowering expenditures in these areas is minor, compared to the cost of, for example, lowering spending on health outcomes for the elderly. Similarly, the benefit to governments is comparatively low, as their actions cannot be rewarded with votes. Including children in the political system makes improving these outcomes more politically salient for states. I have to this point focused on the position of children within states, and the states I have considered have been well-functioning democracies, wherein comparatively high levels of social justice already obtain. There remains the question of how I expect the transition from justice within these states to global justice, to occur. Unfortunately, I expect it to occur slowly and incrementally, and these expectations are generated by the same considerations which make me think that children can learn from women, ethnic minorities, and the LGBTQI+ community. Many children already have the capacity for political agency, and many who do not currently have that capacity will attain it years before they are, under the status quo, politically included. That is, it takes a long time for historical injustice to be overcome. The effects of historical injustice are still felt by members of the aforementioned groups, and will be felt for some time to come. But democratic states, when they include members of these groups, provide an example to other states of the good that comes from reducing injustice. As more states enfranchised women, and as the position of women within states that had enfranchised them improved, it became harder for recalcitrant states to continue their unjust discrimination against women. The last holdouts, such as Saudi Arabia, have finally begun gradually dismantling the barriers to the political, social and civil inclusion of women. Children face a very different position, in that the first hesitant steps towards inclusion have been taken comparatively recently, by states such as Austria, which lowered the voting age to 16 in 2007 (Wagner, Johann, & Kritzinger, 2012). This is a much more incremental change than was the enfranchisement of women, as it only extends political inclusion to a small group of children, and Austria's move has not yet been followed by many other democracies. However, if the pattern for children follows the pattern for other groups, we should see children become better off in states which include them, and the social, civil and political injustices children currently face will slowly diminish as they are recognised and treated as full participants in their societies. 4. Comparing Children with Other Groups Political rights contribute to the development of just societies. Children are, as detailed above, an example of a group that is, globally, particularly disadvantaged. As Nicola Ansell notes, "[y]oung people have thus far been given little opportunity to participate in areas that really make a difference" (Ansell, 2004, p. 245) . There are injustices shared by all members of the group 'children', globally, which are not shared by all members of other globally distributed groups. For example, while some states restrict political participation for those with cognitive disabilities, all states do so for children. While some states impose legal inequalities on women or members of the LGBTQI+ community, all states do so for children. Considerations like this led Bojer to claim that "[c]hildren may well be considered the weakest group in society, the group most unconditionally dependent on the goodwill of others. The group "children" is therefore a strong candidate for the position of the least advantaged…" (Bojer, 2000, p. 35). In attempting to redress this imbalance, it is useful to look at what comparisons can be drawn between children and these other identifiable groups, both to learn what works in the argument for inclusion, and to learn what to avoid. After all, as Reynolds points out, "[w]omen, LGBT people, young people, and the disabled share political interests within their respective "groups," but they are fragmented geographically, ethnically, and often ideologically" (Reynolds, 2013, p. 271). This suggests that children share similarities with and can learn from the experiences of these other groups. A starting point for the examination of the benefits arising from political inclusion is to examine other groups who have gained political inclusion, whether as members of the voting public (the first step) or via representation in parliament. If there are identifiable benefits accruing to these other groups, and those benefits are appropriately linked with political inclusion, the existence of these benefits provides evidence that inclusion works to generate justice. Examples of such groups are not difficult to find. We have evidence from the inclusion of a range of other marginalised groups in society that the fact of political inclusion is important in the improvement of the social status of the group. As Reynolds notes, the literature on the benefits accruing to women and ethnic minorities from political inclusion (both as electors and as elected representatives) is well established, and the same patterns appear to be present more recently for the LGBTQI+ community, for whom increased representation is linked to the adoption of policies beneficial to members of the LGBTQI+ community (Reynolds, 2013, p. 264). One might object that there is an important difference between the current global position of children, and that of the other groups just mentioned. That is, that for women, ethnic minorities and the LGBTQI+ community, the battle to be allowed to participate as an elector has been won for many years, and the current battleground is for appropriate levels of representation among the elected officials of governments. By contrast, children have not yet achieved the right to act as electors, let alone to stand for election. However, I do not believe this difference to be material to the matter at hand. Women, ethnic minorities, and the LGBTQI+ community all had to gain the right to act as electors before it was possible for them to be elected (although, for LGBTQI+ people, the relevant consideration was often whether they were able to live as they wished openly or legally). Political inclusion via enfranchisement is a first step towards a society in which political representation is possible, and it is justice-enhancing insofar as it improves the lot of those enfranchised. A second style of objection relies on the claim that there is some fundamental difference between children and the other groups I have been discussing, such that we have reason to suspect that the positive examples of these other groups will not translate into similar outcomes for the young. This claim is that the position of children cannot reasonably be compared with the position of other groups subject to injustice. Dixon & Nussbaum object in this manner; they reject the comparison between children and women, claiming that the position of children is "utterly different from that of adult women", in that adult women suffer from an "artificially created infantilization" whereas children are in fact immature (Dixon & Nussbaum, 2012, p. 577). So, regarding political inclusion, women are politically mature but were treated as immature by the law when it excluded them from the franchise. By contrast, children, are and are treated as politically immature. However, this differentiation between the position of women and that of children only works if children are in fact politically immature. Not all of them are. So, in both cases, there is a wrong inflicted, of not having interests taken into account, and another wrong, present for many children, of being excluded from decision-making despite having the relevant competence for political agency. While this latter claim remains controversial, it has been widely defended in recent years (Munn, 2012a, 2012b, 2014; Umbers, 2018; Lau, 2012). A renewed defence here is beyond the scope of the present article. What matters is the capacity to engage in particular actions, and wrongness comes in not allowing people to do things they are capable of. Many children are being wronged just as women were (and in some instances, still are). Further, if we focus on justice rather than rights, and it is the case that the lack of rights (such as the right to political participation) undermines access to justice, then we have an independent reason to try to secure rights for the young, one in which the attribution of rights to the young has instrumental value in pursuit of justice. This alternative approach is present in Roche, who draws parallels between the inclusion of women and that of children, claiming that "just as women have altered understandings of citizenship and belonging, a politics inclusive of children will produce a further shift in understanding" (Roche, 1999, p. 482). While it might be objected, at this point, that children lack participatory capacity, such a claim is true for at best some young children, with many (teenagers, say) being clearly capable. Perhaps more importantly, it is not clear that the exclusion of children on the grounds of incapacity is defensible (Munn, 2018). However, this argument is more pertinent in the comparison between children and those with intellectual disabilities, so I will discuss it below. Instead of focusing on the individuals being included, Roche's point is that the structure of our systems changes when different perspectives are included, especially when the experience of the new inclusions is different from that of the prior group. It is in this sense that I believe the comparison between women and children is relevant. How politics was conducted changed, once women were included. In its most obvious form, this came about because policies which privileged men over women suddenly appealed to a much smaller percentage of the voting public. As these policies became less successful, they were gradually replaced by policies which had wider appeal. The ability to be an active political participant made it easier for women to argue for and eventually to achieve a broad range of civil goals (Walby, 1992, pp. 90–91). The same could be true, perhaps not for very young children, but for many of them. Consider the force of the youth-led protests against climate change, the organisation and enactment of which clearly demonstrated the autonomous capacity of those involved. The ability to vote for these young people would I take it clearly have caused the protests to be more influential on political policy, as children who were entitled to vote could directly punish parties and candidates who opposed them. Achieving political citizenship became one step women took towards full social and civil inclusion. As Roche notes, women had to gain political citizenship "before they could more substantially advance their social and civil citizenship claims" (Roche, 1999, p. 482). In the context of justice for children, the contexts in which injustice is most felt are social and civil, and it seems plausible that their path to justice could parallel that of women – first, to gain a political voice, and then, to use that voice to draw attention to, and eventually to reduce (and hopefully, eventually, to eliminate) the present injustices. Williams said that "if women enter environments where men have only been talking to men, the conversation is bound to change. If blacks enter spaces where whites have only been talking to other whites, the conversation is bound to grow somewhat more encompassing" (Williams, 1995, p. 93). To this, Roche adds that "the inclusion of children in such spaces and conversations would also change things" (Roche, 1999, p. 488). As I discussed earlier, things need changing. Children are disadvantaged compared to the population as a whole, even within otherwise relatively just states. While Dixon & Nussbaum reject the comparison between children and women, they do point out that there are important similarities between the protection of children's rights and the protection of the rights of persons with intellectual disabilities. I would argue that these similarities extend beyond a focus on rights, to those duties of justice which we have towards children, and those with intellectual disabilities. An important and shared aspect of injustice, as faced by those with cognitive disabilities and by children, is that "they are also largely overlooked by theories of justice in the social contract tradition" (Dixon & Nussbaum, 2012, p. 562). Because neither the cognitively disabled nor the young fit the model commonly used in such a tradition, it is easy for their needs to go unconsidered. As such, a capabilities approach is valuable in the search for justice for children, just as it was for those with cognitive disabilities. Those children who in fact lack the capability for political participation ought to be assisted in having their needs and desires catered for in the same way as those with intellectual disabilities who lack the capability for political participation. But in neither case ought we to rush to the claim that these people cannot participate. We should do our utmost to offer them the chance to, and only when our efforts to include them fail ought we to seek other means. 5. Conclusion Children, globally, are subject to significant political, social and civil injustice. In no democracy are children entitled to fully participate in political processes. Unless and until this situation is remedied, all children in democratic societies are denied access to an effective means of improving their social status. As I have argued, political inclusion provides a pathway towards civil and social inclusion, and children have an opportunity to follow the example of others who have gained political, social and civil recognition through arguing for political rights, and using those political rights to demand more equitable inclusion in civil society. Any regime is just, only insofar as those subjected to it have an equal say in the decisions made by it. For all children, everywhere in the world, this ability to have an influence over their state is non-existent. So, for children, more so than for any other identifiable group in society, there is no safe haven; no place wherein they can currently find justice. All states decide for them, and prevent them from exercising their rights as articulated in the United Nations Convention on the Rights of the Child. 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Company: San Diego Gas & Electric Company (U 902 M) Proceeding: 2024 General Rate Case Application: A.22-05-016 Exhibit: SDG&E-48-R REVISED PREPARED DIRECT TESTIMONY OF JEFF P. STEIN (PRESENT AND PROPOSED ELECTRIC REVENUES AND RATES) BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA August 2022 TABLE OF CONTENTS SUMMARY - Proposed 2024 GRC system average electric rates revenue will increase 6.6% over 2023 system average electric rates revenue that reflect the as expected authorized 2023 GRC revenue requirements if all of San Diego Gas & Electric Company's (SDG&E) 2024 Test Year (TY) General Rate Case (GRC) Phase 1 proposals are adopted. System average electric rates revenue will increase 10.8% over current effective 2022 system average rates revenue if all of SDG&E's 2024 TY GRC Phase 1 proposals are adopted. - When comparing illustrative 2023 rates that reflect the expected authorized 2023 GRC revenue requirements shown in the GRC filing to the proposed illustrative 2024 GRC Phase 1 rates, the typical inland residential customer with basic service that uses 400 kWh per month would see an increase of $8.63 per month, or 5.5%, in the summer, and $8.76 per month, or 5.5% in the winter. The typical coastal residential customer with basic service that uses 400 kWh per month would see an increase of $8.90 per month, or 5.5%, in the summer, and $8.85 per month, or 5.5%, in the winter. - When comparing rates that reflect the currently effective 2022 rates to the proposed illustrative 2024 GRC Phase 1 rates, the typical inland residential customer with basic service that uses 400 kWh per month would see an increase in their electric bill of $13.33 per month, or 8.8%, in the summer, and $13.54 per month, or 8.8% in the winter. The typical coastal residential customer with basic service that uses 400 kWh per month would see an increase in their electric bill of $13.75 per month, or 8.8%, in the summer and $13.67 per month, or 8.8%, in the winter. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 REVISED PREPARED DIRECT TESTIMONY OF JEFF P. STEIN (PRESENT AND PROPOSED ELECTRIC REVENUE AND RATES) I. INTRODUCTION The purpose of my testimony is to present: (1) a summary of the electric revenue and rate changes that would result from adoption of the TY 2024 GRC proposals of SDG&E, 1 and (2) estimates of residential customer bill impacts. II. SUMMARY OF PRESENT AND PROPOSED ELECTRIC REVENUES AND RATES The following tables show current and proposed revenues and rates by customer class. SDG&E has five customer classes: residential, small commercial (generally defined as nonresidential customers with demand less than 20 kW), medium and large commercial and industrial (M/L C&I) (generally defined as non-residential customers with demand 20 kW and greater), agricultural, and streetlighting. SDG&E's proposals in this proceeding would result in changes to the distribution and commodity rate components to reflect the requested change in revenue requirements. My testimony relies on the testimony of Ryan Hom (Exhibit SDG&E-44) for TY 2024 proposed electric revenues. Table JS-1 presents the comparison of 2023 revenues that reflect the expected authorized 2023 revenue requirements and SDG&E's 2024 GRC Phase 1 proposed electric revenues by customer class, as well as the comparison of expected 2023 rates and SDG&E's proposed 2024 GRC Phase 1 rates by customer class. As proposed, SDG&E's GRC Phase 1 would result in an increase to total electric rate revenues of $279 million, or 6.6%, with a system average rate impact of 1.7 cents/kWh, or 5.5%, compared to expected 2023 rates. 1 This GRC Application addresses Phase 1 cost-of-service proposals. SDG&E separately files a GRC Application for Phase 2, which addresses electric marginal costs, revenue allocation, and rate design Table JS-1 SDG&E Electric Department Summary of Electric Revenue by Customer Class 1 Includes revenues effective 1/1/2022 per AL 3928-E/A/B adjusted for expected 2023 GRC revenue requirements and other revenues expected to be implemented in 2023. 3 Totals may not sum due to rounding 2 Includes Utility Distribution Company revenues plus Generation/Commodity revenues based on current authorized sales. . 1 Includes revenues effective 1/1/2022 per AL 3928-E/A adjusted for expected 2023 GRC revenue requirements and other revenues expected to be implemented in 2023. 3 Totals may not sum due to rounding. 2 Includes Utility Distribution Company revenues plus Generation/Commodity revenues based on current authorized sales. Table JS-2 presents the comparison of current effective 2022 revenues and SDG&E's 2024 GRC Phase 1 proposed electric revenues by customer class, as well as the comparison of current effective 2022 rates and SDG&E's proposed 2024 GRC Phase 1 rates by customer class. As proposed, in 2024 SDG&E's GRC Phase 1 would result in an increase in electric rate revenues of $442 million, or 10.8%, with a system average rate impact of 2.7 cents/kWh, or 8.6%, compared to current effective 2022 rates. Table JS-2 SDG&E Electric Department Summary of Electric Revenue by Customer Class 1 Current effective rates 1/1/2022 per AL 3928-E/A. 2 Includes Utility Distribution Company revenues plus Generation/Commodity revenues based on current authorized sales. 3 Totals may not sum due to rounding. 1 Includes Utility Distribution Company revenues plus Generation/Commodity revenues based on current authorized sales. 2 Current effective rates 1/1/2022 per AL 3928-E/A/B. 3 Totals may not sum due to rounding. III. RESIDENTIAL CUSTOMER BILL IMPACTS Illustrative bill impacts to residential customers of SDG&E's proposals in this proceeding are presented in Tables JS-3, JS-4, JS-5 and JS-6 of this testimony. Tables JS-3, JS-4, JS-5, and JS-6 reflect monthly electric bill impacts, variable by season, climate zone, and usage level for non-CARE 2 customers. As shown on Table JS-3, when comparing the as expected 2023 rates that reflect the authorized 2023 GRC revenue requirement to the 2024 GRC proposed rates, the typical inland residential customer with basic service that uses 400 kWh per month, would see an increase of $8.63 per month, or 5.5%, in the summer, and $8.76 per month, or 5.5% in the winter under the current residential rate design structure. Table JS-3 (Inland Customers) 2 California Alternate Rates for Energy (CARE). As shown on Table JS-4, when comparing the as expected 2023 rates that reflect the authorized 2023 GRC revenue requirements to the 2024 GRC proposed rates, the typical coastal residential customer with basic service that uses 400 kWh per month would see an increase of $8.90 per month, or 5.5%, in the summer and $8.85 per month, or 5.5%, in the winter. LINE NO. 1 2 3 4 5 6 7 8 9 10 11 12 ENERGY (KWH) (A) 25 50 75 100 150 200 250 300 350 400 450 500 Table JS-4 (Coastal Customers) Schedule TOU-DR-1 (Winter Billing Period) 1/1/2023 1/1/2024 Expected PRESENT BILL ($) (B) 5.34 14.91 25.03 35.16 55.42 75.67 95.93 116.18 136.44 160.98 186.47 211.95 Expected PROPOSED BILL ($) (C) 5.34 15.99 26.65 37.31 58.66 79.98 101.32 122.64 143.98 169.83 196.68 223.51 CHANGE ($) (D) 0.00 1.08 1.62 2.15 3.24 4.31 5.39 6.46 7.54 8.85 10.21 11.56 CHANGE (%) (E) 0.0% 7.2% 6.5% 6.1% 5.8% 5.7% 5.6% 5.6% 5.5% 5.5% 5.5% 5.5% LINE NO. 1 2 3 4 5 6 7 8 9 10 11 12 As shown on Table JS-5, when comparing the currently effective 2022 rates to the 2024 GRC proposed rates, the typical inland residential customer with basic service that uses 400 kWh per month, would see an increase of $13.33 per month, or 8.8%, in the summer, and $13.54 per month, or 8.8%, in the winter under the current residential rate design structure. Table JS-5 (Inland Customers) As shown on Table JS-6, when comparing the currently effective 2022 rates to the 2024 GRC proposed rates, the typical coastal residential customer with basic service that uses 400 kWh per month would see an increase of $13.75 per month, or 8.8%, in the summer and $13.67 per month, or 8.8%, in the winter. Table JS-6 (Coastal Customer) Schedule TOU-DR-1 (Winter Billing Period) 1/1/2024 1 IV. CONCLUSION This concludes my prepared direct testimony. 2 1 2 3 4 5 6 7 8 9 10 11 12 13 V. WITNESS QUALIFICATIONS My name is Jeff P. Stein and my business address is 8330 Century Park Court, San Diego, California 92123. I am the Manager of Customer Pricing at SDG&E. My responsibilities include the determination of revenue allocation and electric rate design methods, analysis of ratemaking theories, and preparation of various regulatory filings. I received a Bachelor of Science degree in Business Administration with an emphasis in Accounting from San Diego State University in 2003. Upon receiving my Bachelor's degree, I was employed by a Public Accounting and Advisory services firm. After two years of public accounting, I joined Sempra Energy in 2006 and have held various positions of increasing responsibility in Sempra Energy's Internal Audit Department, SDG&E's Business Controls Department, SDG&E's Accounting Operations, and SDG&E's Transmission Revenue Department. I have previously submitted testimony before the CPUC and before the FERC. APPENDIX A GLOSSARY OF TERMS APPENDIX A Glossary of Terms \| SDG&E-48 \| Jeff Stein \| JPS-ii \| Summary \| \|---\|---\|---\|---\| \| SDG&E-48 \| Jeff Stein \| JPS-1 \| 23 \| \| SDG&E-48 \| Jeff Stein \| JPS-1 \| 23 \| \| SDG&E-48 \| Jeff Stein \| JPS-2 \| Table JS-1 \| \| SDG&E-48 \| Jeff Stein \| JPS-3 \| 5 \| \| SDG&E-48 \| Jeff Stein \| JPS-3 \| 6 \| \| SDG&E-48 \| Jeff Stein \| JPS-3 \| Table JS-2 \| \| SDG&E-48 \| Jeff Stein \| JPS-4 \| 9 \| \| SDG&E-48 \| Jeff Stein \| JPS-4 \| 9 \| \| SDG&E-48 \| Jeff Stein \| JPS-4 \| Table JS-3 \| \| SDG&E-48 \| Jeff Stein \| JPS-5 \| 4 \| \| SDG&E-48 \| Jeff Stein \| JPS-5 \| 4 \| \| SDG&E-48 \| Jeff Stein \| JPS-6 \| Table JS-4 \| \| SDG&E 48 \| Jeff Stein \| JPS-7 \| 3 \| \| SDG&E 48 \| Jeff Stein \| JPS-7 \| 3-4 \| \| SDG&E 48 \| Jeff Stein \| JPS-7 \| Table JS-5 \| \| SDG&E 48 \| Jeff Stein \| JPS-8 \| 3 \| \| SDG&E 48 \| Jeff Stein \| JPS-8 \| 3-4 \| \| SDG&E 48 \| Jeff Stein \| JPS-8 \| Table JS-6 \|
ENVIRONMENTAL PRODUCT DECLARATION in accordance with ISO 14025 und EN 15804 Declaration holder Publisher Programme holder Declaration number Issue date Validity FibreCem Holding AG Institut Bauen und Umwelt (IBU) EPD-FCH-2013311-E 14.01.2013 13.01.2018 Large-format fibre-cement panels SWISSPEARL / CARAT / REFLEX / XPRESSIV / NOBILIS / PLANEA / Greycolour / Fullcolour / Intregral Plan / AURA FibreCem Holding AG www.bau-umwelt.com 1 General information Eternit (Schweiz) AG, Niederurnen (Switzerland) Eternit-Werke Ludwig Hatschek AG, Vöcklabruck (Austria) ESAL d. o. o., Deskle (Slovenia) FibreCem Deutschland GmbH, Porschendorf (Germany) Programme holder IBU - Institut Bauen und Umwelt e.V. Rheinufer 108 D-53639 Königswinter Declaration number EPD-FCH-2013311-E This Declaration is based on the Product Category Rules: Requirements on the EPD for fibre cement / fibre concrete, 09-2011 (PCR tested and approved by the independent Committee of Experts (SVA)) Issue date 14.01.2013 Valid until 13.01.2018 Prof. Dr.-Ing. Hans-Wolf Reinhardt (Chairman of the Expert Committee (SVA)) 2 Product 2.1 Product description Large-format, smooth panels made from naturallyhardened fibre cement based on grey or white cement. The panels are manufactured as grey panels with a glazed or opaque coating pigmented panels (dyed throughout) with a glazed or opaque coating panels made from white cement with a glazed or opaque coating. 2.2 Application Smooth panels for mounting on façades or roofs on wooden or metal substructures On façades in accordance with the principle of backventilated curtain façades 2.3 Technical data Thermal conductivity [W/mK]: 0.56 WmK Bulk density [kg/m³]: 1550 - 1900 kg/m³ Bending tensile strength [N/mm²]: vertically (in direction of fibres) 15.5 to 26 N/mm², horizontally 21.5 to 34.5 N/mm² SWISSPEARL / CARAT / REFLEX / XPRESSIV / NOBILIS / PLANEA / Greycolour / Fullcolour / Intregral Plan / AURA Holder of the Declaration FibreCem Holding AG Eternitstrasse 3 CH-8867 Niederurnen Declared product/unit Large-format fibre-cement panels / tonne t Area of applicability: The EPD refers to three types of large-format fibrecement panels manufactured in the FibreCem Holding AG plants in Switzerland (Eternit Schweiz AG, Niederurnen and Payerne) and Austria (Eternit-Werke Ludwig Hatschek AG, Vöcklabruck). Approx. 90% of the large-format fibre-cement panels are produced proportionately in Switzerland and Austria. Three average products from two plants are declared. The EPD is therefore representative for large-format panels manufactured by FibreCem Holding AG. Verification The CEN EN 15804 standard serves as the core PCR. Verification of the EPD by an independent third party in accordance with ISO 14025 internal x external Patricia Wolf (Independent auditor appointed by the SVA) Elastic modulus [N/mm²]: 12,000 to 15,000 N/mm² Linear coefficient of expansion [mm/mK]: 0.01 mm/mK Ageing resistance: resistant as per EN 12467 2.4 Placing on the market / Application rules In accordance with EN 12467, Fibre-cement flat panels – Product specification and test methods 2.5 Delivery status The large-format panels made of fibre cement are supplied in various lengths and widths at thicknesses ranging from 6 to 12 mm. The maximum untrimmed formats are 3070 x 1250 or 3020 x 1270 mm. The maximum usable formats are 3040 x 1220 or 3000 x 1270 mm. The panels are cut to individual dimensions and drilled. Delivery is on special pallets with a max. weight of 1900 kg. 2.6 Base materials / Auxiliaries The large-format panels made of fibre cement comprise the following base materials (base materials as mass percentages of the hardened product): and water for processing Water 14.2 to 16.2% (chemically-bound and free water) The unbound share of water on delivery is approx. 5-8 %. 2.7 Production Large-format panels made of fibre cement are manufactured in accordance with an automated winding process: The raw materials are mixed with water to prepare a homogeneous mixture. The mixture is pumped into material boxes in which screen cylinders rotate and drain internally. The screen surface is covered in a thin film of fibre cement which is transferred onto an infinite conveyor belt (transport felt) from where it is conveyed to a format roller which is gradually covered in an increasingly thicker layer of fibre cement. Once the requisite material thickness is achieved, the still moist and malleable fibre-cement layer (fleece) is separated and rolled off the format roller. The fibre-cement layer (fleece) is subsequently cut to length and leftovers are returned to the production process preventing any waste from being incurred. The cut and malleable panel which has not yet set is stacked between interim layers and pressed. The panels are then set aside for binding before stacking on pallets and stored temporarily in a special store for further setting. The setting time lasts approx. 4 weeks. The visible side is usually coated for which the highquality pure acrylic paint is applied twice in a pouring or spraying process prior to hot filming. The reverse is attributed a single or double coating which is usually rolled on. A Quality Management system in accordance with EN ISO 9001:2008 is introduced and certified in the manufacturing plants. 1 Scales for process fibres (cellulose) 12 Board machine 2 Water 13 Punch press 3 Pulper 14 Punched sections 4 Vat of process fibres in water 15 Press 5 Reinforcement fibres (synthetic fibres) 16 Setting 6 Portland cement 17 Cooling line 7 Additives 18 Dryer 8 Water 19 Semi-finished products store 9 Intensive mixer 1 20 Coating 10 Intensive mixer 2 21 Blanks 11 Horizontal mixer 22 Water circuit 2.8 Environment and health during manufacturing All of the manufacturing plants adhere to the national environmental and health regulations. The requisite processes, monitoring and measurements are in place and implemented. Past measurements indicated that the limit values are significantly fallen short of in each case. A safety system in accordance with the EKAS Directive 6508 is in place in the manufacturing plant in Switzerland. Directive 2003/53/EC of the European Parliament and Council dated 18 June 2003 on the 26th amendment of Council Directive 76/769/EEC governing restrictions on the marketing and use of certain hazardous substances and preparations (nonylphenol, nonylphenol ethoxylate and cement) is taken into consideration and implemented in the manufacturing plants. The substances are prepared and processes exclusively in closed rooms in order to keep noise emissions as low as possible. Raw materials are largely transported by rail in order to keep emissions as low as possible there, too. The process water is retained in a closed circuit. Excess volumes are treated and redirected into public waters under the supervision of the regional waste water providers. This minimises environmental pollution by waste water. 3 2.9 Product processing / Installation The panels are generally cut and drilled to the customer's requests in the plant or by suppliers availing of the appropriate equipment. Individual cutting to size is possible on the building site. Suitable handheld circular or circular table saws with blades suitable for fibre cement must be used for processing. The panels are mounted on the façade in accordance with the principle of back-ventilated curtain façades on wooden or metal substructures using the appropriate anchoring and securing equipment. Separate systems are available for mounting on roofs where the panels are screwed or suspended. In the case of mechanical blanks, the cutting dust should be removed using a suitable dust extraction system. Respiratory masks are recommended and must be used in accordance with the specifications outlined in national regulations. The basis is formed by the technical documentation of the individual companies in FibreCem Holding AG. During transport, storage and assembly, all measures must be taken to prevent the risk of injury, material damage and consequential damage. Slates bundled on pallets may only be moved when secured properly using fastening elements. The relevant accident prevention measures for avoiding injuries and material damage in accordance with the country-specific regulations must be adhered to. No other special measures are necessary. 2.10 Packaging The panels are bound on reusable pallets for regional shipping or shipping within Europe directly to the building site or to the distributor. These pallets are generally used several times. Composition of packaging per 1000 kg panels: Wood (reusable pallet) 1.5 kg Cardboard as edge protection 0.5 kg PE foil 0.4 kg Specific pallets are used for overseas transport which are disposed of locally or re-used. Composition of packaging per 1000 kg: Wood (Euro pallet) 106 kg PE foil 0.8 kg 2.11 Condition of use When the cement and water mixture sets (hydration), cement stone (calcium silicate hydrate) is formed with embedded fibres and fillers as well as micro air voids. Over the RSL, the surface of the cement stone reacts to the effects of CO2 (carbon dioxide) from the air and moisture to form calcium carbonate (carbonation). Owing to this material composition, there are no particular characteristics which need to be observed during the use phase. 2.12 Environment and health during use When the products are used as designated, the current state of knowledge indicates that there are no risks involved for the environment or health. 2.13 Reference Service Life (RSL) The utilisation phase is not evaluated in this Environmental Product Declaration. 2.14 Extraordinary effects Fire The large-format fibre-cement panels display the following fire performance in accordance with DIN EN 13501-1: A2 – s1, d0 Fire class A2 non-combustible, with shares of combustible building materials Smoke class s1 no/little smoke development d0 no dripping/falling Water The ingredients are firmly bound in the cement/fibre matrix after setting. Thanks to this form bond, no ingredients which could be hazardous to water are washed out in the event of extraordinary effects by water. Mechanical destruction The product displays brittle breakage behaviour under mechanical loads. Splinters and sharp edges can arise. Resistance to mechanical influences in accordance with EN 12467 complies with classes A3 – A5. 2.15 Re-use phase The large-format panels can be removed nondestructively by releasing the screws. In undamaged form, the de-constructed products can be used in accordance with their original designated purpose. 2.16 Disposal When separated by type, the uncoated and coated fibre-cement products referred to are suitable for further use when crushed and as additives in the manufacture of cement (material recycling). Furthermore, the uncoated and coated fibre-cement products referred to are suitable for further use as filler and bulk material in civil engineering, especially in road construction or for noise barriers (material recycling). Where the recycling options indicated above are not practical, fibre-cement product leftovers on the construction site as well as those incurred by demolition can be safely landfilled without pre-treatment in Class I landfills thanks to their largely mineral ingredients: in European countries and Switzerland in accordance with the European Waste Catalogue (EWD) and the disposal guide for waste types for VeVA codes in class 17 01 01. In Austria in accordance with the Austrian Landfill Ordinance 2008 (Federal Law Gazette No. BGBl. II no. 39/2008 Part II) under code number 31409. 2.17 Further information Further information is available on the following Web sites: www.eternit.ch www.eternit.at www.esal.si www.fibrecem.de www.swisspearl.com Environmental Product Declaration FibreCem Holding AG – Large-format fibre-cement panels 4 3 LCA: Calculation rules 3.1 Declared unit The declared unit is 1 tonne (1000 kg). The declared indicators for the Life Cycle Inventory Analysis and estimated impact were calculated as averages, weighted by production volumes, from the Life Cycle Assessment results of manufacturing in the plants in Switzerland and Austria. 3.2 System boundary Type of EPD: cradle to plant gate In accordance with EN 15804, the Life Cycle Assessment refers to the product stage (information modules A1 to A3). Other life cycle phases such as processing, use and disposal were not assessed. Accordingly, it comprises the raw material supply and raw material processing as well as the finishing processes concerning secondary materials serving as input (A1), transport to the manufacturer (A2) and manufacturing (A3). All of the processes supplying material and energy input in Modules A1 to A3 as well as the treatment of all waste and emissions into the air incurred by these processes are part of the system. A large percentage of waste is incurred by cutting the panels to size. Emissions of volatile organic compounds are caused during coating. Waste water is treated by in-company sewage systems. 3.3 Estimates and assumptions Most of the input and output influences of the Life Cycle Inventory Analysis could be depicted using corresponding data from the "ecoinvent v2.2" data base. There were no data records on "ecoinvent" for certain inputs such as polyethylene fibride, polyvinyl alcohol fibres or polyethylene wax (coating component). In some cases, they were modelled using data which is as similar as possible (proxy data). For PVA, data was used which was drawn up by ESUservices within the framework of a project by the Swiss Federal Office of Energy (BFE, Switzerland) 1 . The data was recorded in accordance with the ecoinvent guidelines and was available in EcoSpold format. Where possible, specific regional data was used when selecting background data. 3.4 Cut-off criteria No data was available on the infrastructure of the FibreCem Holding (buildings and machinery) when recording data on fibre-cement production. The following details can be provided, however: The production and storage halls as well as the administration buildings are several decades old. Thanks to unchanging production processes, most of the production equipment and machinery have also been in use for several years. On the basis of an estimate, it can be assumed that the impact by the infrastructure per kilogramme of product as per the Product Category Rules is less than 5% of the total use of primary energy and accounts for less than 5% of the total mass of the product stage. 3.5 Background data Data from "ecoinvent, version 2.2 2 " was used for drawing up the Life Cycle Assessments. 3.6 Data quality The data records were comprehensive and carried out directly at the various production locations using a standardised questionnaire. All data was examined for plausibility in collaboration with the manufacturers. Very good data quality can therefore be assumed. The background data used from "ecoinvent" relates to data stocks from 2010. Some of the background data in ecoinvent has not however been thoroughly revised for some time. 3.7 Period under review Data for the entire production in 2010 was recorded at the production facilities. Apart from large-format panels, medium-sized and small panels, profiled panels and roof slates are also manufactured in the various FibreCem Holding plants. 3.8 Allocation Within Modules A1, A2 and A3, the inputs and outputs of data records which could not be directly allocated to a product were allocated via the production volume of individual products. 3.9 Comparability As a general rule, a comparison or evaluation of EPD data is only possible when all of the data to be compared has been drawn up in accordance with EN 15804. The building context or product-specific characteristics also need to be taken into consideration. 4 LCA: Scenarios and other technical information No further details. 1 N. Jungbluth et al., Life Cycle Inventories of Photovoltaics, ESU-services, 2012, http://www.esuservices.ch/data/public-lci-reports/ 2 ecoinvent Centre, Swiss Centre for Life Cycle Inventories, ecoinvent v2.2, 2010, www.ecoinvent.org 5 5 LCA: Results The following tables depict the results of the indicators for the Life Cycle Assessment, use of resources and waste with reference to one tonne: grey panels, coated pigmented panels, coated white cement panels, coated. The data is representative for products manufactured by FibreCem Holding AG. \| Product stage \| \| \| Construction process stage \| \| Use stage \| \| \| \| \| \| \| End-of-life stage \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Raw material supply \| Transport \| Manufacture \| Transport \| Construction-installation process \| Use / Application \| Maintenance \| Repairs \| Replacement \| Refurbishment \| Operational energy use \| Operational water use \| De-construction \| Transport \| Waste treatment \| Landfilling \| \| A1 \| A2 \| A3 \| A4 \| A5 \| B1 \| B2 \| B3 \| B4 \| B5 \| B6 \| B7 \| C1 \| C2 \| C3 \| C4 \| \| X \| X \| X \| MND \| MND \| MND \| MND \| MND \| MND \| MND \| MND \| MND \| MND \| MND \| MND \| MND \| \| \| \| Grey panels, coated \| Pigmented panels, coated \| \|---\|---\|---\|---\| \| Parameter \| Unit \| A1 - A3 \| A1 - A3 \| \| Global Warming Potential (GWP) \| [kg CO2 equiv.] \| 1.06E+03 \| 1.15E+03 \| \| Depletion Potential of the Stratospheric Ozone Layer (ODP) \| [kg CFC11 equiv.] \| 6.54E-05 \| 1.31E-04 \| \| Acidification Potential of soil and water (AP) \| [kg SO2 equiv.] \| 2.23E+00 \| 2.53E+00 \| \| Eutrification Potential (EP) \| [kg PO43 equiv.] \| 7.63E-01 \| 7.95E-01 \| \| Formation Potential of Tropospheric Ozone Photochemical Ox- idants (POCP) \| [kg ethene equiv.] \| 1.60E-01 \| 1.70E-01 \| \| Abiotic Depletion Potential non-Fossil Resources (ADPE) \| [kg Sb equiv.] \| 1.19E-03 \| 1.51E-03 \| \| Abiotic Depletion Potential Fossil Resources (ADPF) \| [MJ] \| 9.59E+03 \| 1.36E+04 \| \| LCA RESULTS – USE OF RESOURCES: 1 tonne large-format fibre-cement panels \| \| \| \| \| \|---\|---\|---\|---\|---\| \| \| \| Grey panels, coated \| Pigmented panels, coated \| white cement pa- nels, coated. \| \| Parameter \| Unit \| A1 – A3 \| A1 – A3 \| A1 – A3 \| \| Renewable primary energy as energy carrier (PERE)3 \| [MJ] \| – \| – \| – \| \| Renewable primary energy as material utilisation (PERM) \| [MJ] \| – \| – \| – \| \| Total use of renewable primary energy sources (PERT) \| [MJ] \| 2.16E+03 \| 2.17E+03 \| 1.71E+03 \| \| Non-renewable primary energy as energy carrier (PERE) \| [MJ] \| – \| – \| – \| \| Non-renewable primary energy as material utilisation (PENRM) \| [MJ] \| – \| – \| – \| \| Total use of non-renewable primary energy sources (PENRT) \| [MJ] \| 1.24E+04 \| 1.64E+04 \| 1.42E+04 \| \| Use of secondary materials (SM) \| [kg] \| – \| – \| – \| \| Renewable secondary fuels (RSF) \| [MJ] \| – \| – \| – \| \| Non-renewable secondary fuels (NRSF) \| [MJ] \| – \| – \| – \| \| \| \| Grey panels, coated \| Pigmented panels, coated \| \|---\|---\|---\|---\| \| Parameter \| Unit \| A1 – A3 \| A1 – A3 \| \| Hazardous waste for disposal (HWD) \| [kg] \| – \| – \| \| Disposed of, non-hazardous waste (NHWD) \| [kg] \| 8.63E+01 \| 8.63E+01 \| \| Disposed of, radioactive waste (RWD) \| [kg] \| – \| – \| \| Components for re-use (CRU) \| [kg] \| – \| – \| \| Materials for recycling (MFR) \| [kg] \| – \| – \| \| Materials for energy recovery (MER) \| [kg] \| – \| – \| \| Exported energy (EE) \| [MJ] \| – \| – \| 3 The primary energy used as energy carriers and for material utilisation can not be differentiated using ecoinvent. Environmental Product Declaration FibreCem Holding AG – Large-format fibre-cement panels 6 6 LCA: Interpretation The following graphics depict a dominance analysis for the most important indicators of the Life Cycle Inventory Analysis or estimated impact. Independent of the respective indicator, the results for grey coated panels are largely determined by the percentages of cement and synthetic fibres in the basic mixture as well as electricity and natural gas consumption during manufacturing while packaging, water consumption and waste only have a minor influence on the overall results (only a few per cent) (Fig. 1). The additional pigments (other ingredients) in the basic mixture have a decisive influence on the results in the case of pigmented panels which are dyed throughout. The share of pigments in the overall result is primarily dominant in the total use of non-renewable primary energy sources (PENRT) and the formation potential of tropospheric ozone photochemical oxidants (ODP) dominant (Fig. 2). 7 The dominance analysis panels made from white cement is comparable with that of panels comprising grey basic materials, the difference being that the provision of white cement is associated with longer transport distances (see also Fig. 3, "Transport"). 7 Requisite evidence 7.1 Radioactivity In accordance with ÖNORM S 5200:2009 (test "A"), the material can be classified as harmless as the limit assessment factor (ÖNORM S5200 / level "A") of 1 was significantly fallen short of by the assessment factors 0.09 to 0.016 +/- 0.02. Measurements were carried out on materials from each of the individual manufacturing plants. Measuring agency / Report / Date: Seibersdorf Laboratories, 2444 Seibersdorf, Austria / LA278-1/12, LA278-2/12, LA278-3/12, LA278-4/12 / 18.06.2012 7.2 Leaching No reservations can be asserted against the structural use of the products referred to from a waterhygiene perspective. 8 References Institut Bauen und Umwelt e.V., Königswinter (pub.): General principles for the EPD range of Institut Bauen und Umwelt e.V. (IBU), 2011-06 Product Category Rules for Building Products, Part A: Calculation rules for the LCA and requirements on the background report 2011-07 Product Category Rules for Building Products, Part B: Requirements on the EPD for fibre cement / fibre concrete www.bau-umwelt.de DIN EN ISO 14025:2011-10, Environmental labels and declarations – Type III environmental declarations – Principles and procedures (ISO 14025:2006) DIN EN 15804:2012-04, Sustainability of construction works – Environmental product declarations – Core rules for the product category of construction products EN 12467:2012 Fibre-cement flat panels – Product specification and test methods An eluate measurement was carried out to determine the disposal class. The material falls short of all limit values for Class I landfill sites and complies with disposal code 10 13 11. Measuring agency / Registration no. / Report / Date: Pulp and Paper Institut, Bogisiceva ul.8, 1000 Ljubljana, Slovenia / Registration code 1253344 / Report no. 23.650 / 23.01.2012 7.3 VOC emissions The product is not used in residential applications. DIN EN ISO 9001:2008-12, Quality management systems – Requirements (ISO 9001:2008) EN 13501-1:2007+A1:2009, Fire classification of construction products and building elements – Part 1: Classification using data from reaction to fire tests European Waste Catalogue (EWC) Regulation dated 22 June 2005 on handling waste (VeVA) Austrian Landfill Ordinance 2008 (Federal Law Gazette No. BGBl. II No. 39/2008 Part II) Data: ecoinvent Centre, Swiss Centre for Life Cycle Inventories, ecoinvent version 2.2, 2010, www.ecoinvent.org N. Jungbluth et al., Life Cycle Inventories of Photovoltaics, ESU-services, 2012, http://www.esuservices.ch/data/public-lci-reports/ 9 Publisher Institut Bauen und Umwelt e.V. Rheinufer 108 53639 Königswinter Germany Tel. +49 (0)2223 296679-0 Fax +49 (0)2223 296679-0 E-mail email@example.com Web www.bau-umwelt.com Programme holder Institut Bauen und Umwelt e.V. Tel. +49 (0)2223 296679-0 Rheinufer 108 Fax +49 (0)2223 296679-0 53639 Königswinter E-mail firstname.lastname@example.org Germany Web www.bau-umwelt.com Holder of the Declaration FibreCem Holding AG Eternitstrasse 3 8867 Niederurnen Switzerland Tel. +41 (0)55 617 1111 Fax +41 (0)55 617 1349 E-mail email@example.com Web www.fibrecem.ch Author of the Life Cycle Assessment büro für umweltchemie Schaffhauserstrasse 21 8006 Zurich Switzerland Tel. Fax E-mail Web +41 (0)43 300 5040 +41 (0)43 255 1535 firstname.lastname@example.org www.umweltchemie.ch
35TH ANNU ANNUAL REPORT 2016-17 AL REPORT 2016-17 WAGEND INFRA VENTURE LIMITED BOARD OF DIRECTORS Mr. Sanjay Minda Mr. Pratik Jain Mr. Pramod Bhelose Mr. Manoj Modi Ms. Priyanka Jain BANKERS HDFC Bank Ltd. AUDITORS M/s Gupta Saharia & Co. (Chartered Accountant) (Statutory Auditor) REGISTERED OFFICE Office No. 117, First Floor, Hubtown Solaris, N. S. Phadke Marg, Nr. East – West Flyover, Andheri (East), Mumbai – 400 069, Maharashtra CIN: L67120MH1981PLC025320 SHARE TRANSFER AGENT Jain Rahul & Associates (Company Secretaries) (Secretarial Auditor) Purva Sharegistry India Pvt. Ltd. 9, Shiv Shakti Industrial Estate, J R Boricha Marg, Lower Parel (E), Mumbai - 400011. 1 ANNUAL REPORT 2016-17 NOTICE NOTICE IS HEREBY GIVEN THAT THE 35 TH ANNUAL GENERAL MEETING ("AGM") OF THE SHAREHOLDERS OF WAGEND INFRA VENTURE LIMITED WILL BE HELD ON SATURDAY, SEPTEMBER 30, 2017 AT 12.30 P.M. AT REGISTERED OFFICE OF THE COMPANY AT OFFICE NO. 117, FIRST FLOOR, HUBTOWN SOLARIS, N. S. PHADKE MARG, NEAR EAST WEST FLYOVER, ANDHERI (E), MUMBAI – 400 069, MAHARASHTRA TO TRANSACT THE FOLLOWING BUSINESS: ORDINARY BUSINESS 1. To consider and adopt the Audited Financial Statements for the year ended 31 st March, 2017 and reports of the Board of Directors and the Auditors thereon. 2. To appoint a Director in place of Mr. Pratik Jain (DIN 03387613), who retires by rotation and being eligible, offers himself for reappointment. 3. To ratify the appointment of Auditors and to fix their remuneration and in this regard to consider and if thought fit, to pass with or without modification(s), the following resolution as an Ordinary Resolution: "RESOLVED THAT pursuant to Section 139 and all other applicable provisions, if any, of the Companies Act, 2013 and the rules framed thereunder, as amended from time to time, the Company hereby ratifies the appointment of M/s. Gupta Saharia & Co., Chartered Accountants, Mumbai (Firm Reg. no. 103446W), as Statutory Auditors of the Company to hold office from the conclusion of this Annual General Meeting (AGM) till the conclusion of the 36 th Annual General Meeting on such remuneration as shall be fixed by the Board of Directors of the Company." By order of the Board of Directors For Wagend Infra Venture Limited Place: Mumbai Date: 21.08.2017 Sd/- Sanjay Minda Chairman DIN: 00034029 NOTES: 1. A MEMBER ENTITLED TO ATTEND AND VOTE AT THE MEETING IS ENTITLED TO APPOINT A PROXY TO ATTEND AND VOTE INSTEAD OF HIMSELF / HERSELF AND SUCH PROXY NEED NOT BE A MEMBER OF THE COMPANY. The proxies to be effective should be deposited at the registered office of the company not less than forty eight (48) hours before the commencement of the meeting and in default, the instrument of proxy shall be treated as invalid. Proxies submitted on behalf of the companies, societies etc., must be supported by an appropriate resolution / authority, as applicable. A person can act as a proxy on behalf of members not exceeding 50 and holding in aggregate not more than 10% of the total share capital of the Company carrying voting rights. 2. The details under regulation 36(3) of SEBI (LODR) Regulations 2015 in respect of Director seeking reappointment at the Annual General Meeting, is annexed hereto. 3. The Register of Members and Share Transfer Books of the Company will remain closed from Friday, September 29, 2017 to Saturday September 30, 2017. 4. The business set out in the notice will be transacted interalia through remote electronic voting system and the Company is providing facility interalia for remote e-voting by electronic means and ballot papers will be made available at the AGM. Instructions and other information relating to remote e-voting are given in this notice under note no.10 the communication relating to remote e-voting which interalia would contain details about user id and password is sent alongwith the annual report. 5. Corporate members intending to send their representatives are requested to send a duly certified copy of the resolution authorizing their representatives to attend and vote on their behalf at the meeting. 6. In case of joint holders attending the meeting, only such joint holder who is higher in the order of names will be entitled to vote. 7. Members / Proxies are requested to bring the attendance slip duly filled in for attending the meeting. 8. All members are requested to intimate changes, if any, in their registered address, immediately to the Registrar & Transfer Agents, Purva Sharegistry India Pvt. Ltd. or to their depository participants in case shares are held in depository form. 9. Members, who have not registered their e-mail addresses so far, are requested to register their e-mail address for receiving all communication including Annual Report, Notices, Circulars, etc. from the Company electronically. 10. REMOTE E–VOTING (E-voting) INSTRUCTIONS: i. In terms of the provisions of Section 108 of Companies, Act, 2013 read with the Companies (Management and Administration) Rules, 2014, and Regulation 44 of the SEBI (LODR) Regulations, 2015 the Company is providing the facility to its members holding shares as on cut-off date, being Saturday, 23 rd September, 2017 to exercise their right to vote by electronic means on any or all of the businesses specified in the accompanying Notice. Details of the process and manner of e-voting along with the details of User ID and Password are being sent to all the Members alongwith the notice. ii. The members who have cast their vote by e-voting may also attend the meeting but shall not be entitled to cast their vote again. The facility for voting through e-voting / poll / ballot paper voting system shall be also made available at the venue of the Meeting. iii. The Company has engaged the services of Central Depository Services Limited ("CDSL") as the agency to provide e-voting facility. iv. Members who hold shares in dematerialized form are requested to write their Client ID and DP ID and those who hold shares in physical form are requested to write their Folio Number in the attendance slip for attending the meeting. v. The Board of director of the Company has appointed CA Vinod Jain, Practicing Chartered Accountant, Mumbai as Scrutinizer to scrutinize the e – voting process in a fair and transparent manner and he has communicated his consent to be appointed as Scrutinizer. The instructions for shareholders voting electronically are as under: (i) The voting period begins on 27/09/2017 at 9.00 a.m. to 29/09/2017 at 5.00 p.m. During this period shareholders' of the Company, holding shares either in physical form or in dematerialized form, as on the cut-off date (record date) of 23/09/2017 may cast their vote electronically. The evoting module shall be disabled by CDSL for voting thereafter. (ii) Shareholders who have already voted prior to the meeting date would not be entitled to vote at the meeting venue. (iii) The shareholders should log on to the e-voting website www.evotingindia.com. (iv) Click on Shareholders. (v) Now Enter your User ID a. For CDSL: 16 digits beneficiary ID, b. For NSDL: 8 Character DP ID followed by 8 Digits Client ID, c. Members holding shares in Physical Form should enter Folio Number registered with the Company. (vi) Next enter the Image Verification as displayed and Click on Login. (vii) If you are holding shares in demat form and had logged on to www.evotingindia.com and voted on an earlier voting of any company, then your existing password is to be used. (viii) If you are a first time user follow the steps given below: \| PAN \| For Members holding shares in Demat Form and Physical Form \| \|---\|---\| \| \| Enter your 10 digit alpha-numeric PAN issued by Income Tax Department (Applicable for both demat shareholders as well as physical shareholders) • Members who have not updated their PAN with the Company / Depository Participant are requested to use the first two letters of their name and the 8 digits of the sequence number in the PAN field. • In case the sequence number is less than 8 digits enter the applicable number of 0’s before the number after the first two characters of the name in CAPITAL letters. Eg. If your name is Ramesh Kumar with sequence number 1 then enter RA00000001 in the PAN field. \| \| Dividend Bank Details OR Date of Birth (DOB) \| Enter the Dividend Bank Details or Date of Birth (in dd/mm/yyyy format) as recorded in your demat account or in the company records in order to login. • If both the details are not recorded with the depository or company please enter the member id / folio number in the Dividend Bank details field as mentioned in instruction (v). \| (ix) After entering these details appropriately, click on "SUBMIT" tab. (x) Members holding shares in physical form will then directly reach the Company selection screen. However, members holding shares in demat form will now reach 'Password Creation' menu wherein they are required to mandatorily enter their login password in the new password field. Kindly note that this password is to be also used by the demat holders for voting for resolutions of any other company on which they are eligible to vote, provided that company opts for e-voting through CDSL platform. It is strongly recommended not to share your password with any other person and take utmost care to keep your password confidential. (xi) For Members holding shares in physical form, the details can be used only for e-voting on the resolutions contained in this Notice. (xii) Click on the EVSN for WAGEND INFRA VENTURE LIMITED on which you choose to vote. (xiii) On the voting page, you will see "RESOLUTION DESCRIPTION" and against the same the option "YES/NO" for voting. Select the option YES or NO as desired. The option YES implies that you assent to the Resolution and option NO implies that you dissent to the Resolution. (xiv) Click on the "RESOLUTIONS FILE LINK" if you wish to view the entire Resolution details. (xv) After selecting the resolution you have decided to vote on, click on "SUBMIT". A confirmation box will be displayed. If you wish to confirm your vote, click on "OK", else to change your vote, click on "CANCEL" and accordingly modify your vote. (xvi) Once you "CONFIRM" your vote on the resolution, you will not be allowed to modify your vote. (xvii) You can also take a print of the votes cast by clicking on "Click here to print" option on the Voting page. (xviii) If a demat account holder has forgotten the changed password then Enter the User ID and the image verification code and click on Forgot Password & enter the details as prompted by the system. (xix) Shareholders can also cast their vote using CDSL's mobile app m-Voting available for android based mobiles. The m-Voting app can be downloaded from Google Play Store. Apple and Windows phone users can download the app from the App Store and the Windows Phone Store respectively. Please follow the instructions as prompted by the mobile app while voting on your mobile. (xx) Note for Non – Individual Shareholders and Custodians: * Non-Individual shareholders (i.e. other than Individuals, HUF, NRI etc.) and Custodian are required to log on to www.evotingindia.com and register themselves as Corporate. A scanned copy of the Registration Form bearing the stamp and sign of the entity should * be emailed to firstname.lastname@example.org. * After receiving the login details a Compliance User should be created using the admin login and password. The Compliance User would be able to link the account(s) for which they wish to vote on. * The list of accounts linked in the login should be mailed to email@example.com and on approval of the accounts they would be able to cast their vote. * A scanned copy of the Board Resolution and Power of Attorney (POA) which they have issued in favour o f the Custodian, if any, should be uploaded in PDF format in the system for the scrutinizer to verify the same. (xxi) In case you have any queries or issues regarding e-voting, you may refer the Frequently Asked Questions ("FAQs") and e-voting manual available at www.evotingindia.com, under help section or write an email to firstname.lastname@example.org. 11. The Scrutinizer shall immediately after the conclusion of AGM verify and count the votes casted at AGM and unblock the votes of e-voting in the presence of at least two (2) witnesses who are not in the employment of the Company and make a Scrutinizer's Report of the votes cast in favour or against, if any, forthwith to the chairman of the Company. 12. The Results shall be declared on or after the AGM of the Company. The Results declared along with the Scrutinizer's Report shall be available for inspection and also placed on the website of the Company, www.evotingindia.com i.e. service provider within prescribed period and submitted to the Stock Exchange. By order of the Board of Director For Wagend Infra Venture Limited Place: Mumbai Sd/- Sanjay Minda Chairman DIN: 00034029 Details of Director seeking re-appointment at the 35 th Annual General Meeting (Pursuant to Regulation 36(3) (Listing Obligation and Disclosure Requirements) Regulations, 2015 entered into with the Stock Exchanges) \| Director Identification Number \| 03387613 \| \|---\|---\| \| Date of Birth and Nationality \| 31/12/1988 and Indian \| \| Relationship with other Directors Interse \| Nil \| \| Date of Appointment \| 21/01/2011 \| \| Expertise in specific functional area \| Financial Service Sector and Capital Market \| \| Qualification \| SYJC \| \| No. of Equity Shares held in the Company \| NIL \| \| Directorship in other Listed Companies as on 31.03.2017 \| NIL \| \| Chairmanship / Membership of Committees in other Listed Companies as on 31.03.2017 \| NIL \| DIRECTORS' REPORT To the Shareholders, Your Directors take pleasure in presenting the 35 th Annual Report and the audited financial statements of the Company for the year ended 31 st March 2017. FINANCIAL PERFORMANCE: The financial performance of the Company for the financial year ended 31 st March, 2017 is summarized below: (Rs. in Lakh) \| Particulars \| 2016-2017 \| \|---\|---\| \| Sales and other Income \| 16.06 \| \| Profit / (Loss) before Depreciation and Tax \| 4.04 \| \| Less: Depreciation \| 1.40 \| \| Profit / (Loss) Before Tax \| 2.64 \| \| Less: Provision for Tax \| 4.55 \| \| Less: Provision for Deferred Tax \| (0.04) \| \| Profit / (Loss) After Tax \| (1.87) \| \| Add: Profit brought forward from previous year \| 334.18 \| DIVIDEND: Since the Company has suffered loss during the year and in order to conserve the reserves to meet the needs of business operation, the Board of Directors has decided not to recommend any dividend for the financial year. TRANSFERRED TO RESERVES: Your Company has suffered loss during the financial year and has not transferred any amount to the reserves maintained by the Company. BRIEF DESCRIPTION OF THE COMPANY'S WORKING DURING THE YEAR: During the year your Company was not able to obtain any infrastructure project contracts and the income earned during the financial year consists only of interest received on the Loans and advances made by the Company. Your management from time to time evaluates the opportunities in the infrastructure and real estate field and is optimistic about the future prospectus for organized players with emergence of Real Estate (Regulation and Development) Act, 2016. During the year your management had taken effective steps and had submitted the desired details and documents and BSE Limited had revoked the suspension in trading of Equity shares of your Company. MATERIAL CHANGES AFFECTING THE FINANCIAL POSITION: There are no material changes and commitments, affecting the financial position of the company which have occurred between the end of the financial year of the company to which the financial statements relate and the date of the report. SUBSIDIARY COMPANY: As on 31 st March, 2017 the Company does not have any Subsidiary or Associate Company. DETAILS OF DEPOSITS COVERED UNDER CHAPTER V OF COMPANIES ACT, 2013: Your Company has not accepted any fixed deposits from the public under Chapter V (Acceptance of Deposits by Companies) of the Companies Act, 2013 and is therefore not required to furnish information in respect of outstanding deposits under and Companies (Acceptance of Deposits) Rules, 2014. EXTRACT OF THE ANNUAL RETURN: Pursuant to Section 92(3) of the Companies Act, 2013 read with rule 12(1) of the Companies (Management and Administration) Rules, 2014, the extract of the Annual Return in form MGT – 9 as required attached herewith as Annexure - A. BOARD OF DIRECTORS COMPOSITION: The Board comprises of 5 (Five) Directors, of which 3 (Three) are Independent Directors. CHANGES IN DIRECTORS AND KEY MANAGERIAL PERSONNEL: Pursuant to Section 152(6) of the Companies Act, 2013, and provisions of Articles of Association of the Company, Mr. Pratik Jain retire by rotation and being eligible, offer himself for reappointment. Independent Directors: The Company has received the declaration of Independence as provided under section 149(6) of the Act, 2013 confirming that they meet the criteria of Independence as prescribed thereunder as well as Regulation 16 (1)(b) SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015 ('Listing Regulations'). NUMBER OF MEETINGS OF THE BOARD: The Board of Directors of the Company met at regular intervals during the year to discuss on the past and prospective business of the Company. The Board met 4 (Four) times during the financial years on 30 th May, 2016; 13 th August, 2016; 14 th November, 2016; and 14 th February, 2017. Additionally, several committees' meetings were held including Audit Committee, which met 4 (four) times during the year. The names of the Directors and their attendance at Board Meeting / Committee meeting during the year are set out in detail in the Corporate Governance Report which forms part of the Annual Report. POLICY OF DIRECTORS' APPOINTMENT AND REMUNERATION: The Company strives to maintain an appropriate combination of executive, non-executive and Independent Directors. In terms of provisions of Section 178 of the Companies Act, 2013 the Nomination and Remuneration Committee constituted is interalia consider and recommends the Board on appointment and remuneration of Director and Key Managerial Personnel and the Company's Nomination and Remuneration Policy is attached as Annexure - B. FORMAL ANNUAL EVALUATION OF BOARD, COMMITTEE AND INDIVIDUAL DIRECTORS: The Company with the approval of its Nomination and Remuneration Committee has put in place an evaluation framework for formal evaluation of performance of the Board, its Committees and the individual Directors. The evaluation was done through questionnaires, receipt of regular inputs and information, functioning, performance and structure of Board Committees, ethics and values, skill set, knowledge and expertise of Directors, leadership etc. The evaluation criteria for the Director's was based on their participation, contribution and offering guidance to and understanding of the areas which are relevant to them in their capacity as members of the Board. STATUTORY AUDITOR AND AUDIT REPORT: M/s. Gupta Saharia & Co., Chartered Accountants, as Statutory Auditors of the Company, were appointed at 32 nd AGM until the conclusion of 37 th AGM. (subject to ratification of the appointment by the members at every AGM held after this AGM) in terms of the provisions of Section 139 of the Companies Act, 2013. The Company has received confirmation from M/s. Gupta Saharia & Co., to the effect that they fulfill the eligibility criteria as prescribed under Section 139 and 141 of the Companies Act, 2013. Your Directors recommends ratification of their appointment as the Statutory Auditors at the ensuing Annual General Meeting. There are no qualifications, reservation or adverse remarks made by the statutory auditors in the audit report. SECRETARIAL AUDITOR AND SECRETARIAL AUDIT REPORT: Pursuant to Section 204 of the Companies Act, 2013, the Company has appointed M/s Jain Rahul & Associates, Practicing Company Secretaries as its Secretarial Auditors to conduct the Secretarial Audit of the Company for the Financial Year 2016 – 17. The Company has provided all the assistance and facilities to the Secretarial Auditor for conducting their audit. The report of Secretarial Auditor for the FY 2016 – 17 is annexed to this report as Annexure - C. With respect to the observations of the Secretarial Auditor in their report regarding non appointment of Key Managerial Personnel the Board wish to inform that in view of poor financial performance of the Company it's not able to appoint suitable candidate and the Company is working under the guidance of the Board. Further the Board is on lookout for suitable candidates for the whole time managerial personnel for better performance of the Company. ADEQUACY OF INTERNAL FINANCIAL CONTROLS WITH REFERENCE TO THE FINANCIAL STATEMENTS: The Company has such internal financial controls commensurate with the size of Company to provide a true and fair view of the financial statements and has laid down such standards and processes which ensures that the same are adequate and operating efficiently. DIRECTORS' RESPONSIBILITY STATEMENT: Your Directors in terms of Section 134(5) of the Company's Act, 2013 confirm that: a) All applicable Accounting Standards have been followed in the preparations of the annual accounts with proper explanation relating to material departures; b) they have selected such Accounting Policies and applied them consistently, made judgments and estimates that are reasonable and prudent so as to give a true and fair view of the statement of affairs of the Company as of 31.03.2017 and of the loss of the Company for that period; c) Proper and sufficient care has been taken for the maintenance of adequate accounting records in accordance with the provision of the Act for safeguarding the assets of the Company and for preventing and detecting fraud and other irregularities; d) The Annual Accounts have been prepared on a going concern basis as stated in the notes on accounts; e) The Company follows stringent internal financial controls and that such internal controls are adequate and are operating adequately; f) There are proper system devised to ensure compliance with the provisions of all applicable laws and that such systems were adequate and operating effectively. DISCLOSURES AS PER SECTION 134 (3)(m) OF THE COMPANIES ACT, 2013 FOR CONSERVATION OF ENERGY, TECHNOLOGY ABSORPTION AND FOREIGN EXCHANGE EARNING AND OUTGO: Considering the nature of the Business of your Company there are no particulars which are required to be furnished in this report pertaining to conservation of energy and technology absorption. FOREIGN EXCHANGE EARNINGS AND OUTGO: During the year the Foreign Exchange earnings and outgo of the Company are amounted to Rs. Nil. AUDIT COMMITTEE: The Audit Committee of Directors was constituted pursuant to the provision of Section 177(1) of the Companies Act, 2013 and Regulation 18 of SEBI (LODR) Regulations, 2015. The composition of the Committee and other details as required to be disclosed have been mentioned in the Report of Corporate Governance, which is forming a part of this report. VIGIL MECHANISM: The Company has implemented a Whistle Blower Policy pursuant to which Whistle Blowers can raise and report genuine concerns relating to reportable matters such as breach of code of conduct, fraud, employee misconduct, misappropriation of funds, health and safety matters etc. the mechanism provides for adequate safeguards against victimization of Whistle Blower who avail of such mechanism and provides for direct access to the chairman of the Audit Committee. The functioning of the Whistle Blower policy is being reviewed by the Audit Committee from time to time. None of the Whistle Blower has been denied access to the Audit Committee of the Board. During the year no such instance took place. CORPORATE SOCIAL RESPONSIBILITY (CSR): Your Company does not met any of the criteria laid down in Section 135 of Companies Act, 2013 and therefore is not required to comply with the requirements mentioned therein. RISK MANAGEMENT: The Board of Directors is overall responsible for identifying, evaluating, mitigating and managing all significant kinds of risks faced by the Company. The Board approved Risk Management policy, which acts as an overarching statement of intent and establishes the guiding principles by which key risks are managed in the Company. The Board itself monitors and reviews the risks which have potential bearing on the performance of the Company and in the opinion of the Board there is no risk faced by the Company which threatens its existence. CORPORATE GOVERNANCE REPORT AND MANAGEMENT DISCUSSION AND ANALYSIS REPORT: In terms of the provisions of regulation 15 (2) of Securities and Exchange Board of India (Listing Obligation and Disclosure Requirements) Regulation, 2015 the compliance with Corporate Governance provisions as specified is not applicable as the Company's Paid up Equity Share Capital is not exceeding Rs.10 Crores and net worth is not exceeding Rs.25 Crores as on 31st March 2017. However the Board of Directors of the Company has decided to continue to comply with the requirements of Corporate Governance as stipulated under the SEBI (LODR) Regulations and accordingly, the Report on Corporate Governance forms part of the Annual Report except the Management Discussions and Analysis report. The requisite Certificate from the Statutory Auditors of Company M/s. Gupta Saharia & Co., regarding compliance with the conditions of Corporate Governance as stipulated in Regulations of the SEBI (LODR) Regulation is annexed to this Report. PARTICULARS OF EMPLOYEES: In terms of the provisions of Section 197 (12) of the Companies Act, 2013 read with the Rule 5(2) of the Companies (Appointment and Remuneration) Rules, 2014, as amended from time to time, the Company is required to disclose the ratio of the remuneration of each director to the median employee's remuneration and such other details are given as Annexure - D. PARTICULARS OF LOANS, GUARANTEES OR INVESTMENTS UNDER SECTION 186 OF ACT: Details of the loans made by the Company to other body corporate or entities are given in notes to financial statements. INFORMATION REQUIRED UNDER SEXUAL HARASSMENT OF WOMEN AT WORKPLACE (PREVENTION, PROHIBITION & REDRESSAL) ACT, 2013: The Company believes in creating an environment for its employees which is free from discrimination. The Company culture embraces treating everyone with dignity and respect and believes in equality irrespective of the gender of an employee. The Company is committed to take progressive measures to increase representation of women particularly at leadership level. During the year there are no such complaints and therefore not required to be reported. ACKNOWLEDGEMENTS: The Directors thank the Company's customers, vendors, investors, business associates and bankers for the support to the Company as also thank the Government, Statutory and Regulatory authorities. The Directors also appreciate and value the contributions made by every employee of the Company. For and on behalf of the Company Place: Mumbai Date: 30.05.2017 Sd/Sanjay Minda Chairman ANNEXURE - A Form No. MGT-9 EXTRACT OF ANNUAL RETURN as on Financial Year ended on March 31, 2017 [Pursuant to section 92(3) of the Companies Act, 2013 and rule 12(1) of the Companies (Management and Administration) Rules, 2014] I. REGISTRATION AND OTHER DETAILS: \| i. CIN \| L67120MH1981PLC025320 \| \|---\|---\| \| ii. Registration Date \| 29th September, 1981 \| \| iii. Name of the Company \| Wagend Infra Venture Limited \| \| iv. Category / Sub-Category of the Company \| Company Limited by Shares / Indian Non-Government Company \| \| v. Address of the Registered office and contact details \| Office no. 117, First Floor, Hubtown Solaris, N.S. Phadke Marg, Nr. East-West Flyover, Andheri (E), Mumbai, Maharashtra Tel : 022 - 26844497 / 95 Email: email@example.com \| \| vi. Whether listed Company \| Yes \| \| vii. Name, Address and Contact details of Registrar and Transfer Agent, if any \| Purva Sharegistry (India) Pvt. Ltd. 9, Shiv Shakti Industrial Estate, J R Boricha Marg, Opp Kasturba Hosp.,Lower Parel (East), Mumbai – 400 011 Tel: 022 – 23018261 / 23016761 Fax: 022 – 23012517 \| II. PRINCIPAL BUSINESS ACTIVITIES OF THE COMPANY All the business activities contributing 10 % or more of the total turnover of the company shall be stated:- III. PARTICULARS OF HOLDING, SUBSIDIARY AND ASSOCIATE COMPANIES IV. SHARE HOLDING PATTERN (Equity Share Capital Breakup as percentage of Total Equity) i) Category-wise Share Holding \| Category of Shareholders \| No. of Shares held at the beginning of the year \| \| \| \| No. of Shares held at the end of the year % Change \| \| \| \| % Change during the year \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Demat \| Physical \| Total \| % of Total Shares \| Demat \| Physical \| Total \| % of Total Shares \| \| \| A. Promoters \| \| \| \| \| \| \| \| \| \| \| 1) Indian \| \| \| \| \| \| \| \| \| \| \| a) Individual / HUF \| 63,38,400 \| - \| 63,38,400 \| 13.45 \| 63,38,400 \| - \| 63,38,400 \| 13.45 \| - \| \| b) Central Govt. \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| c) State Govt(s) \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| d) Bodies Corporate \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| Sub-total A(1) \| 63,38,400 \| - \| 63,38,400 \| 13.45 \| 63,38,400 \| - \| 63,38,400 \| 13.45 \| - \| \| 2) Foreign \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| Sub-total A(2) \| 0 \| - \| 0 \| 0 \| 0 \| - \| 0 \| 0 \| - \| \| Total Shareholding of Promoter (A) = A(1) + A(2) \| 63,38,400 \| - \| 63,38,400 \| 13.45 \| 63,38,400 \| - \| 63,38,400 \| 13.45 \| - \| \| B. Public Shareholding \| \| \| \| \| \| \| \| \| \| \| 1) Institutions \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| Sub-total B(1) \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| 2. Non-Institutions \| \| \| \| \| \| \| \| \| \| \| a) Bodies Corp. \| \| \| \| \| \| \| \| \| \| \| i. Indian \| 1,07,56,515 \| 0 \| 1,07,56,515 \| 22.83 \| 1,06,48,255 \| 0 \| 1,06,48,255 \| 22.60 \| (0.23) \| \| ii. Overseas \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| b) Individuals \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| i. Individual Shareholders holding nominal share capital uptoRs. 1 Lac \| 25,83,820 \| 7,250 \| 25,91,070 \| 5.50 \| 38,32,283 \| 7,250 \| 38,39,533 \| 8.15 \| 2.65 \| \| ii. Individual shareholders holding nominal share capital in excess of Rs. 1 Lac \| 2,47,55,920 \| 0 \| 2,47,55,920 \| 52.53 \| 2,35,98,218 \| 0 \| 2,35,98,218 \| 50.08 \| (2.45) \| \| c) Others specify \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Clearing Members \| 217,636 \| 0 \| 217,636 \| 0.46 \| 2,55,857 \| 0 \| 2,55,857 \| 0.55 \| 0.09 \| \| Non Resident Indians (REPAT & NON REPAT) \| 365 \| 0 \| 365 \| 0.00 \| 365 \| 0 \| 365 \| 0.000 \| 0 \| \| HUF \| 24,65,094 \| 0 \| 24,65,094 \| 5.23 \| 24,44,372 \| 0 \| 24,44,372 \| 5.19 \| (0.04) \| \| Sub-total B(2) \| 4,07,79,350 \| 7250 \| 4,07,86,600 \| 86.55 \| 4,07,79,350 \| 7,250 \| 4,07,86,600 \| 86.55 \| 0.00 \| \| Total Public Shareholding (B)= B(1)+B(2) \| 4,07,79,350 \| 7250 \| 4,07,86,600 \| 86.55 \| 4,07,79,350 \| 7,250 \| 4,07,86,600 \| 86.55 \| 0.00 \| \| Grand Total (A+B+C) \| 471,17,750 \| 7250 \| 4,71,25,000 \| 100 \| 4,71,17,750 \| 7,250 \| 4,71,25,000 \| 100 \| 0.00 \| (ii) Shareholding of Promoters \| Sr. No. \| Shareholder’s Name \| Shareholding at the beginning of the year \| \| \| Shareholding at the end of the year \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| No. of Shares \| % of total shares of the Company \| % of shares pledged / encumb- ered to total shares \| No. of Shares \| % of total shares of the Company \| % of shares pledged / encumb- ered to total shares \| \| 1. \| Sanjay Kumar Minda \| 63,38,400 \| 13.45 \| - \| 63,38,400 \| 13.45 \| - \| \| \| Total \| 63,38,400 \| 13.45 \| - \| 63,38,400 \| 13.45 \| - \| (iii) Change in Promoters' Shareholding (please specify, if there is no change) \| Particulars \| Shareholding at the beginning of the year \| \| \| \|---\|---\|---\|---\| \| \| No. of Shares \| % of total shares of the Company \| No. of Shares \| (iv) Shareholding Pattern of top ten Shareholders (other than Directors, Promoters and Holders of GDRs and ADRs): \| \| \| No. of Shares \| % of total shares of the Company \| No. of Shares \| \|---\|---\|---\|---\|---\| \| 1. \| ShilpaRakeshbhaiSheth \| \| \| \| \| \| At the beginning of the year \| 49,58,577 \| 10.52 \| 49,58,577 \| \| \| Changes during the year \| 0 \| 0 \| 49,58,577 \| \| \| At the end of the year \| - \| - \| 49,58,577 \| \| 2. \| Rahil RakeshkumarSheth \| \| \| \| \| \| At the beginning of the year \| 26,48,841 \| 5.62 \| 26,48,841 \| \| \| Changes during the year \| 0 \| 0 \| 26,48,841 \| \| \| At the end of the year \| - \| - \| 26,48,841 \| \| 3. \| Ajay Surendrabhai Patel \| \| \| \| \| \| At the beginning of the year \| 18,24,563 \| 3.87 \| 18,24,563 \| \| \| Changes during the year \| 0 \| 0 \| 18,24,563 \| \| \| At the end of the year \| - \| - \| 18,24,563 \| \| 4. \| Vaishali A. Patel \| \| \| \| \| \| At the beginning of the year \| 18,24,414 \| 3.87 \| 18,24,414 \| \| \| Changes during the year \| 0 \| 0 \| 18,24,414 \| \| \| At the end of the year \| - \| - \| 18,24,414 \| \| Sr. No. \| Particulars \| Shareholding at the beginning of the year \| \| Cumulative Shareholding during the year \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| No. of Shares \| % of total shares of the Company \| No. of Shares \| % of total shares of the Company \| \| 5. \| Limestone Properties Pvt. Ltd \| . \| \| \| \| \| \| At the beginning of the year \| 18,09,652 \| 3.84 \| 18,09,652 \| 3.84 \| \| \| Changes during the year \| 0 \| 0 \| 18,09,652 \| 3.84 \| \| \| At the end of the year \| - \| - \| 18,09,652 \| 3.84 \| \| 6. \| EL Dorado Biotech Pvt. Ltd. \| \| \| \| \| \| \| At the beginning of the year \| 17,20,498 \| 3.65 \| 17,20,498 \| 3.65 \| \| \| Changes during the year \| 0 \| 0 \| 17,20,498 \| 3.65 \| \| \| At the end of the year \| - \| - \| 17,20,498 \| 3.65 \| \| 7. \| Pragnesh R. Patel \| \| \| \| \| \| \| At the beginning of the year \| 14,15,193 \| 3.00 \| 14,15,193 \| 3.00 \| \| \| Changes during the year \| 0 \| 0 \| 14,15,193 \| 3.00 \| \| \| At the end of the year \| - \| - \| 14,15,193 \| 3.00 \| \| 8. \| Fortune Gilts Pvt. Ltd. \| \| \| \| \| \| \| At the beginning of the year \| 13,17,251 \| 2.79 \| 13,17,251 \| 2.79 \| \| \| Changes during the year \| 0 \| 0 \| 13,17,251 \| 2.79 \| \| \| At the end of the year \| - \| - \| 13,17,251 \| 2.79 \| \| 9. \| Neha N. Agrawal \| \| \| \| \| \| \| At the beginning of the year \| 13,00,000 \| 2.75 \| 13,00,000 \| 2.75 \| \| \| Changes during the year \| 0 \| 0 \| 13,00,000 \| 2.75 \| \| \| At the end of the year \| - \| - \| 13,00,000 \| 2.75 \| \| 10. \| Nandlal J. Agarwal \| \| \| \| \| \| \| At the beginning of the year \| 12,00,000 \| 2.54 \| 12,00,000 \| 2.54 \| \| \| Change during the year \| 0 \| 0 \| 12,00,000 \| 2.54 \| \| \| At the end of the year \| - \| - \| 12,00,000 \| 2.54 \| (v) Shareholding of Directors and Key Managerial Personnel : \| Sr. No. \| Shareholding of each Directors and each Key Managerial Personnel \| Shareholding at the beginning of the year \| \| Cumulative Shareholding during the year \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| No. of Shares \| % of total shares of the Company \| No. of Shares \| % of total shares of the Company \| \| 1. \| Sanjay Kumar Minda \| \| \| \| \| \| \| At the beginning of the year Changes during the year At the end of the year \| 63,38,400 0 - \| 13.45 0 - \| 63,38,400 63,38,400 63,38,400 \| 13.45 13.45 13.45 \| \| 2. \| Manojbhai Modi \| \| \| \| \| \| \| At the beginning of the year Changes during the year At the end of the year \| 1,68,840 0 - \| 0.35 0 - \| 1,68,840 1,68,840 1,68,840 \| 0.35 0.35 0.35 \| V. INDEBTEDNESS Indebtedness of the Company including interest outstanding/accrued but not due for payment \| \| Secured Loans excluding deposits \| Unsecured Loans \| Deposits \| \|---\|---\|---\|---\| \| Indebtedness at the beginning of the financial year \| \| \| \| \| i. Principal Amount \| - \| - \| - \| \| ii. Interest due but not paid \| - \| - \| - \| \| iii. Interest accrued but not due \| - \| - \| - \| \| Total (i+ii+iii) \| - \| - \| - \| \| Change in Indebtedness during the Financial Year \| \| \| \| \| Additions \| - \| - \| - \| \| Reductions \| - \| - \| - \| \| Indebtedness at the end of the financial year \| \| \| \| \| i. Principal Amount \| - \| - \| - \| \| ii. Interest due but not paid \| - \| - \| - \| \| iii. Interest accrued but not due \| - \| - \| - \| \| Total (i+ii+iii) \| - \| - \| - \| VI. REMUNERATION OF DIRECTORS AND KEY MANAGERIAL PERSONNEL A. Remuneration to Managing Director, Whole-time Directors and/or Manager: Not Applicable B. Remuneration to other directors: C. REMUNERATION TO KEY MANAGERIAL PERSONNEL OTHER THAN MD / MANAGER / WTD: During the year the Company has no such Key Managerial Personnel. VII. PENALTIES / PUNISHMENT/ COMPOUNDING OF OFFENCES: During the year no such instances of Penalty / Punishment / Compounding fees Imposed by any authorities on Company and / or Directors and / or Other Officers in Default. \| Sr.No. \| Particulars of Remuneration \| Name of Directors \| \| \| Total Amount \| \|---\|---\|---\|---\|---\|---\| \| \| \| Mr. Pramod Bhelose \| Mr. Manojbhai Modi \| Ms. Priyanka Jain \| \| \| 3. \| Independent Directors \| \| \| \| - - - - - - - - - \| \| \| • Fee for attending board committee meetings \| - \| - \| - \| \| \| \| • Commission \| - \| - \| - \| \| \| \| Total (1) \| - \| - \| - \| \| \| 4. \| Other Non-Executive Directors \| Mr. Sanjay Minda \| Mr. Pratik Jain \| - \| \| \| \| • Fee for attending board committee meetings \| - \| - \| - \| \| \| \| • Commission \| - \| - \| - \| \| \| \| Total (2) \| - \| - \| - \| \| \| \| Total (B)=(1+2) \| - \| - \| - \| \| \| \| Total Managerial Remuneration \| - \| - \| - \| \| \| \| Overall Ceiling as per the Act \| - \| - \| - \| \| ANNEXURE B NOMINATION AND REMUNERATION POLICY OF WAGEND INFRA VENTURE LIMITED The Nomination and Remuneration Committee and this Policy shall be in compliance with provisions of Section 178 of the Companies Act, 2013 read along with the applicable rules thereto and Regulation 19 of the SEBI (LODR) Regulations, 2015. The Key Objectives of the Committee would be: 1. OBJECTIVE * To guide the Board in relation to appointment and removal of Directors, Key Managerial Personnel and Senior Management; * To evaluate performance of Board members and provide necessary report to Board for further evaluation of the Board; * To recommend to the Board on Remuneration payable to the Directors, Key Managerial Personnel and Senior Management; * To provide to Key Managerial Personnel and Senior Management rewards linked directly to their efforts, performance, dedication and achievement relating to the Company's operations; * To retain, motivate and promote talent and to ensure long term sustainability of talented managerial personnel's and create competitive advantage; * To devise a policy on Board diversity; * To develop a succession plan for the Board and to regularly review the plan; 2. DEFINITIONS * "Act" means the Companies Act, 2013 and Rules framed thereunder, as amended from time to time. * "Board" means Board of Directors of the Company. * "Directors" mean Directors of the Company. "Key Managerial Personnel" means – a) Chief Executive Officer or the Managing Director or the Manager or Whole-time director or Chief Financial Officer or Company Secretary. b) "Senior Management" means Senior Management means personnel of the company who are members of its core management team excluding the Board of Directors including Functional Heads. 3. COMPOSITION * The Committee shall consist of a minimum three non-executive directors, majority of them being independent. * Minimum two (2) members shall constitute a quorum for the Committee meeting. * Membership of the Committee shall be disclosed in the Annual Report. * Term of the Committee shall be continued unless terminated by the Board of Directors. * Chairperson of the Committee shall be an Independent Director. * Chairperson of the Company may be appointed as a member of the Committee but shall not be a Chairman of the Committee. * In the absence of the Chairperson, the members of the Committee present at the meeting shall choose one amongst them to act as Chairperson. * Chairperson of the Nomination and Remuneration Committee meeting could be present at the Annual General Meeting or may nominate some other member to answer the shareholders' queries. 4. ROLE OF COMMITTEE : Matters to be dealt with, perused and recommended to the Board by the Nomination and Remuneration Committee * The Committee shall identify and ascertain the integrity, qualification, expertise and experience of the person for appointment as Director, KMP or at Senior Management level and recommend to the Board his / her appointment. * A person should possess adequate qualification, expertise and experience for the position he / she is considered for appointment. The Committee has discretion to decide whether qualification, expertise and experience possessed by a person are sufficient / satisfactory for the concerned position. * The Company shall not appoint or continue the employment of any person as Whole-time Director who has attained the age of seventy years. Provided that the term of the person holding this position may be extended beyond the age of seventy years with the approval of shareholders by passing a special resolution based on the explanatory statement annexed to the notice for such motion indicating the justification for extension of appointment beyond seventy years. * The Committee shall carry out evaluation of performance of every Director, KMP and Senior Management Personnel at regular interval (yearly). * Due to reasons for any disqualification mentioned in the Act or under any other applicable Act, rules and regulations thereunder, the Committee may recommend, to the Board with reasons recorded in writing, removal of a Director, KMP or Senior Management Personnel subject to the provisions and compliance of the said Act, rules and regulations. * The remuneration / compensation / commission etc. to the Whole-time Director, KMP and Senior Management Personnel will be determined by the Committee and recommended to the Board for approval. The remuneration / compensation / commission etc. shall be subject to the prior/ post approval of the shareholders of the Company and Central Government, wherever required. JAIN RAHUL & ASSOCIATES COMPANY SECRETARIES Form No. MR-3 ANNEXURE C SECRETARIAL AUDIT REPORT For The Financial Year Ended 31st March, 2017 [Pursuant to section 204(1) of the Companies Act, 2013 and Rule No.9 of the Companies (Appointment and Remuneration Personnel) Rules, 2014] To, The Members, Wagend Infra Venture Limited We have conducted the secretarial audit of the compliance of applicable statutory provisions and the adherence to good corporate practices by WAGEND INFRA VENTURE LIMITED (hereinaftercalled "the company"). Secretarial Audit was conducted in amanner that provided us a reasonable basis for evaluating thecorporate conducts/statutory compliances and expressing our opinion thereon. Based on our verification of the company's books, papers, minute books, forms andreturns filed and other records maintained by the company andalso the information provided by the Company, its officers, agentsand authorized representatives during the conduct of secretarialaudit, we hereby report that in our opinion, the companyhas, during the audit period covering the financial year ended on31 st March, 2017complied with the statutory provisions listedhereunder and also that the Company has proper Board-processesand compliance-mechanism in place to the extent, in the mannerand subject to the reporting made hereinafter: We have examined the books, papers, minute books, forms andreturns filed and other records maintained by "theCompany" for the financial year ended on 31 st March, 2017accordingto the provisions of: (i) The Companies Act, 2013 (the Act) and the rules madethereunder; (ii) The Securities Contracts (Regulation) Act, 1956 ('SCRA') andthe rules made thereunder; (iii) The Depositories Act, 1996 and the Regulations and Bye-lawsframed thereunder; (iv) Foreign Exchange Management Act, 1999 and the rules andregulations made thereunder to the extent of Foreign DirectInvestment, Overseas Direct Investment and External CommercialBorrowings (Not Applicable to the Company during the Audit Period); (v) The following Regulations and Guidelines prescribed under theSecurities and Exchange Board of India Act, 1992 ('SEBI Act'):- a. The Securities and Exchange Board of India (SubstantialAcquisition of Shares and Takeovers) Regulations, 2011; b. The Securities and Exchange Board of India (Prohibition ofInsider Trading) Regulations, 2015; c. The Securities and Exchange Board of India (Issue of Capitaland Disclosure Requirements) Regulations, 2009 (Not Applicable to the Company during the Audit Period); d. The Securities and Exchange Board of India (Share Based Employee Benefits) Regulations, 2014 (Not Applicable to the Company during the Audit period); e. The Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008 (Not Applicable to the Company during the Audit Period); JAIN RAHUL & ASSOCIATES COMPANY SECRETARIES f. The Securities and Exchange Board of India (Registrars to anIssue and Share Transfer Agents) Regulations, 1993 regarding theCompanies Act and dealing with client; g. The Securities and Exchange Board of India (Delisting ofEquity Shares) Regulations, 2009 (Not Applicable to the Company during the Audit Period); and h. The Securities and Exchange Board of India (Buyback ofSecurities) Regulations, 1998 (Not Applicable to the Company during the Audit Period); i. The Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015; (vi) All the relevant laws as are applicable to the Company, a list of which has been provided by the management. The examination and reporting of these laws and rules are limited to whether there are adequate systems and processes in place to monitor and ensure compliance with those laws. We have also examined compliance with the applicable clauses ofthe following: (i). Secretarial Standards issued by The Institute of Company Secretaries of India; (ii). The Listing Agreements entered into by the Company with BSE Limited; During the period under review the Company has complied withthe provisions of the Act, Rules, Regulations, Guidelines,Standards, etc. mentioned above except and subject to observation (i). that the Company during the Audit Period has not appointed Whole Time Key Managerial Personnel as specified in clause (i), (ii) & (iii) of sub-section (1) of Section 203 of the Companies Act, 2013 read with rule 8 of the Companies (Appointment & Remuneration) Rules, 2014 and (ii). There being no Company secretary in whole time employment the Director is designated as Compliance office. We further report that The Board of Directors of the Company is duly constituted withproper balance of Executive Directors, Non-Executive Directorsand Independent Directors. The changes in the composition of theBoard of Directors that took place during the period under reviewwere carried out in compliance with the provisions of the Act. Adequate notice is given to all directors to schedule the BoardMeetings, agenda and detailed notes on agenda were sent seven days in advance and a system exists for seeking andobtaining further information and clarifications on the agendaitems before the meeting and for meaningful participation at themeeting. All the decision arecarried through while there were no dissenting views as part of the minutes. We further report that there are adequate systems andprocesses in the company commensurate with the size andoperations of the company to monitor and ensure compliance withapplicable laws, rules, regulations and guidelines. Place: Mumbai Date: 30.05.2017 For Jain Rahul & Associates Company Secretaries Sd/Rahul Jain (Proprietor) ACS 41518 C.P. No. 15504 JAIN RAHUL & ASSOCIATES COMPANY SECRETARIES Annexure 1: to the Secretarial Audit Report for the year 31 st March, 2017 To The Members, Wagend Infra Venture Limited Our Secretarial Audit Report of even date is to be read along with this letter. 1. It is the responsibility of the management of Company to maintain secretarial records, devise proper systems to ensure compliance with the provisions of all applicable laws and regulations and to ensure that the systems are adequate and operate effectively. 2. Our responsibility is to express an opinion on these secretarial records, standards and procedures followed by the Company with respect to secretarial compliances. 3. We believe that audit evidence and information obtained from the Company's management are adequate and appropriate for us to provide a basis for our opinion. 4. Where ever required, we have obtained the management's representation about the compliance of laws, rules and regulations and happening of events etc. 5. The Secretarial Audit Report is neither an assurance as to the future viability of the Company nor of the efficacy or effectiveness with which the management has conducted the affairs of the Company. For Jain Rahul & Associates Sd/- Rahul Jain (Proprietor) ACS 41518 C.P. No. 15504 Place: Mumbai Date: 30.05.2017 ANNEXURE - D DETAILS OF REMUNERATION PURSUANT TO SUB - SECTION (12) OF SECTION 197 OF THE COMPANIES ACT, 2013 REPORT ON CORPORATE GOVERNANCE FOR THE FINANCIAL YEAR ENDED 31 ST MARCH 2017 {In accordance with SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.} 1. COMPANY'S PHILOSOPHY: The Company is committed to good corporate governance, envisages Commitment of the Company towards the attainment of high level of transparency, accountability and business propriety with the ultimate objective of increasing long terms shareholders value, keeping in view the needs and interest of all the stakeholders. The Company is in compliance with the requirements stipulated under regulation 17 to 27 of SEBI (LODR) Regulations, as applicable, with regard to corporate governance. 2. BOARD OF DIRECTORS: 2.1 Composition: The composition of the Board is in conformity with Regulation 17 of the SEBI (LODR) Regulations, 2015 read with Section 149 of the Act. As on 31 st March, 2017, the Board comprises of (5) Five Directors, who brings in a wide range of skills and experience to the Board. The Chairman is Non-Executive and the number of Independent Directors is (3) Three. None of the Directors of the Company are related to each other. During the year (4) Four Board Meetings were held and the gap between two meetings did not exceed 120 days. The dates were: 30 th May, 2016; 13 th August, 2016; 14 th November, 2016; and 14 th February, 2017. None of the Directors on the Board is a Member on more than ten Committees and Chairman of more than five Committees across all the companies in which he is a Director. The necessary disclosures regarding Committee positions have been made by the Directors. Independent Directors are non-executive directors as defined under Regulation 16(1)(b) of the SEBI (LODR) Regulations read with Section 149(6) of the Act. The maximum tenure of independent directors is in compliance with the Act. All the Independent Directors have confirmed that they meet the criteria as Mentioned under Regulation 16(1)(b) of the SEBI (LODR) Regulations read with Section 149(6) of the Act. The names and categories of the Directors on the Board, their attendance at Board Meetings held during the year and the number of Directorships and Committee Chairmanships / Memberships held by them in other Listed companies as on March 31, 2017 are given herein below. 2.2 Composition of Board and attendance record: \| Name of Director Category of Directorship \| \| Attendance at \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| Board Meetings \| Last AGM \| Other Directorships # \| Committee Memberships## \| \| Mr. Sanjay Minda \| ChairmanNon- Executive \| 4 \| Yes \| 2 \| 2 \| \| Mr. Pratik Jain \| Professional Director \| 4 \| No \| - \| - \| \| Mr. Pramod Bhelose \| Non-Executive Independent \| 4 \| Yes \| - \| - \| \| Mr. Manojbhai B. Modi \| Non- Executive Independent \| 4 \| No \| - \| - \| # Alternate Directorships and directorships in private companies, foreign companies and Section 8 Companies are excluded. ## Represents Memberships / Chairmanships of Audit Committee, Nomination and Shareholders' / Investors' Grievance Committee. The Company does not pay any fees / compensation to any Non – Executive. Also, no sitting fee has been paid to any Non – Executive Director during the year. 3. AUDIT COMMITTEE: The Audit Committee is constituted in line with the Provision of Regulation 18 of SEBI (LODR) Regulations, 2015 read with Section 177of the Act. The Audit Committee met 4 times on 30 th May, 2016; 13 th August, 2016; 14 th November, 2016; and 14 th February, 2017 and statutory auditors also attended the meeting and attendance of the members was as under; \| Name of Directors \| Meetings Held \| \|---\|---\| \| Mr. Pramod Bhelose \| 4 \| \| Mr. Manojbhai B. Modi \| 4 \| The members possess adequate knowledge of Accounts, Audit and Finance. The broad terms and reference of Audit Committee are to review the financial statements before submission to Board, to review reports of the Auditors and Internal Audit department and to review the weaknesses in internal controls, if any, reported by Internal and Statutory Auditors etc. The Audit Committee invites such of the executives, as it considers appropriate (and particularly the person responsible for the finance and accounts function) to be present at its meetings. 4. NOMINATION AND REMUNERATION COMMITTEE: The Remuneration Committee met Once during the year on 14 th February, 2017. The nomination and remuneration committee of the Company is constituted in line with the provisions of Regulation 19 of SEBI (LODR) Regulations, read with Section 178 of the Act. The constitution of the committee and the attendance of each member during the year are as given below: \| Name of Directors \| Meetings Held \| \|---\|---\| \| Mr. Pramod Bhelose \| 1 \| \| Mr. Manojbhai B Modi \| 1 \| \| Ms. Priyanka Jain \| 1 \| The terms of reference of the 'Remuneration Committee' are as follows: i. To determine on behalf of the Board and on behalf of the Shareholders the Company's policy on specific remuneration packages for Executive Directors including pension rights and any compensation payment. ii. Such other matters as may from time to time be required by any statutory, contractual or other regulatory requirements to be attended to by such committee. iii. To carry out the evaluation of every Director. iv. To evaluate the criteria for evaluation of Independent Directors and the Board. During the year no remuneration paid to executive director and there is no sitting fees paid to Non – Executive Directors for attending Board and Committee Meetings. DETAILS OF SHARES HELD: The shares held by the Directors of the Company as on 31 st March, 2017 are given below: 5. STAKEHOLDERS RELATIONSHIP COMMITTEE: The stakeholders' relationship committee is constituted in line with the provisions of Regulation 20 of SEBI (LODR) Regulations read with section 178 of the Act. The Stakeholders Relationship Committee met twice during the financial year. The details of the meeting attended by the Directors are as given below: The terms of reference of the committee are interalia as follows: (a) Review the reports submitted by the Registrars and Share Transfer Agents of the Company at half yearly intervals. (b) Investor relations and redressal of shareholders grievances including relating to non-receipt of dividend, Annual Report, non – receipt of shares etc. (c) Oversee the performance of the Registrars and Share Transfer Agents of the Company. There are no Shareholder's complaints pending with the Company. Mr. Sanjay Minda is the Compliance Officer. His address and contact details are as given below: Address: 117, Hubtown Solaris, N.S. Phadke Marg, Nr. East-West Flyover, Andheri East, Mumbai – 400 069 Phone: 022 – 26844495 / 97; Email: firstname.lastname@example.org 6. ANNUAL GENERAL MEETINGS: The details of date, time and location of Annual General Meetings (AGM) / Extra Ordinary General Meetings (EGM) held in previous three years are as under: \| AGM / EGM \| DATE \| TIME \| \|---\|---\|---\| \| 34th AGM \| 30.09.2016 \| 12.30 PM \| \| 33rd AGM \| 30.09.2015 \| 12.30 PM \| \| 32nd AGM \| 29.09.2014 \| 02:00 PM \| There are no Special Resolutions passed in the previous three Annual General Meetings or any of the Extra Ordinary General Meeting held during the previous three years. During the year no Special Resolutions were passed through postal ballot and No Court-convened Meetings were held during the last three years. 7. DISCLOSURES: 1.1 There were no materially significant related party transactions i.e. transaction of the Company of material nature with its Promoters, Directors or the Management or their relatives etc. that would conflict with the interests of the Company. 1.2 No penalties or strictures have been imposed on the Company by the Stock Exchanges or SEBI or any statutory authority on any matter related to capital markets during the last three years. 1.3 The Company has Whistle Blower Policy (WBP) in line with Regulation 22 of the SEBI (LODR) Regulations, 2015. The Company affirms that no employee has been denied access to the Audit Committee. 1.4 All mandatory requirements as per SEBI (LODR) Regulations, 2015 have been complied with by the Company, even though it is not mandatory to the Company. 1.5 The Company follows Accounting Standards issued by The Institute of Chartered Accountants of India and there are no statutory audit qualifications in this regard. 1.6 In terms of SEBI (LODR) Regulations, 2015 the person heading the finance function has made a certification i.e. (CEO / CFO Certificate) to the Board of Directors in the prescribed format for the year under review which has been reviewed by the Audit Committee and taken on record by the Board. 8. MEANS OF COMMUNICATION: a) The quarterly un-audited financial results are published in English and Vernacular newspapers. The half yearly report is not sent separately to the Shareholders. Annual Reports are sent to the shareholders at their registered e-mails or address with the Company. b) The quarterly financial results are displayed at the website of the Company http:// www.wagendinfra.com/. c) The Management Discussion and Analysis Report, in compliance with the requirements as per Clause B of Schedule 5 of SEBI (LODR) Regulations, 2015 is annexed to the Directors' Report and forms part of this Annual Report being sent to all the members of the Company. 9. GENERAL SHAREHOLDERS INFORMATION: a. Annual General Meeting Date and Time : Saturday, 30th September, 2017 at 12.30 PM Venue : 117, Hubtown Solaris, N.S. Phadke Marg, Nr. East-West Flyover, Andheri East, Mumbai – 400 069 Dates of Book Closure : Friday, 29-09-2017 to Saturday, 30-09-2017 b. Financial Calendar 2017-2018 (Tentative): First quarterly results : August, 2017 Second quarterly results : November, 2017 Third quarterly results : February, 2018 Annual results for the year ending on 31.03.2018 : May, 2018 Annual General Meeting for the year 2018 : Around September, 2018 c. Listing on Stock Exchanges and Stock Codes: The Company's Equity Shares are listed on the BSE Limited (BSE), Phiroze Jeejeebhoy Towers, Dalal Street, Mumbai - 400 001 and the Company has paid Annual Listing Fees as applicable, to the BSE for the financial year 2017 - 18. \| Script Code Equity : \| 503675 \| \|---\|---\| \| ISIN Equity : \| INE786K01023 \| \| Face Value : \| Rs.2 per share \| d. Market Price Data: The monthly high / low market price of the Equity Shares of Rs. 2 each during the year 2016 - 2017 at the BSE Limited is as under: \| Month \| BSE Limited (BSE) \| \| \|---\|---\|---\| \| \| High (in Rs. per share) \| Low (in Rs. per share) \| \| April 2016 \| 0.00 \| 0.00 \| \| May 2016 \| 0.00 \| 0.00 \| \| June 2016 \| 0.00 \| 0.00 \| \| July 2016 \| 0.00 \| 0.00 \| \| August 2016 \| 0.00 \| 0.00 \| \| September 2016 \| 9.00 \| 8.80 \| \| October 2016 \| 0.00 \| 0.00 \| \| November 2016 \| 0.00 \| 0.00 \| \| December 2016 \| 0.00 \| 0.00 \| \| January 2017 \| 9.00 \| 7.84 \| \| February 2017 \| 7.69 \| 6.28 \| \| March 2017 \| 6.16 \| 5.03 \| e. Registrar & Share Transfer Agents: Purva Sharegistry (India) Pvt Ltd Unit: Wagend Infra Venture Ltd. Unit no. 9, Shiv Shakti Ind. Estate, J. R. Boricha Marg, Opp. Kasturba Hospital Lane, Lower Parel (E), Mumbai - 400 011 Tel: 91-22-2301 6761 / 8261; Fax : 91-22-2301 2517 E-mail: email@example.com; Website: www.purvashare.com f. Distribution of Shareholding: The distribution of shareholding as on 31 st March, 2017 is given below: \| 1. \| 1 - 5000 \| 297 \| 2,02,052 \| \|---\|---\|---\|---\| \| 2 \| 5001 - 10000 \| 56 \| 4,67,262 \| \| 3 \| 10001 - 20000 \| 104 \| 17,89,780 \| \| 4 \| 20001 - 30000 \| 27 \| 7,32,684 \| \| 5 \| 30001 - 40000 \| 18 \| 6,52,654 \| \| 6 \| 40001 - 50000 \| 15 \| 6,97,988 \| \| 7 \| 50001 - 100000 \| 35 \| 24,57,730 \| \| 8 \| 1,00,001 & Above \| 81 \| 8,72,49,850 \| g. Dematerialisation of Shares and Liquidity: The Company's shares are compulsorily traded in dematerialised form and are available for trading on both the Depositories in India – National Securities Depository Ltd. (NSDL) and Central Depository Services (India) Ltd. (CDSL). \| \| Number \| \|---\|---\| \| Dematerialised form \| \| \| NSDL \| 2,34,28,108 \| \| CDSL \| 2,36,89,642 \| \| Sub Total \| 4,71,17,750 \| \| Physical form \| 7,250 \| \| Total \| 47,125,000 \| h. Registered Office: 117, Hubtown Solaris, N. S. Phadke Marg, Near East – West Flyover, Andheri (East), Mumbai – 400 069 Tel: 022 – 2684 4495 / 97; Designated exclusive e-mail id for Investor servicing: firstname.lastname@example.org Website: www.wagendinfra.com 10. CORPORATE ETHICS: The Company adheres to the best standards of business ethics, compliance with statutory and legal requirements and commitment to transparency in business dealings. A Code of Conduct for Board Members and a Code of Conduct for Prevention of Insider Trading as detailed below has been adopted pursuant to Regulation of SEBI (LODR) Regulations, 2015 & The Securities & Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015 (as amended from time to time), respectively: a. Code of Conduct for Board Members and Senior Management: The Company has adopted the Code of Conduct for its Board members and Senior Management. The Code best Corporate Governance as the cornerstone for sustained management performance, for serving all the stakeholders and for instilling pride of association. b. Declaration affirming compliance of Code of Conduct: The Company has received confirmations from the Directors regarding compliance of the Code of Conduct during the year under review. A declaration by Director affirming compliance of Board members to the Code is also annexed herewith. c. Code of Conduct for Prevention of Insider Trading: The Company has adopted the Code of Conduct for Prevention of Insider Trading for its Management and Directors. The Code lays down guidelines and procedures to be followed and disclosures to be made by directors, top level executives and staff whilst dealing in shares. The Compliance Officer has been appointed as the Chief Investor Relation officer and is responsible for adherence to the Code. d. Compliance Certificate by Auditors: The Company has obtained a certificate from the Statutory Auditors regarding compliance of conditions of corporate governance is annexed herewith. 11. DECLARATION AFFIRMING COMPLIANCE OF CODE OF CONDUCT: As provided under Regulation of SEBI (LODR) Regulations, 2015 the Board members have affirmed compliance with the code of conduct for the year ended 31.03.2017. For Wagend Infra Venture Limited Place : Mumbai Date : 30.05.2017 Sd/- Sanjay Minda Chairman DECLARATION BY THE MANAGING DIRECTOR / CHIEF FINANCIAL OFFICER We hereby certify that: A. We have reviewed Financial Statements and the Cash Flow Statement for the year ended 31 st March, 2017 and to the best of our knowledge and belief: i. These statements do not contain any materially untrue statement or omit any material fact or contain statements that might be misleading; ii. These statements present a true and fair view of the Company's affairs and are in compliance with existing accounting standards, applicable laws and regulations; B. To the best of our knowledge there are no transactions entered into by the Company during the year which are fraudulent, illegal or violative of the Company's code of conduct and no instances of fraud took place; C. We accept responsibility for establishing and maintaining internal controls for financial reporting. We have evaluated the effectiveness of the internal control systems of the Company and have disclosed to the Auditors and the Audit Committee, deficiencies in the design or operation of internal controls, if any, of which we are aware and have taken steps to rectify the same, wherever found; D. We have indicated to the Auditors and the Audit Committee; i. Significant changes in internal control over financial reporting during the year; ii. Significant changes in accounting policies, if any, have been disclosed in the notes to the financial statements; iii. instances of significant fraud and the involvement therein, if any, of the management or an employee having a significant role in the company's internal control system over financial reporting. For Wagend Infra Venture Limited Place : Mumbai Date : 30.05.2017 Sd/- Sd/- Sanjay Minda Chairman Pratik Jain Director AUDITOR'S CERTIFICATE ON COMPLIANCE OF CONDITIONS OF CORPORATE GOVERNANCE: We have examined the compliance of the conditions of Corporate Governance by Wagend Infra Venture Limited for the year ended 31 st March, 2017, as stipulated in regulations of SEBI (LODR) Regulations relating to the Corporate Governance of the said Company. The compliance of conditions of Corporate Governance is the responsibility of the management. Our examination was limited to the procedures and implementation thereof, adopted by the Company for ensuring the compliance of the conditions of Corporate Governance. It is neither an audit nor an expression of opinion on the financial statements of the Company. In our opinion and to the best of our information and according to the explanations given to us, we certify that the Company has complied with the conditions of Corporate Governance as stipulated in the above mentioned Regulations. We state that such compliance is neither an assurance as to the future viability of the Company nor the efficiency or effectiveness with which the management has conducted the affairs of the Company. For M/s Gupta Saharia & Co. Chartered Accountants Place : Mumbai Date : 30.05.2017 Sd/- (S.S. Rathi) Partner Membership No.: 73373 Firm Reg. No. 103446W GUPTA SAHARIA & CO. Chartered Accountants INDEPENDENT AUDITOR'S REPORT To the Members of, WAGEND INFRA VENTURE LIMITED Report on the Financial Statements We have audited the accompanying financial statements of Wagend Infra Venture Limited ("the Company"), which comprises of Balance Sheet as at 31 st March, 2017, the statement of Profit and Loss Account and the Cash Flow Statement for the year ended on that date annexed thereto and a summary of significant accounting policies and other explanatory information. Management's Responsibility for the Financial Statements The Company's Board of Directors is responsible for the matters stated in Sub-Section (5) of Section 134 of the Companies Act, 2013 ("the Act") with respect to the preparation of these financial statements to give a true and fair view of the financial position, financial performance and cash flow of the Company in accordance with the accounting principles generally accepted in India, including Accounting Standards prescribed in Section 133 of the Act, read with Rule 7 of the Companies (Accounts) Rule, 2014. This responsibility also includes maintenance of adequate accounting records in accordance with the provisions of the Act for safeguarding the assets of the Company and for preventing and detecting frauds and other irregularities; selection and application of appropriate accounting policies; making a judgement and estimates that are reasonable and prudent; and the design, implementation and maintenance of internal financial controls, that were operating effectively for ensuring the accuracy and completeness of the accounting records relevant to the preparation and presentation of the financial statements that give a true and fair view and are free from material misstatement, whether due to fraud or error. Auditors' Responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We have taken into account the provisions of the Act and the Rules made thereunder including the accounting standards and matters which are required to be included in the audit report under the provisions of the Act and the Rules made thereunder. We conducted our audit in accordance with the Standards on Auditing specified under Section 143(10) of the Act. Those Standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and the disclosures in the financial statements. The procedures selected depend on the auditor's judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal financial control relevant to the GUPTA SAHARIA & CO. Chartered Accountants Company's preparation of the financial statements that give a true and fair view in order to design audit procedures that are appropriate in the circumstances. An audit also includes evaluating the appropriateness of the accounting policies used and the reasonableness of the accounting estimates made by the Company's Directors, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion on the financial statements. Opinion In our opinion and to the best of our information and according to the explanations given to us, the aforesaid financial statements along with the notes thereon give the information required by the Act in the manner so required and give a true and fair view in conformity with the accounting principles generally accepted in India, of the state of affairs of the Company as at 31 st March, 2017, and its Loss and its cash flows for the year ended on that date. Report on Other Legal and Regulatory Requirements As required by 'the Companies (Auditor's Report) Order, 2016' issued by the Central Government of India in terms of sub-section (11) of Section 143 of the Act ("the order"), and on the basis of such checks of the books and records of the Company as we consider appropriate and according to the information and explanation given to us, we enclose in the "Annexure A" a statement on the matters specified in paragraphs 3 and 4 of the said order. Further as required by Section 143(3) of the Act, we report that: a) We have sought and obtained all the information and explanations which to the best of our knowledge and belief were necessary for the purposes of our audit. b) In our opinion, proper books of account as required by law have been kept by the Company so far as it appears from our examination of those books. c) The Balance Sheet, the Statement of Profit and Loss, and the Cash Flow Statement dealt with by this Report are in agreement with the books of account. d) In our opinion, the aforesaid financial statements comply with the Accounting Standards specified under Section 133 of the Act, read with Rule 7 of the Companies (Accounts) Rules, 2014. e) On the basis of the written representations received from the Directors as on 31st March, 2017 taken on record by the Board of Directors, none of the directors is disqualified as on 31st March, 2017 from being appointed as a Director in terms of Section 164(2) of the Act. f) With respect to the adequacy of the internal financial controls over financial reporting of the Company and the operating effectiveness of such controls, refer to our separate Report in "Annexure B". Place: Mumbai Date: 30th May, 2017 GUPTA SAHARIA & CO. Chartered Accountants g) With respect to the other matters to be included in the Auditor's Report in accordance with Rule 11 of the Companies (Audit and Auditors) Rules, 2014, in our opinion and to the best of our information and according to the explanations given to us: i. The Company does not have any pending litigations which would impact its financial position. ii. The Company has not entered into any long-term contracts including derivative contracts. iii. There has been no amount required to be transferred to the Investor Education and Protection Fund by the Company. iv. The Company has provided requisite disclosures in the financial statements as to the holdings as well as dealing in Specified Bank Notes during the period from 8th November, 2016 to 31 st December, 2016. Based on audit procedures and relying on the management representation, we report that the disclosures are in accordance with the books of account as maintained and produced to us by the Management. For M/s Gupta Saharia & Co. Chartered Accountants Sd/(S.S. Rathi) Partner Membership No.: 073373 Firm Reg. No. 103446W GUPTA SAHARIA & CO. Chartered Accountants ANNEXURE-'A' TO THE INDEPENDENT AUDITORS' REPORT (Referred to in paragraph 1 under 'Report on Other Legal and Regulatory Requirements' section of the independent auditors' report of even date on the financial statements of the Company for the year ended 31 ST March, 2017) i. In respect of its Fixed Assets: (a) The Company has maintained proper records showing full particulars including quantitative details and situation of fixed assets on the basis of available information. (b) As explained to us, all the fixed assets have been physically verified by the management in a phased periodical manner, which in our opinion is reasonable, having regard to the size of the company and the nature of its assets. (c) The Company does not hold any immovable properties and as such the sub clause c of clause (i) of para 3 of the said Order is not applicable. ii. The nature of inventory held by the Company does not demand for physical verification and hence clause (ii) of para 3 of the Order is not applicable. iii. The Company has not granted any loans, secured or unsecured to companies, firms, Limited Liability Partnerships or other parties covered in the register maintained under Section 189 of the Companies Act, 2013. Accordingly, the provisions of clause (iii) (a), (b) and (c) of para (3) of the Order are not applicable to the Company. iv. In our opinion, the Company has not given loan to any of its Directors including entities in which they are interested and is not required to comply with the provision of Section 185 and the Company in respect of loans, investments, guarantees, and security has complied with the provisions of section 186 of the Act. v. No deposits have been accepted by the Company within the meaning of directives issued by RBI (Reserve Bank of India) and Sections 73 to 76 or any other relevant provisions of the Act and rules framed there under. vi. As informed to us, the maintenance of Cost Records has not been specified by the Central Government under sub-section (1) of Section 148 of the Act, in respect of the activities carried on by the company. vii. a) According to the information given to us and the records of the Company examined by us, the Company is regular in depositing the undisputed statutory dues including provident fund, employee's state insurance, Income Tax, Sales Tax, Wealth Tax, Customs Duty, Excise Duty, Service Tax, Investor Education and Protection Fund and any other statutory dues as at 31 st March 2017. b) According to the information and explanation given to us, there are no dues of income tax, sales tax, service tax, duty of customs, duty of excise, value added tax outstanding on account of any dispute. GUPTA SAHARIA & CO. Chartered Accountants viii. The Company has not taken any loan either from financial institutions, Banks or from the government and has not issued any debentures, therefore Clause (viii) of the said Order is not applicable to the Company. ix. The Company has not raised any moneys by way of initial public offer, further public offer (including debt instruments) and term loans. Accordingly, the provisions of Clause 3(ix) of the Order are not applicable to the Company. x. Based upon the audit procedures performed and the information given by the management, we report that no fraud by the Company or any fraud on the company by its officers or employees has been noticed or reported during the year. xi. There being no managerial personnel in the Company and therefore no managerial remuneration was required to be paid as per the provision of section of the Companies Act, 2013. Therefore Clause (xi) of the Order is not applicable. xii. In our opinion, the Company is not a Nidhi Company. Therefore, the provisions of clause (xii) para 3 of the Order is not applicable to the Company. xiii. Based upon the Examination and explanations given by the management there were no related party transactions entered into by the Company. xiv. Based upon the information and explanations given by the management, the Company has not made any preferential allotment or private placement of shares or fully or partly convertible debentures during the year under review. Accordingly, the provisions of clause (xiv) of para 3 of the Order is not applicable to the Company. xv. The Company has not entered into any non - cash transactions with directors or persons connected with him accordingly the provision of clause (xv) of the said Order is not applicable. xvi. The Company is not required to be registered under Section 45-IA of the Reserve Bank of India Act, 1934. For M/s Gupta Saharia & Co. Chartered Accountants Place: Mumbai Date: 30th May, 2017 Sd/- (S.S. Rathi) Partner Membership No.: 073373 Firm Reg. No. 103446W ANNEXURE - 'B' TO THE INDEPENDENT AUDITORS' REPORT (Referred to in paragraph 2(f) under 'Report on Other Legal and Regulatory Requirements' section of the independent auditors' report of even date on the standalone financial statements of the Company for the year ended 31st March, 2017) Report on the Internal Financial Controls under Clause (i) of Sub-section 3 of Section 143 of the Companies Act, 2013 ("the Act") We have audited the internal financial controls over financial reporting of Wagend Infra Ventures Limited ("the Company") as of 31 st March, 2017 in conjunction with our audit of the financial statements of the Company for the year ended on that date. Management's Responsibility for Internal Financial Controls The Company's management is responsible for establishing and maintaining internal financial controls based on the internal control over financial reporting criteria established by the Company considering the essential components of internal control stated in the Guidance Note on Audit of Internal Financial Controls over Financial Reporting issued by the Institute of Chartered Accountants of India. These responsibilities include the design, implementation and maintenance of adequate internal financial controls that were operating effectively for ensuring the orderly and efficient conduct of its business, including adherence to company's policies, the safeguarding of its assets, the prevention and detection of frauds and errors, the accuracy and completeness of the accounting records, and the timely preparation of reliable financial information, as required under the Companies Act, 2013. Auditors' Responsibility Our responsibility is to express an opinion on the Company's internal financial controls over financial reporting based on our audit. We conducted our audit in accordance with the Guidance Note on Audit of Internal Financial Controls Over Financial Reporting (the "Guidance Note") and the Standards on Auditing, issued by ICAI and deemed to be prescribed under section 143(10) of the Companies Act, 2013, to the extent applicable to an audit of internal financial controls, both applicable to an audit of Internal Financial Controls and, both issued by the Institute of Chartered Accountants of India. Those Standards and the Guidance Note require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether adequate internal financial controls over financial reporting was established and maintained and if such controls operated effectively in all material respects. Our audit involves performing procedures to obtain audit evidence about the adequacy of the internal financial controls system over financial reporting and their operating effectiveness. Our audit of internal financial controls over financial reporting included obtaining an understanding of internal financial controls over financial reporting, assessing the risk that a material weakness exists, and testing and evaluating the design and operating effectiveness of internal control based on the assessed risk. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion on the Company's internal financial controls system over financial reporting. Meaning of Internal Financial Controls over Financial Reporting A company's internal financial control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal financial control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material effect on the financial statements. Inherent Limitations of Internal Financial Controls over Financial Reporting Because of the inherent limitations of internal financial controls over financial reporting, including the possibility of collusion or improper management override of controls, material misstatements due to error or fraud may occur and not be detected. Also, projections of any evaluation of the internal financial controls over financial reporting to future periods are subject to the risk that the internal financial control over financial reporting may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. Opinion In our opinion, the Company has, in all material respects, an adequate internal financial controls system over financial reporting and such internal financial controls over financial reporting were operating effectively as at March 31, 2017, based on the internal control over financial reporting criteria established by the Company considering the essential components of internal control stated in the Guidance Note on Audit of Internal Financial Controls Over Financial Reporting issued by the Institute of Chartered Accountants of India. For M/s Gupta Saharia & Co. Chartered Accountants Place: Mumbai Date: 30th May, 2017 Sd/- (S.S. Rathi) Partner Membership No.: 073373 Firm Reg. No. 103446W BALANCE SHEET AS AT 31 st MARCH , 2017 \| Particulars \| \| Note No. \| As at 31st March 2017 (Amount in Rs.) \| \|---\|---\|---\|---\| \| A 1 2 3 4 B 1 2 \| EQUITY AND LIABILITIES Shareholders’ funds (a) Share capital (b) Reserves and surplus (c) Money received against share warrants Share application money pending allotment Non-current liabilities Current liabilities (a) Trade payables (b) Other current liabilities (c) Short-term provisions TOTAL ASSETS Non-current assets (a) Fixed assets Tangible assets (b) Deferred Tax Assets Current assets (a) Current investments (b) Inventories (c) Trade receivables (d) Cash and cash equivalents (e) Short-term loans and advances (f) Other Current Assets TOTAL \| 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 \| 94,250,000 51,281,270 0 \| \| \| \| \| 145,531,270 0 0 31,177,046 42,994 9,070,644 \| \| \| \| \| 40,290,684 \| \| \| \| \| 185,821,954 \| \| \| \| \| 268,052 128,057 \| \| \| \| \| 396,109 2,580,682 6,856,308 81,551,753 47,539 83,956,959 10,432,604 \| \| \| \| \| 185,425,844 \| \| \| \| \| 185,821,954 \| PROFIT AND LOSS STATEMENT FOR THE YEAR ENDED 31 ST MARCH, 2017 \| \| Particulars \| Note No. \| For the year ended 31st March 2017 (Amount in Rs.) \| For the year ended 31st March 2016 (Amount in Rs.) \| \|---\|---\|---\|---\|---\| \| 1. 2. 3. 4. a. b. c. d. e. f. 5 6 7 8. 9 10. 11. 12. \| Income Revenue from Operations Other income Total Income (1+2) Expenses Cost of materials consumed Purchase Stock in Trade Change in Inventories of Finished Good Employee benefits expense Depreciation and amortisation expense Other expenses Total expenses : Profit before exceptional and extraordinary items and tax (3 - 4) Exceptional items Profit before extraordinary items and tax (5 - 6) Extraordinary items Profit before tax (7 - 8) Tax expense: (a) Current tax (b) Income tax of earlier year (b) Deferred tax Net Profit/(Loss) for the period (9 - 10) Earnings per share (FV of Rs. 2/- ): (a) Basic (b) Diluted \| 2.14 \| 0 1,606,141 \| 0 697,999 \| \| \| \| \| 1,606,141 \| 697,999 \| \| \| \| 2.15 2.16 2.17 2.18 2.19 \| 0 322,838 -322,838 147,500 140,448 1,054,544 \| 0 0 0 123,500 202,304 803,078 \| \| \| \| \| 1,342,492 \| 1,128,881 \| \| \| \| \| 263,649 0 \| -430,882 0 \| \| \| \| \| 263,649 0 \| -430,882 0 \| \| \| \| \| 263,649 0 455,000 -4,155 \| -430,882 0 0 -13,300 \| \| \| \| \| -187,196 \| -417,582 \| \| \| \| \| -0.004 -0.004 \| -0.009 -0.009 \| Significant Accounting Policies & Notes on Accounts 1 Notes to the Balance Sheet 2 In terms of our report attached. For M/s. Gupta Saharia & Co. Chartered Accountants Sd/- S.S. Rathi Partner Membership No. : 073373 Firm's Registration No. : 103446W Place : Mumbai Date : 30.05.2017 For and on behalf of Board of Directors Sd/- Sanjay Minda Chairman DIN 00034029 Sd/- Pratik Jain Director DIN: 03387613 CASH FLOW STATEMENT FOR THE YEAR ENDED 31ST MARCH 2017 \| Particulars \| For the year ended 31st March 2017 (Amount in Rs.) \| For the year ended 31st March 2016 (Amount in Rs.) \| \|---\|---\|---\| \| A. Cash flow from operating activities Net Profit / (Loss) before extraordinary items and tax Adjustments for: Depreciation and amortisation Taxes Operating profit / (loss) before working capital changes Changes in working capital: Increase/(Decrease) in Trade receivables and other Current Assets Increase/(Decrease) in Trade payables and others Current Liablities Net cash flow from / (used in) Operating activities (A) B. Cash flow from investing activities Purchase of Fixed Assets Net cash flow from/(used in) Investing Activities (B) C. Cash flow from financing activities (C) Net increase / (decrease) in Cash and cash equivalents (A+B+C) Cash and cash equivalents at the beginning of the year Cash and cash equivalents at the end of the year comprises: (a) Cash on hand (b) Balances with banks - In current accounts \| 263,649 140,448 -450,845 \| -430,882 202,304 13,300 \| \| \| -46,748 \| -215,279 \| \| \| 0 0 \| 165,722 19,478 \| \| \| -46,748 \| -30,079 \| \| \| 0 \| -31,000 \| \| \| 0 \| -31,000 \| \| \| 0 \| 0 \| \| \| -46,748 \| -61,079 \| \| \| 210,744 163,997 38,337 9,202 \| 271,823 210,744 183,656 27,088 \| \| \| 47,539 \| 210,744 \| Notes: (i) The Cash Flow Statement reflects the combined cash flows pertaining to continuing and discounting operations. (ii) The Cash Flow Statement has been prepared under the "Indirect method" set out in Accounting Standard 3 "Cash Flow Statement" issued by the Institute of Chartered Accountants of India In terms of our report attached. For M/s. Gupta Saharia & Co. Chartered Accountants For and on behalf of Board of Directors Sd/- S.S. Rathi Partner Membership No. : 073373 Firm's Registration No. : 103446W Place : Mumbai Date : 30.05.2017 Sd/- Sanjay Minda Chairman DIN 00034029 Sd/- Pratik Jain Director DIN: 03387613 Note 1: SIGNIFICANT ACCOUNTING POLICIES FOR THE YEAR ENDED 31 ST MARCH, 2017 1. Corporate Information: Wagend Infra Venture Limited ('the Company') was incorporated in India on 29 th September, 1981. The equity shares of the Company are listed in India on the Bombay stock exchange (BSE Limited). The Company is primarily engaged in the business of infrastructure projects, trading in securities. 2. Basis of Preparation of Financial Statements: The financial statements of the company have been prepared in accordance with Generally Accepted Accounting Principles in India (Indian GAAP) under the historical cost convention on a going concern basis. Pursuant to Section 133 of the Companies Act, 2013 and Rule 7 of the Companies (Accounts) Rules, 2014, till the standards of accounting or any addendum thereto are prescribed by Central Government in consultation and recommendation of the National Financial Reporting Authority, the Company will continue to apply the Accounting Standards notified under Section 211(3C) of the Companies Act, 1956; the Companies (Accounting Standards) Rules, 2006 (as amended) and the relevant provisions of the Companies Act, 2013. All the assets and Liabilities have been classified as current or non-current as per the criteria set out in Schedule III to the Companies Act, 2013. The accounting policies, in all material respects, have been consistently applied by the Company and are consistent with those used in the previous year. 3. Use of Estimates: The preparation of financial statements in conformity with GAAP requires the management to make estimates and assumptions that affect the reported amount of assets and liabilities and disclosure of contingent liabilities at the date of financial statements, and the reported amount of revenues and expenses during the year. Actual results could differ from these estimates. On an ongoing basis, estimates are evaluated based on historical experience and on various other assumptions that are believed to be reasonable, the results of which forms the basis for making judgments about the carrying value of assets and liabilities. Actual results could differ from those estimates. Any revision to estimates or difference between the actual result and estimates are recognised in the period in which the results are known/ materialised. 4. Revenue Recognition: Revenue is recognized to the extent that it is probable that the economic benefits will flow to the Company and the revenue can be reliably measured. The following are specific criteria on which revenue is recognized. Interest income is recognized on the time proportion basis. Dividend Income is recognized when the instrument/unit holders' right to receive payment is established by the balance sheet date. 5. Fixed Assets: a) Tangible Assets: Tangible Assets are stated at cost of acquisition and includes all direct and indirect cost incurred up to the date of acquisition and / or the asset is put to use, less accumulated depreciation and impairment losses, if any. Subsequent expenditures related to an item of fixed asset are added to its book value only if they increase the future benefits from the existing asset beyond its previously assessed standard of performance. b) Intangible Assets: An item is recognized as an intangible asset if it meets the definition of an intangible asset. However the company has not acquired any Intangible Assets. c) Depreciation / Amortization: Depreciation on fixed assets is provided on written down value basis over the useful life of the assets estimated by the management, in the manner prescribed in Schedule II of the Companies Act, 2013. Depreciation on additions/disposals to the fixed assets during the year is provided on pro-rata basis from/to the date of such additions/disposals as the case may be. The assets costing up to Rs.5,000/- are fully depreciated during the year of addition after retaining 5% as net residual value. 6. Provisions and Contingent Liabilities: Provisions involving substantial degree of estimation in measurement are recognized at the balance sheet date when a) there is a present obligation as a result of past events. b) there is a probability that there will be an outflow of resources. c) the amount of obligation can be reliably estimated. Contingent Liabilities are not recognized but are disclosed in the notes in case of: a) a present obligation arising from a past event, when it is not probable that an outflow of resources will be required to settle the obligation or a reliable estimate of the amount of obligation cannot be made. b) a possible obligation arising from past events, the existence of which will be confirmed only by the occurrence or non-occurrence of one or more uncertain future events not within the control of the company. 7. Investments: Long Term Investments are valued at cost. Diminution in value if any, which is of a temporary nature, is not provided. However, the company has no Long Term Investments. Investments that are readily realizable and intended to be held for not more than a year from the date on which such investments are made are classified as current investments. Current Investments are valued at lower of cost and fair value. 8. Inventories: Inventories are valued at cost. 9. Impairment of Assets: The carrying amounts of assets are reviewed at each Balance Sheet date if there is any indication of impairment based on internal / external factors. Impairment loss, if any, is provided in the Profit and Loss Account to the extent of carrying amount of assets exceeds their estimated recoverable amount. 10. Employee Benefits: As per management's view none of the current employees shall complete their term of service of five years, hence actuarial valuation of gratuity is not done. 11. Taxes on Income: Current Tax represents the amount of Income Tax payable in respect of the taxable income for the reporting period as determined in accordance with the provisions of the Income Tax Act, 1961. Deferred tax assets and liabilities from timing differences between taxable income and accounting income for the year is accounted for using tax rates and laws that have been substantively enacted as on the balance sheet date. Deferred tax assets arising from timing differences are recognized to the extent there is virtual / reasonable certainty in their realization. 12. Cash Flow Statement: Cash flow are reported using the indirect method, wherby profit / loss before extraordinary items and tax is adjusted for the effects of transactions of non – cash nature and any defferals or accruals of past or future cash receipts or payments. The cash flows from operating, investing and financing activities of the Company are segregated based on the available information. 13. Cash & Cash Equivalent: Cash and cash equivalent includes cash on hand, and deposits maintained with banks which can be withdrawn by the company at any point of time. 14. Earnings per Share (EPS) Basic EPS is computed by dividing the net profit for the year attributable to the Equity shareholders by the weighted average number of equity shares outstanding during the period. Diluted EPS is computed by dividing the net profit for the year, adjusted for the effects of dilutive potential equity shares, attributable to the equity shareholders by weighted average number of equity shares and dilutive potential equity shares outstanding during the year – end, except where the results would be anti-dilutive. Notes forming part of the financial statements Note 2.1 Share capital \| Particulars \| As at 31 March, 2017 \| \| \| \|---\|---\|---\|---\| \| \| Number of shares \| Rs. \| Number of shares \| \| Authorised Capital Equity shares of Rs. 2/- each with voting rights Issued, Subscribed and Paid up Capital Equity shares of Rs. 2/- each with voting rights \| 50,000,000 \| 100,000,000 \| 50,000,000 \| \| \| 47,125,000 \| 94,250,000 \| 47,125,000 \| \| Total \| 47,125,000 \| 94,250,000 \| 47,125,000 \| (i) Reconciliation of the number of shares and amount outstanding at the beginning and at the end of the reporting period: \| Particulars \| Opening Balance \| Fresh issue \| Conversion \| \|---\|---\|---\|---\| \| Equity shares with voting rights Year ended 31st March, 2017 - Number of shares - Amount (Rs.) Year ended 31st March, 2016 - Number of shares - Amount (Rs.) \| 47,125,000 94,250,000 \| 0.00 0.00 \| 0.00 0.00 \| \| \| 47,125,000 94,250,000 \| 0.00 0.00 \| 0.00 0.00 \| (ii) Terms and Rights attached to equity shares: - The company has only one class of equity shares having a par value of Rs. 2 each. Each holder of equity shares is entitled to one vote per share. - In the event of liquidation, the euity shareholders are eligible to receive the remaining assets of the company after distribution of all preferential amount, in proportion to the shareholding. However, no such preferential amount exist currently. (iii) Details of shares held by each shareholder holding more than 5% shares: \| \| Number of shares held \| % holding that class of shares \| Number of shares \| % holding that class of shares \| \|---\|---\|---\|---\|---\| \| Equity shares with voting rights a) Sanjay Minda b) Shilpa R Sheth c) Rahil R Sheth \| 6,338,400 4,958,577 2,648,841 \| 13.45% 10.52% 5.62% \| 6,338,400 4,958,577 2,648,841 \| 13.45% 10.52% 5.62% \| Note 2.2 Reserves and surplus \| (a) Securities premium Reserve Opening balance Addition / Deduction during the year Closing balance (b) Surplus Opening balance Add: Transferred from surplus in Profit and Loss Statement Less: Utilised / transferred during the year for: Closing balance Total \| 18,050,000 0 \| \|---\|---\| \| \| 18,050,000 \| \| \| 33,418,466 -187,196 0 \| \| \| 33,231,270 \| \| \| 51,281,270 \| Note 2.3 Trade payables \| Particulars \| As at 31st March, 2017 Rs. \| \|---\|---\| \| \| 0 31,177,046 \| \| \| 31,177,046 \| Note 2.4 Other Current Liabilities \| Particulars \| As at 31st March, 2017 Rs. \| As at 31st March, 2016 Rs. \| \|---\|---\|---\| \| Other payables:- Auditors fees payable Salary payable TDS payable Professional Fees Payable Telephone Bill Payable Total \| 23,000 11,500 0 7,000 1,494 \| 22,900 9,500 16,750 0 0 \| \| \| 42,994 \| 49,150 \| Note 2.5 Short-term provisions \| Note 2.6 FIXED ASSETS \| Net Block \| Balance As at 31 March, 2016 \| 389,512 \| - \| 408,500 \| 579,804 \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| Balance As at 31 March, 2017 \| 261,672 \| 6,380 \| 268,052 \| 408,500 \| \| \| Depreciation \| Balance As at 31 March, 2017 \| 1,265,280 \| 24,620 \| 1,289,900 \| 1,149,452 \| \| \| \| For the year Eliminated on disposal of assets \| - \| - \| - \| - \| \| \| \| Depreciation \| 127,840 \| 12,608 \| 140,448 \| 202,305 \| \| \| \| Balance As at 1, April 2016 \| 1,137,440 \| 12,012 \| 1,149,452 \| 947,148 \| \| \| Gross Block \| Balance As at 1, March 2017 \| 1,526,952 \| 31,000 \| 1,557,952 \| 1,537,952 \| \| \| \| Disposals \| - \| - \| - \| - \| \| \| \| Additions \| - \| \| - \| 31,000 \| \| \| \| Balance As at 1, April 2016 \| 1,526,952 \| 31,000 \| 1,557,952 \| 1,526,952 \| \| \| Tangible Assets \| \| Motor Car \| Computer \| Total Current Year \| Total Previous year \| Note 2.7 Deferred Tax Assets (Net) \| Particulars \| As at 31st March, 2017 Rs. \| \|---\|---\| \| Tax effect of items constituting deferred tax assets On difference between book balance and tax balance of fixed assets Total \| 128,057 \| \| \| 128,057 \| Note 2.8 Current Investments \| Particulars \| As at 31st March, 2017 Rs. \| As at 31st March, 2016 Rs. \| \|---\|---\|---\| \| Other current investments Invesment in Quoted Equity Instruments Texmo Pipes Products Ltd Tricom India Ltd Total Aggregate amount of Quoted Investment Aggregate Market Value of listed & quoted investments Aggregate amount of Unquoted Investment Provision for Diminution in value of investments \| 1,821,497 759,186 \| 1,821,497 759,186 \| \| \| 2,580,682 \| 2,580,682 \| \| \| 2,580,682 1,103,550 0 0 \| 2,580,682 1,398,400 0 0 \| Note 2.9 Inventories \| Particulars \| As at 31st March, 2017 Rs. \| As at 31st March, 2016 Rs. \| \|---\|---\|---\| \| Shares Total \| 6,856,308 \| 6,533,470 \| \| \| 6,856,308 \| 6,533,470 \| Note 2.10 Trade receivables \| Outstanding for a period exceeding six months Unsecured, considered good Total \| 81,551,753 \| \|---\|---\| \| \| 81,551,753 \| Note 2.11 Cash and cash equivalents \| Particulars \| As at 31st March, 2017 Rs. \| \|---\|---\| \| \| 38,337 9,202 \| \| \| 47,539 \| Note 2.12 Short-term loans and advances \| Particulars \| As at 31st March, 2017 Rs. \| \|---\|---\| \| Others Unsecured, Considered good Inter-corporate deposits Total \| 83,956,959 \| \| \| 83,956,959 \| Note 2.13 Other Current Assets \| Particulars \| As at 31st March, 2017 Rs. \| As at 31st March, 2016 Rs. \| \|---\|---\|---\| \| Advance with Government Authorities MAT Credit A Y 2017-18 T.D.S. for A Y 2017-18 T.D.S. for A Y 2016-17 T.D.S. for A Y 2015-16 T.D.S. for A Y 2014-15 T.D.S. for A Y 2013-14 T.D.S. for A Y 2012-13 T.D.S. for A Y 2011-12 S A Tax Paid for A Y 2014-15 Total \| 50,239 109,400 3,588 0 0 3,176,739 5,436,138 1,656,500 0 \| 0 0 69,801 59,445 921,708 3,176,739 5,436,138 1,656,500 2,365,810 \| \| \| 10,432,604 \| 13,686,141 \| Note 2.14 Other Income \| Particulars \| For the year ended 31st March, 2017 Rs. \| \|---\|---\| \| Interest Income Interest on Short term loans and advances Interest on Income Tax Total \| 1,596,393 9,748 \| \| \| 1,606,141 \| Note 2.15 Purchase Stock in Trade \| Shares Purchased Total \| 322,838 \| \|---\|---\| \| \| 322,838 \| Note 2.16 Changes in Inventories \| Particulars \| For the year ended 31st March, 2017 Rs. \| \|---\|---\| \| \| -322,838 \| \| \| -322,838 \| Note 2.17 Employee Benefits Expense \| Particulars \| For the year ended 31st March, 2017 Rs. \| \|---\|---\| \| Salaries and wages Total \| 147,500 \| \| \| 147,500 \| Note 2.18 Depreciation \| Particulars \| For the year ended 31st March, 2017 Rs. \| For the year ended 31st March, 2016 Rs. \| \|---\|---\|---\| \| \| 140,448 \| 202,304 \| \| \| 140,448 \| 202,304 \| Note 2.19 Other expenses \| Particulars \| For the year ended 31st March, 2017 Rs. \| \|---\|---\| \| Advertisement Expenses Custody Fees Filing Fees Insurance Legal and professional Telephone Charges Listing Fees E-Voting Charges Office Expenses Rent Paid Payments to auditors Petrol & Diesel Expenses Postage Telgraph Printing and stationery Share Transfer Charges Travelling and conveyance Vehicle Expenses Staff Welfare Expenses Miscellaneous Expenses Total \| 44,413 51,526 3,640 17,901 24,335 16,629 230,000 5,750 51,150 240,000 23,000 92,620 20,850 24,800 47,150 91,700 21,745 36,505 10,830 \| \| \| 1,054,544 \| NOTES FORMING PART OF THE FINANCIAL STATEMENT 2.20. Sundry Debtors and Receivables: Sundry Debtors and Loans and Advances are stated at the value if realized in the ordinary course of business. Irrecoverable amounts, if any are accounted and/or provided for as per management's judgment or only upon final settlement of accounts with the parties. 2.21. In the Opinion of the Directors: The Current Assets and Loans & Advances are approximately of the value stated in the financial statement, if realized in the ordinary course of business. The provision for depreciation and for all known liabilities is adequate and not in excess of the amount reasonably necessary. 2.22. Segment Reporting: As the company operates in only one business and operates only in one geographical segment i.e. domestic, the disclosure requirements under Accounting Standard 17-"Segment Reporting" is not required. 2.23. Earnings per Share: \| Particulars \| For the year end 31st March, 2017 \| \|---\|---\| \| Net Profit / (Loss) as attributable to Equity Shareholders \| (1,87,196) \| \| Number of Equity shares outstanding during the year \| 4,71,25,000 \| \| Earnings per share Basic and Diluted \| (0.004) \| \| Nominal Value of an equity share \| 2 \| 2.24. Payment to Auditors \| Particulars \| For the year end 31st March, 2017 \| \|---\|---\| \| For Statutory Audit and taxation matters \| 23,000 \| \| Total : \| 23,000 \| 2.25. Related Parties Disclosures During the year there is no Related Party Transaction and therefore no reporting required to be given under AS-18. 2.26. Details of Specified Bank Notes (SBN) held and transacted during the period from 8th November, 2016 to 30th December, 2016 are as under: 2.27 Reporting under Schedule V of SEBI (LODR), 2015, with respect to loan given to subsidiary or Associates is not applicable to the company, as the Company does not have subsidiary or Associates Company as defined under section 186 of the Companies Act, 2013 and no loans and advances are given which is outstanding for a period of more than seven years. 2.28 Foreign Currency Exposure: Earnings and expenditure in foreign currency during the current and previous financial year – NIL 2.29 There was no amount due as on 31 st March, 2017 as reported to us from/to Micro, small & Medium Enterprises as per MSMED Act, 2006. 2.30 There is no amount due and outstanding to be credited to Investors Education & Protection Fund. 2.31 Previous year's figures have been regrouped / reclassified wherever necessary to correspond with the current year's classification / disclosure. For M/s. Gupta Saharia & Co. For and on behalf of Board of Directors Chartered Accountants Sd/- S.S. Rathi Partner Membership No. : 073373 Firm's Registration No. : 103446W Place : Mumbai Date : 30.05.2017 Sd/- Sanjay Minda Chairman Sd/- Pratik Jain Director DIN 00034029 DIN: 03387613 WAGEND INFRA VENTURE LIMITED CIN: L67120MH1981PLC025320 117, Hubtown Solaris, N.S. Phadke Marg, Nr. East – West Flyover, Andheri (East), Mumbai-400 069. ATTENDANCE SLIP 35 th ANNUAL GENERAL MEETING-SATURDAY, SEPTEMBER 30 TH , 2017 I hereby record my presence at the 35 th Annual General Meeting of the Company on Saturday, September 30 th , 2017 at 117, Hubtown Solaris, N.S. Phadke Marg, Nr. East – West Flyover, Andheri East, Mumbai – 400 069, Maharashtra at 12:30 p.m. and at any adjournment thereof. ____________________________ Member's/Proxy's Signature (To be signed at the time of handing over this slip) Name of the attending Member : (In Block Letters) _________________________________________________________ Folio No. : _________________________________________________________ Name of the Proxy : _________________________________________________________ (To be filled in if the Proxy attends instead of the Member) No. of Shares Held : __________________________________ (in words) _________________(Figures) NOTE: [Shareholder / Proxy holder wishing to attend the meeting must bring the Attendance Slip to the meeting and hand over the same at the entrance after the same has been duly signed] Form No. MGT-11 PROXY FORM [Pursuant to Section 105(6) of the Companies Act, 2013 and rule 19(3) of the Companies (Management and Administration) Rules, 2014] WAGEND INFRA VENTURE LIMITED CIN: L67120MH1981PLC025320 Reg. Off.: 117, Hubtown Solaris, N.S. Phadke Marg, Nr. East – West Flyover, Andheri (E), Mumbai–400 069. Tel: 022 – 2684 4495 / 97 • Email: email@example.com • Website: www.wagendinfra.com Name of the Member (s) : Registered Address : E-mail id : Folio No./ Client Id : DP ID : I/We, being the Member(s) of ……...................................................................shares of Wagend Infra Venture Limited, hereby appoint 1. Name: _______________________________________________Email Id: _________________________________________ Address: _______________________________________________________________________________________________ Signature: ________________________or failing him / her 2. Name: _______________________________________________Email Id: _________________________________________ Address: _______________________________________________________________________________________________ Signature: ________________________or failing him / her 3. Name: _______________________________________________Email Id: _________________________________________ Address: _______________________________________________________________________________________________ Signature: ________________________or failing him / her as my / our Proxy to attend and vote (on a poll) for me / us and on my / our behalf at the 35 th Annual General Meeting of the Company, to be held on Saturday, September 30 th , 2017 at 117, Hubtown Solaris, N.S. Phadke Marg, Nr. East – West Flyover, Andheri East, Mumbai – 400 069, Maharashtra at 12:30 p.m. and at adjournment thereof in respect of such resolution as are indicated below: Signed this _____________ day of __________2017 Affix Revenue Stamp …………............……………….. ………...…............……………….. Signature of shareholder Signature of proxy holder(s) Note:- This form of Proxy in order to be effective should be duly completed and deposited at Registered Office of the Company. BOOK - POST If undelivered, return to WAGEND INFRA VENTURE LIMITED Registered Office: 117, Hubtown Solaris, N. S. Phadke Marg, Near East West Flyover, Andheri (E), Mumbai - 400 069, Maharashtra
Multiple data sources regarding patients` medication Camilla Bjørnstad 1UiT, The Arctic University of Norway Norwegian Center for Integrated Care and Telemedicine, Box 35, 9038 Tromso 1 Introduction When patients are admitted to a hospital, the physicians create a written list with the drugs the patient is using. This is referred to as the medication list. It has been focused on the quality of the content in those, and both domestic and international research have shown deviation between the medication lists and the medication the patient actually is using [1], [2], [3], [4]. A prerequisite to safe drug treatment is correct information about what drugs the patient are using. Unfortunately, medication errors and misunderstandings often occur when patients are admitted and discharged to hospitals. As a result, it is hard to control and keep track of the prescribed and administered medications. This leads to errors and deficiencies in the medication lists. The consequences for the patients might be increased risk of adverse effects, poor efficacy of the treatment or in worstcase toxic reactions and treatment failure to severe illness. There are several reasons for the deviations. The patient is commonly self the source of information. There neither has been no systematically method to interview the patient to obtain the correct and complete information nor is the medication overview from the general practitioner (GP) to be trusted [5]. There is a general perception both from most health care professionals and from authorities that information technology like a national core record or an electronic medication management system (EMMS) could help improve the issues mentioned above and thereby improving the quality of the patient treatment. This leads to the following research questions: How do clinicians today practice to find information about patients' medication? How should this affect the implementation of an EMMS? Based on this, we want to explore the work practice regarding obtaining patients` medication lists. We are taking a work practice perspective [6], [7], [8] and have performed a case study at the University Hospital of Northern Norway. 2 Theory Ensuring high quality of treatment and care is a pressing issue for health authorities. In a 2000 US Institute of Medicine report, the Committee on Quality of Health Care in America estimated that medical errors were the leading cause of death in the United States [9]. Such errors are generally associated with an increased burden of illness for patients and increased expenditures for hospital treatment [10], [11]. One reason for this is that patients' drug treatment is increasingly more complicated. In addition, some hospitalized patients will generate high volumes of data. Today easy access to all the important data and ability to present the data in an understandable way together with an overview of the medication is lacking. Needed information and data are saved in different electronic and paper-based systems. This makes it difficult and time consuming for health professionals to make well-founded decisions regarding patients' treatment. One of the Norwegian authorities' goal is to utilize the potential of modern technology to increase quality and patient safety in the health care sector [12]. This include the intention to create a national core record that should be available for all relevant actors in the health care system. The core record is intended to contain important health information included drugs that the patients currently are using. Integrations between the core record and the EMMS are supposed to help in improving the patients' drug lists and provide the clinicians with important information about the patient. Unfortunately, there are not much literature that support these perceptions of improved quality of the patient treatment by introducing information technology [13], [14]. 3 Method This is an interpretive field study of the medication process at the University Hospital of Northern Norway. The interpretive approach has the potential to produce deep insight into the medication processes [15]. We have studied and compared the medication management process across three wards: the Emergency Unit, the Cardiology Ward and the Gastro Surgical Unit. Different routines and practices at each ward makes it important to involve several wards in the study. We have conducted observations and performed semi-structured interviews with six nurses and six physicians. The aim is to understand the medication process in detail. A digital voice recorder was used to record the interviews. The interviews were than transcribed word by word. We observed the physicians at the Emergency unit during their work on making a medication list. We observed two nurses at the Cardiology ward when they performed reconciliations of medication lists. The first author is a pharmacist and a member of the North Region Health Organization. The benefit of being familiar with the organization and having knowledge about medication has made it easier to understand the medication process and to understand the challenges and problems that have been identified during the data collection. On the other hand has this knowledge included assumptions and preconceptions regarding the medication process prior to the investigation. 4 The case We have included three wards in this study in order to reveal how clinicians in different settings find information about the patients´ medication. Jane is an intern at the Emergency Unit. She tells that some of the patients admitted does not know the name and doses of the drugs they are using. Many patients believe that the hospital has all the information needed about their medication. Jane said: Some patients are using quite a lot. Actually quite large doses, without any idea why they are using it. They assume that we know, so they get grumpy when we ask: "Are you using this drug?" "Yes, but isn't that written in the papers?" Both nurses and physicians means that the patients should be more aware of what kind of drugs they are using. Some of the patients arriving have a referral from the GP including a drug list. But they don't trust the information they get. Unfortunately, some GPs do not update their patient record. For instance, a ten-day antibiotic treatment from 2008 is still in the list containing the drugs the patient currently is using. Sometimes the source of information is a relative to the patient. If the patient is using municipality health services, this could be another source for information. Another source when information is missing: Then you have to read old discharge rapports to look for information about changes. This means that it is important that someone updates the information when changes are made. Very few cares about this task today. In addition, the data in the discharge rapports is not structured, but consists of prose. This makes it difficult and time consuming to find the information you need. The process of listing the patient`s medication takes time and it is often doubt about the content in the list. Brad, a residence physician, says: Sometimes it is quick. Because some people have order in their affairs. If not, it usually takes very long time. And sometimes is it impossible because there is doubt and the patient don`t know himself. Paul is a residence physician at the Cardiology Ward. He says: I know that the quality of the medication lists are a problem. You cannot trust one source, you have to speak with the patient, speak with the GP and… It is a bit like detective work. The Cardiology Ward has decided to reconcile all medication lists. The nurses perform the reconciliation. And if the patient don`t know the answer to the questions, the nurse commonly spend time calling the patients next of kin, the GP or other community health care services. One of the nurses says: The goal is to perform reconciliations for all patients. But if it takes long time and you have five-six patient, then there just isn`t enough time. Another issue is that even if all the systems are communicating with each other in the future, and changes in the medication in one system automatically leads to chances in the other systems, you have to communicate with the patient: Sometimes do the GP provides us with a correct list including all eight drugs the patient should be using. But the patient is only using the five drugs he wants to use. He is gladly listing the eight drugs, but if you ask more directly, he tells that he is actually only using five because for instance the diuretic is a bit troublesome. The physicians at the Gastro Surgical Unit list the medication in the chart for the admitted patients. Both of the interviewed physicians find this task time consuming, and like at the Cardiology ward one of them describe it as detective work. One of them elaborate: Yes, it takes time to figure out what they actually are using. Even if they already have a list, I have to check for changes. Yesterday I had a patient that was discharged two weeks ago with a list including 18 drugs. So I was prepared that it was what he should get this time as well, but it turned out that he only had two drugs left, Creon and Somac. 5 Discussion Information about the patients' medication is hard to find and the clinicians have to look in several different systems. The case shows that common sources for information are the patient him or her selves, the GP, the home care service, the patient record from a previous hospital stay or the patients` next of kind. Since there is no source about the patients' medication that really could be trusted, the quality of the drug lists is often uncertain even if several sources mentioned above are searched. The hope for the future is a national core record containing a correct drug list. The core record is supposed to fetch information from the e-prescription mediator that contain prescriptions from all health care services. But there will still be issues regarding updating the lists. A prescription stays in the e-prescription mediator for three months. If a physician make changes during this time, he has to discontinue or change the previous prescription to ensure correct drug lists. In addition will no over the counter drugs be included in the core record. This implies that there still will be a need for manual updating of drug information. Updating the lists is a task that is not prioritized today, and it is not obvious that technology would change this. A new EMMS and national core record would not change the fact that improved quality of the medication lists entails increased effort from clinicians at several different levels in the health care system. And it depends on how much work and time they are willing and have the opportunity to use on the task. The patients are not aware of the poor quality of their drug lists. They believe that changes made in the medication at one health care service are known by other health services they attend, and most patients have insufficient overview over their own medication. The result is poor quality in the majority of the drug lists. This is intimidating considering the consequences this might lead to for the hospital expenditure and especially for the patients. In the future with updated drug lists in the core record, some will not see the need to communicate with the patient regarding their drugs. This could make the physician miss important information about compliance. Like the example in the case where the patient is supposed to use eighth drugs, but are choosing to just use five of the prescribed drugs. Technology would not solve the fact that the patient do not comply with the medication list from the health care service. To detect this, you have to speak with the patient. 6 Conclution The quality of the medication lists in hospitals should not be taken for granted. The patients are not aware of the poor quality. The clinicians are aware, and they are frustrated due to all the different sources they have to look for information in and because they cannot trust that the sources have correct information. Technology alone is not enough to solve the quality problem. Work practices have to be improved as well. In addition, we do know that successful implementation of new IT-systems in health care is hard to achieve. It will most likely be a gap between the reality and the purpose of the implementation. References 1. Midlov, P., Bergkvist, A., Bondesson, A., Eriksson, T., Hoglund, P. (2005). Medication errors when transferring elderly patients between primary health care and hospital care. Pharm World Sci 2005;27(2):116-20 2. Steurbaut, S., Leemans, L., Leysen, T., De, B.E., Cornu, P., Mets, T. (2010). Medication history reconciliation by clinical pharmacists in elderly inpatients admittet from home or a nursing home. Ann Pharmocother 2010;44(10):1596-603 3. Tam, V.C., Knowles, S.R., Cornish, P.L., Fine, N., Marchesano, R., Etchells, E.E. (2005). Frequency, type and clinical importance of medication history errors at admission to hospital: a systematic review. CMAJ 2005;173(5):510-5 4. Aag, T (2013). Legemiddelsamstemming ved innleggelse på hjertemedisinsk sengepost. Er det forskjeller mellom uoverensstemmelser som identifiseres av farmasøyt og av sykepleier? – en randomisert kontrollert studie. 15. januar 2013. Erfaringsbasert masteroppgave i klinisk farmasi 5. Rognstad, S. and Straand, J. (2004). Vet fastlegen hvilke medisiner hjemmesykepleien gir pasientene? Tidsskr Nor Lægeforen 2004; 124:810 – 2 6. Silsand, L and Ellingsen, G (2016) Complex decision-making in clinical practice CSCW '16, February 27-March 02, 2016, San Francisco, CA, USA 7. Berg, M. (1999): Accumulating and coordinating: Occasions for information technologies in medical work Computer Supported Cooperative Work (CSCW) 8, 4: 373-401 8. Møller, N. H. and Bjørn, P. 2011. Layers in Sorting Practices: Sorting out Patients with Potential Cancer. Computer Supported Cooperative Work (CSCW) 20, 3: 123–153. 9. Kohn, L. T., J. M. Corrigan, and M. S. Donaldson, eds. (2000). To err is human: Building a safer health system. Institute of Medicine. Washington, DC: National Academies Press. 10. Roughead EE & Semple SJ (2009) Medication safety in acute care in Australia: where are we now? Part 1: a review of the extent and causes of medication problems 2002–2008. Australian and New Zealand Health Policy 6, 18 11. Govermental report, 2005: The Ministry of Health and Care Services (2005) Report No. 18 to the Norwegian Storting: «Rett kurs mot riktigere legemiddelbruk», Report 2005. 12. Govermental report, 20012: Report No. 9 to the Norwegian Storting: «Èn innbygger – èn journal», Report 2012 13. Black Ashly D., Car Josip, Pagliari Claudia, Anandan Chantelle, Cresswel Kathrin, Bokun Tomislav, McKinstry Brian, Procter Rob, Majeed Azeem, Sheikh Aziz. (2011). The Impact of eHealth on the Quality and Safety of Health Care: A Systematic Overview. PLoS Medicine, org 1 January 2011, Volume 8, Issue 1 14. Pedersen, R. and Ellingsen, G (2011) The electronic patient record – sufficient quality for clinical research? ECIS 2011 Proceedings. Paper 274 15. Klein, H. K. & Myers, M. D. (1999) A set of principles for conducting and evaluating interpretive field studies in information systems. MIS Quarterly Vol. 23 No. 1, pp. 6794/March 1999
California Senate Bill No. 1856 – Air Quality Maintenance Defined within the Agricultural Burning Definition under Prescribed Burning Analyzed and Compiled by: Ann Hobbs, Associate Planner, Placer County Air Pollution Control District Reviewed by: Yu-Shuo Chang and Heather Kuklo Placer County Air Pollution Control District January 8, 2021 SUMMARY Senate Bill (SB) 1856 (Bowen 2004) required that under the Agricultural Burning definition in the California Health and Safety Code, prescribed burning must meet one of seven objectives, which includes air quality maintenance. However, no definition of the term air quality maintenance was provided. In the legislative record, there was no detailed information on the intent and/or reason for the inclusion of air quality maintenance as an objective for conducting a prescribed burn. It appears that SB 1856's reference to an earlier bill SB 1001, from Senator Bowen's notes dated April 13, 2004, states that the current bill is a repeat of a bill introduced in 1999. The Senator noted that "the goal is to simply reconcile the different definitions of prescribed burning in the Health and Safety and Public Resources Codes. The primary change requires burning to be used to meet one of seven fairly broad objectives" 1 air quality maintenance is listed as the last one. In reviewing SB 1001's legislative documents, air quality maintenance was listed as an important purpose of a prescribed burn project. This was taken from the Arguments in Support section of the Assembly Republican Bill Analysis, from the Natural Resources Committee. Including air quality was intended to enhance prescribed burn techniques, and furthermore reduce fire hazards. Thus, changing the definition of prescribed burning reconciled the competing and complementary reasons of prescribed burning, and also improved air quality. While SB 1001 ultimately did not pass as a bill to change the definition of prescribed burning, therein lies the supporting documentation to provide further information on what was intended/implied by including air quality maintenance. Accordingly, an appropriate definition of Air Quality Maintenance can be as follows: Air Quality Maintenance: An objective in the use of prescribed burning (as per the definition in the Health and Safety Code Sections 39001 and 42311.2), having less smoke emissions occurring than a wildland fire (or wildfire) and resulting in reduced air quality impacts. 1 Senate Committee on Natural Resources and Wildlife, SB 1856 (BOWEN) (2003-2004 Reg. Session) dated April 13, 2004 - https://leginfo.legislature.ca.gov/faces/billAnalysisClient.xhtml?bill_id=200320040SB1856 4/8/04 Senate Committee The full review analysis of the legislative information is presented in the following sections. BACKGROUND In 2004, Senator Deborah Bowen introduced SB 1856, which was signed by Governor Arnold Schwarzenegger on September 22, that same year 2 , changing the definition of Agricultural Burning in both the Health and Safety Code and the Public Resources Code (See Appendix 1). The summary of this bill stated it was to create a uniform definition of "prescribed burning" in the Health and Safety Code and the Public Resources Code. In the background information it states, According to the author's office, the current definitions of "prescribed burning" are inconsistent and do not reflect the purposes of such a burn or how the[y] should be conducted. Establishing a consistent definition of "prescribed burning" among statutes that guide foresters and statutes that guide air quality regulators is a necessary first step toward reconciling often competing, but potentially complementary, objectives of prescribed burning and air quality. 3 Four sections of California code were changed: Health and Safety Code Sections 39011 and 42311.2 and Public Resources Code Sections 4464 and 4475. These changes borrowed heavily from the Public Resources Code Section 4475 that defined prescribed burning for purposes of wildland vegetation management burning. The primary change required that prescribed burning must meet one of seven objectives, listed in the Bill Analysis Section below, including air quality maintenance. However, no definition of the term air quality maintenance was provided. The purpose of this analysis is to provide clarity on what was intended with this phrase in the prescribed burning section of the agricultural burning definition, by researching the legislative record in order to discover the intent. ONLINE LEGISLATIVE RECORD RESEARCH Senate Bill SB 1856 Online (Internet) Resources The first round of research of the SB 1865 bill analysis documents was from online resources. One of the primary changes to the definition from SB 1856 was to require prescribed burning to meet one of the following seven objectives: 2. Watershed management 1. Prevention of high-intensity wildland fires through reduction of the volume and continuity of wildland fuels 3. Range improvement 4. Vegetation management 2 https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=200320040SB1856 SB-1856 (BOWEN) Prescribed Burning Activities. (2003-2004 Reg. Session) 3 Assembly Committee on Natural Resources Hearing June 14, 2004, SB 1856 (BOWEN) (2003-2004 5. Forest improvement 7. Air quality maintenance 6. Wildlife habitat improvement The first six objectives were clear, however the last, air quality maintenance, was not defined. The following is a summary of the information researched in the on-line legislative record on SB 1856. The bill analysis has been broken into Committees along the bill's timeline. Senate Committee on Natural Resources and Wildlife SB 1856 was introduced in the 2003 – 2004 Regular Session with a Committee Hearing Date of April 13, 2004. The summary states, "This bill provides a uniform definition of "prescribed burning" in four code sections and makes other technical changes." 4 The proposed law included the seven objectives as noted above. At the Senate Floor Analysis on May 4, 2004 – Second Reading, there was one comment that read: Prescribed burning refers to a land management technique which involves planned combustion of excess understory, brush, and forest debris in order to maintain or restore forest health and to reduce the risks of wildland fires. In existing law, the author correctly determined that slight variations in the definitions of prescribed burning were being applied to four different categories of lands: agricultural lands, state responsibility areas, wildlands, and private lands or lands protected by local fire agencies. The Bill simply adopted a uniform definition of prescribed burning that applies to all four categories of lands. 5 Senate Appropriations Committee No comments were received. The Bill's third reading in the Senate was approved, where it then moved to the Assembly. 4 Senate Committee on Natural Resources and Wildlife, SB 1856 (BOWEN) (2003-2004 Reg. Session,) Hearing Date April 13, 2004 - 5 Senate Rules Committee, Office of Senate Floor Analyses, SB 1856 (Bowen) (2003-2004 Reg. Session), May 4, 2004 - Second Reading https://leginfo.legislature.ca.gov/faces/billAnalysisClient.xhtml?bill_id=200320040SB1856 https://leginfo.legislature.ca.gov/faces/billAnalysisClient.xhtml?bill_id=200320040SB1856 Assembly Committee on Natural Resources The Assembly Republican Bill Analysis of the Natural Resource Committee Version May 5, 2004, under Comments, discussed that there was a nearly identical bill from 1999. The bill moved to the next Committee. Assembly Appropriations Committee The following comment was provided under the rationale for this bill: Rationale: The author notes that the definition of "prescribed burning" that governs those activities on agricultural lands and areas in which the state is responsible for fire prevention and suppression is different from the definition and description that governs wildland vegetation management. By standardizing these definitions, the potential for confusion and conflict between foresters and air quality regulators, who operate under a different set of priorities and goals, should be reduced. 6 Interestingly, there was a reference made to a prior bill but no number. Also, there was no mention of air quality, or any detailed information made on the term air quality maintenance by the Senate, Assembly, or their Committees. The SB 1865 bill analysis did not provide this detailed information. CALIFORNIA STATE ARCHIVE FILES RESEARCH The second round of research of the SB 1865 bill analysis documents took place at the California State Archives, Sacramento on August 8, 2019. Copies of the information reviewed for this document are available at the Placer County Air Pollution Control District. Senate Bill SB 1856 Files At the State Archives, the SB 1856 files from both the Senate Natural Resources and Wildlife and Appropriation Committees and Assembly Natural Resources and Appropriation Committees were requested for review. Senate Natural Resources and Wildlife Committee Unfortunately, this file was missing. Although this information was available online as previously discussed from the internet research. Senate Appropriations Committee No comments were received. The Bill's third reading at the Senate was approved, then moved to the Assembly. 6 Assembly Committee on Appropriations, SB 1856 As Amended May 5, 2004 (BOWEN) (2003-2004 Reg. Session) Hearing Date: June 23, 2004 Assembly Committee on Natural Resources The background section of the bill stated: According to the author's office, the current definitions of "prescribed burning" are inconsistent and do not reflect the purposes of such a burn or how the[y] should be conducted. Establishing a consistent definition of "prescribed burning" among statutes that guide foresters and statutes that guide air quality regulators is a necessary first step toward reconciling often competing, but potentially complementary, objectives of prescribed burning and air quality. 7 Arguments in Support of the Bill, from the Assembly Republican Bill Analysis of the Natural Resources Committee, stated: According to the Senate analysis: Prescribed burning refers to a land management technique which involves planned combustion of excess understory, brush, and forest debris in order to maintain or restore forest health and to reduce the risks of wildland fires. In existing law, the author correctly determined that slight variations in the definitions of prescribed burning were applied to four different categories of lands: agricultural lands, state responsibility areas, wildlands, and private lands or lands protected by local fire agencies. The bill simply adopts a uniform definition of prescribed burning that applies to all four categories of lands. 8 Further information on the previous bill, which had been introduced in 1999, was identified as SB 1001 and was included in the SB 1856 Assembly Republican Bill Analysis for the Natural Resource Committee. Comments in the background information stated: This bill is almost identical to the 1999 bill by Sen. Bowen. It simply makes the definition of "prescribed burning" the same in various locations in the statutes. Prior to a "Gut & Amend" move by Senator Burton SB 1001 was eventually approved. 9 (SB 1001 was the bill in 1999 which was changed into a bill regarding MTBE – methyl tertiary butyl ether.) There were no Arguments in Opposition to bill SB 1856. Senator Bowen's SB 1856 File Archives Staff suggested a review of the Senator's file on SB 1856. Information from the Senator's Bill file including her notes were used to introduce the Bill into the Senate's Committee on Natural Resources and Wildlife. Her notes state that the Bill was 7 Assembly Committee on Natural Resources, SB1856 As Amended May 5, 2004 (BOWEN) (2003-2004 Reg. Session) Hearing Date: June 14,2004 8 Natural Resources Committee, Assembly Republican Bill Analysis SB 1856 Last Amended May 5, 2004 (BOWEN) (2003-2004 Reg. Session) June 8, 2004 9 ibid introduced in order to create one clear definition of prescribed burning, and that it must in turn meet at least one of the seven objectives outlined in the definition. Unfortunately, any clarity on what was meant by the air quality maintenance objective was not included in SB 1856. However, her notes referenced an earlier bill, Senate Bill 1001 from 1999; thus, those files needed to be reviewed. Once the bill passed the Assembly Committee, it moved onto Appropriations Committee. Assembly Committee on Appropriations This information was reviewed online with the same rationale comment as listed under the Assembly Appropriations Committee. Rationale: The author notes that the definition of "prescribed burning" that governs those activities on agricultural lands and areas in which the state is responsible for fire prevention and suppression is different from the definition and description that governs wildland vegetation management. By standardizing these definitions, the potential for confusion and conflict between foresters and air quality regulators, who operate under a different set of priorities and goals, should be reduced. 10 The bill then moved onto Governor Arnold Schwarzenegger who signed it into law on September 22, 2004, thereby changing the definition of Agricultural Burning in both the Health and Safety Code and the Public Resources Code. Senate Bill 1001 Files The SB 1001 files from both the Senate Natural Resources and Wildlife and Appropriation Committees and Assembly Natural Resources and Appropriation Committees were reviewed. Senate's Natural Resources and Wildlife Committee SB 1001 was introduced February 26, 1999 in the 1999 – 2000 Regular Session with a committee Hearing date of April 20, 1999. The summary states, "This bill re-defines "prescribed burning" to include specific allowed reasons for a prescribed burn, including watershed and vegetation management, wildlife habitat and forest improvement and air quality maintenance." 11 The Proposed Law states that this bill allows prescribed burning for the following reasons: 10 Assembly Committee on Appropriations, SB 1856 As Amended May 5, 2004 (BOWEN) (2003-2004 Reg. Session) Hearing Date: June 23, 2004 11 Senate Natural Resources and Wildlife, SB1001 (BOWEN) (1999-2000 Reg. Session) Hearing Date April 20, 1999 * Prevention of high-intensity wildland fires, through the reduction of fuels; * Watershed and vegetation management; * Range, forest, and wildlife habitat improvement; and * Air quality maintenance. 12 These were essentially the same as the seven objectives listed in SB 1856. Under the initial comments in the committee information, the following was written: This bill makes uniform the reasons and definitions for prescribed burning and provides specific reasons for allowing a prescribed burn. Balancing the air quality and forest agendas should make prescribed burning more effective and promote cooperation between agencies. 13 Included in the file was a SB 1001 Background document that provided the intention for the bill along with an attached memo of general background information on the progression of the issue. The document states one of the reasons is: Establishing a consistent definition of prescribed burning between statutes that guide foresters (PRC) and statutes that guide air quality regulators (HSC) is a necessary first step toward reconciling the often competing, but potentially complementary, objectives of prescribed burning and air quality. 14 SB1001 may be used as a vehicle for any statutory changes necessitated by the ARB's proposal. 15 It is noted in this background document that the CARB was reviewing their Agricultural Burning Guidelines at the time, in order to adapt to planned increases in prescribed burning. The Smoke Management Guidelines for Agricultural and Prescribed Burning in the California Code of Regulations, Title 17, Subchapter 2 were adopted by the CARB Board in 2000. However, these regulations have a different Agricultural Burning definition than the one proposed by SB 1001, or the one adopted in 2004. This memo had attached to it a Background Document memo that discussed Strategies for Wildland Fire Management, from the oversight hearing in 1997, with a handwritten date of June 1997 (crossing out the April 16, 1999 date). The 1997 memo states that it: 12 ibid 14 Background SB 1001 (BOWEN) (1999-2000 Reg. Session) – No date 13 ibid 15 Ibid "Strategies for Wildland Fire Management" provided an assessment of current issues related to wildland fires in California. Several common themes emerged from the wide range of interests represented. Six findings were listed. 1. Fuels available for wildland fires have accumulated to unprecedented levels. 3. Losses from catastrophic fires can and should be reduced, but there isn't a "no fire" alternative. 2. Systematic exclusion of wildland fires threatens natural processes. 4. Appropriate fuel reduction treatments will vary. 6. Wildland fires have profound effects on watersheds and downstream resources, which impact all Californians. 5. Increased coordination and funding is needed for wildland fire management. The potential remedies were: 1. State policies must ensure that forestry and other land management practices complement fire management objectives. 3. Residential exposure to and intensification of fire danger should be minimized. 2. Impediments to using prescribed fires, for the purpose of reducing fuels and regenerating fire-adapted landscapes, should be reduced. To the extent that prescribed fires reduce the emission impacts of catastrophic fires, a net benefit to air quality can be realized. Recognizing this, air quality regulations should be adjusted to accommodate prescribed fires. 4. Investment in proactive, coordinated fire management strategies should be encouraged. 16 Since this 1997 memo was in the file, it may have been provided to the Committee members. The May 12, 1999 Senate Floor Analysis on the Third Reading, included information from the April 20, 1999 committee. This included: SB1001 simply reconciles and updates the various statutory definitions of 'prescribed burning'. Prescribed burning is generally understood to be the planned application of fire to achieve any number of environmental objects. Existing prescribed burning definitions in the Health and Safety and Public Resources Codes are inconsistent and do not necessarily reflect the current understanding of what prescribed burning is. 16 Background SB 1001 (BOWEN) (1999-2000 Reg. Session) – No date and attached memo Assembly Natural Resources Committee: Strategies for Wildland Fire Management Memo June 1997 Establishing a consistent definition of prescribed burning between statutes that guide foresters (PRC) and statues that guide air quality regulators (HSC) is a necessary first step toward reconciling the often competing, but potentially complementary, objectives of prescribing burning and air quality. 17 Senate Appropriations Committee No comments were received. The Bill's third reading at the Senate was approved, then moved to the Assembly. Assembly's Natural Resources Committee Prior to being heard by the Natural Resources Committee, an Assembly Republican Bill Analysis provided the following in the Arguments in Support of the Bill. 1. Because prescribed burning practices help reduce fire hazard, improved air quality is an important objective of prescribed burn projects. Specifically including air quality in the statutory list of objectives will enhance the use of prescribed burn techniques for these purposes. 3. Establishing a consistent definition of prescribed burning will reconcile both the competing and complementary objectives of prescribed burning and improved air quality. 18 2. Existing law offers multiple definitions and explanations of prescribed burning as a practice. This bill will offer a singular definition, complete with a range of acceptable objectives so as to clarify any confusion as to what constitutes a prescribed burn. There was one Argument in Opposition to the Bill from this committee: Restricting the definition of prescribed fire could potentially limit the flexibility of fire districts and property owners in utilizing the practice as a tool. 19 The Committee Hearing was on July 12, 1999. The comments reiterated much of what was stated at the Senate Natural Resources and Wildlife Committee meetings. The following are additional comments from the Assembly Committee: Air quality provisions, withing the Health and Safety Code, and the Forest Practices Act, within the Public Resources Code define "prescribed burning" differently, though the definitions appear to achieve substantially similar purposes. According to the 17 Senate Natural Resources and Wildlife Committee, SB 1001 (BOWEN) (1999-2000 Reg. Session) – Third Reading Hearing Date April 20, 1999 19 Ibid 18 Natural Resources Committee, Assembly Republican Bill Analysis SB 1001 (BOWEN) (1999-2000 Reg. Session) as introduced 2/26/99 author's office, the purpose of this bill is to simply update and reconcile the varying statutory definitions, because the existing definitions of prescribed burning do not necessarily reflect the current understanding of what prescribed burning is. 20 Once the bill passed the Assembly Committee it moved onto Appropriations Committee. Assembly Committee on Appropriations The Hearing was held on August 18, 1999 with no comments. On September 10, 1999, under Senate Unfinished Business, the provisions of SB 1001 were deleted and the bill's subject became methyl tertiary butyl ether (MTBE) by Senator Burton. The online legislative information on SB 1001 can be found under the Bill Analysis via the link below. It shows the bill initially as a definition change to prescribed burning and then becoming MTBE legislation. https://leginfo.legislature.ca.gov/faces/billTextClient.xhtml?bill_id=199920000SB1001 The completes the research of SB 1001. RECORD RESEARCH AND ANALYSIS CONCLUSION The 1997 Strategies for Wildland Fire Management memo, which was included in the SB 1001 legislative record in 1999, summarized in its findings that fuels (vegetation) have accumulated to unprecedented levels, by excluding wildland fires which threaten the natural process. It further stated that losses from catastrophic fires can and should be reduced, but that there is not a no-fire alternative. With a focus on mitigating severe fire-inducing conditions, there should be an introduction of low-intensity prescribed fires to emulate historic fire patterns and reduce fuels. These were the current issues then and are still the current issues today. In addition, in 1999, the Air Resources Board (CARB) was in the process of reviewing its Agricultural Burning Guidelines (CRR Title 17 §§ 80100-80330) to adapt to planned increases in prescribed burning. In general, the CARB was proposing a more sophisticated local allocation of burning to accommodate increased prescribed burning while minimizing smoke impacts. 21 The increase in the use of prescribed burning continues to be true today for federal, state, local, and private landowners, many of whom have conducted prescribed burns prior to the 2000 Title 17 revisions. 20 Assembly Committee on Natural Resources, SB 1001 (BOWEN) (1999-2000 Reg. Session) dated July 12, 1999 - https://leginfo.legislature.ca.gov/faces/billAnalysisClient.xhtml?bill_id=199920000SB1001 21 Background SB 1001 (BOWEN) (1999-200 Reg. Session) Page \| 10 It should be noted that the CARB's Agricultural Burning Guidelines were established in 1971, in response to statewide legislation in 1970, which recognized the need to reduce the harmful health effects caused from unrestrained open burning of vegetative material on public and private lands. 22 The CARB Agricultural Burning Guidelines, which are referred to as Title 17,continue to be the guidelines for smoke management and air quality in California for both the CARB and the local air districts. Those regulations have continued to be updated and refined with the last update in 2000. From the legislative record, and the analysis provided here, there is enough support to conclude what was intended by the term "air quality maintenance". Both in the 1999, and 2004 bills, the information in the written legislative record referred to the creation of a uniform definition that accounts for considering the complementary objectives of prescribed burning and improved air quality. This was to reduce confusion and conflict between foresters and air quality regulators, who operate under a different set of priorities and goals. The Summary for the Assembly Committee on Appropriations stated that This bill standardizes the definition and description of "prescribed burning" in the various statutes that address wildland fire fuels management and air quality control in order to reduce or eliminate confusion and conflict among public agencies and those seeking to conduct prescribed burning. 23 There was clearly a need to align burning and air quality with the use of prescribed burning as there was an expectation that changing to a uniform definition would reduce or eliminate confusion. It is interesting that with the definition change more than 15 years ago, prescribed burns easily fall under one or more of the objectives listed. Wildland fires continue to have far reaching effects, in which potential remedies should encourage an investment in proactive coordinated fire management strategies, which continue to include air quality. The analysis implies, that wildland fires are worse than low intensity prescribed fires, which suggests that there is less smoke from prescribed fires, and thereby less emissions than smoke from a wildland fire. In closing, an appropriate definition of Air Quality Maintenance could be the following: An objective in the use of prescribed burning (as per the definition in the Health and Safety Code Sections 39001 and 42311.2), having less smoke emissions than a wildland fire (or wildfire), and resulting in reduced air quality impacts. 22 California Environmental Protection Agency – Air Resources Board Planning and Technical Support Division Staff Report on the Proposed Amendments to California's Agricultural Burning Guidelines – Introduction page 4 23 Assembly Committee on Appropriations, SB 1856 As Amended May 5, 2004 (BOWEN) (2003-2004 Reg. Session) Hearing Date: June 23, 2004 Page \| 11 Appendix A Below are the new sections of both the Health and Safety Code and the Public Resources Code for the Agricultural Burning Definition. Chapter 693 An act to amend Sections 39011 and 42311.2 of the Health and Safety Code, and to amend Sections 4464 and 4475 of the Public Resources Code, relating to resources. [Filed with Secretary of State September 22, 2004. Approved by Governor September 22, 2004.] SB 1856, Bowen. Prescribed burning activities. Existing law provides varying definitions of "prescribed burning" for purposes of air pollution control laws and forest protection laws. This bill would revise those definitions to reconcile the differences and would make related changes. BILL TEXT THE PEOPLE OF THE STATE OF CALIFORNIA DO ENACT AS FOLLOWS: SECTION 1. Section 39011 of the Health and Safety Code is amended to read: 39011. "Agricultural burning" means open outdoor fires used in any of the following: (a) Agricultural operations in the growing of crops or raising of fowl or animals, or open outdoor fires used in forest management, range improvement, or the improvement of land for wildlife and game habitat, or disease or pest prevention. (b) The operation or maintenance of a system for the delivery of water for the purposes specified in subdivision (a). (c) Wildland vegetation management burning. (1) For purposes of this subdivision, wildland vegetation management burning is the use of prescribed burning conducted by a public agency, or through a cooperative agreement or contract involving a public agency, to burn land predominantly covered with chaparral, trees, grass, or standing brush. (2) For purposes of this subdivision, prescribed burning is the planned application and confinement of fire to wildland fuels on lands selected in advance of that application to achieve any of the following objectives: Page \| 12 (A) Prevention of high-intensity wildland fires through reduction of the volume and continuity of wildland fuels. (B) Watershed management. (C) Range improvement. (D) Vegetation management. (E) Forest improvement. (F) Wildlife habitat improvement. (G) Air quality maintenance. (3) The planned application of fire may include natural or accidental ignition. SEC. 2. Section 42311.2 of the Health and Safety Code is amended to read: 42311.2. (a) Notwithstanding Section 42311, a district shall not adopt or impose fees that exceed actual district administrative costs for processing or enforcing permits applicable to any of the following: (1) Prescribed burning operations on state responsibility lands conducted under the terms of a permit issued by the Department of Forestry and Fire Protection pursuant to Article 3 (commencing with Section 4491) of Chapter 7 of Part 2 of Division 4 of the Public Resources Code when the purpose of the operation is prevention of highintensity wildland fires through reduction of the volume and continuity of wildland fuels. (2) Burning of vegetation or disposal of slash following timber operations required under regulations adopted by the State Board of Forestry and Fire Protection pursuant to Section 4551.5 or 4562 of the Public Resources Code and for the purpose of reducing the incidence and spread of fires on timberlands. (3) Wildland vegetation management burns. (A) For purposes of this subdivision, "wildland vegetation management burn" means the use of prescribed burning conducted by a public agency, or through a cooperative agreement or contract involving a public agency to burn land predominantly covered with chaparral, trees, grass, or standing brush. (B) For purposes of this subdivision, "prescribed burning" is the planned application and confinement of fire to wildland fuels on lands selected in advance of that application to achieve any of the following objectives: (i) Prevention of high-intensity wildland fires through reduction of the volume and continuity of wildland fuels. Page \| 13 (ii) Watershed management. (iii) Range improvement. (iv) Vegetation management. (v) Forest improvement. (vi) Wildlife habitat improvement. (vii) Air quality maintenance. (C) The planned application of fire may include natural or accidental ignition. (b) Prior to adopting or revising fees for the activities described in paragraph (1), (2), or (3) of subdivision (a), a district shall hold a public hearing and shall consider the following: (1) The costs of the fees on private landowners and other persons who engage in activities specified in paragraph (1), (2), or (3) of subdivision (a). (2) Any revenues currently provided to the county for general government by public agencies that administer public lands. SEC. 3. Section 4464 of the Public Resources Code is amended to read: 4464. Unless the context clearly requires otherwise, the following definitions govern the construction of this chapter: (a) "Wildland" means any land that is classified as a state responsibility area pursuant to Article 3 (commencing with Section 4125) of Chapter 1 and includes any land having a plant cover consisting principally of grasses, forbs, or shrubs that are valuable for forage. "Wildland" also means any lands that are contiguous to lands classified as a state responsibility area if wildland fuel accumulation is such that a wildland fire occurring on these lands would pose a threat to the adjacent state responsibility area. (b) "Wildland fuel" means any timber, brush, grass, or other flammable vegetation, living or dead, standing or down. (c) Wildland fire" means any uncontrolled fire burning on wildland. (d) Prescribed burning" or "prescribed burning operation" means the planned application and confinement of fire to wildland fuels on lands selected in advance of that application to achieve any of the following objectives: (1) Prevention of high-intensity wildland fires through reduction of the volume and continuity of wildland fuels. Page \| 14 (2) Watershed management. (3) Range improvement. (4) Vegetation management. (5) Forest improvement. (6) Wildlife habitat improvement. (7) Air quality maintenance. (e) "Prescribed burn crew" means personnel and firefighting equipment of the department that are prepared to contain fire set in a prescribed burning operation and to suppress any fire that escapes during a prescribed burning operation. (f) "Person" means any natural person, firm, association, partnership, business trust, corporation, limited liability company, company, or combination thereof, or any public agency other than an agency of the federal government. SEC. 4. Section 4475 of the Public Resources Code is amended to read: 4475. The director, with the approval of the Director of General Services, may enter into a contract for prescribed burning with (1) the owner or any other person who has legal control of any property or (2) any public agency with regulatory or natural resource management authority over any property that is included within any wildland for any of the following purposes, or any combination thereof: (a) Prevention of high-intensity wildland fires through reduction of the volume and continuity of wildland fuels. (b) Watershed management. (c) Range improvement. (d) Vegetation management. (e) Forest improvement. (f) Wildlife habitat improvement. (g) Air quality maintenance. No contract may be entered into pursuant to this section unless the director determines that the public benefits estimated to be derived from the prescribed burning pursuant to the contract will be equal to or greater than the foreseeable damage that could result from the prescribed burning. Page \| 15
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Transforming the Workforce for Children Birth Through Age 8 oﬀers guidance on system changes to improve the quality of professional practice, speciﬁc actions to improve professional learning systems and workforce development, and research to continue to build the knowledge base in ways that will directly advance and inform future actions. The recommendations of this book provide an opportunity to improve the quality of the care and the education that children receive, and ultimately improve outcomes for children. Inventory of Federal Energy-related Environment and Safety Research for FY 1978 INIAP Archivo Historico The present volume examines the relationship between second language practice and what is known about the process of second language acquisition, summarising the current state of second language acquisition theory, drawing general conclusions about its application to methods and materials and describing what characteristics eﬀective materials should have. The author concludes that a solution to language teaching lies not so much in expensive equipment, exotic new methods, or sophisticated language analysis, but rather in the full utilisation of the most important resources - native speakers of the language - in real communication. Environmental & Water Quality Operational Studies Oxford University Press Eric Walberg's POSTMODERN IMPERIALISM: Geopolitics and the Great Game is a riveting and radically new analysis of the imperialist onslaught which ﬁrst engulfed the world in successive waves in the 19th–20th centuries and is today hurtling into its endgame. The term "Great Game" was coined in the nineteenth century, reﬂecting the ﬂippancy of statesmen (and historians) personally untouched by the havoc that they wreaked. What it purported to describe was the rivalry between Russia and Britain over interests in India. But Britain was playing its deadly game across all of Eurasia, from the Balkans and Palestine to China and southeast Asia, alternately undermining and carving up "premodern" states, disrupting the lives of hundreds of millions, with consequences that endure today. With roots in the European enlightenment, shaped by Christian and Jewish cultures, and given economic rationale by industrial capitalism, the inter-imperialist competition turned the entire world into a conﬂict zone, leaving no territory neutral. The ﬁrst "game" was brought to a close by the cataclysm of World War I. But that did not mark the end of it. Walberg resurrects the forbidden "i" word to scrutinize an imperialism now in denial, but following the same logic and with equally horrendous human costs. What he terms Great Game II then began, with America eventually uniting its former imperial rivals in an even more deadly game to destroy their common revolutionary antagonist and potential nemesis-communism. Having "won" this game, America and the new player Israel-oﬀspring of the early games-have sought to entrench what Walberg terms "empire and a half" on a now global playing ﬁeld-using a neoliberal agenda backed by shock and awe. With swift, sure strokes, Walberg paints the struggle between domination and resistance on a global canvas, as imperialism engages its two great challengers-communism and Islam, its secular and religious antidotes. Paul Atwood (War and Empire: The American Way of Life) calls it an "epic corrective". It is a "carefully argued-and most of all, cliche-smashing-road map" according to Pepe Escobar (journalist Asia Times). Rigorously documented, it is "a valuable resource for all those interested in how imperialism works, and sure to spark discussion about the theory of imperialism", according to John Bell (Capitalism and the Dialectic). Pediatric Nutrition in Chronic Diseases and Developmental Disorders Cengage Learning The book addresses controversies related to the origins of cancer and provides solutions to cancer management and prevention. It expands upon Otto Warburg's well-known theory that all cancer is a disease of energy metabolism. However, Warburg did not link his theory to the "hallmarks of cancer" and thus his theory was discredited. This book aims to provide evidence, through case studies, that cancer is primarily a metabolic disease requring metabolic solutions for its management and prevention. Support for this position is derived from critical assessment of current cancer theories. Brain cancer case studies are presented as a proof of principle for metabolic solutions to disease management, but similarities are drawn to other types of cancer, including breast and colon, due to the same cellular mutations that they demonstrate. Applied Fluid Mechanics Lab Manual CRC Press The Congressional Record is the oﬃcial record of the proceedings and debates of the United States Congress. It is published daily when Congress is in session. The Congressional Record began publication in 1873. Debates for sessions prior to 1873 are recorded in The Debates and Proceedings in the Congress of the United States (1789-1824), the Register of Debates in Congress (1824-1837), and the Congressional Globe (1833-1873) Energy John Wiley & Sons First Published in 1986, this two-volume set explores the methods of toxicological risk assessment. Carefully compiled and ﬁlled with a vast repertoire of notes, diagrams, and references this book serves as a useful reference for toxicologists and other practitioners in their respective ﬁelds. Microsoft Oﬃce 2010: Introductory Pergamon The Congressional Record contains the proceedings and debates of each Congressional session in the House of Representatives and the Senate. Arranged in calendar order, each volume includes the exact text of everything that was said and includes members' remarks. Inventory of Federal Energy-related Environment and Safety Research for FY 1979 National Academies Press Introduce your students to the new generation of Microsoft Oﬃce with the new generation of Shelly Cashman Series books! For the past three decades, the Shelly Cashman Series has eﬀectively introduced computer skills to millions of students. With Oﬃce 2010, we're continuing our history of innovation by enhancing our proven pedagogy to reﬂect the learning styles of today's students. In Microsoft Oﬃce 2010: Introductory you'll ﬁnd features that are speciﬁcally designed to engage students, improve retention, and prepare them for future success. Our trademark step-by-step, screen-byscreen approach now encourages students to expand their understanding of the Oﬃce 2010 software through experimentation, exploration, and planning ahead. Brand new end of chapter exercises prepare students to become more capable software users by requiring them to use critical thinking and problem-solving skills to create reallife documents. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. Inventory of Energy Research and Development, 1973-1975 Cengage Learning This much-needed resource comprehensively reviews the current status of research on nutrition in chronic diseases and developmental disorders of children and helps translate this research into clinical practice. It provides a wealth of information on the nutritional implications of diseases' states; how nutrition can aﬀect brain development, learning child behavior and how to impove the health status of pediatric patients through nutritional measures. Assessment, prevention, and treatment are all covered. The chapters focus on biochemical and clinical abnormalities, techniques for evaluating nutrition including behavior, nutritional management, and follow-up procedures. Well-organized and user-friendly, the book will continue to be of great value to pediatricians, nutritionists, gastroenterologists, neurologists, family practitioners, and dietitians as well as students and residents in those ﬁelds. The Second Edition has been thoroughly updated and includes new chapters on botanicals, genetics and nutritional aspects of birth defects, vegetarianism, obesity/eating disorders, autism, and attention deﬁcit-hyperactivity disorder, among other topics. Also available from the author is a Self-Study Guide with multiple choice questions and a few case studies 35 CPE/CME credits are available until 2015. For more information contact Dr. Ekvall at email@example.com or firstname.lastname@example.org or call 513-522-1403. Discovering Computers and Microsoftr Oﬃce 2010 National Academies Press Give your students additional practice of Oﬃce 2010 skills and concepts with MICROSOFT OFFICE 2010 WORKBOOK, 1st Edition from the Shelly Cashman Series! For the past three decades, the Shelly Cashman Series has eﬀectively introduced computer skills to millions of students. With the MICROSOFT OFFICE 2010 WORKBOOK, 1st Edition, students work through extra hands-on exercises reinforcing the skills taught in the text. MICROSOFT OFFICE 2010 WORKBOOK, 1st Edition is an ideal reinforcement supplement to your Introductory textbook. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version. Inventory of Federal Energy-related Environment and Safety Research for FY 1978: Project listings and indexes National Academies Press DISCOVERING COMPUTERS& MICROSOFT OFFICE 2010: A FUNDAMENTAL COMBINED APPROACH, International Edition is designed to provide you with everything you need for your Intro to Computers course in ONE book. This new oﬀering from the Shelly Cashman Series® combines the best selling Discovering Computers, computer concepts material with the step-by-step Microsoft Oﬃce 2010 applications content to provide you and your students with a single oﬀering for your Intro to Computers course. Federal Energy Regulatory Commission Reports Basic knowledge about ﬂuid mechanics is required in various areas of water resources engineering such as designing hydraulic structures and turbomachinery. The applied ﬂuid mechanics laboratory course is designed to enhance civil engineering students' understanding and knowledge of experimental methods and the basic principle of ﬂuid mechanics and apply those concepts in practice. The lab manual provides students with an overview of ten diﬀerent ﬂuid mechanics laboratory experiments and their practical applications. The objective, practical applications, methods, theory, and the equipment required to perform each experiment are presented. The experimental procedure, data collection, and presenting the results are explained in detail. LAB Energy: a Continuing Bibliography with Indexes Clinical practice related to sleep problems and sleep disorders has been expanding rapidly in the last few years, but scientiﬁc research is not keeping pace. Sleep apnea, insomnia, and restless legs syndrome are three examples of very common disorders for which we have little biological information. This new book cuts across a variety of medical disciplines such as neurology, pulmonology, pediatrics, internal medicine, psychiatry, psychology, otolaryngology, and nursing, as well as other medical practices with an interest in the management of sleep pathology. This area of research is not limited to very young and old patientsâ€"sleep disorders reach across all ages and ethnicities. Sleep Disorders and Sleep Deprivation presents a structured analysis that explores the following: Improving awareness among the general public and health care professionals. Increasing investment in interdisciplinary somnology and sleep medicine research training and mentoring activities. Validating and developing new and existing technologies for diagnosis and treatment. This book will be of interest to those looking to learn more about the enormous public health burden of sleep disorders and sleep deprivation and the strikingly limited capacity of the health care enterprise to identify and treat the majority of individuals suﬀering from sleep problems. Diet and Health Some vols. include supplemental journals of "such proceedings of the sessions, as, during the time they were depending, were ordered to be kept secret, and respecting which the injunction of secrecy was afterwards taken oﬀ by the order of the House". Toxicological Risk Assessment Diet and Health examines the many complex issues concerning diet and its role in increasing or decreasing the risk of chronic disease. It proposes dietary recommendations for reducing the risk of the major diseases and causes of death today: atherosclerotic cardiovascular diseases (including heart attack and stroke), cancer, high blood pressure, obesity, osteoporosis, diabetes mellitus, liver disease, and dental caries. Federal Register The Chemical Warfare Service Inventory of Federal Energy-related Environment and Safety Research for ... Principles and Practice in Second Language Acquisition Transforming the Workforce for Children Birth Through Age 8
0.16 µm BCD Single-Photon Avalanche Diode with 30 ps timing jitter, high detection efficiency and low noise Mirko Sanzaro* a , Paolo Gattari b , Federica Villa a , Alberto Tosi a , Giuseppe Croce b , Franco Zappa a a Dipartimento di Elettronica, Informazione e Bioingegneria, Politecnico di Milano, piazza Leonardo da Vinci 32, I-20133 Milan, Italy; b STMicroelectronics, Via C. Olivetti 2, I-20041 Agrate Brianza, Italy ABSTRACT CMOS SPADs are nowadays an established imaging technology for applications requiring single-photon sensitivity in a compact form-factor (e.g. three-dimensional LIDAR imaging and fluorescence lifetime FLIM microscopy). However, we aimed at further enhance overall SPAD performances, by exploiting smart power technologies, such as the BCD (Bipolar-CMOS-DMOS) one. We achieved the present state-of-the-art SPADs fabricated in the 0.16 µm BCD technology by STMicroelectronics, attaining >60% photon detection efficiency at 500 nm, dark count rate density < 0.2 cps/µm 2 , and less than 30 ps FWHM timing jitter. Keywords: Photon counting, photon timing, single-photon avalanche diodes (SPADs), time-correlated single-photon counting (TCSPC), LIDAR, Time-of-Flight (TOF), 3-D ranging, FLIM. 1. INTRODUCTION Time-resolved single-photon counting applications are demanding higher and higher detection performance, microelectronic integrability, and cost-effective "single-photon detection systems on Silicon" for emerging markets, such as three-dimensional imaging (LIDAR) in consumer and automotive [1] fields. However, owing to the rapid SPAD performance degradation at higher doping levels, the trend toward deep-submicron (DSM) CMOS technologies to attain higher system integration and higher pixel count is recently showing its drawbacks. Although nowadays CMOS SPADs fulfilling the minimum requirements for these applications have been industrialized in the 130 nm technology node [2], many customers would greatly benefit from new detectors that could provide enhanced sensitivity (particularly in the near-infrared range), lower noise, and higher timing resolution. Therefore, efforts are underway to develop SPAD arrays that combine the advantages of CMOS (such as system integrability and scalability) and custom SPADs (best-in-class photon detection performance). In this framework, we selected the BCD (Bipolar-CMOS-DMOS) most advanced technology nodes (0.16 µm, 0.11 µm and 90 nm) as the most suitable choice for high-end photon counting and timing applications. In ref. [3] we presented three different SPADs developed in the 0.16 µm STMicroelectronics' BCD8sP technology [4]. In this paper we focus on the most promising structure, explaining the design criteria and showing a detailed experimental characterization. The overall detection performance is among the best reported in the literature: i) PDE higher than 60% at 500 nm wavelength and still 12% at 800 nm; ii) very low DCR, less than 0.2 cps/µm 2 (i.e. counts per second per unit area); iii) temporal response with less than 30 ps full-width at half maximum time jitter and less than 50 ps diffusion-tail time-constant. 2. DEVICE STRUCTURE Figure 1 shows the simulated cross section of our BCD SPAD. The SPAD junction is fully enclosed in a double-well pocket, formed by a dedicated n-type buried layer, for vertical isolation from the p-type substrate, and a standard n-type well, for lateral isolation. A custom retrograde Boron implant, referred in the following as enrichment, defines the SPAD active area. With such a geometry, photons are primarily absorbed in the p-type side of the depletion layer. Therefore, avalanches are primarily initiated by minority electrons moving toward the buried multiplication region. Owing to the higher avalanche triggering probability of electrons compared to holes [5], the buried avalanche multiplication region leads to higher sensitivity compared to a typical p+/n-well SPAD junction [6]. At 25 °C the breakdown voltage of the SPAD junction is 26.2 V. Through the custom tailoring of the enrichment doping, we engineered the electric field distribution to suppress noise contributions from tunneling and field-enhanced carrier generation mechanisms within the space charge region, thus enabling operation at higher excess bias voltages than conventional CMOS SPADs. 3. DETECTOR CHARACTERIZATION 3.1 Photon detection efficiency The photon detection efficiency (PDE) over the 400 nm - 1100 nm wavelength range is presented in Figure 2. The device was kept at room temperature and at excess bias ranging from 3 to 9 V. The attained PDE peak is 50%, 60% and 70% at 500 nm, when the device is biased at 3 V, 5 V and 9 V excess bias, respectively. Furthermore, the device achieves >25% 10659 - 13 V. 2 (p.2 of 7) / Color: No / Format: A4 / Date: 3/21/2018 4:23:49 PM Return to the Manage Active Submissions page at http://spie.org/submissions/tasks.aspx and approve or disapprove this submission. Your manuscript will not be published without this approval. Please contact firstname.lastname@example.org with any questions or concerns. at the two extremes of the visible spectrum (i.e. at both 400 nm and 700 nm) when biased at 6 V excess bias. At the same excess bias, the PDE is still 13% at 800 nm, 8% at 850 nm and still 4.5% at 900 nm. The 5 nm wavelength resolution of the spectrally resolved PDE measurements permits to finely reconstruct the interference ringing due to multiple light reflections in the back-end-of-line dielectric stack. In order to assess the PDE uniformity across the SPAD active area, we acquired the sensitivity map shown in Figure 3. At 5 V excess bias, the normalized PDE is uniform over the active area with less than 1% standard deviation, while outside its edges it drops from 0.9 to 0.1 over a length of just 3 µm. Note that no premature edge breakdown is visible. Uniformity further improves at higher excess bias, owing to the saturation of the avalanche triggering probability. 3.2 Dark count rate Figure 4 shows the dark count rate (DCR) as a function of the excess bias voltage of a 30 µm-diameter BCD SPAD at 300 K. The excess bias can be increased up to 9 V with little impact on DCR. Comparing the excess bias dependence of DCR and PDE in Figure 4, we can state that both curves increase and saturate in the same fashion, owing to the increase and saturation of the avalanche triggering probability. This demonstrates that field-assisted carrier generation mechanisms are negligible at 300 K and above. Conversely, most CMOS SPADs reported in the literature exhibit an exponential dependence of DCR on excess bias. 10659 - 13 V. 2 (p.4 of 7) / Color: No / Format: A4 / Date: 3/21/2018 4:23:49 PM From a user point of view, it is often useful to compare SPADs in a plot with DCR/area ratio vs. PDE [7], as shown in Figure 5. The lower the DCR for a given PDE, the better is the overall performance of the SPAD. The experimental characterizations we performed on 1024 devices from a 32x32 BCD SPAD array [8] show that the DCR reported in this paper is representative of more than 80% of the population. If we define as 'hot' those SPADs with a DCR higher than 10 times the average value of the best ones (i.e. those with lower DCR), the yield is higher than 90%. Note that the yield strongly depends on the SPAD active area [9] and that devices currently under investigation (square pixels with chamfered corners, 32 µm side-length, ~1,000 µm 2 active area) are quite big compared to most CMOS SPADs reported in the literature, usually smaller than 10 µm diameter. 3.3 Timing resolution Figure 6 shows, on a log scale and after amplitude normalization, the SPAD timing response to the pulse of a gainswitching laser at 850 nm, which uniformly illuminates the entire SPAD area, acquired by a standard TCSPC setup. The measured photon-timing jitter, i.e. the full-width at half maximum (FWHM) of the photon arrival time distribution, is 41 ps, 32 ps and 28 ps at 3, 5, 7 V excess bias, respectively. The 'diffusion tail', which is due to minority carriers photogenerated in the quasi neutral buried layer and diffusing toward the space charge region, is almost purely exponential with a lifetime of just 50 ps, never reported so far. Such extremely sharp timing response leads to less than 250 ps FW1/100M (full width at 1/100 from the peak), and shorter than 1 ns even down four decades from the peak (FW1/10,000M), thus being attractive to applications requiring extremely demanding timing resolution in fast optical signals with wide dynamic range. 4. CONCLUSIONS We have reported the design criteria and experimental characterization of the first SPADs ever fabricated in a BCD technology. The achieved state-of-the-art performance enables applications requiring single-photon detection of extremely fast and sharp visible and NIR optical signals, with broad sensitivity and counting dynamics. For example, to detect background targets just behind strongly reflecting foreground objects in 3D time-of-flight LIDAR systems (e.g. a second opaque object with a factor 10,000 in reflectivity just 500 ps, i.e. 7.5 cm, beyond a first highly reflecting object, which could conceal it). REFERENCES [1] Bronzi, D., Zou, Y., Villa, F., Tisa, S., Tosi, A., Zappa, F., "Automotive Three-Dimensional Vision Through a Single-Photon Counting SPAD Camera," IEEE Trans. on Intelligent Transportation Systems, vol. 17, no. 3, 782-785 (2016). [2] Pellegrini, S., Rae, B., "Fully industrialised single photon avalanche diodes," Proc. SPIE 10212, Advanced Photon Counting Techniques XI, 102120D (2017). [3] Sanzaro, M., Gattari, P., Villa, F., Croce, G., Zappa, F., "Single-Photon Avalanche Diodes in a 0.16 μm BCD Technology With Sharp Timing Response and Red-Enhanced Sensitivity," IEEE J. Sel. Topics Quantum Electron., vol. 24, no. 2, 1-9 (2018). [4] Roggero, R., Croce, G., Gattari, P., Castellana, E., Molfese, A., Marchesi, G., Atzeni, L., Buran, C., Paleari, A., Ballarin, G., Manzini, S., Alagi, F., Pizzo, G., "BCD8sP: An advanced 0.16 μm technology platform with state of the art power devices," 2013 25th International Symposium on Power Semiconductor Devices & IC's (ISPSD), Kanazawa, 361-364 (2013). [5] Oldham, W. O., Samuelson, R. R., and Antognetti, P., "Triggering phenomena in avalanche diodes," IEEE Trans. Electron Devices, vol. 19, no. 6, 1056–1060 (1972). [6] Gulinatti, A., Rech, I., Assanelli, M., Ghioni, M., Cova, S., "A physically based model for evaluating the photon detection efficiency and the temporal response of SPAD detectors," J. Mod. Opt., vol. 58, no. 3–4, 210–224 (2011). [7] Bronzi, D., Villa, F., Tisa, S., Tosi, A., Zappa, F., "SPAD Figures of Merit for Photon-Counting, PhotonTiming, and Imaging Applications: A Review," IEEE Sens. J., vol. 16, no. 1, 3–12 (2016). [8] Portaluppi, D., Conca, E., Villa, F., "32×32 CMOS SPAD Imager for Gated Imaging, Photon Timing, and Photon Coincidence," IEEE J. Sel. Topics Quantum Electron., vol. 24, no. 2, 1-6 (2018). [9] Villa, F., Bronzi, D., Zou, Y., Scarcella, C., Boso, G., Tisa, S., Tosi, A., Zappa, F., Durini, D., Weyers, S., Paschen, U., Brockherde, W., "CMOS SPADs with up to 500 μm diameter and 55% detection efficiency at 420 nm," J. Mod. Opt., vol. 61, no. 2, 102–115 (2014).
THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. If you are in any doubt about the contents of this Document or as to the action you should take, you are recommended to seek advice from your solicitor, accountant or other independent ﬁnancial adviser authorised under the Financial Services and Markets Act 2000 (as amended) if you are in the United Kingdom or, if not, by another appropriately authorised independent ﬁnancial adviser. If you sell or transfer or have sold or transferred all of your Ordinary Shares, please forward this Document as soon as possible to the purchaser or transferee or to the bank, stockbroker or other agent through or to whom the sale or transfer was effected for onward transmission to the purchaser or transferee. If you sell or have sold or otherwise transferred only part of your holding of Ordinary Shares, please consult the bank, stockbroker or other agent through whom the sale or transfer was effected as to the action you should take. The release, publication or distribution of this Document in, into or from jurisdictions other than the United Kingdom may be restricted by the laws of those jurisdictions and therefore persons into whose possession this Document comes should inform themselves about, and observe, such restrictions. Any failure to comply with the restrictions may constitute a violation of the securities laws of any such jurisdiction. This Document does not constitute an offer to sell or issue, nor the solicitation of an offer to buy or subscribe for, shares in any jurisdiction in which such offer or solicitation is unlawful. ___________________________________________________________________________________ DEEPMATTER GROUP PLC Incorporated in England and Wales with registered number 05845469 Proposed Cancellation of admission of Ordinary Shares to trading on AIM Re-Registration as a Private Limited Company Adoption of New Articles of Association Subscription of 2,500,000,000 Ordinary Shares at 0.04 pence per share and Notice of General Meeting ___________________________________________________________________________________ The Directors, whose names appear in Part I of this Document, accept responsibility, collectively and individually, for the information contained in this Document. To the best of the knowledge and belief of each of the Directors (who have all taken reasonable care to ensure that such is the case), the information contained in this Document is in accordance with the facts and does not omit anything likely to affect the import of such information. This Document should be read in its entirety. Your attention is drawn to the letter from the Chairman of the Company set out in Part I of this Document which includes a recommendation of the Directors that you vote in favour of the Resolutions to be proposed at the General Meeting referred to below. A Notice to convene a General Meeting of the Company, to be held at the offices of Canaccord Genuity, 88 Wood Street, London, EC2V 7QR at 2.00 p.m. on 19 December 2022 is set out in Part III of this Document. The accompanying Form of Proxy for use in connection with the General Meeting should be completed by Shareholders and returned as soon as possible but, in any event, so as to be received by Neville Registrars Limited by no later than 2.00 p.m. on 15 December 2022 (or, in the case of an adjournment of the General Meeting, not later than 48 hours (excluding any part of a day that is not a working day) before the time fixed for the holding of the adjourned meeting). The completion and return of a Form of Proxy will not preclude Shareholders from attending and voting at the General Meeting should they so wish (note the comments set out in the Notice of General Meeting at the end of this Document regarding attendance at the General Meeting). Copies of this Document will be available free of charge between 10.00 a.m. and 4.00 p.m. on any Business Day at the offices of DeepMatter Group Plc at 29 St Brandon's House, Great George Street, Bristol, England, BS1 5QT for a period of one month from the date of this Document. 1 CONTENTS EXPECTED TIMETABLE OF PRINCIPAL EVENTS .............................................................................. 3 EXPECTED TIMETABLE OF PRINCIPAL EVENTS Event Time and/or date Notes: (1) All of the times referred to in this Document refer to London time, unless otherwise stated. (2) Each of the times and dates in the above timetable is subject to change. If any of the above times and/or dates change, the revised times and dates will be notiﬁed to Shareholders by an announcement through a Regulatory Information Service. (3) All events listed in the above timetable following the General Meeting are conditional on the passing at the General Meeting of the Resolutions (1)(2) DIRECTORS AND ADVISERS DEFINITIONS The following deﬁnitions apply throughout this Document, unless the context requires otherwise: "FSMA" "Fundraising Resolutions" "General Meeting" "Group" "Issue Price" "London Stock Exchange" "New Articles" "Non-VCT/EIS Subscription Shares" " Notice of General Meeting" or " Notice" "Ordinary Shares" "Panel" "Registrars" "Regulatory Information Service" "Re-registration" "Resolutions" "Shareholders" "Subscription" "Subscription Shares" the Financial Services and Markets Act 2000 (as amended from time to time); Resolutions 3 and 4 to be proposed at the General Meeting; the general meeting of the Company convened for 2.00 p.m. on 19 December 2022 and any adjournment thereof, Notice of which is set out in Part III of this Document; DeepMatter Group Plc and its subsidiary undertakings (as such term is deﬁned in section 1162 of the Companies Act) from time to time; 0.04 pence per Ordinary Share; London Stock Exchange plc; the new articles of association of the Company proposed to be adopted pursuant to Resolution 2 to be proposed at the General Meeting with the principal differences between the Current Articles and the proposed New Articles summarised in Part II of this Document, a copy of which can be viewed at www.deepmatter.io/investors; the Subscription Shares other than the VCT/EIS Subscription Shares; the notice of the General Meeting which is set out in Part III of this Document; the ordinary shares in the capital of the Company of 0.01 pence each and "Ordinary Share" means any one of them; the Panel on Takeovers and Mergers; Neville Registrars Limited of Neville House, Steelpark Road, Halesowen B62 8HD; has the meaning given to it in the AIM Rules for any of the services approved by the London Stock Exchange for the distribution of AIM announcements and included within the list maintained on the website of the London Stock Exchange; the proposed re-registration of the Company as a private limited company; the resolutions to be proposed at the General Meeting in the form set out in Part III; holders of Ordinary Shares from time to time and "Shareholder" means any one of them; the proposed subscription following the passing of the Fundraising Resolutions of £1 million through the issue and allotment of new Ordinary Shares at an Issue Price of 0.04 pence per Ordinary Share; the 2,500,000,000 new ordinary shares of £0.0001 each in the capital of the Company; "Takeover Code" "UK MAR" "United Kingdom" or "UK" "VCT" "VCT/EIS Subscription Shares" A reference to "£" the City Code on Takeovers and Mergers; Regulation (EU) (No 596/2014) of the European Parliament and of the Council of 16 April 2014 on market abuse to the extent that it forms part of the domestic law of the United Kingdom including by virtue of the European Union (Withdrawal) Act 2018 (as amended by virtue of the European Union (Withdrawal Agreement) Act 2020); the United Kingdom of Great Britain and Northern Ireland; a Venture Capital Trust under Part 6 of the Income Tax Act 2007; the Subscription Shares being subscribed for by investors who are seeking VCT or EIS relief; pounds sterling, being the lawful currency of the UK. PART I LETTER FROM THE CHAIRMAN OF DEEPMATTER GROUP PLC (Incorporated in England and Wales with Registered No. 05845469) Directors: Registered Ofﬁce: Alan Aubrey (Non-Executive Chairman) Fraser Benson (Chief Financial Officer) Laurence Ede (Non-Executive Director) Bryn Roberts (Non-Executive Director) Mirko Walter (Non-Executive Director) Mark Warne (Chief Executive Officer) 29 St Brandon's House Great George Street Bristol BS1 5QT 2 December 2022 To the Shareholders of DeepMatter Group Plc Proposed Cancellation of admission of Ordinary Shares to trading on AIM, Re-registration as a private limited company and associated adoption of New Articles, Subscription of the Subscription Shares at 0.04 pence per share, and Notice of General Meeting 1. Introduction As announced by the Company on 1 December 2022, the Directors have, after a period of review, concluded that it is in the best interests of the Company and its Shareholders to seek Shareholder approval for Cancellation of the admission of the Ordinary Shares to trading on AIM and for the Company to be re-registered as a private limited company and adopt the New Articles, and a Subscription to raise £1 million through the issue and allotment of 2,500,000,000 Subscription Shares at the Issue Price of 0.04 pence per Ordinary Share. In accordance with Rule 41 of the AIM Rules, the Company has notiﬁed the London Stock Exchange of the date of the proposed Cancellation. The Company is seeking Shareholders' approval for the Cancellation, Re-registration and adoption of the New Articles, and the Subscription at the General Meeting, which has been convened for 2.00 p.m. on 19 December 2022 at the offices of Canaccord Genuity, 88 Wood Street, London, EC2V 7QR. If the Cancellation Resolution is passed at the General Meeting, it is anticipated that the Cancellation will become effective at 7.00 a.m. on 5 January 2023. The Cancellation Resolution is conditional, pursuant to Rule 41 of the AIM Rules, upon the approval of Shareholders holding not less than 75 per cent. of the votes cast by Shareholders (whether present in person or by proxy) at the General Meeting, Notice of which is set out in Part III of this Document. The Resolution to approve the Re-registration and the adoption of New Articles also requires the approval of not less than 75 per cent. of the votes cast by Shareholders (whether present in person or by proxy) at the General Meeting. The Subscription is conditional upon the Shareholders approving the Resolutions (including the Fundraising Resolutions) at the General Meeting. The Fundraising Resolutions, if passed, will grant the Directors the authority to allot the Subscription Shares pursuant to the Subscription, and the power to disapply statutory pre-emption rights which would otherwise apply in respect of the Subscription Shares. The purpose of this Document is to seek Shareholders' approval for the Resolutions, to provide information on the background and reasons for the proposed Cancellation, the Re-registration 8 and associated adoption of the New Articles and the Subscription, to explain the consequences of the Cancellation, the Re-registration and associated adoption of the New Articles and the Subscription and provide reasons why the Directors unanimously consider the Cancellation, the Re-registration and associated adoption of the New Articles and the Subscription to be in the best interests of the Company and its Shareholders as a whole. Shareholders should note that, unless the Fundraising Resolutions are passed at the General Meeting, the Subscription cannot be implemented. In such circumstances, the Company will not receive the proceeds of the proposed Subscription. If this were to happen, the Directors would have to immediately re-evaluate the strategy and outlook of the Group. If the Subscription does not proceed and alternative immediate funding is not obtained in the limited timeframe available, the Directors would need to consider whether it is appropriate for the Group to cease trading and enter into a liquidation process. Accordingly, it is very important that Shareholders vote in favour of the Fundraising Resolutions. Based on the current cash resources of the Group, and expected revenue, the Directors believe that the Group has sufficient financial resources to fund the business through to early 2023. In the event that the Subscription does not proceed, the Directors would have a limited timeframe in which to take any remedial actions and take measures to raise further funds. It is for this reason that Company is seeking Shareholders' approval for the Subscription at the General Meeting. The Notice of the General Meeting is set out in Part III of this Document. 2. Background to and reasons for the Cancellation and Re-registration The Directors have undertaken a review to evaluate the beneﬁts and drawbacks to the Company and its Shareholders of retaining the listing of the Ordinary Shares on AIM. This review has included, amongst other matters, the impact of the current geopolitical situation, the compatibility of the requirements for transparency within public markets and client discretion, the public market share trading and valuation volatility of the Company and the increasing costs of maintaining a public listing. For these reasons, the Directors have concluded that the Cancellation and Re-registration are in the best interests of the Company and its Shareholders as a whole. Further details of the background to and reasons for the Cancellation and Re-registration are set out below. - The Directors believe that a number of factors have impaired investor sentiment towards the Company, including, amongst others: (a) current market conditions; and (b) short term UK market volatility. - The Directors believe that having access to capital in the near to medium-term is prudent to ensure that the Company can capitalise successfully on future opportunities and growth. The Directors have come to the conclusion that it is not possible to raise sufficient capital in the public markets to progress the Company's growth plans. - More generally, the UK small and micro-cap public markets have had a signiﬁcant change in sentiment over the past few years and the Directors believe that the Company's current public market valuation does not reﬂect the underlying potential of the business with the result that growth prospects are more readily accessible and managed in a private market environment. - There has been limited liquidity in the Ordinary Shares for some time and, as a result, the Directors believe that continued admission to trading on AIM no longer sufﬁciently provides the Company with the advantage of providing access to capital in the medium to longer-term, nor in the opinion of the Directors, provides liquidity to investors. As a result, the Directors have concluded that the most likely source of future funds would be through private capital. - The cost, management time and the legal and regulatory burden associated with maintaining the Company's admission to trading on AIM is, in the Directors' opinion, disproportionate to the beneﬁts of the Company's continued admission to trading on AIM. Following careful consideration, the Directors believe that it is in the best interests of the Company and Shareholders to seek the proposed Cancellation and Re-registration. In addition, in connection with the Re-registration, it is proposed that the New Articles be adopted to reﬂect the change in the Company's status to a private limited company. The principal effects of the Reregistration and the adoption of the New Articles on the rights and obligations of Shareholders and the Company are summarised in Part II of this Document. 3. Process for, and principal effects of, the Cancellation The Directors are aware that certain Shareholders may be unable or unwilling to hold Ordinary Shares in the event that the Cancellation is approved and becomes effective. Such Shareholders should consider selling their interests in the market prior to the Cancellation becoming effective. Under the AIM Rules, the Company is required to give at least 20 clear Business Days' notice of Cancellation. Additionally, Cancellation will not take effect until at least ﬁve clear Business Days have passed following the passing of the Cancellation Resolution. If the Cancellation Resolution is passed at the General Meeting, it is proposed that the last day of trading in Ordinary Shares on AIM will be 4 January 2023 and that the Cancellation will take effect at 7.00 am on 5 January 2023. The principal effects of the Cancellation will include the following: - there will be no formal market mechanism enabling the Shareholders to trade Ordinary Shares; - it is possible that, following the publication of this Document, the liquidity and marketability of the Ordinary Shares is reduced and their value adversely affected (however, as set out above, the Directors believe that the existing liquidity in the Ordinary Shares is in any event limited); - the Ordinary Shares may be more difﬁcult to sell compared to shares of companies traded on AIM (or any other recognised market or trading exchange); - in the absence of a formal market and quote, it may be difﬁcult for Shareholders to determine the market value of their investment in the Company at any given time; - the regulatory and ﬁnancial reporting regime applicable to companies whose shares are admitted to trading on AIM will no longer apply; - Shareholders will no longer be afforded the protections given by the AIM Rules, such as the requirement to be notiﬁed of price sensitive information or certain events and the requirement that the Company seek shareholder approval for certain corporate actions, where applicable, including substantial transactions, reverse takeovers, related party transactions and fundamental changes in the Company's business, including certain acquisitions and disposals; - the levels of disclosure and corporate governance within the Company may not be as stringent as for a company quoted on AIM; - the Company will no longer be subject to UK MAR regulating inside information and other matters; - the Company will no longer be required to publicly disclose any change in major shareholdings in the Company under the Disclosure Guidance and Transparency Rules; - Canaccord Genuity will cease to be Nominated Adviser to the Company; - whilst the Company's CREST facility will remain in place immediately post the Cancellation, the Company's CREST facility may be cancelled in the future and, although the Ordinary Shares will remain transferable, they may cease to be transferable through CREST (in which case, Shareholders who hold Ordinary Shares in CREST will receive share certiﬁcates); - stamp duty will be due on transfers of shares and agreements to transfer shares unless a relevant exemption or relief applies to a particular transfer; and - the Cancellation and Re-registration may have personal taxation consequences for Shareholders. Shareholders who are in any doubt about their tax position should consult their own professional independent tax adviser. The above considerations are not exhaustive, and Shareholders should seek their own independent advice when assessing the likely impact of the Cancellation on them. For the avoidance of doubt, the Company will remain registered with the Registrar of Companies in England and Wales in accordance with and, subject to the Companies Act, notwithstanding the Cancellation and Re-registration. The Company currently intends to continue to provide certain facilities and services to Shareholders that they currently enjoy as shareholders of an AIM company. The Company will: - continue to communicate information about the Company (including annual accounts) to its Shareholders, as required by the Companies Act; and - continue, for at least 12 months following the Cancellation, to maintain its website, www.deepmatter.io and to post updates on the website from time to time, although Shareholders should be aware that there will be no obligation on the Company to include all of the information required under the Disclosure Guidance and Transparency Rules, Rule 26 of the AIM Rules or to update the website as required by the AIM Rules. There will be no change to the composition of the Board immediately following the Cancellation and Reregistration. The Resolutions to be proposed at the General Meeting include the adoption of the New Articles, with effect from the Re-registration. A summary of the principal differences between the Current Articles and the proposed New Articles is included in Part II of this Document. A copy of the New Articles can be viewed at www.deepmatter.io/investors. 4. Transactions in the Ordinary Shares prior to and post the proposed Cancellation 4.1 Prior to Cancellation Shareholders should note that they are able to continue trading in the Ordinary Shares on AIM prior to Cancellation. 4.2 Dealing and settlement arrangements The Directors are aware that Shareholders may wish to acquire or dispose of Ordinary Shares in the Company following the Cancellation. Should the Cancellation be approved by Shareholders at the General Meeting, the Company will has concluded that it will put in place a matched bargain facility and intends to appoint Asset Match (www.assetmatch.com) to facilitate trading in the Ordinary Shares on a matched bargain basis following Cancellation ("Matched Bargain Facility"). Asset Match, a firm authorised and regulated by the Financial Conduct Authority, will operate an electronic off-market dealing facility for the Ordinary Shares. This facility will allow Shareholders and new investors to trade Ordinary Shares by matching buyers and sellers through periodic auctions. Investors can register their interest for further information on the Asset Match auction process by emailing email@example.com. The Asset Match trading facility operates under its own code of practice which governs the behaviour of participants and the running of the periodic auctions. Asset Match operates an open auction system where volumes of bids and offers at different prices are displayed on its website together with the closing date of the auction. At the end of each auction period Asset Match passes this information through a non-discretionary algorithm that determines a "market-derived" share price based on supply and demand and allocates transactions accordingly. Bids and offers may be made and withdrawn at any time before the closing date of each auction. Shareholders will continue to be able to hold their shares in uncertificated form (i.e. in CREST) and should check with their existing stockbroker whether they are willing or able to trade in unquoted shares. Shareholders wishing to trade shares through Asset Match must do so through a stockbroker. A comprehensive list of stockbrokers who have signed up to access the Asset Match platform is available on request by emailing firstname.lastname@example.org. Full details will be made available to Shareholders on the Company's website at www.deepmatter.io and directly by letter or e-mail (where appropriate). Shareholders may contact Asset Match in relation to any queries regarding trading via the secondary market trading facility by emailing email@example.com. If put in place, Shareholders should also be aware that any such Matched Bargain Facility could also be withdrawn at a later date. Further details will be communicated to the Shareholders at the relevant time. If Shareholders wish to buy or sell Ordinary Shares on AIM they must do so prior to the Cancellation becoming effective. As noted above, in the event that Shareholders approve the Cancellation, it is anticipated that the last day of dealings in the Ordinary Shares on AIM will be 4 January 2023 and that the effective date of the Cancellation will be 5 January 2023 5. Current Trading, Strategy and Prospects On 26 October 2022, the Company announced a significant multi-year agreement with Merck and published a trading update with recent ﬁnancial performance and a revenue forecast for the full year 2022 which is reproduced below: "DeepMatter Group Plc announces that after nine months of the financial year and having now signed a material agreement with Merck (see separate statement), the Group expects revenue for the current financial year to be no less than £1.5m, an increase of over 50% year on year (2021: £1.0m). DeepMatter has secured three strategically important multi-year collaborations during the current financial year and as anticipated continues to see a strengthening of its sales pipeline following a strong first half. The Merck collaboration has the potential to become one of the Group's largest to date. These collaborations bring future revenue visibility and opportunities to grow the revenue opportunity from existing customers as well as new customers. They include technology access fees, collaboration fees and royalties. As stated in the Group's H1 results, DeepMatter is investing in product enhancements, strengthening its team, pursuing machine learning (ML) and artificial intelligence (AI) based R&D activities that create new intellectual property (IP). It also continues to assert its IP rights which have the potential to contribute to long term value creation. The Directors remain in regular contact with the Group's major shareholders who are supportive. Deepmatter held cash balances of £0.7m at 30 September 2022, with costs remaining in line with those reported at the time of Group's H1 results." In addition to the Subscription proposed to take place as soon as practicable after the Cancellation, the Company anticipates it will pursue a more substantial capital raise as a private limited company in 2023. This capital raise is being undertaken in order to fund the long term growth ambitions of the Company. 6. Details of the Subscription It is anticipated that the Subscription Shares will all have been conditionally applied for largely by existing investors. The Subscription Shares will, when issued, rank pari passu in all respects with the existing Ordinary Shares in issue at the date of the Circular. The Subscription is conditional on the passing of Resolutions 1, 2 3 and 4 at the General Meeting. Following the Cancellation, the Subscription Shares shall be issued as follows: (i) first, the Non-VCT/EIS Subscription Shares shall be issued to investors (other than those seeking EIS or VCT relief), and (ii) second, the VCT/EIS Subscription Shares shall be allotted and issued to all those investors who are seeking EIS or VCT relief. The proceeds of the Subscription are intended to be used by the Group to fund: - working capital and corporate purposes; - investment in third-party partnerships in data, integration and automation; - investment in the Group's technology and employee base; and - accelerated adoption and conversion of the trial user base to recurring revenues. Shareholders should note that, unless the Fundraising Resolutions are passed at the General Meeting, the Subscription cannot be implemented. In such circumstances, the Company will not receive the proceeds of the proposed Subscription. If this were to happen, the Directors would have to immediately re-evaluate the strategy and outlook of the Group. If the Subscription does not proceed and alternative immediate funding is not obtained in the limited timeframe available, the Directors would need to consider whether it is appropriate for the Group to cease trading and enter into a liquidation process. Accordingly, it is very important that Shareholders vote in favour of the Fundraising Resolutions. Based on the current cash resources of the Group, and expected revenue, the Directors believe that the Group has sufficient financial resources to fund the business through to early 2023. In the event that the Subscription does not proceed, the Directors would have a limited timeframe in which to take any remedial actions and take measures to raise further funds. It is for this reason that Company is seeking Shareholders' approval for the Subscription at the General Meeting. 6.1 Directors' and related parties' participation in the Subscription As part of the Subscription, certain Directors and their persons/companies closely associated have agreed to conditionally subscribe for Subscription Shares at the Issue Price. Details of the Subscription Shares for which the Directors and their persons/companies closely associated have subscribed and their resultant shareholdings are displayed below. \| Director \| Number of Ordinary Shares held before the Subscription \| Number of Subscription Shares being Subscribed for as part of the Subscription \| Resultant holding of Ordinary Shares after the Subscription \| \|---\|---\|---\|---\| \| Alan Aubrey \| 207,311,393 \| 250,000,000 \| 457,311,393 \| \| Mark Warne \| 14,829,505 \| 12,500,000 \| 27,329,505 \| \| Fraser Benson \| 3,250,000 \| 2,500,000 \| 5,750,000 \| \| Mirko Walter* \| 218,400,000 \| 137,500,000 \| 355,900,000 \| * Mirko Walter is an employee of Springer-Verlag GmbH and a Director. Springer-Verlag GmbH is an existing Shareholder and is the participant in the Subscription. Mr Walter is therefore non-beneficially interested in the Ordinary Shares held by Springer-Verlag GmbH and the Subscription Shares being subscribed for by Springer-Verlag GmbH In addition to the above, Richard Griffiths and David Norwood have agreed to subscribe for 750,000,000 and 547,500,000 Subscription Shares respectively pursuant to the Subscription at the Issue Price. Following the allotment and issue of such Subscription Shares, Mr Griffiths will have an interest in 1,792,928,550 Ordinary Shares, representing 27.4 per cent. of the Enlarged Share Capital, and Mr Norwood will have an interest in 991,380,771 Ordinary Shares, representing 15.2 per cent. of the Enlarged Share Capital. Alan Aubrey, Mark Warne, Fraser Benson and Mirko Walter and their persons closely associated are considered a "related party" (as defined by the AIM Rules) of the Company by virtue of being directors of the Company. Both Richard Griffiths and David Norwood are considered to be a "related party" (as defined by the AIM Rules) of the Company by virtue of being an existing substantial shareholder in the Company. The Directors (excluding Alan Aubrey, Mark Warne, Fraser Benson and Mirko Walter) consider, having consulted with Canaccord Genuity, the Company's Nominated Adviser for the purposes of the AIM Rules, that the terms of the related party subscriptions set out above are fair and reasonable insofar as the Shareholders of the Company are concerned. 7. Re-registration As set out above, following the Cancellation, the Directors believe that the requirements and associated costs of the Company maintaining its public company status will be difﬁcult to justify and that the Company will beneﬁt from the more ﬂexible requirements and lower costs associated with private limited company status. It is therefore proposed to re-register the Company as a private limited company. In connection with the Re-registration, it is proposed that the New Articles be adopted to reﬂect the change in the Company's status to a private limited company. The principal effects of the Re-registration and the adoption of the New Articles on the rights and obligations of Shareholders and the Company are summarised in Part II of this Document. An application will be made to the Registrar of Companies in England and Wales for the Company to be re-registered as a private limited company. Re-registration will take effect when the Registrar of Companies issues a certiﬁcate of incorporation on Re-registration. The Registrar of Companies will issue the certiﬁcate of incorporation on Re-registration when it is satisﬁed that no valid application can be made to cancel the Resolution to re-register as a private limited company or that any such application to cancel the Resolution to re-register as a private limited company has been determined and conﬁrmed by the Court. 8. Takeover Code The Takeover Code applies to all offers for companies which have their registered ofﬁces in the United Kingdom, the Channel Islands or the Isle of Man if any of their equity share capital or other transferable securities carrying voting rights are admitted to trading on a regulated market or a multilateral trading facility in the United Kingdom or on any stock exchange in the Channel Islands or the Isle of Man. The Takeover Code also applies to all offers for companies (both public and private) which have their registered ofﬁces in the United Kingdom, the Channel Islands or the Isle of Man and which are considered by the Panel to have their place of central management and control in the United Kingdom, the Channel Islands or the Isle of Man, but in relation to private companies only if one of a number of conditions are met, including that any of the company's equity share capital or other transferable securities carrying voting rights have been admitted to trading on a regulated market or a multilateral trading facility in the United Kingdom or on any stock exchange in the Channel Islands or the Isle of Man at any time in the preceding 10 years. Following the Cancellation and the Re-registration, the Takeover Code will continue to apply for a period of ten years from the Cancellation provided that the Company is considered by the Panel to have its place of central management and control in the United Kingdom (or the Channel Islands or the Isle of Man). This is known as the "residency test". The way in which the test for central management and control is applied for the purposes of the Takeover Code may be different from the way in which it is applied by the United Kingdom tax authorities, HMRC. Under the Takeover Code, the Panel looks to where the majority of the Directors are resident, amongst other factors, for the purposes of determining where the Company has its place of central management and control. Based on the current composition of the Board, the residency test will be satisfied and the Takeover Code will continue to apply to the Company following the Cancellation and the Re-registration. However, the Takeover Code could cease to apply to the Company in the future if any changes to the composition of the Board result in the majority of the Directors not being resident in the United Kingdom, Channel Islands and Isle of Man. When the Takeover Code ceases to apply to the Company in the future, Shareholders will not receive the protections afforded by the Takeover Code in the event that there is a subsequent offer to acquire their Ordinary Shares. This includes the requirement for a mandatory cash offer to be made if either: - a person acquires an interest in shares which, when taken together with the shares in which persons acting in concert with it are interested, increases the percentage of shares carrying voting rights in which it is interested to 30 per cent. or more; or - a person, together with persons acting in concert with it, is interested in shares which in the aggregate carry not less than 30 per cent. of the voting rights of a company but does not hold shares carrying more than 50 per cent. of such voting rights and such person, or any person acting in concert with it, acquires an interest in any other shares which increases the percentage of shares carrying voting rights in which it is interested. Brief details of the Panel, the Takeover Code and the protections given by the Takeover Code are described below. Before giving your approval to the Cancellation and the Re-registration, you may want to take independent professional advice from an appropriate independent financial adviser. The Takeover Code The Takeover Code is issued and administered by the Panel. The Company is a company to which the Takeover Code applies and its Shareholders are accordingly entitled to the protections afforded by the Takeover Code. The Takeover Code and the Panel operate principally to ensure that shareholders are treated fairly and are not denied an opportunity to decide on the merits of a takeover and that shareholders of the same class are afforded equivalent treatment by an offeror. The Takeover Code also provides an orderly framework within which takeovers are conducted. In addition, it is designed to promote, in conjunction with other regulatory regimes, the integrity of the ﬁnancial markets. The General Principles and Rules of the Takeover Code The Takeover Code is based upon a number of General Principles which are essentially statements of standards of commercial behaviour. For your information, these General Principles are set out in Part 1 of Appendix A. The General Principles apply to all transactions with which the Takeover Code is concerned. They are expressed in broad general terms and the Takeover Code does not deﬁne the precise extent of, or the limitations on, their application. They are applied by the Panel in accordance with their spirit to achieve their underlying purpose. In addition to the General Principles, the Takeover Code contains a series of Rules, of which some are effectively expansions of the General Principles and examples of their application and others are provisions governing speciﬁc aspects of takeover procedure. Although most of the Rules are expressed in more detailed language than the General Principles, they are not framed in technical language and, like the General Principles, are to be interpreted to achieve their underlying purpose. Therefore, their spirit must be observed as well as their letter. The Panel may derogate or grant a waiver to a person from the application of a Rule in certain circumstances. Giving up the protection of the Takeover Code A summary of key points regarding the application of the Takeover Code to takeovers generally is set out in Part 2 of Appendix A. You are encouraged to read this information carefully as it outlines certain important protections which you will be giving up if you agree to the Cancellation and the Re-registration and the Company subsequently ceases to be subject to the Takeover Code in the future. 9. Process for Cancellation Under the AIM Rules, it is a requirement that the Cancellation must be approved by Shareholders holding not less than 75 per cent. of votes cast by Shareholders at the General Meeting. Accordingly, the Notice of General Meeting set out in Part III of this Document contains a special resolution to approve the Cancellation. Furthermore, Rule 41 of the AIM Rules requires any AIM company that wishes the London Stock Exchange to cancel the admission of its shares to trading on AIM to notify shareholders and to separately inform the London Stock Exchange of its preferred Cancellation date at least 20 Business Days prior to such date. In accordance with Rule 41 of the AIM Rules, the Directors have notiﬁed the London Stock Exchange of the Company's intention, subject to the Cancellation Resolution being passed at the General Meeting, to cancel the Company's admission of the Ordinary Shares to trading on AIM on 5 January 2023. Accordingly, if the Cancellation Resolution is passed, the Cancellation will become effective at 7.00 a.m. on 5 January 2023. If the Cancellation becomes effective, Canaccord Genuity will cease to be the Nominated Adviser of the Company and the Company will no longer be required to comply with the AIM Rules. 10. General Meeting The General Meeting will be held the offices of Canaccord Genuity, 88 Wood Street, London, EC2V 7QR at 2.00 p.m. on 19 December 2022 at which the following Resolutions will be proposed: Resolution 1 is a special resolution to approve the Cancellation. Resolution 2 is a special resolution to re-register the Company as a private company and to approve the adoption by the Company of New Articles. Resolution 3 is an ordinary resolution to authorise the Directors to allot the relevant securities up to an aggregate nominal amount of £250,000 being equal to 2,500,000,000 new Ordinary Shares (i.e. the Subscription Shares in connection with the Subscription). Resolution 4 is a special resolution, and is conditional on the passing of Resolution 3, to authorise the Directors to issue and allot 2,500,000,000 new Ordinary Shares pursuant to the Subscription on a nonpre-emptive basis. Resolution 5 is an ordinary resolution to restate the share option pool to up to 20% of the Enlarged Share Capital; Resolution 6 is an ordinary resolution to authorise the Directors to allot relevant securities up to an aggregate nominal amount of £130,665; and Resolution 7 is a special resolution, and is conditional on the passing of Resolution 6, to authorise the Directors to allot relevant securities up to an aggregate nominal amount of £130,665 on a non-preemptive basis. Resolution 1 is not conditional on Resolution 2 but Resolution 2 is conditional on Resolution 1. Resolution 3 is not conditional on Resolution 4 but Resolution 4 is conditional on Resolution 3. Resolution 6 is not conditional on Resolution 7 but Resolution 7 is conditional on Resolution 6. 11. Action to be taken in relation to the General Meeting A Form of Proxy is enclosed with this Document for use at the General Meeting . You are strongly encouraged to complete, sign and return your Form of Proxy in accordance with the instructions printed thereon so as to be received, by post or, during normal business hours only, by hand to Neville Registrars Limited, Neville House, Steelpark Road, Halesowen, B62 8HD, as soon as possible but in any event so as to arrive by not later than 2.00 p.m. on 15 December 2022 (or, in the case of an adjournment of the General Meeting, not later than 48 hours before the time fixed for the holding of the adjourned meeting (excluding any part of a day that is not a Business Day). Appointing a proxy in accordance with the instructions set out above will enable your vote to be counted at the General Meeting in the event of your absence. The completion and return of a Form of Proxy will not preclude you from attending and voting in person at the General Meeting, or any adjournment thereof, should you wish to do so. 12. Recommendation The Directors consider that the Cancellation and the Re-registration and adoption of the New Articles and the Subscription are in the best interests of the Company and its Shareholders as a whole and, therefore, unanimously recommend that you vote in favour of the Resolutions at the General Meeting as Alan Aubrey, Mark Warne, Fraser Benson, Bryn Roberts and Laurence Ede (being the Directors who are interested in Ordinary Shares) intend to vote, or procure the vote, in respect of, in aggregate, 230,992,484 Ordinary Shares to which they are beneﬁcially entitled. Certain principal Shareholders have also indicated they are supporting of the Resolutions. 13. Documents available for inspection A copy of the New Articles will be available for inspection: (a) at the registered ofﬁce of the Company at 29 St Brandon's House, Great George Street, Bristol BS1 5QT from 10 a.m. to 4 p.m. on any Business Day from the date of this notice until the conclusion of the General Meeting; and (b) on the date of the General Meeting, at the venue of the General Meeting from 2.00 p.m. on 19 December 2022 until the conclusion of the General Meeting. A copy of the New Articles will also be available on the Company's website at www.deepmatter.io/investors. Yours faithfully, Alan Aubrey Chairman PRINCIPAL EFFECT OF RE-REGISTRATION AND ADOPTION OF NEW ARTICLES ON PART II SHAREHOLDERS 1. Accounts A public company is required to ﬁle its accounts within six months following the end of its ﬁnancial year and then to circulate copies of the accounts to Shareholders. Following the Re-registration and the adoption of the New Articles, the period for the preparation of accounts is extended to nine months following the end of the ﬁnancial year. The Company will still be required to circulate accounts to Shareholders (although the period for doing so is extended for private companies). 2. General meetings and resolutions A public company is required to hold an annual general meeting of Shareholders each year, whereas a private company is not. Therefore, following the Re-registration and the adoption of the New Articles the Company will not hold annual general meetings. In addition, after the Re-registration, resolutions of the Shareholders of the Company may be obtained via written resolutions, rather than via physical meetings. This is done by obtaining the approval in writing to that resolution of the holders of a majority of voting shares then in issue (in the case of ordinary resolutions) and the holders of at least 75 per cent. of the voting shares then in issue (in the case of special resolutions). 3. Directors The Current Articles contain provisions requiring: (a) the directors of the Company to retire by rotation every three years; and (b) that one third of directors of the Company retire at each annual general meeting of the Company. These provisions are not included in the New Articles. In addition, the New Articles will not require any director appointed by the Board to be re-appointed by the Shareholders at the next annual general meeting following his appointment, as is currently required. The Current Articles also provide that the minimum number of directors of the Company is two. The New Articles provide that the minimum number of directors of the Company is two. 4. Issue of shares for non-cash consideration As a public company, there are restrictions on the ability of the Company to issue new shares, for example, by requiring the Company to obtain a valuation report in the case of shares issued for non-cash consideration. These restrictions will not apply following the Re-registration and adoption of the New Articles. 5. Financial assistance, reductions of capital and purchase of own shares out of capital As a public limited company, the Company is currently prohibited from performing actions which constitute ﬁnancial assistance for the acquisition of its own shares. This limits the ability of the Company to engage in certain transactions. However, following the Re-registration, these restrictions will no longer apply. In addition, the Company must currently obtain the sanction of the Court for any reduction of capital, which can be a lengthy and expensive process. However, following the Re-registration, the Company will be able to take advantage of more ﬂexible provisions applicable to private companies, which do not require the approval of the Court. 6. Company Secretary There is no requirement for a company secretary to be appointed, although the Company may appoint one should it wish. 7. Removal of unnecessary provisions and simpliﬁcation The New Articles will not contain certain of the detailed provisions of the Current Articles which are common for listed companies, and which will not be necessary for the Company following the Cancellation. APPENDIX A PART 1: THE GENERAL PRINCIPLES OF THE TAKEOVER CODE 1. All holders of the securities of an offeree company of the same class must be afforded equivalent treatment. 2. If a person acquires control of a company, the other holders of securities must be protected. 3. The holders of the securities of an offeree company must have sufﬁcient time and information to enable them to reach a properly informed decision on the bid. 4. Where it advises the holders of securities, the board of the offeree company must give its views on the effects of implementation of the bid on employment, conditions of employment and the locations of the company's places of business. 5. The board of an offeree company must act in the interests of the company as a whole and must not deny the holders of securities the opportunity to decide on the merits of the takeover bid. 6. False markets must not be created in the securities of (i) the offeree company; (ii) the offeror company; or (iii) any other company concerned by the takeover bid, in such a way that the rise or fall of the prices of the securities becomes artiﬁcial and the normal functioning of the markets is distorted. 7. An offeror must announce a bid only after ensuring that they can fulﬁl in full any cash consideration, if such is offered, and after taking all reasonable measures to secure the implementation of any other type of consideration. 8. An offeree company must not be hindered in the conduct of its affairs for longer than is reasonable by a bid for its securities. PART 2: DETAILED APPLICATION OF THE TAKEOVER CODE The following is a summary of key provisions of the Takeover Code which apply to transactions to which the Takeover Code applies. You should note that if the Cancellation becomes effective (subject to the Re-registration occurring) you will be giving up protections afforded by the Takeover Code. Equality of treatment General Principle 1 of the Takeover Code states that all holders of securities of an offeree company of the same class must be afforded equivalent treatment. Furthermore, Rule 16.1 requires that, except with the consent of the Panel, special arrangements may not be made with certain shareholders in the company if there are favourable conditions attached which are not being extended to all shareholders. Information to shareholders General Principle 2 requires that holders of securities of an offeree company must have sufﬁcient time and information to enable them to reach a properly informed decision on a bid. Consequently, a document setting out full details of an offer must be sent to the offeree company's shareholders. The opinion of the offeree board and independent advice The board of the offeree company is required by Rule 3.1 of the Takeover Code to obtain competent independent advice as to whether the ﬁnancial terms of an offer are fair and reasonable and the substance of such advice must be made known to its shareholders. Rule 25.2 requires that the board of the offeree company must send to the offeree company's shareholders and persons with information rights its opinion on the offer and its reasons for forming that opinion. That opinion must include the board's views on: (i) the effects of implementation of the offer on all the company's interests, including, speciﬁcally, employment; and (ii) the offeror's strategic plans for the offeree company and their likely repercussions on employment and the locations of the offeree company's places of business. The circular from the offeree company must also deal with other matters such as interests and recent dealings in the securities of the offeror and the offeree company by relevant parties and whether the directors of the offeree company intend to accept or reject the offer in respect of their own beneﬁcial shareholdings. Rule 20.1 states that, except with the consent of the Panel or as provided in the Notes on Rule 20.1, information and opinions relating to an offer or a party to an offer must be made equally available to all offeree company shareholders and persons with information rights as nearly as possible at the same time and in the same manner. More than one class of equity share capital Rule 14 provides that where a company has more than one class of equity share capital, a comparable offer must be made for each class whether such capital carries voting rights or not. Optionholders and holders of convertible securities or subscription rights Rule 15 of the Takeover Code provides that when a Takeover Code offer is made for voting equity share capital or other transferable securities carrying voting rights and the offeree company has convertible securities outstanding, the offeror must make an appropriate offer or proposal to the stockholders to ensure their interests are safeguarded. Rule 15 also applies in relation to holders of options and other subscription rights. If Cancellation occurs, 10 years following the Cancellation (subject to Re-registration having occurred) or on such other date at which the Takeover Code ceases to apply to the Company, these protections will be lost. PART III NOTICE OF GENERAL MEETING OF DEEPMATTER GROUP PLC (the "Company") NOTICE IS HEREBY GIVEN THAT a general meeting of the Company (the "General Meeting") will be held at 2.00 p.m. on 19 December 2022 at the offices of Canaccord Genuity, 88 Wood Street, London, EC2V 7QR to consider and, if thought ﬁt, approve the following Resolutions, which will be proposed in the case of Resolutions 1, 2, 4 and 7 as special resolutions, and in the case of Resolutions 3, 5 and 6 as ordinary resolutions. For the purposes of these Resolutions capitalised terms shall (unless the context requires otherwise) have the same meanings ascribed to them in the circular from the Company to the Shareholders dated 2 December 2022 (the "Circular"). Shareholders may ask questions in advance of the meeting by emailing firstname.lastname@example.org, with responses to be set out on the investor website at www.deepmatter.io/investors following the publication of the results of the General Meeting. Questions must be received no later than 2.00 p.m. on 15 December 2022. Any Shareholder planning to attend the General Meeting in person is requested to confirm their attendance by emailing email@example.com by no later than 2.00 p.m. on 15 December 2022. SPECIAL RESOLUTION 1. Cancellation That in accordance with Rule 41 of the AIM Rules, the Cancellation of the admission to trading on AIM of the Ordinary Shares of 0.01 pence each in the capital of the Company be and is hereby approved and the Directors be authorised to take all action reasonable or necessary to effect such Cancellation. SPECIAL RESOLUTION 2. Re-registration and adoption of New Articles That, subject to and conditional upon Resolution 1 proposed at the General Meeting being approved at the General Meeting and the Cancellation of the admission of the Ordinary Shares of 0.01 pence each in the capital of the Company to trading on AIM becoming effective: (a) the Company be re-registered as a private limited company under the Companies Act 2006 with the name of DeepMatter Group Limited as soon as reasonably practicable; and (b) upon Re-registration, the regulations contained in the document submitted to the meeting and for the purposes of identiﬁcation initialled by or on behalf of the chairman be approved and adopted as the articles of association of the Company in substitution for and to the exclusion of the existing articles of association. ORDINARY RESOLUTION 3. Directors' authority to allot shares (in connection with the Subscription) That the Directors be generally and unconditionally authorised for the purposes of section 551 of the Companies Act to exercise all powers of the Company to allot equity securities (within the meaning of section 560 of the Companies Act) up to an aggregate nominal amount of £250,000 in connection with the proposed Subscription. Unless previously renewed, varied or revoked by the Company in a general meeting, this authority shall expire 15 months after the date of the passing of this Resolution 3 following the passing of this Resolution 3, whichever is the earlier, except that the Company may, before such expiry, make an offer or agreement which would or might require equity securities to be allotted after such expiry and the Directors may allot equity securities in pursuance of such an offer or agreement as if this authority had not expired. This authority shall be in addition to any and all existing authorities conferred upon the Directors pursuant to section 551 of the Companies Act, which shall continue in full force and effect. SPECIAL RESOLUTION 4. Disapplication of statutory pre-emption rights (in connection with the Subscription) That, subject to and conditional upon the passing of Resolution 3, the Directors be empowered pursuant to sections 570(1) and 571(1) of the Companies Act to allot equity securities (within the meaning of section 560 of the Companies Act) for cash, pursuant to the authority conferred by Resolution 3, as if section 561(1) of the Companies Act did not apply to any such allotment, provided that such power shall be limited to the allotment of equity securities in connection with the proposed Subscription pursuant to the authority conferred by Resolution 3, up to a maximum aggregate nominal amount of £250,000. Unless previously renewed, varied or revoked by the Company in a general meeting, this authority shall expire 15 months after the date of the passing of this Resolution 4 except that the Company may make an offer or agreement which would or might require equity securities to be allotted after such expiry and the directors may allot equity securities in pursuance of any such offer or agreement as if the power conferred hereby had not expired. ORDINARY RESOLUTION 5. Restatement of the Option Pool That, subject to and conditional upon the passing of Resolutions 3 and 4, the Directors be authorised to restate the share option pool, in accordance with the rules of the share option plan of the Company established on 1 December 2017, as most recently amended on 25 June 2020 (the "Share Option Plan 2017"), to provide for the limitation thereunder (which disregards options which, if not exercised, have lapsed) to be updated to not exceed 20% of the Enlarged Share Capital. ORDINARY RESOLUTION 6. Directors' authority to allot shares That, subject to and conditional upon the passing of Resolutions 3 and 4, the Directors be generally and unconditionally authorised pursuant to section 551 of the Companies Act to exercise all the powers of the Company to allot and make offers to allot Relevant Securities (as defined below) up to an aggregate nominal amount of £130,665. Unless previously renewed, varied or revoked by the Company in a general meeting, this authority shall expire 15 months after the date of the passing of this Resolution 6 except that the Company may make an offer or agreement which would or might require equity securities to be allotted after such expiry and the Directors may allot equity securities in pursuance of any such offer or agreement as if the power conferred hereby had not expired. This Resolution 6 is in addition to the authority set out in Resolution 3 and all unexercised authorities previously granted to the Directors to allot Relevant Securities. For the purposes of this Resolution, a "Relevant Security" is: (a) a share in the Company other than a share allotted pursuant to: (i) an employee share scheme (as defined by section 1166 of the Companies Act); (ii) a right to subscribe for a share or shares in the Company where the grant of the right itself constituted a Relevant Security under paragraph (b) below; or (iii) a right to convert securities into a share or shares in the Company where the grant of the right itself constituted a Relevant Security under paragraph (b) below. (b) any right to subscribe for or to convert any security into a share or shares in the Company other than a right to subscribe for or convert any security into a share or shares allotted pursuant to an employee share scheme (as defined by section 1166 of the Companies Act). and references to the allotment of "Relevant Securities" in this Resolution 6 shall be construed accordingly. SPECIAL RESOLUTION 7. Disapplication of statutory pre-emption rights That, subject to and conditional upon the passing of Resolutions 3, 4 and 6, the Directors be empowered pursuant to sections 570(1) and 571(1) of the Companies Act to allot equity securities (within the meaning of section 560 of the Companies Act) for cash, either pursuant to the authority conferred by Resolution 6 or by way of a sale of treasury shares as if Section 561(1) of the Act did not apply to any such allotment, provided that such power is limited to the allotment of equity securities up to a maximum nominal amount of £130,665. Unless previously renewed, varied or revoked by the Company in a general meeting, this authority shall expire 15 months after the date of the passing of this Resolution 7 except that the Company may make an offer or agreement which would or might require equity securities to be allotted after such expiry and the Directors may allot equity securities in pursuance of any such offer or agreement as if the power conferred hereby had not expired. This Resolution 7 revokes and replaces any unexercised authority to disapply pre-emption rights granted pursuant to the resolution set out in paragraph 7.1.2 of the resolutions passed to at the Company's annual general meeting held on 27 May 2022, but shall be in addition to any and all other existing authorities conferred upon the Directors, which shall continue in full force and effect, together with any authority to disapply pre-emption rights conferred upon the Directors pursuant to Resolution 4. By order of the Board Alan Aubrey Chairman Registered office: 29 St Brandon's House Great George Street Bristol, England, BS1 5QT DeepMatter Group Plc Date: 2 December 2022 Notes (1) A member entitled to attend and vote at the General Meeting is entitled to appoint a proxy or proxies to attend and vote, on a poll, instead of him. A proxy need not be a member of the Company. (2) A Form of Proxy is enclosed for your use if desired. Please carefully read the instructions on how to complete the Form of Proxy. For a Form of Proxy to be effective, the instrument appointing a proxy together with the power of attorney or such other authority (if any) under which it is signed or a notarially certified copy of such power of attorney or other authority must reach Neville Registrars Limited, Neville House, Steelpark Road, Halesowen B62 8HD, not less than 48 hours before the time of holding of the General Meeting. The Form of Proxy should therefore be completed and deposited with the Company's Registrars by 2.00 p.m. on 15 December 2022. If a member has appointed a proxy and attends the General Meeting in person, such proxy appointment will automatically be terminated. (3) Pursuant to Regulation 41 of the Uncertificated Securities Regulations 2001, the Company specifies that only those Shareholders on the register of members at 6.00 p.m. on 15 December 2022, or in the event that the above General Meeting is adjourned, on such register at 6.00 p.m. on the date two days before the adjourned General Meeting (excluding any part of a day that is not a Business Day), shall be entitled to attend or vote at the General Meeting in respect of the number of Ordinary Shares registered in their name at the time. Changes to the register of members after that time will be disregarded in determining the rights of any person to attend or vote at the General Meeting. (4) You may appoint more than one proxy provided each proxy is appointed to exercise rights attached to different Ordinary Shares. You may not appoint more than one proxy to exercise rights attached to any one Ordinary Share. If you wish to appoint more than one proxy, please contact the Registrars, Neville Registrars Limited on +44 (0) 121 585 1131. Lines are open from 9.00 a.m. to 5.00 p.m. Monday to Friday, excluding public holidays. Alternatively you may write to Neville Registrars Limited, Neville House, Steelpark Road, Halesowen B62 8HD, for additional Forms of Proxy and for assistance. (5) To appoint one or more proxies or to give an instruction to a proxy (whether previously appointed or otherwise) via the CREST system, CREST messages must be received by the issuer's agent (ID number 7RA11) not later than 48 hours (excluding any part of a day that is not a Business Day) before the time appointed for holding the meeting. For this purpose, the time of receipt will be taken to be the time (as determined by the timestamp generated by the CREST system) from which the issuer's agent is able to retrieve the message. The Company may treat as invalid a proxy appointment sent by CREST in the circumstances set out in Regulation 35(5)(a) of the Uncertificated Securities Regulations 2001. (6) Any corporation which is a member of the Company can appoint one or more corporate representatives who may exercise on its behalf all of its powers as a member provided that they do not do so in relation to the same Ordinary Share. (7) As at the date of this Document, the Company's issued share capital comprised 4,033,230,615 Ordinary Shares of 0.01 pence each. Each Ordinary Share carries the right to vote at a general meeting of the Company and, therefore, the total number of voting rights in the Company as at the date of this Document is 4,033,230,615. (8) A vote withheld is not a vote in law, which means that the vote will not be counted in the calculation of votes for or against the Resolution. If no voting indication is given, your proxy will vote or abstain from voting at his or her decision. Your proxy will vote (or abstain from voting) as he or she thinks fit in relation to any other matter which is put before the General Meeting. (9) In order to revoke a proxy instruction you will need to inform the Company by sending a signed hard copy notice clearly stating your intention to revoke your proxy appointment to the Registrars, Neville Registrars Limited, Neville House, Steelpark Road, Halesowen B62 8HD and in the case of a member which is a corporation, the revocation notice must be executed in accordance with note 10 below. Any power of attorney or any other authority under which the revocation notice is signed (or a duly certified copy of such power or authority) must be included with the revocation notice and must be received by the Registrars not less than 48 hours before the time fixed for the holding of the General Meeting or any adjourned meeting (or in the case of a poll before the time appointed for taking the poll) at which the proxy is to attend, speak and to vote provided that in calculating such periods no account shall be taken of any part of a day that is not a working day. If you attempt to revoke your proxy appointment but the revocation is received after the time specified then, subject to the paragraph directly below, your proxy appointment will remain valid. (10) A corporation's Form of Proxy must be executed pursuant to the terms of section 44 of the Companies Act 2006 or under the hand of a duly authorised officer or attorney. (11) Any power of attorney or any other authority under which the Form of Proxy is signed (or duly certified copy of such power of authority) must be included with the Form of Proxy.
An assessment of youth sex offender empathy levels for general victims of child-on-child sexual abuse Laetitia Coetzee Department of Social Work and Criminology, University of Pretoria E-mail: firstname.lastname@example.org Christiaan Bezuidenhout Department of Social Work and Criminology, University of Pretoria E-mail: email@example.com The purpose of this article is to focus on youth sex offenders' empathy for victims of child-on child sexual abuse. In a recent study conducted by Coetzee (2015), the quantitative research results indicate that although some of the youth sex offenders who participated in the study showed empathy towards a general victim of child-on-child sexual abuse, certain empathy deficits were displayed. Following the completion of the questionnaires, in-depth information was obtained regarding the youth sex offenders' thoughts pertaining to a sex abuse victim portrayed in a case study. An overview of some of their responses will be discussed in this article. Keywords: youth sex offender; empathy; child-on-child sexual abuse; sex abuse victim; morality; low level socio-moral reasoning; sexual assault; rape; perspective-taking INTRODUCTION The absence of moral integrity is sometimes tied to the high incidence of violent crime in South Africa (SA). Support for this hypothesis can be traced back to June 1997, when the late and then President, Nelson Mandela, called upon religious leaders in SA to partner with the state to overcome the "spiritual malaise" underpinning the crime problem in the country (Moral Regeneration Movement, 2015). Many practitioners, youth workers and community members hold the view that the youth in SA lack morals, values and respect for authority, which can stretch to a total disrespect for human life. Young people may be stuck in a conundrum of low level socio-moral reasoning, which more often than not is the result of a lack of opportunity for healthy growth and development. In its turn, low level socio-moral reasoning can give rise to a lack of victim empathy displayed by youth sex offenders (Liese & Bezuidenhout, 2013: 101). It has been claimed that sex offenders commit their offences despite the distress experienced and portrayed by their victims, due to the fact that they lack empathy for them (Fernandez & Marshall 2003: 12). In addition, it has been found that sex offenders do not recognise and have compassion with the victim's distress to such an extent that they are able to become sexually aroused while committing the offence (Marshall, Hudson, Jones & Fernandez, 1995: 99). Furthermore, it is stated that individuals that do not commit rape are inhibited by empathy for the potential victim (Ward Polaschek & Beech, 2006: 137). Additionally sex offenders frequently deny their offences and minimise the harm that the victim suffered (Curwen, 2003: 349). Moreover, they rationalise their behaviour and argue that their actions were not criminal. It can be argued that if denial and minimisation are present, it will give rise to a lack of empathy on the offender's behalf. However, Hanson (2003: 18) makes an interesting observation regarding justifications provided by sex offenders, by stating that offenders deny and/or minimise their sexual transgressions due to an attempt to distance themselves from their misbehaviour. Furthermore, he stresses that in these instances offenders are aware of the wrongfulness of their sexual offending on some level and they are trying to make up excuses for their actions, whereas others who do not try to justify their misbehaviour genuinely believe that their actions were acceptable. According to Fernandez and Marshall (2003: 13) various researchers made assumptions that the empathy deficits displayed by sexual offenders included a lack of empathy towards people and situations in general. Fernandez and Marshall (2003: 13) however, disagree with this statement as they are of the opinion that the lack of empathy portrayed by sexual offenders may be more specific than a generalised lack of empathy pertaining to all people and situations. On the other hand, empathy deficits displayed by sexual offenders may be narrowed down to their feelings towards the group of people that the victim belongs to, for example women or children, it may be directed towards people who have been victims of other sexual offenders, or it may only be displayed towards their own victims (Marshall et al, 1995: 102). In lieu with this Hunter, Becker and Lexier (2006: 157) say that the capacity for empathy might be intact in some offenders. However, circumstances may have an influence on their capacity to display empathy for their own victims. Before further pondering the absence or display of victim empathy in youth sex offenders, it is essential to define the key concepts to clarify the meanings they will carry in this article. DEFINITION OF CONCEPTS For the purpose of this article, "a youth sex offender" implies a male youth younger than 25 years who sexually violates another individual (this includes acts of sexual assault and/or rape). The operational definition was formulated by combining aspects of the definitions provided by Booyens, Beukman and Bezuidenhout (2013: 37) and the White Paper on Corrections (RSA, Department of Correctional Services, 2005). The White Paper indicates that a youth or young offender is classified as an offender between the age of 18 years and 25 years. A victim is defined as any individual who is harmed or violated and suffers physically and/or emotionally due to illegal and/or non-consented sexual conduct, including acts of sexual assault and/or rape committed by an offender or offenders (Coetzee, 2015: 5). "Empathy" is defined as the capacity to distinguish the emotional state of another individual (emotion recognition), to see situations from another individual's perspective (perspective-taking), to vicariously replicate observed emotions of another individual (emotional replication) and to respond appropriately within the given context, also known as the response decision (Marshall et al, 1995: 101). Later on, Marshall and Marshall (2011: 747) modified their model of empathy. In their modified model of empathy, emotional recognition is still the first stage of the empathic process, as some offenders lack the basic skills to recognise distress in others. This lack of emotional recognition can be attributed to a decision to deliberately distort perceived information. This occurs in scenarios where offenders deny causing harm, even in instances where there is clear evidence of distress being experienced by victims. Offenders who realised that they caused distress might feel shame or guilt. Two ways of responding to these feelings is that they will either block their recognition of the harm they caused, or they will experience elevated levels of emotional distress as a result of their actions. If the latter occurs, the offenders' focus will be on reducing their own distress, by for example denying responsibility for the harm that they caused. This can entail the downplaying of the consequences of their actions, or denying their involvement in the case. In other instances offenders might find pleasure in another's suffering and this will prevent them from responding empathically. Thus, in the absence of a positive disposition towards the person in distress, a compassionate response will not occur. PROBLEM STATEMENT There is a dearth of knowledge concerning victim empathy of youth sex offenders (Varker & Devilly, 2007: 139), especially within the South African context. Lakey (1994: 756) postulates that youth sex offenders can be characterised as humans with empathy deficits. However, few studies have investigated these deficits (Varker & Devilly, 2007: 139). The few studies that have investigated empathy deficits in youth sex offenders only focussed on general victim empathy, while excluding victim specific empathy and own victim empathy (Varker & Devilly, 2007: 139). Although Curwen (2003) and Varker and Devilly (2007) addressed this shortcoming in their international research by adding victim specific empathy and own victim empathy in adolescent sex offenders, the authors are of the opinion that similar research needed to be replicated in the South African context in order to make specific recommendations that are applicable to the South African context. Pertaining to research of this ilk in the South African context, a quantitative study focussing on 48 convicted male sexual offenders who committed sex offences against children was conducted in 2004. One of the aspects that were explored during this study was the attitude of offenders towards their victims. Recommendations posed during this study was that a comprehensive study focussing on the attitudes of sexual offenders towards their victims should be conducted, as it is imperative to develop intervention programmes which can assist sex offenders to take responsibility for their actions and to understand the impact of their offending behaviour (Delport & Vermeulen, 2004: 46). In order to address youth sex offending, one need to look at the nature and dynamics of these offences, but also have to take note of the extent of this problem. An exposition of the nature and extent of youth sex offending will be discussed next. NATURE AND EXTENT OF YOUTH SEX OFFENDING During the 2013/2014 financial year, 62 649 sexual crimes were reported (An analysis of the national crime statistics 2014). In the aforementioned document it is stated that the reinstating and establishment of specialised courts dealing with sexual offences will result in more efficient and swifter finalisation of cases that are currently in the system. Furthermore, it is postulated that the reinstatement of the Family Violence, Child Protection and Sexual Offences (FCS) units has had a positive effect on the curbing of sexual offences. Since its reinstatement in 2010, 659 life sentences have been imposed and 3718 persons have been convicted and sentenced to a total of 51 631 years of imprisonment. The successful prosecution, as well as the assistance provided to victims could possibly increase the confidence that community members have in the police. It is difficult to determine how many of the reported sexual offences were committed by youth offenders, as the South African Police Service (SAPS) does not distinguish between adult and youth sex offenders in their annual statistics and only provides an aggregate figure of sexual offences committed in SA. The Department of Justice and Constitutional Development (2012) sheds some light on the number of youth sexual offences committed in SA. According to the Department, 4 772 children were charged for sexual offences by the SAPS during the period of April 2011 and March 2012. Furthermore, Naidoo (2011) postulates that 40% of the 530 children that are raped on a daily basis are raped by other children whom they are normally acquainted with. When taking these statistics into account, the sexual abuse of children is a grave matter that needs to be addressed in earnest. Furthermore, Mashaba (2009: 2) states that this figure is not a true reflection of the prevalence of child sexual abuse, as it is estimated that approximately 88% of child rapes are never reported. Brown, Esbensen and Geis (2007: 108) emphasise that the number of unreported crimes better known as the dark figure is considered to be high. Underreporting is common in crimes of a sexual nature due to the sensitive nature of these offences. Reasons why victims are dissuaded to report sexual offences include humiliation, embarrassment and disillusionment, fear of being blamed or fear of repeat victimisation, as well as family pressure not to report the incident. In addition, victims sometimes do not have access to police stations, or they fail to report the crime due to a general distrust in the CJS (Van Niekerk, 2003: 12). Furthermore, some of the reported offences committed by youths are not recorded because it is often viewed as sexual experimentation (Booyens et al, 2013:38) or the victim is incorrectly informed by police officers that no charges can be laid if the offender was a child (Van Niekerk, 2003: 12). Even though youth sex offenders form the minority group of the overall sex offending population in SA, it is a serious problem that needs to be addressed, especially when reflecting on the fact that sexual offences can escalate in frequency and severity (Hoghugi, 1997: 118; Symboluk, 1999: 10; Veneziano & Veneziano, 2002). Sexual offences have detrimental long-term effects for both the victims and the offenders (Da Costa, 2014: 2). Additionally, the sexual victimisation of youth can give rise to an intergenerational cycle of violence and abuse. General characteristics of youth sex offenders Even though youth sex offenders do not necessarily form a homogenous group, certain common characteristics displayed by them have been identified. Subsequently an exposition of some of these characteristics will be provided. Low self-esteem Individuals with a low self-esteem are usually preoccupied with their own limitations to such an extent that they do not have sufficient emotional energy left to be concerned with other people's feelings (Fernandez & Marshall, 2003: 13). In addition, it is postulated that the empathy deficits displayed by youth sex offenders may occur due to the strategies that they utilise to prevent further judgements or attacks on their already fragile self-esteem. These strategies can include denial of their offending, minimising the harm that their victims experienced and claiming that the victims deserved, or invited the attack (Marshall & Marshall, 2011: 752). On the other hand, Fernandez and Marshall (2003: 21) report that they found that rapists in their study did not portray lower levels of self-esteem when compared to other non-sexual offenders. Both the rapists and the non-sexual offenders scored very close to the normative mean when completing a measuring instrument assessing levels of self-esteem. Conversely, Fisher, Beech and Browne (1999: 474) as well as Cossins (2000: 193) state that a poor self-esteem can be seen as a possible consequence of being the victim of sexual abuse and a significant number of sex offenders were sexually abused as children. Victim empathy deficits Debates surrounding the question whether sex offenders lack empathy in general or simply lack empathy towards their own victim are on-going (Fisher et al, 1999: 475). Although conflicting findings have been published, early indications are that youth sex offenders show victim empathy deficits and display callous personality traits when compared with violent non-sex offenders and non-violent offenders (Andrade, Vincent & Saleh, 2006: 165). High risk factors pertaining to youth sex offending Various authors conducted research on high risk factors that can give rise to youth sex offending (Da Costa, 2014; Harris, 2008; Hunter, 1999; Smith, Wampler, Jones & Reifman, 2005). In this regard Maree (2013: 70) indicates that the risk of socially unacceptable behaviour increases exponentially with the amount of risk factors present, especially in the absence of protective factors such as positive role models and a nurturing family life. In addition, the various risk factors do not exist in isolation, but are linked and have vicarious effects on each other. An overview of a few risk factors, especially those pertaining to the development or inhibition of pro-social attitudes and empathy in youth sex offenders, will be clarified. Overcrowding and social disorganisation Youths living in disadvantaged and overcrowded areas where there is a lack of community cohesion are at risk of displaying aggressive tendencies (McClinton, 2004: 27). These youths usually grow up in an environment where violence and poverty are rife and where there is a lack of constructive recreational programmes and opportunities to develop acceptable, pro-social behaviour (De Wet, 2003: 3). A lack of positive role models, combined with overcrowding and community disorganisation can lead to a lack of norms and values, which can give rise to higher levels of violence and crime (McClinton, 2004: 28). Furthermore, values and respect for another person's life, property and dignity diminishes and as Harris (2008: 38) states the belief that "if one needs or wants something one can simply take it filters down into all aspects of life, including sexual relationships". Substance abuse Although the effect of substance abuse and the link to subsequent misbehaviour committed by adolescents has been established in various studies (De Wet, 2003: 96; Lakey, 1994: 755; Mulvey, Schubert & Chassin, 2010: 3) there is controversy pertaining to the frequency of intoxication of adolescent sex offenders during the committing of their offences (Pratt, Patel, Greydanus, Dannison, Walcott & Slaone, 2001: 3). In response to the controversy, Seto and Lalumière (2010: 541) found that the use of substances occurred more frequently among youth offenders who committed non-sexual offences than among youth sex offenders. Conversely Jewkes, Nduna, Shai and Dunkle (2012: 5) found that approximately a quarter (24%) of all the rapes committed by the research participants in their study could have potentially been eliminated if the drug use variable was removed. In the study on which this article is based (Coetzee, 2015), a number of research participants reported that had they not been under the influence of a substance, they would not have committed the offence. One of the research participants claimed that he could not remember committing the sexual offence as he was under the influence of alcohol and consumed a pill which altered his consciousness. He did not dispute that he committed the offence, as one of his friends witnessed the act and his DNA matched the sample obtained from the victim. He however stated that he was in an altered state of consciousness and was not aware of his actions. He asserted that to date he still has no recollection of the rape. He recalled attending his girlfriend's surprise party, having a few drinks and taking the pill. His next recollection was waking up in the police cell. He verbalised intense remorse and displayed no victim empathy deficits. Taking the above into account, the authors are of the opinion that the use of substances can be a contributing factor, as it influences a person's inhibitions and might render them more prone to behaviour that would not otherwise be exhibited. Booyens et al (2013: 35) reiterate this opinion, stating that being under the influence of a substance could potentially result in distorted perceptions as well as a heightened sense of bravado. It thus follows that if offenders are sober at the time of their offences, they might recognise the harmfulness of their actions, but while under the influence of substances, they are able to detach themselves from the victim's suffering (Hanson & Scott, 1995: 264). Family environment The family can be seen as the primary socialising agent and thus their role in teaching the child prosocial behaviour is of the utmost importance (Maree, 2013: 75). Adolescents who sexually victimise others are often raised in families where violent interaction often occurs. They experience and/or witness the violence, which in turn can lead to a lack of empathy, as well as insufficient sexual boundaries (Naidoo & Sewpaul, 2014: 90; Print & Morrison, 2000: 296). The absence of a parent, especially a father figure in the boy's developmental years, is problematic as the boy needs a father to model acceptable behaviour towards females (Harris, 2008: 141). One must also take into account that attachment to a primary caregiver during early childhood is of paramount importance. If children did not experience empathy from others during their early childhood, they may not have the capacity to express empathy towards others (Owen & Fox, 2011: 553; Regehr & Glancy, 2001: 147). Prior victimisation A link between prior sexual victimisation and sex offending has been established in various studies (Barbaree & Langton, 2006: 58; Finkelhor, Ormrod & Chaffin, 2009: 3; Veneziano & Veneziano, 2002: 248). Sexually reactive children who commit sexual offences in response to their own abuse may not be aware of the harmful effects of their behaviour and may not recognise their actions as deviant. Furthermore, it serves to be mentioned that sexual stimulation is often experienced by the victim and that subsequent masturbating to images of their own abuse can for instance condition young boys to be sexually aroused by other young boys (Miner et al, 2006: 4). In addition, boys who were sexually victimised by other males might have been aroused by certain acts and could question their own sexual orientation. This might lead to a scenario where the victim becomes the offender in order to regain a sense of control and make sense out of the whole experience (Barbaree & Langton, 2006: 70). Seto and Lalumière (2010: 564) state that youth sex offenders who have been victims of sexual abuse have more distorted views pertaining to sex and often experience sexual arousal towards children or coercive sex. Additionally, they state that certain aspects such as the relationship between the victim and the offender, as well as the nature and the duration of the sexual abuse are important aspects that can be indicative of the possibility of a victimised youth becoming a sexual offender. Factors such as violence used during the sexual abuse, sexual acts involving penetration, as well as abuse continuing over a long period of time, increase the likelihood that the youth will engage in sexual offending behaviour. However, it should be emphasised that not all youth sex offenders are victims of prior sexual abuse per se, but that most of them are in fact victims of some kind of abuse, including physical and/or emotional abuse, neglect, or witnessing domestic violence (Lamont, 2010: 1; Naidoo & Sewpaul, 2014: 89, Pratt et al, 2001: 3; Righthand & Welch, 2005: 19). In an international study Pithers and Gray (1998: 208) found that 84% of the adolescent sex offenders that were interviewed were victims of sexual abuse, 48% were victims of physical abuse, 33% were victims of emotional abuse, 18% were neglected and 56% were victims of a combination of these forms of abuse. Pornography Most authors, such as Ven-hwei and Wei (2005: 229) as well as Hodgetts (2012: 140) hold the opinion that adolescents' exposure to pornography can lead to sexual promiscuity. Furthermore, Hodgetts (2012: 146) notes that the consumer of pornographic material might be influenced by the images that they view to such an extent that they might develop negative attitudes towards women. In this study conducted by Hodgetts (2012), it was found that some of the pornographic material viewed by research participants depicted sexually aggressive acts against women as enjoyable for both the male and female participants in the pornographic scenes. In addition, some of the participants indicated that they derived pleasure from viewing pornographic material depicting the rape or violent treatment of women. Debates regarding the link between the viewing of pornography and the committing of sexual offences are on-going. Rice Hughes (2001) argues that deviant sexual behaviour does not necessarily occur as a result of the viewing of pornography by adolescents. Nevertheless, Hughes admits that pornography may have some detrimental effect on youth. Greenfield (2004: 741) states in this regard that the viewing of pornography can have an influence on the display of sexual violence; it can determine sexual attitudes, influence moral values and increase the sexual activities of young people. Diamond (1999: 14) disagrees as he postulates that increased exposure to pornographic images can reduce youth sex offending, as pornography gives young people the opportunity to explore their budding sexuality and gratify their sexual needs. In addition it serves as a vent or release for their sexual curiosity. Additionally Groth (1979: 9) emphasises a very important fact by stating that sexual offences such as rape is normally a reaction to the offender's anger or fear and that even though sexual offenders might be aroused by pornographic material, their sexual offences cannot be attributed to the viewing of pornography as such. Television Omar (2010: 125) found that a considerable number of respondents (72%) in her study reported that they watch television every day. Furthermore, 70% of the respondents indicated that they normally watch television without supervision. A further matter of concern is that 92% of the respondents indicated that they received the majority of their sex education by watching television. This is in line with international research indicating that television is regarded as one of the most important sources of sex education for adolescents (Ven-hwei & Wei, 2005: 222). This is especially worrisome if one takes into account that an association between watching violence on television and then acting it out in a real life situation has been verified by research (Sigelman & Rider, 2006: 374). If children are not properly informed about human sexuality, watching explicit scenes without any supervision may give rise to confusion and can lead to fear or trauma and feelings of powerlessness. Children might try to regain their feelings of power by committing deviant sexual acts against peers (Newberger, 2001: 18). Peer relationships A peer group can initiate or reinforce existing criminal or disruptive behaviour (Harris, 2008: 54). In addition, an adolescent might adjust his perceptions and moral views to be compliant with the values of the peer group, to ensure acceptance within the peer group (Harris, 2008: 55; Symboluk, 1999: 69). Thus, if the peer group adheres to certain violent or intimidating ways of gaining sexual compliance, the adolescent within this peer group might follow suit. Kipke (1999: 32) adds that adolescents gain a substantial amount of information regarding sex from their peers. This is problematic, as the information might be inaccurate and might give rise to distorted views pertaining to pro-social sexual behaviour. In other instances adolescents might engage in sex, even if they have to use intimidation to gain compliance, just for the sake of being able to increase their status within the group and to be able to partake in discussions pertaining to sexual relationships and sexual activities (Ward et al, 2006: 82). RESEARCH METHODOLOGY AND ETHICAL CONSIDERATIONS In the study that this article is based on (Coetzee, 2015), two types of victim empathy were measured in order to establish if youth sex offenders within the South African context display these types of empathy. The two types of empathy that were measured are: * General sexual abuse victim empathy, which refers to empathy for victims of sexual abuse in general, for example a rape victim. * Own victim empathy, which refers to specific empathy towards the victim against whom the offender committed the crime. For the purpose of this article, only the findings pertaining to general sexual abuse victim empathy will be discussed. The goal was to measure, describe and compare victim empathy in youth sex offenders. To attain this goal the combined qualitative and quantitative approach, also referred to as the mixed methods approach (Fouché & Delport, 2011: 63) was applied. Quantitative data was collected by means of a questionnaire and qualitative data was obtained by means of semi-structured interviews. The triangulation mixed methods design was used, which implies that quantitative and qualitative methods of data collection were applied, the data collection took place within the same time frame and both methods were considered equally important. The two distinct, but in the case of this study complementary methodologies, each required its own research design. For the purpose of the quantitative section the cross-sectional survey design was used, while the collective case study research design was used in the qualitative section of the study. Pertaining to the sampling procedure, the authors made use of non-probability sampling and applied the purposive sampling method. This entails that each research participant is selected based on the unique position and traits of that individual. This means that purposive sampling may involve the inclusion of the entire population of a limited group or subset of a population (Bachman & Schutt, 2003: 108). The sample consisted of 96 male youth sex offenders detained in Leeuwkop, Emthonjeni and Boksburg Youth Correctional Centres (YCCs) in the Gauteng Province of SA who could understand and speak English and who were willing to participate in the study. With regards to the data collection methods, the first author of the article made use of a structured interview schedule, in the format of a questionnaire for the quantitative section. This entails that the researcher read the questions in the questionnaire to the participants and then recorded their answers on the questionnaire. The authors are of the opinion that the utilisation of the structured interview schedule was the best option as it decreased the occurrence of answers that were omitted due to an inability to interpret or understand the questions correctly (Delport & Roestenburg, 2011: 186). An existing questionnaire consisting of a 4 point Likert scale, more specifically the Beckett and Fisher's Victim Empathy Distortion Scale (VEDS), was utilised in the research. The scale is designed to assess empathy for a non-specific victim depicted in a case study, as well as empathy for an offender's own victim. The scale consists of 30 questions focussing on empathy for a general sex abuse victim and 30 questions concentrating on the offender's own victim (Varker & Devilly, 2007: 143). The scale measures the value of understanding and what the impact and effect are of the sexual abuse on a victim, as well as his or her beliefs regarding the feelings of the victim during the sexual contact. Items in the questionnaire cover aspects such as the extent to which offenders believe that victims enjoy sexual contact, whether victims are in a position to stop the contact or whether they encourage it, whether victims experience fear and/or guilt and if the victims would prefer to have similar sexual encounters in the future (Fisher et al, 1999: 478). Following the completion of the questionnaires, interviews were conducted with each of the participants. The first author conducted all the interviews personally. It must be noted that ethical considerations were adhered to meticulously. A brief overview of some of the ethical aspects that were applicable to the study follows: * Confidentiality: All the information obtained from each research participant was treated confidentially and were only utilised for research purposes. No personal information or their identities were revealed when disseminating the research results. * Informed consent and assent: Prior to the interviews, an informed consent form was signed by the head of the respective YCC who acts in loco parentis of detained children younger than 18 years. Additionally, an informed assent form was signed by research participants who were younger than 18 years. Research participants that are older than 18 years signed their own informed consent forms. * Debriefing of participants: Upon completion of the data collection process, the researcher held individual debriefing sessions with the research participants by discussing their experiences and the way that the answering of the questionnaire and their participation in the interview impacted on them. If the research participants were negatively affected in any way, a social worker of the relevant YCC was at hand to provide trauma debriefing and/or counselling to the research participant concerned. FINDINGS OF THE STUDY An overview of some of the quantitative and qualitative data obtained in the study (Coetzee, 2015) will follow. Quantitative results The VEDS measured the empathy levels of youth sex offenders on two levels. The first level focussed on their empathy for a general sexual abuse victim. The research participants answered questions pertaining to a case study about a seven year old girl named Sarah, who was sexually abused by her 15 year old brother. The current article will only focus on the first level. It is worth mentioning that only 31 of the 96 research participants' (32.29%) empathy levels measured below 80% for the general sexual abuse victim empathy section. In addition, the research participants' average empathy score for the general sexual abuse victim was 84% (100.8/120) with a minimum score of 48% (58/120) and a maximum score of 99% (119/120). An analysis of the different responses to the different questions revealed that some of the responses amounted to an average score of less than 84%. As the average score obtained for the general sexual abuse victim empathy section was 84%, it was used as a benchmark to identify the specific questions that elicited a below average score (i.e.˂84%). This strategy highlighted specific areas where youth sex offenders expressed what might be interpreted as a lack of empathy for a general sexual abuse victim. A description of these questions follows: * In question 3 the research participants were asked if they thought that the victim (Sarah who was 7 years old) thought that it was a game when her brother (the sexual offender who was 15 years old) had sex with her. They had to provide their response on a 4 point Likert scale. The average response for this question was 2.91 out of 4 (72.75%) indicating that on average they were of the opinion that Sarah mostly thought it was a game. This might indicate that the research participants failed to comprehend the seriousness of the sexual offence which was committed against Sarah. However, some of the research participants indicated that due to the fact that Sarah was so young and innocent, she might have lacked comprehension and thought that her brother was playing a game with her. Thus, the average response to this question is not necessarily an indication of a lack of empathy. * In question 5 the research participants were asked if they thought that Sarah could have stopped her brother if she wanted to. The average response for this question was 2.71 out of 4 (67.75%) showing that on average they opined that it would have been easy for Sarah to stop her brother from wanting to have sex with her. This might be an indication that the research participants are justifying the behaviour of the brother in the case study, while simultaneously blaming the victim for her part in the victimisation. * In question 13 the research participants were asked if they thought that Sarah felt guilty about how she behaved. The average response for this question was 2.86 out of 4 (71.5%), which is an indication that on average they thought that Sarah felt a little bit guilty about how she behaved. Once again, this might amount to victim blaming. * In question 18 the research participants were asked if they thought that Sarah felt sorry for her brother over what had happened. The average response for this question was 3.13 out of 4 (78.25%) showing that the average research participant thought that she felt a little bit sorry for her brother over what had happened. This might be an indication that the research participants do not feel that the brother is the only one at fault in this case study, and that might be the reason why Sarah would feel sorry for him. On the other hand, they might project their own feelings onto this case study due to the fact that they might want their own victims to sympathise with them. Some of the research participants explained that Sarah loved her brother and she might feel sorry for him if he got into trouble. * In question 21 the research participants were asked if they thought that Sarah had experienced something similar in the past. The average response for this question was 2.8 out of 4 (70%) which shows that on average they were of the opinion that it was possible that Sarah experienced something similar in the past. This might imply that Sarah was promiscuous, or that on some level, Sarah wanted to have sex with her brother. However, some of the research participants indicated that they chose this option because lots of little girls are victimised in the area where they reside. Thus, this response is not necessarily an indication of a lack of empathy. * In question 26 the research participants were asked if they thought that Sarah had been led on by her brother. The average response for this question was 3.11 out of 4 (77.75%) indicating that most of the research participants thought that she was mostly led on by the brother. This means that they did ascribe a little bit of blame to Sarah, as they did not choose the option that she was totally led on by her brother. Upon comparing the empirical findings of this study with literature, it became evident that some of the results obtained in this study differ from international findings. Rich (2006: 195) indicates that youth sex offenders can be divided into three categories, namely youth sex offenders who offend against adults or peers, youth sex offenders who victimise children and youths who partake in both forms of sexual offending, thus targeting adults or peers and children. Furthermore, he states that most youth sex offenders resort in the second category which refers to the sexual victimisation of children. However, most of the youth sex offenders in the study that this article is based on (Coetzee, 2015) resort in the first category (i.e. victimisation of adults or peers) and not in the second category (i.e. victimisation of children) as stated in literature. A noteworthy number of victims were older than 18 years (58=60.41%) when they were victimised, thus indicating that in 60.41% of the cases the youth sex offenders targeted adults or peers in the 18-25 years age bracket. Furthermore, 25 (26.04%) of the victims were between the ages of 14-17 years. Considering the fact that 48.96% of the participants indicated that they were younger than 18 years when they committed the offence, victims between the ages of 14-17 years can be viewed as their peers. Thus, in approximately 86.45% of the cases the youth sex offenders in this study resort in the first category of offenders who target adults or peers. Only three (3.13%) of the youth sex offenders targeted victims who were younger than 10 years. International research findings (Andrade et al, 2006: 163; Hunter, 1999) indicate that youth sex offenders who target adults or peers often victimise female strangers. This is congruent with the empirical data obtained in this study as a noteworthy number of research participants indicated that no prior relationship existed between them and the victim. Thirty-four (35.41%) of the youth sex offenders stipulated that their victims were strangers whom they have never met, or had any interaction with prior to the offence. In addition, twenty (20.83%) of the youth sex offenders indicated that their victims were acquaintances. This implied that they met their victims before, or knew them prior to the offence. However, there was no personal relationship or specific affinity between them. Typical victims in these instances were individuals whom they have only spoken to once, or seen once before. In other instances the victims were friends with someone both the offender and the victim knew, but the relationship could not be described as close or of any consequence. On the other hand Hunter (1999) opines that youth sex offenders who victimise children are often relatives of the victim. These offenders mostly resort to manipulation to gain compliance, they do not necessarily use violence and their offences mostly occur in private settings. As indicated previously, only three of the research participants in this study victimised children younger than 10 years and two of them indicated that their victims were family members. Thus, this finding albeit emanating from only three participants, is in line with international research findings. In addition, all three of the youth sex offenders in this study used manipulation to gain compliance from their victims. A difference does, however, exist with regards to the use of violence during the committing of the offence. Although the above-mentioned literature indicates that youth sex offenders who target children do not necessarily use violence and prefer a private setting, two inverse responses were attained in the current study. One of the youth sex offenders, who raped a 7 year old girl, killed his victim. In addition, one of the research participants committed his offence against a child at church after choir practice, therefore not in a private setting. In the following section an overview of some of the qualitative results will be provided. Qualitative results After the transcription of the interviews, the data derived from the interviews were sorted into themes and sub-themes. One of the themes and sub-themes that emerged from the interviews will be discussed in this article. Theme 1: General sexual abuse victim empathy In the study conducted by Coetzee (2015) research participants' levels of general sexual abuse victim empathy were measured in the first section of the VEDS. It is stated in Fisher et al (1999: 478) that the scale measures an individual's understanding of the impact and effects that sexual abuse has on a victim, as well as his or her beliefs regarding the feelings of the victim during the sexual contact. The 30 quantitative questions were followed up with an interview where the research participants had the opportunity to explain their feelings towards the victim depicted in the case study. An overview of their responses will be provided next. Sub-theme 1.1: Feelings for Sarah (victim in the case study) The responses of participants regarding their feelings for Sarah indicated that some of them felt very sorry for her. One of the verbatim replies illustrating this sentiment was articulated by RP 42 who said: "I feel sorry for Sarah, because she was a child, she didn't know nothing. She maybe didn't have the power to stop her brother. This might be her memory when she grows up. She will not cope well in school and will see everyone as her brother. The emotions will stay with her no matter how old she is." On the other hand, some of the research participants had empathy for both Sarah and the brother. The following is a validation of these mixed feelings: RP 7 opined: "I feel sad for the brother. He makes sex with his sister. I feel sad for the sister. The brother does not have another miss (juffrou) outside the family." RP 11 disclosed his feelings in the following manner: "I feel ashamed. I know how hurt it is for the girl and the boy." Various research participants held robust views pertaining to the fact that the sexual offence was committed by Sarah's brother. Subsequently a few of these opinions will be provided. RP 13 conveyed: "How could her brother force his little sister into sleeping with him. Maybe the little sister trusted the brother and the mother said to the brother he should look after his little sister. Brother shouldn't have feelings for sister from same mother. At least if he did it to someone else…" RP 22 replied: "I feel very bad for Sarah. She is not safe with her brother doing such things to her. Her brother was supposed to protect her." At face value it may seem as though RP 22 has empathy for Sarah. However, in order to gain a holistic understanding of RP 22's thought processes it is imperative to consider this response in conjunction with some of the answers provided by RP 22 in the questionnaire, as well as some of the explanations given for his answers in the questionnaire. Some of these responses and the explanations for the responses provided in brackets, follows: "Sarah secretly hoped very much that something similar could happen again (maybe she wanted it), she felt very sorry for the brother (the brother didn't know the consequences), very possible that it happened before (maybe she was scared to tell someone, maybe if it was from outside she could tell, maybe that is why it happened again), very likely that she knows more about sex than her age (when you are young and something like that happen, you will know more than people are the same age than you), she was slightly led on by her brother (the brother is not supposed to do it to his younger sister, he is supposed to protect her. Maybe both of them wanted it)." RP 27 said: "I feel bad. It is bad to sleep with your sister. How are you going to look at him, you stay in the same house? It is unforgivable how do you forgive someone that sleeps with his sister?" RP 87 voiced his thoughts about Sarah as follows: "I think Sarah eish, didn't like it happening to her because she think her brother was playing and then he end up sleeping with her. She was afraid to tell her mother. If her friends found out Sarah was sleeping with her brother, she was scared for that." Various research participants conveyed strong feelings with regards to the fact that Sarah was so young, and her brother was much older. Some of their responses will follow. RP 61 expressed his feelings for Sarah in the following manner: "Very painful for me, because when I look at age of boy he was 15, the girl was 7 years old. What did that boy think when he raped that little girl? It is disgusting. She is very young and she knows nothing about sex. She was crying, that is the picture in my mind, how could he do it to his sister. For me, it is very, very, very painful." RP 88 said: "Even if I'm a person who do crime I won't think of raping a 7 year old girl." Some of the research participants internalised the case study and applied it to their own lives. Examples of their responses are as follows: RP 75 conveyed: "I feel very shocked. I will kill for my little sister. I will never do that." RP 78 proclaimed: "That story is sad. Sarah is young and what happened to her with her brother, her brother left a trauma to her. Even me, also, we are used to playing such a game, a mother, father and son but we didn't put it inside. We didn't know what was going on." RP 82 commented: "You see such things, eish. I'm not feeling okay, because some of things we do our victims don't like. We might think we enjoyed it, but to her it is not alright." RP 93 declared that: "To be honest with you, I think that what happened to her was not right for her, because I know how it is to be forced to have sex with someone you don't want to have sex with." On the other hand, some of the research participants engaged in victim blaming, by for example referring to Sarah's obligation to report the sexual encounter. Some of their thoughts will be shared next. RP 6 noted: "Sarah could have stopped her brother very easily. Sarah and the brother was at home, she must scream. She felt very guilty, she didn't try to scream or prevent it." RP 12 stated the following: "This girl is very, very young. Maybe this girl's future is not going to be fine. She think too much she might commit suicide." However, in contradiction to this statement, when asked during the completion of the questionnaire if Sarah felt sorry for herself, RP 12 replied "not at all". When asked to explain reasons for his response, he stated: "She never screamed, seemed like she was enjoying it." RP 64 said: "I was feeling so; I don't know how to define it. Sarah had a choice. If she didn't like she was supposed to go to the police station and arrest the brother. She wants." From the above mentioned one can see that youth sex-offenders hold a diversity of feelings towards the victim in the case study. However, even though a noteworthy number of research participants displayed empathy for the general sexual abuse victim (Sarah) as portrayed in the case study, some portrayed empathy deficits. This becomes evident when considering that even though they displayed empathy for Sarah, on average they were of the opinion that it would have been easy for her to stop her brother from raping her, which is indicative of victim blaming being present. Additionally, their ignorance pertaining to the impact of sexual offences on victims, as well as the lack of understanding regarding the long term consequences of sexual violence, are causes for concern. CONCLUSION It is evident that even though the youth sex offenders in the current study (Coetzee, 2015) obtained an average score of 84% for the general sexual abuse victim empathy section of the VEDS, some of their qualitative responses indicates certain empathy deficits, such as a lack of insight pertaining to the actual impact of sexual offending on the victims of these offences. As stated in a recent Supreme Court of appeal case between the Department of Public Prosecutions as the appellant, and Prins as the respondent (DPP v Prins, 2012) the presiding officers made the following comment in their judgement: No judicial officer sitting in South Africa today is unaware of the extent of sexual violence in this country and the way in which it deprives so many women and children of their right to dignity and bodily integrity and, in the case of children, the right to be children; to grow up in innocence and, as they grow older, to awaken to maturity and joy of full humanity. The rights to dignity and bodily integrity are fundamental to our humanity and should be respected for that reason alone. Against the backdrop of the above-mentioned quote it is clear that the occurrence of sexual violence needs to be addressed, as it has dire consequences for the victims of these offences. In order to address the occurrence of sexual violence one needs to ascertain what contributes to its occurrence. Even though three South African studies (Da Costa, 2014; Harris, 2008; Omar, 2010) recently contributed to this field of study by focussing on the risk factors that contribute to youth sex offending, as well as developing a typology of youth sex offending in the South African context, it is imperative to ascertain whether youth sex offenders have the necessary insight into their harmful behaviour. As the recidivism rate after release from a correctional facility in SA is estimated to be as high as 95 percent, rehabilitation, positive change and empathy building are issues that are of elevated importance (Quan-Baffour & Zawada, 2012: 73). This notion necessitated the current study as the authors are of the opinion that it is imperative to ascertain whether offenders who commit sexually motivated crimes display the necessary moral values and are at a moral stage where they can understand what the impact of sexual offences was, or still is on victims. Should these conceivable deficits exist, repeat offending is eminent. In the study on which this article is based (Coetzee, 2015), own victim empathy was compared to the above findings and a paradoxical picture unfolded. 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Department of Forensic Science COPYRIGHT © 2020 DNA DATA BANK OPERATING POLICIES AND PROCEDURES MANUAL VIRGINIA DEPARTMENT OF FORENSIC SCIENCE Issue Date: 24-August-2020 1 Quality Assurance Program 1.1 Goals and Objectives 1.2 Organization and Management Structure 1.3 Personnel Training and Professional Development 1.4 Facilities 1.5 Sample Control 1.6 Validation 1.7 Analytical Procedures 1.8 Equipment Calibration and Maintenance 1.9 Documentation 1.10 Review 1.11 Proficiency Testing 1.12 Corrective Action 1.13 Audits 1.14 Safety 1.15 Outsourcing 1.16 Document Retention 1.17 Virginia Criminal Information Network (VCIN) 2 Sample Origin 2.1 Statutory Authority 2.2 Sample Collection VIRGINIA DEPARTMENT 3 Receipt of Blood Samples by DFS OF 3.1 Delivery of Samples 3.2 Receipt of Blood Samples FORENSIC SCIENCE 4 Receiving, Preserving, and Storing Convicted Offender Blood Samples in the Data Bank 4.1 Receiving Blood Samples 4.2 Preserving and Storing Blood Samples 5 Receipt of Buccal DNA Collector Envelopes by DFS 6 Receipt by the Data Bank, Accessioning, and Storage of Buccal DNA Collector Envelopes 6.1 Receipt by the Data Bank 6.2 Accessioning 6.3 Storage of Samples 7 Sample Analysis, Documentation, Technical Review, and Entry of DNA Profiles into CODIS 7.1 Sample Analysis 7.2 Documentation 7.3 Technical Review 7.4 Entry of DNA Profiles into CODIS 8 Arrestee Tracking 8.1 Arrestee Reports 8.2 Arrestee Statistics Issue Date: 24-August-2020 TABLE OF CONTENTS COPYRIGHT © 2020 9 Removal/Expungement of Sample and Associated Records from Offenders 9.1 Sample Expungements 9.2 Sample Removal/Destruction – In Database 9.3 Sample Removal/Destruction – Not in Database 10 Processing Data Bank Hits 10.1 Notification 10.2 Sample Record Query 10.3 Sample Reanalysis Appendix A DNA Data Bank Offender Buccal Sample Form Letter Appendix B DNA Data Bank Arrestee Buccal Sample Form Letter Appendix C DNA Data Bank Buccal Kit Submission Form (Examples) COPYRIGHT © 2020 VIRGINIA DEPARTMENT OF FORENSIC SCIENCE Issue Date: 24-August-2020 1 QUALITY ASSURANCE PROGRAM 1.1 Goals and Objectives 1.1.1 To provide a repository (Data Bank) for blood, saliva or other known samples from convicted felony and misdemeanant offenders and arrestees in accordance with the Code of Virginia. 1.1.2 To analyze samples in the repository to develop a DNA profile for entry into the Virginia DNA Data Bank (the Data Bank). DNA profiles are stored in the Combined DNA Index System (CODIS), which is maintained by the FBI. 1.1.3 To ensure the quality, integrity, and accuracy of the analytical data through the implementation of a detailed quality assurance program. 1.1.4 Establish and monitor quality requirements for reagents, supplies, equipment, and analytical procedures. 1.1.5 Ensure that the entire DNA typing procedure is operating within the established performance criteria and that the quality and validity of the analytical data is maintained. COPYRIGHT © 2020 1.1.6 Ensure that problems are noted and that remedial or corrective action is taken and documented. 1.2 Organization and Management Structure VIRGINIA 1.2.1 The organization and management of the Virginia Department of Forensic Science (DFS) is addressed in the Department Quality Manual (the QM), Organization and Management. The Data Bank is in the Division of Technical Services under the Biology Program Manager. DEPARTMENT 1.3 Personnel, Training and Professional Development 1.2.2 The management structure for DFS is set forth in the DFS Organizational Chart. The responsibilities of Data Bank personnel can be found in each individual's Employee Work Profile (EWP). OF FORENSIC SCIENCE 1.3.1 The procedure for the qualification and training of personnel is addressed in the QM, Personnel and Training. 1.3.2 The policy that addresses attending meetings and seminars is addressed in the QM, Continuing Education and Training. 1.3.3 All analysts must receive 8 hours of continuing education on a yearly basis. The technical leader shall approve the continuing education program, which will be documented using the Department's Report of Training/Conference Attendance workflow in Qualtrax. 1.3.4 A review of scientific literature will be conducted through the use of a reading list. The technical leader shall approve the articles on the list. Documentation of the completion of the required reading shall be maintained by the Data Bank Section Supervisor or designee. 1.3.5 The procedure for the monitoring of the testimony of Data Bank analysts is addressed in the QM, Testimony Monitoring. 1.4 Facilities 1.4.1 The facilities of DFS are addressed in the QM, Facilities, Security and Safety. 1.5 Sample Control 1.5.1 All samples received into the Data Bank are not evidence and are considered to be reference samples. Issue Date: 24-August-2020 1.5.2 The procedures for receipt, processing, and storage of blood and buccal samples in the Data Bank are addressed in this manual. 1.5.3 Work product: Material that is generated as a function of analysis, which includes extracts, amplified product, amplification tubes or plates, and instrument plates. All work product generated by the Data Bank is discarded after the DNA profile has been reviewed and uploaded to CODIS. 1.6 Validation 1.6.1 The validation of new DNA technologies/methodologies utilized by DFS's Forensic Biology Section is addressed in the Forensic Biology Section Procedures Manual, Quality Assurance (the FB PM, QA). In addition, a summary of each validation study is maintained with the data. The summary and data are maintained by the Biology Program Manager as directed by the QM, Technical Procedures and Manuals. 1.7 Analytical Procedures 1.7.1 The analytical procedures used by DFS's Data Bank are set forth in this manual, the Data Bank PowerPlex ® Fusion Procedures Manual (the DB Fusion Manual), and the Forensic Biology Section Data Bank Procedures Manual Fluorescent Detection PCR – Based STR DNA Protocol: AmpFℓSTR ® Yfiler™ System (the DB Yfiler Manual). Establishment of these procedures is guided by the QM, Quality System Documents, and Technical Procedures and Manuals. COPYRIGHT © 2020 VIRGINIA 1.7.2 Estimation of the uncertainty of measurement: no critical measurements are taken during the analytical process in the Data Bank; therefore, no estimation of uncertainty of measurement is required. DEPARTMENT 1.8 Equipment Calibration and Maintenance OF 1.8.1 Procedures for the calibration and maintenance of laboratory equipment are set forth in the FB PM, QA. Establishment of these procedures is guided by the QM, Technical Procedures and Manuals, Supplies and Services, and Equipment. FORENSIC SCIENCE 1.9 Documentation 1.9.1 The Data Bank does not issue reports. All administrative and technical documentation generated in the Data Bank will be handled according to procedures set forth in this manual. Establishment of these procedures is guided by the QM, Records and Case Files. 1.9.2 Procedures relating to the confidentiality / release of information from the Data Bank and/or CODIS are set forth in this manual, as well as the CODIS Operating Policies and Procedures Manual (the CODIS Manual), Access and Release of Convicted Offender and Arrestee Sample Information and Verifying and Reporting a CODIS Match at SDIS. Establishment of these procedures is guided by the QM, Records and Case Files. 1.9.3 The procedure for the expungement/removal of records is addressed in this manual, as well as the CODIS Manual, CODIS Data Maintenance. Establishment of these procedures is guided by the QM, Records and Case Files. 1.10 Review 1.10.1 The procedure for the technical review of Data Bank analytical data is addressed in the QM, Monitoring Results. 1.10.2 The procedure for the administrative review of Data Bank hit (hit) information is set forth in this manual. 1.10.3 The review procedures associated with the upload of DNA data to CODIS are addressed in this manual. Issue Date: 24-August-2020 1.11 Proficiency Testing 1.11.1 The proficiency testing program for DFS is defined in the QM, Proficiency Testing. 1.12 Corrective Action 1.12.1 The procedure for corrective action is set forth in the QM, Nonconformities and Corrective Actions. 1.13 Audits 1.13.1 The procedure for audits of DFS is addressed in the QM, Audits. 1.13.2 An FBI Quality Assurance Audit of the Forensic Biology Section is conducted by an external agency at a minimum of every other year. 1.13.3 The official record and response to prior audits is maintained by the Quality Assurance Coordinator (the QAC). COPYRIGHT © 2020 1.14 Safety 1.14.1 The policies and procedures for safety in the laboratory are addressed in the Safety Manual. VIRGINIA 1.15 Outsourcing 1.15.1 Outsourcing is addressed in the QM, Subcontracting of Tests. DEPARTMENT 1.15.2 Technical specifications of the outsourcing agreement are approved by the technical leader prior to the outsourcing agreement being awarded. OF FORENSIC SCIENCE 1.15.3 A technical review of the vendor's data is conducted prior to uploading sample profiles into SDIS. The following elements are included in the technical review: 220.127.116.11 DNA types to ensure they are supported by the analytical data 18.104.22.168 Associated controls, ILS and ladder 22.214.171.124 Verification of the DNA types, eligibility and correct specimen categories for entry to CODIS. 1.15.4 On-site visits are conducted prior to the beginning of DNA analysis. Annual on-site visits are conducted as required. The on-site visit will be documented and maintained by the laboratory. 1.16 Document Retention 1.16.1 Proficiency tests - files will be retained by the QAC as specified in the QM, Monitoring Results. 1.16.2 Analytical results – retention times for all records are specified in the QM, Records. 1.16.3 Sample receipt and processing records - retention times for all records are specified in the QM, Records. 1.16.4 Sample retention – Samples are retained by DFS and stored indefinitely in accordance with the Code of Virginia. Allowances are provided in the Code of Virginia for destruction of the sample and associated information in the event of expungement of a felony conviction or after the final disposition of the qualifying arrest charge has been provided and the charge is dismissed or the defendant is acquitted at trial. Issue Date: 24-August-2020 1.16.5 Hit confirmation - retention times for all records are specified in the QM, Records. 1.16.6 Corrective action - files will be retained by the QAC as specified in the QM, Nonconformities and Corrective Actions. 1.16.7 Audits - files will be retained by the QAC as specified in the QM, Audits. 1.16.8 Training records – files will be retained as part of the permanent training record by the appropriate laboratory as specified in the QM, Personnel and Training. 1.16.9 Continuing education – files will be retained as part of the permanent training record by the appropriate laboratory as specified in the QM, Personnel and Training. 1.16.10 Court testimony monitoring - files will be retained by the appropriate laboratory as specified in the QM, Monitoring Results. 1.17 Virginia Criminal Information Network (VCIN) 1.17.2 Access to criminal history/VCIN information will be limited to those individuals authorized to receive criminal history information. VIRGINIA DEPARTMENT 1.17.1 VCIN is accessed through the Virginia State Police (VSP) Criminal Justice Information Services (CJIS) Division. The system provides access to criminal history record information that is available through the Federal Bureau of Investigation (FBI) National Criminal Information Center (NCIC) and National Law Enforcement Telecommunications System (NLETS) interfaces. COPYRIGHT © 2020 1.17.3 Any violations of VCIN/NCIC policies relating to the unauthorized accessing of, or unauthorized dissemination of any criminal justice information obtained from the VCIN system will be immediately reported in writing to the VSP VCIN Section, by DFS' VCIN Terminal Agency Coordinator (TAC). OF FORENSIC SCIENCE Issue Date: 24-August-2020 2 SAMPLE ORIGIN 2.1 Statutory Authority 2.1.1 Samples are to be collected as required by the Code of Virginia (§§ 9.1-903, 16.1-299.1, 19.2-310.2 and 19.2-310.2:1) for DNA analysis and incorporation into the Data Bank and subsequent entry into CODIS. 126.96.36.199 Every person convicted of a felony on or after July 1, 1990, 188.8.131.52 Every person convicted of a felony offense under Article 7 (§ 18.2-61 et seq.) of Chapter 4 of Title 18.2 who was incarcerated on July 1, 1989, 184.108.40.206 Every person convicted of a misdemeanor violation as specified in §19.2-310.2, 220.127.116.11 Any juvenile convicted of a felony or adjudicated delinquent on the basis of an act which would be a felony if committed by an adult (provided the juvenile was fourteen years of age or older at the time of the commission of the offense), COPYRIGHT © 2020 18.104.22.168 Every person arrested for certain violent felonies and burglaries, 22.214.171.124 Every person required to register with the Virginia State Police (VSP) as a sex offender, and 2.1.2 Information Release and Sample Destruction DEPARTMENT 126.96.36.199 Any individual so ordered by a circuit court pursuant to a lawful plea agreement. VIRGINIA The information contained in both the Data Bank LIMS (the DB LIMS) and the CODIS databases are used by DFS Forensic Biology examiners to provide information to federal, state, and local law enforcement officers that may be useful in the investigation of any criminal offense. OF FORENSIC SCIENCE 188.8.131.52 Refer to the Code of Virginia § 19.2-310.5 for specific requirements for the release of information. 184.108.40.206 Refer to the Code of Virginia § 19.2-310.6 for penalties for unauthorized use of the Data Bank. 220.127.116.11 Refer to the Code of Virginia § 19.2-310.2:1 (arrestees) for specific instructions for sample destruction and associated records. 18.104.22.168 Refer to the Code of Virginia § 19.2-310.7 (convicted offenders) for specific requirements for expungement of information and sample destruction. 2.2 Sample Collection 2.2.1 All samples must be taken in accordance with the Code of Virginia §§ 19.2-310.3 (convicted offenders) and 19.2.310.3:1 (arrestees). 2.2.2 Either buccal cells, blood, or tissue may be collected from convicted offenders. A purple top vacutainer tube should be used for the collection of a blood sample (preservative EDTA). A buccal DNA collection kit provided by DFS will be used to collect buccal cells from arrestees and convicted offenders. 2.2.3 The majority of Data Bank samples originate from inmates housed in facilities of the Virginia Department of Corrections (DOC), regional and local jails throughout the state, and state juvenile detention facilities. Arrestee samples are typically taken at the booking/intake station. Convicted offenders who are not required to serve time should be sampled prior to release. Samples may also be submitted from Virginia inmates who are housed in out-of-state correctional facilities through the Issue Date: 24-August-2020 UNCONTROLLED Virginia Interstate Corrections Compact. Samples associated with convictions in other states may also come from inmates on probation/parole and supervised by DOC through the interstate compact. 2.2.4 All samples received into the Data Bank are considered reference samples. 2.2.5 On a weekly basis, DFS will electronically send a file to the Virginia State Compensation Board IT Section containing a list of all new arrestee and convicted offender samples that have been added to the DB LIMS. This information will subsequently be transferred to the LIDS website for use by user agencies to determine whether a blood, buccal or tissue sample has been previously collected from an arrestee or a convicted offender. COPYRIGHT © 2020 VIRGINIA DEPARTMENT OF FORENSIC SCIENCE COPY Issue Date: 24-August-2020 3 RECEIPT OF BLOOD SAMPLES BY DFS NOTE: PROPER PERSONAL PROTECTIVE GEAR (LAB COAT, GLOVES, AND EITHER FACE MASK AND EYE PROTECTION OR FACE SHIELD) MUST BE WORN WHEN HANDLING BLOOD SAMPLES 3.1 Delivery of Samples 3.1.1 Data Bank samples may be hand delivered to any of DFS's four laboratories and must be submitted to DFS by a person authorized to deliver the samples, i.e., from law enforcement personnel or employees of jails, detention facilities, etc. Samples may also be received from authorized persons via mail or parcel service. If a blood sample is submitted for inclusion in the Data Bank, Evidence Receiving staff should notify the Data Bank Supervisor immediately. 3.1.2 When samples are received via mail or parcel service, the accompanying documentation will be signed and dated by a member of the Data Bank staff upon receipt of the samples. All accompanying paperwork, which documents the delivery of the samples, will be stapled to the back of the blood sample submission documentation. These documents will be retained as a permanent record by the Data Bank. COPYRIGHT © 2020 3.2 Receipt of Blood Samples 3.2.1 The submission of all convicted offender blood samples must be accompanied by the following documentation: VIRGINIA 22.214.171.124 Agency's name and ORI, printed name and signature of the person collecting the sample, date of sample collection. OF FORENSIC SCIENCE 126.96.36.199 Offender's name, social security number, date of birth, race, gender, SID number and alias information. DEPARTMENT 188.8.131.52 This documentation must NOT be on a Request For Laboratory Examination (RFLE) form, so that it will not be confused with the submission of a casework suspect known. 3.2.2 A member of the DFS Evidence Receiving staff, a member of the Data Bank staff, or any other authorized DFS staff member will verify that the samples to be submitted are sealed and are the same as those listed on the accompanying documentation. 3.2.3 The submitter will then sign and date the accompanying documentation. The DFS staff member receiving the samples will also sign and date the accompanying documentation for receipt of the samples. All accompanying paperwork which documents the delivery of the samples will be stapled to the back of the blood sample submission documentation. These documents will be retained as a permanent record by the Data Bank. Issue Date: 24-August-2020 4 RECEIVING, PRESERVING, AND STORING CONVICTED OFFENDER BLOOD SAMPLES IN THE DATA BANK 4.1 Receiving Blood Samples 4.1.1 The Data Bank staff member receiving the samples will sign and date the accompanying documentation. Upon receipt of the samples in the Data Bank, the samples will either be stored in a locked refrigerator or the Data Bank staff will immediately proceed with the steps outlined below. 184.108.40.206 Each blood sample (and stain card) is assigned a unique DNA number (barcode) by DFS. 220.127.116.11 All information on the accompanying documentation will be compared against the blood tube. 18.104.22.168.1 This procedure will be witnessed by a second Data Bank staff member and both sets of initials will be recorded on the accompanying documentation (VERIFIED BY). 4.1.2 Prior to preserving a blood sample, the convicted offender information associated with the sample will be checked against the information in the DB LIMS to ensure that a sample from the offender has not previously been submitted to DFS. If the new sample is a duplicate, this will be noted and initialed by Data Bank staff on the accompanying documentation. Subsequently, the duplicate samples will be discarded. COPYRIGHT © 2020 VIRGINIA 4.2 Preserving and Storing Blood Samples 4.2.1 Blood samples will be preserved by aliquotting the blood sample onto a labeled stain card and drying. DEPARTMENT 22.214.171.124 Proper personal protective gear (lab coat, gloves, and either face mask and eye protection or face shield) must be worn when handling blood samples. OF FORENSIC SCIENCE 126.96.36.199 The aliquotting of the blood sample onto the stain card will be a witnessed procedure in the Data Bank. The initials of the Data Bank staff members aliquotting the blood and witnessing the procedure will be recorded on the accompanying documentation. 188.8.131.52 After the blood has been aliquotted onto the stain card, the original tube and cap will be discarded. 184.108.40.206 After the stain card has fully dried, the card will be placed in a labeled envelope and stored for analysis. 220.127.116.11 The personal identifying information from the accompanying documentation will be entered into the DB LIMS under the corresponding barcode number. Issue Date: 24-August-2020 5 RECEIPT OF BUCCAL DNA COLLLECTOR ENVELOPES BY DFS Refer to Evidence Receiving Training Manual for procedures pertaining to the receipt of DNA Data Bank Buccal Collector samples by DFS. COPYRIGHT © 2020 VIRGINIA DEPARTMENT OF FORENSIC SCIENCE COPY Issue Date: 24-August-2020 6 RECEIPT BY THE DATA BANK, ACCESSIONING, AND STORAGE OF BUCCAL DNA COLLECTOR ENVELOPES 6.1 Receipt by the Data Bank 6.1.1 Once daily, samples will be received into the Data Bank from the Central Laboratory Evidence Receiving section. For Bode collectors, the area on the sample submission form designated "FOR DFS USE ONLY" will be completed by the member of the Data Bank staff who accessions the samples. For FTA collectors, the Data Bank staff member will date and sign (date/signature stamp may be used) Side B of the submission form in the blank area underneath the "Collector's Signature". 6.2 Accessioning 6.2.1 The DNA Data Bank Buccal Kit Submission Form will be reviewed by a Data Bank staff member to ensure that all appropriate information is complete. If any required information is missing from the submission form, the information will either be obtained from VCIN or other database and/or the procedures outlined below will be followed. For Bode collector kits, the submission form will be reviewed before the kit is opened since the submission form is attached to the outside of the collector envelope. For FTA collector kits, the submission form will be reviewed once the kit is opened, since the submission form is contained inside the kit shipping envelope. COPYRIGHT © 2020 18.104.22.168 Collecting Agency Originating Agency Identification (ORI) Number and Collecting Agency Name (Arrestees and Convicted Offenders) VIRGINIA 22.214.171.124.1 If the "Collecting Agency" cannot be identified, the sample may be entered into the DB LIMS system without this information. FORENSIC SCIENCE If the "Collecting Agency ORI Number" or "Collecting Agency Name" are missing, the information can be obtained from an arrest warrant (if included with the sample), the return address of the mailing envelope, or examination of surrounding samples to find if the missing information is present on an adjacent sample collected by the same person. DEPARTMENT OF 126.96.36.199.2 If the "Collecting Agency ORI" or name can be identified, this information will be added to the sample submission form. The individual who made the addition to the sample submission form will initial and date the submission form next to the added information. 188.8.131.52 Date Collected (Arrestees and Convicted Offenders) 184.108.40.206.1 If the "Date Collected" is missing, a phone call will be made to the submitting officer/agency to obtain the missing information. If obtained, the missing information will be added to the submission form and dated/initialed. 220.127.116.11.2 If the date received by the DNA Data Bank (if hand delivered) or postmarked (if mailed) is greater than 15 days after the "Date Collected", the letter found in Appendix A or the letter found in Appendix B will be sent to the submitting agency notifying them of the problem. 18.104.22.168.3 Refer to section 6.2.2 for instructions on how to process the problem letter. 22.214.171.124 Sample Collected By (Arrestees and Convicted Offenders) 126.96.36.199.1 If the "Sample Collected By" is missing, the letter found in Appendix A or the letter found in Appendix B will be sent to the submitting agency notifying them of the problem and requesting the missing information, if possible, be provided to the Data Bank. Issue Date: 24-August-2020 6 Receipt by the Data Bank, Accessioning, and Storage of Buccal DNA Collector Envelopes 188.8.131.52.2 Refer to section 6.2.2 for instructions on how to process the problem letter. 184.108.40.206 Qualifying Offense Code Section, Document Control Number (DCN) and Arrest Warrant (Arrestees Only) 220.127.116.11.1 If the "Qualifying Offense Code" and/or "DCN" are missing and the arrest warrant is included with the sample, the Qualifying Offense Code will be obtained from the arrest warrant. Add the qualifying offense code to the "Qualifying Offense Code Section" on the submission form. A VCIN search may also be used to obtain the information. Any modifications to the sample submission form must be dated and initialed. 18.104.22.168.2 If no arrest warrant was provided, the letter found in Appendix B, will be sent to the collecting officer/submitting agency notifying them of the problem and requesting the missing arrest warrant be provided to the Data Bank. 22.214.171.124.2.1 Refer to section 6.2.2 for instructions on how to process the problem letter. COPYRIGHT © 2020 126.96.36.199 Reason for Collection 188.8.131.52.1 If the reason for collection has not been identified by checking the appropriate box on the submission form ("Arrestee", "Convicted Felon", "Misdemeanor" or "Other", etc.), any court documents accompanying the sample may be used to discern the reason. A VCIN search may also be conducted to attempt to locate the information needed. VIRGINIA DEPARTMENT 184.108.40.206.1.1 If an arrest warrant is present and contains a qualifying offense OF code, check the "Arrestee" box. A court order, capias, or indictment can also be used. FORENSIC SCIENCE 220.127.116.11.1.2 If no arrest warrant/court documents are present and a phone call is made to the submitting agency to obtain the information, then the phone call will be documented (name of person notified and date/initials) on the submission form. 18.104.22.168 Arresting or Accompanying Officer (Arrestees Only) If the arresting or accompanying officer's name is missing from the buccal DNA collector storage envelope or submission form, the arrestee warrant should be reviewed for the name and if available entered on the buccal submission form. The individual entering the information will initial and date the form. 6.2.2 Problem Letters 22.214.171.124 If a problem letter will be issued for any of the situations addressed above, follow the steps outlined below. 126.96.36.199 Access the "Problem Letter Applications Program" and check the field "Felon Letter (Buccal Swab)" or the "Arrestee Letter", as appropriate, to obtain the electronic version of the Offender or Arrestee Buccal Letter (Appendix A or Appendix B). While the form letter is on the computer screen, as represented in the diagrams below, enter the DNA sample number and to whom the letter will be addressed into the appropriate designated fields. 188.8.131.52 To generate the form letter containing only the information in the category(ies) selected, click on the "Create Letter" tab. The "Problem Letter Applications Program" will automatically add Issue Date: 24-August-2020 the agency name and address, the name of the arresting or accompanying officer (if applicable), and the name of the arrestee or convicted offender to the form letter. 184.108.40.206 The letter will be printed on plain paper and then provided to the Data Bank Supervisor for review and signature before the letter is mailed. The "Problem Letter Applications Program" will automatically generate the letterhead portion of the form letter. Offender Buccal Letter Screen: OF Arrestee Buccal Letter Screen: FORENSIC SCIENCE 6.2.3 The information contained in the "Date of Birth" box will be verified to ensure that all buccal samples submitted from juveniles meet the requirement of "fourteen years of age or older at the time of the commission of the offense" as required by the Code of Virginia. If it appears that a sample was submitted from a juvenile who was under fourteen years of age at the time of the commission of the offense, the procedures outlined below will be followed. 220.127.116.11 A phone call will be made to the submitting agency, Department of Juvenile Justice, or Clerk of the Court to verify the juvenile offender's age at the time of the commission of the offense. Issue Date: 24-August-2020 The phone call will be documented listing the problem, the date, the name of the person contacted, and the initials of the person making the contact. A copy of the court order will also be requested. 18.104.22.168 If the juvenile was under the age of fourteen at the time of the commission of the offense, the sample will be destroyed. No identifying information will be entered into the DB LIMS. 22.214.171.124.1 The destruction of the sample will follow the procedure set forth in Section 9.3 of this document. 6.2.4 If all of the information on the submission form has not been provided and it is not possible for the Data Bank staff member to go any further with the sample until the information is provided, the buccal DNA collector storage envelope will be placed in a box labeled "Problem Box". 6.2.5 Samples will be opened and entered into the DB LIMS individually. Only ONE sample may be accessioned at a time, per workstation. 6.2.6 Open the DB LIMS and navigate to Tools>Add samples. Make sure the barcode printer, barcode scanner, and flatbed scanner are all powered on. COPYRIGHT © 2020 6.2.7 While wearing proper personal protective equipment (lab coat, gloves, hair cover, and either eye protection and face mask or face shield), open the buccal DNA collection envelope and remove the buccal collector and any enclosed documentation. VIRGINIA 6.2.8 If the sample was submitted from an arrestee, the information on the arrest warrant enclosed with the sample will be reviewed to ensure that the sample was collected based upon a qualifying offense. If the statement, "Take Buccal Sample If LIDS Shows No Sample In Data Bank" is missing from the lower left side of the arrest warrant, the offense code on the arrest warrant will be verified against the list of qualifying offenses to determine if the individual was arrested based upon a qualifying offense. Refer to the diagram below for an example of the appearance of the arrest warrant and the location of the above listed statement. DEPARTMENT OF FORENSIC SCIENCE 126.96.36.199 If the arrest warrant does not indicate the sample was collected in accordance with the Code of Virginia, check VCIN and/or other databases to determine if the individual has been arrested for another qualifying offense or convicted of a qualifying offense. If no information is found related to the offense for which the individual has been arrested and no other qualifying arrest or conviction exists, then the sample will be destroyed and no identifying information will be entered into the DB LIMS. Issue Date: 24-August-2020 188.8.131.52.1 The destruction of the sample will follow the procedure set forth in Section 9.3 of this document. 6.2.9 Remove the sample submission form and begin entering the information into the DB LIMS. For older style Bode kits, if there is carbon paper between the top and bottom submission forms, remove this paper and destroy. NOTE: All dates entered into the DB LIMS must use a four digit year format. 6.2.10 The DB LIMS will first ask for the ORI of the collecting agency. Alternatively, if the ORI is not present on the submission form, a drop down list of agencies may be used to select the agency. 6.2.11 The entry software will then ask the user to assign the sample to Arrestee Law or Felony/Misdemeanor Law. This is so the software will know how to assign a sample number, which will be the unique CODIS number. 6.2.12 The format of this sample number is a three digit prefix which is representative of the year that the sample was entered (e.g., 218- (2018)) and will be changed automatically to the next prefix (year) by the software on January 1 of each year. The last five digits of the sample number will count up sequentially. COPYRIGHT © 2020 184.108.40.206 Convicted offender samples will be assigned in the range of -00001 through -49999. 6.2.13 The barcodes contained in the kit will be verified. The handheld barcode scanner will be used to scan the DEPARTMENT 220.127.116.11 Arrestee samples will be assigned in the range of -50000 through -99999. VIRGINIA barcodes on the sample submission form and the buccal swab. 18.104.22.168 If the kit barcodes do not match, the system will produce an error message. If this happens, the user will need to visually check the barcodes in both places. If the barcodes still do not match, the sample will not be entered. The submitting agency will be notified and a new sample will be requested. OF FORENSIC SCIENCE 6.2.14 New barcodes containing the sample (CODIS) number will be printed on barcode labels and applied to three places. 22.214.171.124 For the green Bode collector kits: 126.96.36.199.1 Apply one label to the submission form directly over top of the preprinted vertical barcode. 188.8.131.52.2 Apply one label to the sample envelope just below the preprinted kit number. 184.108.40.206.3 Apply one label to the handle of the buccal collector directly over top of the kit barcode. 220.127.116.11.4 After the new barcode label is applied to the buccal collector, remove and discard the back plastic piece, open the slider cover to expose the filter paper, and return the collector to the storage envelope. 18.104.22.168.4.1 For the older style Bode buccal collector, remove the protective cap and backing from the collector and discard, and return the collector to the storage envelope. 22.214.171.124 For the white FTA collector kit: 126.96.36.199.1 Apply one label to the submission form in the box labeled "DFS USE ONLY". Issue Date: 24-August-2020 188.8.131.52.2 Apply one label to the multi-barrier storage envelope. 184.108.40.206.3 Remove the FTA card from the collector device and discard the device. 220.127.116.11.3.1 Apply one label to the FTA card on the reverse side (from the preprinted factory barcode) at the bottom of the card, and place the collector in the storage envelope. 6.2.15 Once all information is entered, the user must scan documents to attach to the sample record. 18.104.22.168 At a minimum, all samples will have a submission form to be scanned. Other document types include arrest warrants, court documentation, or other documentation. 22.214.171.124 Place the document to be scanned face up on the scanner feeder and click the "Scan Document" button at the bottom of the record being entered. The scan window will open. 126.96.36.199 Select the type of document to be scanned. If the document to be scanned does not fit the listed types, select "Other" and manually enter the name of the document to be scanned. COPYRIGHT © 2020 188.8.131.52.1 Multiple pages may be scanned into a single file (should be same document type). 184.108.40.206.3 All documents will scan single sided with the exception of the submission form. DEPARTMENT 220.127.116.11.2 Multiple document types may be scanned for each sample. VIRGINIA 18.104.22.168 For the submission form scan only: OF 22.214.171.124.1 Orient the form as indicated on the scanner feeder. FORENSIC SCIENCE 126.96.36.199.2 The scan of the submission form is preset to scan double sided. The images will auto-rotate to appear correctly despite the sideways loading on the scanner feeder. 188.8.131.52 Click "Scan". After the document(s) has/have scanned, the scan review window opens. Scroll up/down (if multiple pages) to review. If the scan is acceptable, click "Save" or press "Enter". 184.108.40.206.1 If the document scan is not acceptable and needs to be rescanned, reload the document onto the scanner feeder and click "Rescan". 220.127.116.11.2 A pop up message will be generated if the user selects the same document type for two different scans while in "Add Entry". The message will say, "This file has already been uploaded. Do you want to overwrite it?" 18.104.22.168.3 The user may then choose to "Cancel" the scan or "Overwrite" the existing document. 22.214.171.124 Scanned files will be named by the DB LIMS and saved as a .pdf file. The user is not permitted by the DB LIMS to alter the name of the file. The format of the name is the sample number followed by the document type (e.g., 218-12345 submission form.pdf). 126.96.36.199 The attached files will display at the bottom of each record in the DB LIMS. To access the file, click and the file will open in a new window. 188.8.131.52 Click "Submit" at the bottom of the "Add Entry" field to save and enter the record. Issue Date: 24-August-2020 184.108.40.206.1 NOTE: All entered information and scanned documents are not saved to the database until the "Submit" button is clicked and the record is saved. 220.127.116.11 If the DB LIMS detects a duplicate sample (either by SSN or SID), the following pop up message will appear, "This sample appears to have a duplicate you did not link. Do you want to continue?" 18.104.22.168 Click on "Yes" or "No". Clicking on "Yes" will save the sample record and move forward to the next entry. Clicking on "No" will close the pop up message and remain in the current sample record so that duplicates may be linked. 22.214.171.124 Click on "Link duplicates" at the bottom of the "Add entry" screen. 126.96.36.199.1 A pop up window will appear showing the samples that may or may not need to be linked as duplicates. 188.8.131.52.2 The pop up window will display the First Name, Middle Name, Last Name, Date of Birth, Social Security Number, and SID# of each sample. COPYRIGHT © 2020 184.108.40.206.3 There are four choice buttons in the pop up window: "Submit", "Select All", "Clear All" and "Cancel". 220.127.116.11.4.1 If no samples are to be linked, click "Cancel". 18.104.22.168.4 The top sample on the list is the current sample being entered. The user will first determine (by comparing identifiers) which samples to link, if any. VIRGINIA DEPARTMENT 22.214.171.124.4.2 If all displayed samples are to be linked, click "Select All". OF 126.96.36.199.4.3 The "Clear All" button will clear all highlighted samples. FORENSIC SCIENCE 188.8.131.52.4.4 Alternatively, the "Ctrl" key and mouse may be used to select or deselect samples. 184.108.40.206.5 Once all sample records to be linked have been highlighted, click "Submit" to link and close the "Link Duplicates" pop up window. 220.127.116.11.6 When linking duplicates, take note if the new sample will be linked to a duplicate sample that contains an * asterisk in first position of the "Middle Name" field. The * asterisk indicates that a replacement sample was requested. When this occurs, the new sample will need to be pulled in a batch for processing. 18.104.22.168.6.1 To pull the batch, copy/paste the sample number of the new sample once the "Link Duplicates" window has been closed, but BEFORE clicking "Submit" to enter the sample record. 22.214.171.124.6.2 Open a new tab in DNAweb and click to open the "Pull Batch by Sample" field. Paste the sample number into the appropriate box. 126.96.36.199.6.2.1 NOTE: Always use copy/paste for this function. To help ensure the correct sample is pulled for processing, do not hand key the sample number. COPY Issue Date: 24-August-2020 188.8.131.52.6.3 Leave this additional tab open until all samples for that session have been entered. Once all samples have been entered, pull the replacement sample batch for processing. 184.108.40.206.6.4 Print and post the batch report and place the samples listed for processing in the appropriate box in the sample storage room. 220.127.116.11.7 Once all duplicates have been linked, click "Submit" to enter the sample. 18.104.22.168 Files may also be scanned and attached in the "Sample Edit" field (Sample record>Modify). 22.214.171.124.1 If the same name for scanned documents is used in this field, the DB LIMS will attach the new file(s) with the same name (will NOT overwrite the existing file). The time/date stamp and/or the file size associated can be used to distinguish the files. NOTE: All entered information and scanned documents are not saved to the database until the "Save" button is clicked. COPYRIGHT © 2020 126.96.36.199 A previously scanned file may also be attached to a sample record in the "Sample Edit" field (Sample record>Modify). 188.8.131.52.2 If attaching an already scanned file, the file nomenclature will be the name of the file you are attaching (which is different from a document scanned using the scanning feature of the software). OF 184.108.40.206.1 Click on the "Browse" button at the bottom of the screen. Navigate to find the file and double click or click "Open" to attach. VIRGINIA DEPARTMENT 6.3 Storage of Samples FORENSIC SCIENCE 6.3.1 Accessioned samples will be placed in a storage box in numerical order to await analysis. While the storage box is being filled with new samples, it will be kept in temporary storage in the room where samples are accessioned. Once the storage box has been filled and the samples have been analyzed, the samples will be placed into the Data Bank Sample Storage Room for permanent storage. 6.3.2 After processing,Bode sample kits will be placed in numerical order in a labeled bin. The labels will contain the bin number and a range of the samples contained (e.g., 218-00001—218-00250). 220.127.116.11 The format of bins containing convicted offender samples will be the four digit year followed by a sequential count (e.g., 2018-100). 18.104.22.168 Bins containing arrestee samples will, at first, be labeled with only the range of samples contained. At the end of each calendar year, bins containing arrestee samples will be consolidated as needed, re-labeled, and numbered. The first arrestee bin should have the next bin number after the last convicted offender bin for that year. 22.214.171.124.1 For example, if the final convicted offender bin for the year 2018 is 2018-090, then the first arrestee bin for 2018 will be labeled 2018-091. 126.96.36.199 Bode collectors will be permanently stored in a weather tight plastic bin containing desiccant. The ideal humidity inside each bin should be <20% as shown by a single humidity measurement strip placed at the front of each bin. Desiccant may be added or replaced to maintain appropriate humidity inside each bin. 6.3.3 After processing, FTA samples will each be placed in a multi-barrier envelope with a small desiccant pack and sealed. Envelopes will be placed in numerical order in a labeled bin. Issue Date: 24-August-2020 Issue Date: 24-August-2020 6 Receipt by the Data Bank, Accessioning, and Storage of Buccal DNA Collector Envelopes 188.8.131.52 The label on each bin will contain the range of sample numbers contained in that bin. 184.108.40.206 If an FTA sample is opened for re-analysis, a new barcode must be printed and placed on a new multi-barrier envelope. The desiccant should be replaced before resealing the envelope. 220.127.116.11 The submission forms will be stored in numerical order in a secure file cabinet or storage room. Separate bins will be used for convicted offenders and arrestees, using the storage labeling process outlined above. COPYRIGHT © 2020 VIRGINIA DEPARTMENT OF FORENSIC SCIENCE 7 SAMPLE ANALYSIS, DOCUMENTATION, TECHNICAL REVIEW, AND ENTRY OF DNA PROFILES INTO CODIS 7.1 Sample Analysis 7.1.1 DNA analysis shall be conducted on blood, saliva, or tissue from convicted offenders and from saliva from arrestees in accordance with the DB Fusion Manual, the DB Yfiler Manual, and the FB PM, QA. Sample analyses are prioritized as follows: (1) hits, (2) arrestees, (3) convicted offenders. 7.1.2 The analysis of all convicted offender and arrestee samples conducted by DFS will be witnessed at the appropriate steps (i.e., when placing the sample into a single tube/well and when tube changes are made) as specified on the analytical work sheets. At each step throughout the procedure where a witness is required, the witness will place his/her initials on the analytical worksheet in the designated area. 7.1.3 The re-analysis of convicted offender samples for verification purposes as a result of a hit, outlined in this manual, will not be witnessed provided only a hit verification sample is being analyzed and the resultant DNA profile will not be imported to CODIS. In this instance, "verification only" will be marked in the witness field on the analytical work sheets. COPYRIGHT © 2020 7.1.4 If a sample is analyzed and no results are obtained, the analysis will be attempted a second time. If no results are obtained again, and a duplicate sample is available, the duplicate sample will be analyzed. If a duplicate sample does not exist, the inability to obtain a result for the sample will be documented in the DB LIMS to notify the Data Bank staff to save any duplicate sample(s) that may be received into the laboratory in the future. An attempt will be made by Data Bank staff to locate the individual and request a new sample if the individual is still in custody or under DOC supervision. If an additional sample is received, the sample will immediately be prioritized for analysis. VIRGINIA DEPARTMENT 7.1.5 Every effort will be made to avoid completely consuming a Data Bank sample; however, a sample may be consumed, if necessary. In the event that a sample is consumed, a replacement sample request will be attempted (if a duplicate is not already available). OF FORENSIC SCIENCE 7.2 Documentation 7.2.1 A file will be created for maintaining the technical documentation associated with the analysis of all convicted offender or arrestee samples. The plate number will be a unique number assigned to a particular batch of Data Bank samples as specified below. 7.2.2 Each plate number generated by DFS will be numbered in consecutive order by Year-plate number. If the plate contains only Y STR samples, then the plate number will be followed by the letter "Y". EXAMPLE: Plate number 2014-100 is the 100 th consecutive plate processed during the year 2014. 7.2.3 All notes, worksheets, printouts and other data used by the Data Bank to support the conclusions shall be considered technical documentation. 18.104.22.168 Technical documents will contain the plate number, date, and analyst's initials on each page. 22.214.171.124 Notes are intended to be permanent in nature and will be organized, neat and understandable, and written in ink. 126.96.36.199 When any corrections are necessary, the text shall be crossed out, not erased, made illegible or obliterated. The new text shall be entered alongside. Changes, alterations and additional notations, including interlineations shall be initialed by the person making the change. 188.8.131.52.1 Non-contemporaneous changes, alterations and additional notations, including interlineations shall also be dated by the person making the change. Issue Date: 24-August-2020 184.108.40.206.2 In limited instances, redaction of text is legally necessary/required. These redactions shall be initialed and dated by the person making the redaction. 220.127.116.11 Applicable work sheets will be used as required. 18.104.22.168 Abbreviations used in DFS Data Bank technical documentation are defined as follows: - "A" = arrestee - "FN" = felon, non-juvenile - "CO" = convicted offender - "FJ" = felon, juvenile - "AJ" = arrestee, juvenile - "AN" = arrestee, non-juvenile - "M" = misdemeanant - "O" = other, to include proficiencies "RNS" = Request new sample COPYRIGHT © 2020 - "SI" = staff index - "RFU" = Relative fluorescence unit - "DUP" = Duplicate 7.2.4 All file documentation will be maintained by the Data Bank in a secure area. File documentation will be maintained in ring binders in the order of the plate number. Appropriate electronic documentation will also be maintained in the binder on CD or other storage medium. VIRGINIA DEPARTMENT 7.3.1 A technical review will be conducted by a qualified DNA analyst on all analysis documentation generated by DFS prior to entering the DNA profile into CODIS. OF FORENSIC SCIENCE 7.3 Technical Review 22.214.171.124 The review of the data generated by DFS will be performed after the DNA analysis has been completed using the Data Bank Technical Review Form. 7.3.2 The "profile comparison" tool in the GeneMapper IDx software will be run on each plate, both during analysis and technical review. This tool will identify duplicate profiles within the plate. 126.96.36.199 All duplicate sample profiles detected must be satisfactorily explained and documented in the technical file. 7.3.3 The data file (for CODIS) will be prepared and exported from the sizing software after technical review is completed. 7.4 Entry of DNA Profiles into CODIS 7.4.1 All convicted offender and arrestee DNA profiles will be entered into CODIS in accordance with the CODIS Manual. 7.4.2 After the DNA profiles are imported into CODIS the analyst will print the SDIS Reconciliation Report. The number of samples on the report will be compared to the number of samples in the imported file. 188.8.131.52 If the number of samples imported is the same as the number of samples in the imported file and there are no problems noted on the SDIS Reconciliation Report, the report will be initialed and filed with the plate documentation. 184.108.40.206 If the SDIS Reconciliation Report indicates that there are problems on the report or the number of samples on the report does not match the number of samples in the imported file, the problem will immediately be investigated and corrected. The analyst will note the problem Issue Date: 24-August-2020 UNCONTROLLED 7 Sample Analysis, Documentation, Technical Review, and Entry of DNA Profiles into CODIS and corrective action taken, and initial the SDIS Reconciliation Report. The report will be filed with the plate documentation. 220.127.116.11 If a sample profile must be manually entered to CODIS, then the Specimen Detail Report must be printed and another analyst will compare the hand-entered profile to the profile on the landscape sheet. This reviewing analyst will initial and date the Specimen Detail Report to indicate this check was completed. This report will be filed with the plate documentation. 18.104.22.168 Once the DNA profiles have been imported into CODIS, the Specimen Inventory Report will be printed. The sample numbers on the Specimen Inventory Report will be compared by a Data Bank staff member to the sample numbers on the landscape sheets to ensure the numbers are the same. The verification will be noted (initials/date) on the Specimen Inventory Report. If a problem is noted, it will be corrected and the correction will be documented. The report will be filed with the plate documentation. 22.214.171.124 If a comment (such as "possible 2 nd peak at XX locus") must be added to CODIS, then the Specimen Detail Report must be printed and another analyst will verify that the comment was added. The reviewing analyst will initial and date the Specimen Detail Report to indicate this check was completed. This report will be filed with the plate documentation. COPYRIGHT © 2020 126.96.36.199 The technical documentation will be saved electronically by burning the file to a CD. This CD will be checked to ensure that all necessary files are present and that they will open. The same Data Bank staff member who performs the check in 188.8.131.52 will perform this CD check and the initials/date on the Specimen Inventory Report will serve as documentation of the CD check. All CDs will be labeled with the plate name, typing system, and analyst initials/date and filed with the plate documentation. VIRGINIA DEPARTMENT OF FORENSIC SCIENCE Issue Date: 24-August-2020 8 ARRESTEE TRACKING 8.1 Arrestee Reports 8.1.1 In conjunction with VSP, DFS will track all arrestee samples to determine if the arrestee has been convicted of a felony for which he/she was arrested, the charges are still pending, or the charges have been reduced or dismissed. If an arrestee's charges have been dismissed or reduced to a non-qualifying offense in accordance with the Code of Virginia, the sample must be destroyed and all records thereof. 8.1.2 Once each week DFS's IT section will forward to VSP the arrestee information for all appropriate samples. VSP will verify the information against the current records provided by the Clerks of Court. The DB LIMS will then generate four separate reports listing the status of each arrestee ( report 1: Convicted Report, report 2: DCN Mismatch Report, report 3: Cleared Report, and report 4: Names Report). 184.108.40.206 If an arrestee is listed on the Convicted Report, the individual has been convicted of the felony for which he/she was arrested or was convicted of a prior qualifying offense. The DB LIMS system will be updated to reflect the new information and the SID# provided by VSP will be added, if not already present in the DB LIMS record. The DNA profile for the arrestee will be converted by the State CODIS Administrator or designee from the arrestee index to the offender index in CODIS. The wording "arrestee convert" and the date of the conversion will be added to the comment field in CODIS and will serve as documentation. COPYRIGHT © 2020 VIRGINIA 220.127.116.11 If an arrestee is listed on the DCN Mismatch Report assigned by VSP, the charges against the individual are still pending. No further action will be taken with this sample. DEPARTMENT 18.104.22.168 If an arrestee is listed on the Cleared Report, and it is confirmed that the qualifying charge against the individual has been reduced, dismissed, nolle prossed, or cleared, the arrestee's sample will be destroyed and the associated identifying information will be removed from the DB LIMS, the Local Inmate Data System (LIDS) website (www.scb.virginia.gov), and CODIS. OF FORENSIC SCIENCE 22.214.171.124.1 The destruction of the sample will be documented on the arrestee cleared report and/or accompanying documentation. The sample will be pulled from storage and destroyed in a separate time and space. After verifying the barcode number of the sample to be destroyed, the buccal swab will be removed from the sample envelope and discarded in a biohazard bag. The sample envelope and any attachments/contents (all personal identifiers, thumbprint, etc.) will be shredded. The documentation will include the initials of the individual who pulled the sample from storage and the date, as well as the initials of the individual who destroyed the sample and the date. 126.96.36.199.2 The cleared report and/or accompanying documentation will also include the initials of the individual(s) who removed the electronic records from the DB LIMS, the LIDS website, CODIS, and the date the records were removed. 188.8.131.52.3 The cleared report listing the arrestees who have had all qualifying charges against them dropped or the charges have been reduced will be maintained in the Arrestee Sample Destruction Book once the samples and associated records have been destroyed. 184.108.40.206 If an arrestee's name and associated information is listed on the Names Report provided to DFS, this indicates there is a discrepancy between the information that VSP has on record and the information DFS has on record. An authorized member of the Data Bank will use VCIN or other database to search for the arrestee's correct information. Issue Date: 24-August-2020 220.127.116.11.1 If all of the personal identifying information is correct with only a slight discrepancy, such as gender, spelling of first or last name, part of the date of birth, social security number, or DCN, the necessary change(s) will be made in the DB LIMS to match the VCIN records. In addition, in the "remarks" field of the DB LIMS, the changes will be noted (e.g., first name changed to Darryl to match VCIN). 18.104.22.168.2 If no record is obtained when the arrestee information is searched, the arrestee's information will be re-searched in two weeks to provide sufficient time for VSP to receive the arrestee record from the Clerk of Court. 8.2 Arrestee Statistics 8.2.1 Statistics will be kept for all arrestee samples that have been destroyed. The purpose for the destruction of the sample (e.g., charges reduced, charges dismissed / nolle prossed, acquitted, or a non-qualifying offense) will be listed once determined. COPYRIGHT © 2020 VIRGINIA DEPARTMENT OF FORENSIC SCIENCE Issue Date: 24-August-2020 9 REMOVAL/EXPUNGEMENT OF SAMPLE AND ASSOCIATED RECORDS FROM OFFENDERS 9.1 Sample Expungements 9.1.1 § 19.2-310.7 states that "A person whose DNA profile has been included in the data bank pursuant to § 19.2-310.2 may request expungement on the grounds that the felony conviction on which the authority for including his DNA profile was based has been reversed and the case dismissed." 22.214.171.124 DFS shall purge all records and identifiable information in the data bank pertaining to the convicted offender and destroy all samples from the offender upon receipt of (i) a written request for expungement pursuant to this section and (ii) a certified copy of the court order reversing and dismissing the conviction. 126.96.36.199 Upon receipt of the qualifying request, the convicted offender's sample will be destroyed and the associated identifying information will be expunged from the DB LIMS, the LIDS website (www.scb.virginia.gov), and CODIS. The DNA Data Bank Expungement Form (211-F101), will be used by the Data Bank Supervisor or designee to ensure that the sample and all associated information, including electronic data, is expunged. COPYRIGHT © 2020 188.8.131.52 A member of the Data Bank staff will print a copy of the DB LIMS and LIDS screens containing the convicted offender's identifying information. VIRGINIA 184.108.40.206 Subsequently the identifying information will be deleted from the DB LIMS and LIDS and the blank screen for each system will be printed to demonstrate that the identifying information has been removed from the DB LIMS and LIDS database. DEPARTMENT 9.2 Sample Removal/Destruction – In Database 220.127.116.11 The State CODIS Administrator or designee will delete the associated profile from CODIS and print a copy of the CODIS deletion report. OF FORENSIC SCIENCE 9.2.1 If it is determined that there is no legal reason for a sample to continue to be included in the Data Bank, then the sample will be destroyed and documented using the DNA Data Bank Sample Records and Destruction Form (211-F102), according to the following procedure. 9.2.2 The destruction of the sample and all associated paperwork will be witnessed and documented. The documentation will include the initials and date of the following: 1) individual who destroyed the sample, 2) individual who witnessed the destruction, 3) individual who removed the electronic records from the DB LIMS, the LIDS database, and CODIS, and 4) the individual who removed or obliterated the record on the submission form. The documentation will also include either the original submission form, or evidence of the obliteration of the identifying information from the original submission for blood samples, the CODIS deletion report, and the reason for removing the sample from the database, and any other pertinent information. 9.3 Sample Removal/Destruction – Not in Database 9.3.1 If it is determined, upon receipt of a sample, that the sample should not be entered into the Data Bank, then the sample will be destroyed. A record of these samples will be logged into an electronic file, and the documentation of the destruction of these samples will be maintained on a printed copy of this file. 9.3.2 The name and date of birth of the individual on the sample to be destroyed will be compared to the entry in the electronic file. After verifying this information is the same, the buccal swab will be removed from the sample envelope and discarded in a biohazard bag. The sample envelope/submission form and any attachments/contents (all personal identifiers, thumbprint, etc.) will be shredded. Documentation of the destruction will include the date and initials of the person destroying the sample. Issue Date: 24-August-2020 10 PROCESSING DATA BANK HITS 10.1 Notification 10.1.1 In accordance with the procedure outlined in the CODIS Manual, when a hit occurs, the casework examiner will notify the Data Bank Supervisor and Data Bank staff of the hit in writing (via e-mail or fax). 10.2 Sample Record Query 10.2.1 Using the DNA sample number provided by the casework examiner, the Data Bank staff member will access the information associated with the offender/arrestee using the DB LIMS. 10.2.2 The DB LIMS information will be compared to the original submission form to ensure that the information in the DB LIMS was transcribed correctly from the submission form. If the information in the computer does not match the information on the submission form (i.e., a different spelling/typo), the Data Bank staff member will correct the DB LIMS information. If the personal identifying information is found to be incorrect when compared to information in VCIN or other database/agency records, the DB LIMS information may be modified as necessary. COPYRIGHT © 2020 10.2.3 The Data Bank staff member will ensure that the individual identified as a result of a hit was convicted of a felony or qualifying misdemeanor or was arrested based upon a qualifying offense. VIRGINIA 10.2.3.1 Felony and/or misdemeanor convictions may be found by using VCIN or other database/agency records. The arrest warrant may be used to verify that the sample was collected for a qualifying offense under the arrestee law. DEPARTMENT 10.2.3.2 Conviction information for a juvenile offender may be obtained from the Department of Juvenile Justice or the clerk of the court's office from the jurisdiction where the offense occurred. OF FORENSIC SCIENCE 10.2.3.3 Appropriate conviction information will be recorded in the DB LIMS in the "verified inclusion" field and will include the offense, date of conviction and jurisdiction of the conviction. 10.2.4 The above information will be verified for accuracy by another Data Bank staff member. After review, the information will be forwarded to the requesting examiner by the Data Bank staff member performing the information verification either via electronic means or hardcopy (fax and lockbox). A record will be kept to document the secondary review. The State CODIS Administrator will be copied on the correspondence. 10.2.5 If no qualifying conviction or qualifying arrest information can be found, the pertinent information will be forwarded to DFS Counsel for further consideration. 10.3 Sample Reanalysis 10.3.1 The procedure outlined below will be followed for re-analysis of a Data Bank sample to verify a hit to a convicted offender/arrestee. 10.3.2 For a sample with a DNA number 1992 and lower that was analyzed with both the PowerPlex 1.1 and 2.1 Systems, or the PowerPlex 16 or Fusion System: 10.3.2.1 If no duplicate sample exists, the original sample will be re-analyzed. If a duplicate sample exists and has not been previously analyzed, the duplicate sample will be re-analyzed. 10.3.2.2 If present, a duplicate of the two samples numerically adjacent to the original hit sample will also be analyzed and verified. Issue Date: 24-August-2020 10.3.2.3 Once all analyses have been completed and sized, and the random sample verified, the casework examiner will be notified of the verification via e-mail. 10.3.3 For a sample with a DNA number 1993 and higher, that was analyzed with both the PowerPlex 1.1 and 2.1 or PowerPlex 16 or Fusion System: 10.3.3.1 If no duplicate sample exists, the original sample will be re-analyzed. If a duplicate sample exists and has not been previously analyzed, the duplicate sample will be analyzed. 10.3.3.2 Once all analyses have been completed and sized, and the random sample verified, the casework examiner will be notified of the verification via e-mail. 10.3.4 If the hit is to the individual listed (i.e., suspect, victim) in the casework examiner email, the sample will not be re-analyzed. The casework examiner will be notified of the verification via e-mail. 10.3.5 If there is a duplicate sample that has been previously analyzed and the same DNA profile was obtained, a re-analysis of the sample will not be conducted. The casework examiner will be notified of the verification via e-mail. COPYRIGHT © 2020 10.3.6 Hit verifications will generally be conducted once per week. VIRGINIA DEPARTMENT OF FORENSIC SCIENCE Issue Date: 24-August-2020 Appendix A – DNA Data Bank Offender Buccal Sample Form Letter COMMONWEALTH of VIRGINIA DEPARTMENT OF FORENSIC SCIENCE OFFICE OF THE DIRECTOR DEPARTMENT OF FORENSIC SCIENCE A Nationally Accredited Laboratory COPYRIGHT © 2020 Date Collection Officer Agency Name Agency Address Dear Collection Officer: VIRGINIA DEPARTMENT Recently you/your agency submitted a saliva (buccal) sample from a Convicted Offender for inclusion in Virginia's DNA Data Bank. The sample was received with the following problem(s): OF Saliva (buccal) sample not delivered to the Department of Forensic Science within 15 days of being taken in violation of the Code of Virginia § 19.2-310.3. FORENSIC SCIENCE Illegible handwriting on submission form. No thumbprints on submission form. 'Sample Collected By' box not completed. Top copy of submission form not returned. Collecting Agency ORI Number field not completed on submission form. Arrestee/Convicted Felon designation area on submission form not completed properly. Only one box is to be marked. Duplicate sample received in violation of Virginia Code § 19.2-310.2, which requires that you check the Local Inmate Data System (LIDS) DNA Sample Tracking Application at www.scb.virginia.gov prior to taking sample to make sure that the subject has not been previously sampled. Comments: Felony Offender's Name: If you have any questions, please feel free to call me at (804) 786-3789 to discuss this issue further. Sincerely, DNA Data Bank Supervisor 700 NORTH 5TH STREET RICHMOND, VIRGINIA 23219 (804) 786-2281 Fax (804) 786-6857 Issue Date: 24-August-2020 Appendix B – DNA Data Bank Arrestee Buccal Sample Form Letter COMMONWEALTH of VIRGINIA DEPARTMENT OF FORENSIC SCIENCE OFFICE OF THE DIRECTOR DEPARTMENT OF FORENSIC SCIENCE A Nationally Accredited Laboratory Collection Officer Agency Name Agency Address Dear Collection Officer: COPYRIGHT © 2020 Date VIRGINIA DEPARTMENT Recently you/your agency submitted a saliva (buccal) sample from an Arrestee for inclusion in Virginia's DNA Data Bank. The sample was received with the following problem(s): OF FORENSIC SCIENCE Saliva (buccal) sample not delivered to the Department of Forensic Science within 15 days of being taken in violation of the Code of Virginia § 19.2-310.3:1(A). Illegible handwriting on submission form. No thumbprints on submission form. No arrest warrant submitted with sample in violation of Virginia Code § 19.2-310.3:1(A). 'Sample Collected By' box not completed. DCN (Document Control Number) field not completed on submission form. The DCN, used to verify the arrestee's true identity, is required for all arrestee samples. Top copy of submission form not returned. Collecting Agency ORI Number field not completed on submission form. Arrestee/Convicted Felon designation area on submission form not completed properly. Duplicate sample received in violation of Virginia Code § 19.2-310.3:1(B), which requires that you check the Local Inmate Data System (LIDS) DNA sample Tracking application at www.scb.virginia.gov prior to taking sample to make sure that the Arrestee has not been previously sampled. Issue Date: 24-August-2020 700 NORTH 5TH STREET RICHMOND, VIRGINIA 23219 (804) 786-2281 Fax (804) 786-6857 Comments: Arresting Officer's Name: Arrestee's Name: If you have any questions, please feel free to call me at (804) 786-3789 to discuss this issue further. COPYRIGHT © 2020 DNA Data Bank Supervisor VIRGINIA DEPARTMENT OF FORENSIC SCIENCE COPY Issue Date: 24-August-2020 Appendix C – DNA Data Bank Buccal Kit Submission Form (Examples) Although current forms may differ slightly, the information requested will be similar to what is requested in the form examples below. COPYRIGHT © 2020 VIRGINIA DEPARTMENT OF FORENSIC SCIENCE Issue Date: 24-August-2020 Issue Date: 24-August-2020
MINUTES OF THE 9-1-1 BOARD OF MANAGERS' MEETING March 16, 2009 LOCATION: 9-1-1 Board Room 150 Hilbig Road, Conroe, Texas ATTENDING: John Chancellor, President Charlie Ray, Vice President Jerry Bittner, Secretary James Simon, Member Alfonso Martinez, Ex-Officio Member Larry Foerster, Legal Counsel Gordon Lopez, Executive Director Jeanne Frey, Database Manager Chiu-Wen Ray, GIS Manager Russell Steffee, Systems Ops Manager Terri Gill, Executive Assistant Margaret Keen, GIS Analyst Tom Franey, GIS Analyst Ty Dolney, GIS Analyst Roberto Gutierrez, Systems Tech GUESTS: Robert M. Gunter Joan Gunter Sonya Clauson, Greater Harris County 9-1-1 Dianna Porche, AT&T Chief Jody Binnion, Porter VFD Assistant Chief Carter Johnson, Porter VFD Lt. David Park, MCSO ABSENT: Ann Carr, Treasurer Chief Charlie Ray, Vice President, called the meeting to order at 9:06 a.m., noting that Chief of Staff Ann Carr was not able to attend and Chief John Chancellor was running late. Chief Ray requested the Board address item two, discuss and take action on Authorizing Users and Policy and Procedure for Use of CodeRED, as the first item of business. Items: * AUTHORIZING USERS AND POLICY AND PROCEDURE FOR USE OF CODERED * REVIEW AND DISCUSS CODERED AND WEATHER WARNING PUBLIC SERVICE ANNOUNCEMENTS Please note: Both CodeRED items listed on the agenda were discussed as one item, with action as noted below. 1 Mr. Gordon Lopez, Executive Director, noted there had been some changes after the original CodeRED information had been sent out. The District has launched the Weather Warning Alert via CodeRED. A radio station, 99.7 (K-Star) is doing a good job of announcing the Weather Warning Alert application. K-Star is running an announcement five times a day, 25 times a week. The District received a very good deal from the station getting 50 free announcements. The announcement was played for those present at the board meeting. Mr. Lopez reported that 400 plus people had signed up for the Weather Warning in the first week. Mr. Larry Foerster, Legal Counsel, requested that Mr. Lopez send the radio script to him and the board members so they might share it with the Cities (in the county), city attorneys and others to help get the information out. Mr. Lopez reported the announcement had also been sent to local newspapers as a news item in the Courier, Chronicle and El Sol. Mr. Lopez announced that there are some recent changes that will positively impact the contract with CodeRED. Thanks to Jeanne's (Ms. Jeanne Frey, Database Manager) efforts, the District received some concessions from CodeRED that may impact the way the protocol was originally written. Basically, the District was paying $42,500 annually for the Weather Warning with the remaining CodeRED alert package priced at$95,000 annually. Jeanne worked closely with CodeRED representatives and they agreed to roll the two products together for one contract price of $95,000. Secondly, they are offering to send out one free alert to everybody in the county letting them know the CodeRED system is set up for early weather warning. There are 186,000 records in the database. Going forward they are also proposing that the price will never go over $120,000 annually for the full package. This impacts the way we wrote the protocol, since we included an option to charge jurisdictions $0.10 per call. With the price reduction this may no longer be necessary. Mr. Lopez stated he would like the five agencies involved, MCECD and the four dispatch centers (MCSO, MCHD, CPD, WFD) to share the cost of providing CodeRED service which amounts to a little under $20,000 per agency annually to maintain it. Mr. Lopez asked if everyone had a chance to review the protocol? Chief Ray replied he had not. Mr. Foerster stated he had, and thought it was fine. Mr. Lopez stated he would touch on the highlights, exempting the $0.10 charge. Mr. Lopez stated each of the four dispatch centers know their constituents better than anybody else. Onsite response agencies within the jurisdictions who agree to participate ought to coordinate with the dispatch centers as to whether a CodeRED alert is required or not. At the dispatch centers there should be somebody in charge who can launch the code. If you spread out the authorization across all the jurisdictions, you are liable to eventually dilute alert efforts, and citizens will stop paying attention. We have written the protocol in such a way that the executives of any authorized agency need to make the determination whether they want to be woken up in the middle of the night to issue the alert or they can delegate to the operations supervisor at the communications (dispatch) center that responsibility. The concern was the command and control aspect of it as to who is going to issue alerts. We felt that spreading it among the four dispatch points was the best way. Secondly, if somebody wants to have centralized control; which was the reason for pointing out how consolidated commands in the military work by rotating commands every three years: in this smaller venue, if the agencies wanted to, they could rotate the authority for launching CodeRED every other year. Mr. Lopez stated the District had received input from Randy McDaniel, as well as Chief Chancellor and their input was taken into account in the new protocol as presented. Mr. Foerster requested a walk through of the process, if Panorama Village had a hazmat event; if the police chief or mayor of a city has a problem and wants to alert everybody. How does the process work? Mr. Lopez stated if the problem is called in to 9-1-1 we know it is handled by a pertinent dispatch center and secondly the agency on site would know which center to contact for issuing an alert. If needed one additional aspect we looked into was to use the video conferencing circuit at each communication center so that the dispatch (supervisors) could communicate with each other during an alert crisis. The way the alert would work; the onsite agency would call the dispatch center which would have an alert code they will use to get into the CodeRED system and launch an alert. At that point a polygon is drawn by CodeRED on the map based on information provided by the onsite agency. The polygon outlines the geographical area that is impacted and the application then searches the 9-1-1 tabular database for phone numbers to be called within the map coordinates and it starts dialing instantaneously. Chief Ray stated that more specifically, in this scenario, the jurisdiction's police chief would probably contact the SO (Sheriff's Office) dispatch point since that is who dispatches for them. Whoever the Sheriff appoints as the coordinator for the alert system would make the ultimate decision to do it. Mr. Foerster asked that even if the (jurisdiction's police) chief says he has an emergency that requires a CodeRED alert if that decision could be overridden by someone at the Sheriff's Department. Lt. David Park remarked that you want to refrain from giving the authority to launch CodeRED to every jurisdiction out there. Mr. Foerster asked if training will be provided for fire and police chiefs. Mr. Lopez's reply was that the District will set up training for all the agencies in participating jurisdictions. Mr. Lopez stated that basically what it does is centralize it in such a way that you don't dilute the authority across the county, but by the same token, you provide a certain amount of autonomy for each of the four agencies that are responsible for making the decision to launch the CodeRED alert. Please Note: Chief John Chancellor arrived at 9:22 a.m. Mr. Foerster asked how the unincorporated areas of the county will be identified, is there a grid? Ms. Jeanne Frey replied that pre-defined polygons can be created, down to the subdivision level, proactive preprogramming. Mr. Lopez stated that based on the contract cost reduction, it would be unlikely that the District would have to charge the participating jurisdictions $0.10 per call. Deputy Chief Jerry Bittner inquired whether the Office of Emergency Management should be included as an agency with the authority to launch an alert. Lt. Park replied affirmatively. Mr. Lopez asked if the OEM would be in a position to overrule a crisis alert by the other four agencies. Chief Ray replied it would be the Sheriff. Lt. Park stated it would be the Chief, being emergency management coordinator for the county. Mr. Lopez stated he had touched on everything, and the protocol will require some changes due to the message received on Friday from CodeRED concerning the contract changes. The new contract will lower the amount of minutes available from 380,000 to 275,000 which is not a substantial reduction. Should we go over the limit, CodeRED will sell the District blocks of minutes. Mr. Lopez stated that once the protocol is approved, we will follow forward with announcing the alert system to the public. Deputy Chief Bittner asked for clarification on rotating command and control or would the dispatch agency have control? Mr. Lopez replied that the question at one time was whether there would be a central authority in the county that would launch it at all times, or whether, in fact, the individual agencies would launch it. The first question concerned the outlying areas and onsite response agencies and whether they launch it but it was already decided that dilutes the (alert) effort. That narrows it down to one centralized control or control spread across the entities that are more in a position to go ahead and decide, with the onsite agency, whether the alert is needed or not. It was decided to split the baby four ways. In this case, go ahead and authorize the communication centers' dispatch supervisors, to make that decision with the onsite people, since they in fact know their constituencies (better). We threw in the option of a somewhat centralized control, if that's still necessary, by rotating the control across the four major agencies. For all intents and purposes, they all get a shot in the barrel, as to how they want to manage the CodeRED system. If that is not a requirement at this point we will take it out of the protocol. It was a choice on the options page (of the protocol) only and was not written into the protocol itself. Chief Chancellor stated the only time that might be an issue is if more than one entity was trying to use the system at the same time. Mr. Lopez indicated that is the reason for bringing up and using the video conference circuits we have in place for joint decision making. The best bet is to exercise the conference system if we are going to keep it not just for alerts, but for meetings, etc. also. Use of the conference network can be written into the protocol. Chiefs Chancellor and Ray stated they do not agree with command and control unless it is a countywide declared emergency, and then it reverts to the OEM. Mr. Lopez stated we can write that in, as a last resort, for declared emergencies. Lt. Park asked for clarification: fire comm would have the authority to launch, or Montgomery PD if they call (and request an alert) and it is launched without authority from anybody else, is that what you are saying? Chief Chancellor stated yes, if it meets the protocol. If they (jurisdictions) misuse it, then we charge them. That needs to be spelled out. Mr. Lopez asked if it is a requirement to keep the charge in the protocol in case of misuse? The board replied affirmatively, $0.10 per call for misuse of the alert system. Chief Chancellor requested a motion approving the CodeRED protocol with the changes. Deputy Chief Bittner made the motion to accept the protocol with the changes that were outlined. Mr. James Simon seconded the motion. The motion carried with all in favor. HONOR AND ACKNOWLEDGE ROBERT GUNTER'S YEARS OF SERVICE Chief Chancellor recited from the award presented to Mr. Robert M. Gunter, "The Board of Managers for the Montgomery County Emergency Communication District hereby commends Robert M. Gunter in recognition of his commitment, enthusiasm, perseverance and tireless efforts over the years, and thanks him for his dedication to providing the finest 9-1-1 system available to our citizens during his tenure as Executive Director. He testifies to the fact that, 9-1-1 it's not a job, it's a calling. June 15, 1998 to October 1, 2008." Mr. Gunter expressed his thanks and that he will miss everyone. Chief Chancellor, "I want to personally say that I appreciate your years of service and the things that you did for the county, not only 9-1-1, but the other activities that you got involved with in Montgomery County. Montgomery County is better for your service and I appreciate it very much." Chief Ray, "I would like to say that I appreciate yours and Joan's friendships over the years and I have enjoyed working with you since I've been on the board here, it has been a pleasure to be around you and work with you and use your knowledge to carry out the functions we need to here on the board. Going to miss you, I'll see you around. It has been nice to have you here and I appreciate your friendship." Mr. Simon, "Bob, I haven't known you very long, but I want to tell you right now, your wife cooks great." Deputy Chief Bittner, "Bob, thank you for all you did, your insight on the leadership related to the secondary operation I think was valuable, that was shown in the disaster we had last year. Thank you." 4 Mr. Gunter, "Well, I am still your consultant until October first, so if you need anything call Gordon." Mr. Foerster, "I would like to add something, if I may. I may have served with 9-1-1 longer than anyone in this room, at least to my recollection, and I've got to see the work that Bob did, from the perspective of an attorney that remembers when we all met, we had a three room facility down in the basement in the Sheriff's Department, and the plan was to do something that I think was really unheard of in the state, at least for a jurisdiction our size, and that was to have our own communications building. And there was a hell of a lot of work that went into that, in terms of developing the site lease, entering into the interlocal agreements with the Sheriff's Department, the county, the hospital district. And later with the back-up emergency communications facility, I don't know of anybody, I participated in it, but Bob led the charge, and we are here in this building today in large measure because of Bob's vision, his commitment, and his expertise, to make this thing happen, and that's not to take away from anyone else who participated in it, cause it was a team effort. But I don't think it would have happened, and happened as quickly and as smoothly, and we had some hiccups, with the general contractor and so forth, and with the previous Sheriff that got mad, I'll never forget, Guy Williams called me one day irritated that the look of the building didn't match his sheriff's department building. Through no fault of Bob, but just the way things played out with the contractor. There were a lot of headaches that went into putting this building together, from the time that Bob visioned it, along with the board, until it was finalized. I for just really appreciate what Bob has done for the county and for the 9-1-1 and for all the emergency agencies in the county for ten plus years." Mr. Lopez, "Larry just encapsulated some of the things I was going to touch on, by what you achieved here Bob. Bob's had a lot of bounces across his careers, right, started out with AT&T, actually Mountain Bell. Bob and I were born thirty miles from each other, grew up thirty miles from each other up in New Mexico. Just encapsulating a little bit, he worked with Bell, Mountain Bell, later AT&T, worked all the regions of New Mexico as a lineman, then as a manager, moved off to Denver, was running training centers and office up in Denver, bounced over to the east coast for a while running training centers for AT&T, and then after his Bell career he moved on to 9-1-1 state agency for New Mexico, and of course he was enticed away from the land of enchantment to come down here and improve this district. I want to say that I'm honored to follow you in these shoes, Bob. You've left me a staff that's extremely well educated and trained. I was at a fire chief's association meeting the other day and several of the chiefs walked up to me and told me how much they appreciated the mapping efforts that the staff does and the database efforts. You produced a preeminent group here that rivals anything in the state, including the bigger districts. It's appreciated and the staff is outstanding, and of course I can't complain about the facilities either. As they say in our home state and in Texas also, Buena Suerte y que Dios Te Bendige, in other words, good luck and God bless you, Bob. Thank you." Ms. Chiu-Wen Ray, "I would like to say a little bit on behalf of the staff. I've been with 9-1-1 eight years, and before that I was with the city at that time I already knew Bob; we (would) go to meetings together. And I want to say because of his leadership we can serve the whole county as we are doing now, but also he is a very kind and caring person, (which carries down) to every single staff (member). He cares about every individual one. We (were) really very happy to work with him and we appreciate his kindness and we will never forget about him." PUBLIC COMMENTS No public addressed the board. CONSENT AGENDA Chief Chancellor noted items four, five and six of the Consent Agenda. Chief Ray requested a moment to review the minutes and financial statements. Chief Ray asked whose membership is being paid for the Conroe Noon Lions Club? Mr. Lopez replied membership is paid for Jeanne, Russ and himself. Chief Ray noted that on the December monthly financial report, there were no expenditures out of the general operating. Is that right? Ms. Terri Gill explained that the three accounts listed first on the report are the Texpool funds, while the last is the checking account at the Bank of America, and that is where payments are made from. Mr. Lopez noted that in the budget for 2009 the interest earned on the Texpool accounts was expected to decrease by 10%, and the way it's looking at this point, it is decreasing quite a bit more. Mr. Lopez distributed a table that demonstrates the decline. Mr. Lopez stated comparing the first two months of 2009 with the two previous years; it has taken quite a dip. Chief Ray and Deputy Chief Bittner inquired as to the $930,000 operating reserve. Deputy Chief Bittner stated these are NG9-1-1 funds. Chief Ray stated these monies have not been spent. Mr. Lopez replied the District is in the process of spending that, we have just issued an RFI that was distributed and we are now receiving input from the vendors with estimated pricing by April 10 th for the network element 1 . Basically, IP is the protocol that will be used. Positron has Viper CPE, and Plant has equipment that is fully IP compliant and should be able to receive most of the communications venues they are talking about, including video. Mr. Lopez stated a small interest group, the TDD/TTY (hearing impaired) community has a lot of clout. They are into texting, and are using video relay services. Some mandates have already gone out (from the FCC) for 9-1-1 centers to be able to handle video relay services and texting type relay services for the hearing impaired. Deputy Chief Bittner asked how the data will be pushed to the agencies. Mr. Lopez replied that NENA and APCO are working together, at least on the CAD side to figure out how they are going to get that data stream through. This is the first step, laying the foundation (for NG9-1-1). Mrs. Sonya Clauson, Public Relations Director for the Greater Harris County 9-1-1 Network, stated that NENA, Greater Harris County and others across Texas are working very hard on different NENA operations committees. It is kind of like Phase II wireless or 311 or 211: we didn't want it to happen but it was inevitable that it was going to be here, so now they are trying to prepare for the operational procedures. We are going to get text messages one day. How do we handle them and the videos and is every one of them going to be real or not? How do you decipher which text messages or videos are valid? The fact is also, that you are going to have all generations of call-takers working in your centers. It was a big enough learning curve to learn how to use windows and now they are going to have to understand text messages. We (9-1-1 Representatives) just came back from the (NENA) operations conference, and there are various committees working on all these operational issues. Sonya is on the training (subcommittee) side (analyzing) how to prepare call-takers for those different things that are coming around the corner. We're not excited about it but the biggest thing right now is to make sure the public knows that you can't do it yet. Mr. Lopez stated it is like Telematics, it's already here. It's getting it on the call-takers screen that is the problem. It's been proven it can be done. It can be done now on legacy networks but it just depends on how much the manufacturer wants to work with the NENA standards. One thing that came out in the conference as Mr. Lopez referenced, is that one of the agricultural groups have approached NENA about handling Telematics 1 The Operating Reserve fund is in fact a reserve recommended by the District's CPA to be maintained solely for the District's Administrative and Operating expenses in case all other funds are expended or for emergencies. NG9-1-1 funding does not come out of this fund. in order to put it on tractors, farm equipment, etc. . John Deere already has it on some tractors, and Caterpillar has it on their equipment. For fleets, agricultural fleets (in particular), they have devices now, smaller than a cigarette lighter, that you just plug into the vehicle (for Telematics). One thing that is already being handled in Europe is IP calls above 10,000 feet in an aircraft. Right now your cell phone can only go up to 10,000 feet, but IP-type, broadband-type cell phones can broadcast above 10,000 feet. The airlines in Europe have allowed that and now, the concern has popped up here; if the FAA approves it, what if somebody dials 9-1-1 above 10,000 feet. Where is that call going to go? Is the call-taker supposed to report that call to NORAD? The FAA? Those are the kinds of things that are already here. It hasn't really caught us by surprise. We knew it was coming but it's becoming widespread. Deputy Chief Bittner stated, "And we still put fires out with water." Mr. Lopez stated: "These are the kinds of things that are popping up at the conferences and I do try to keep you aware, via email of things popping up, both policy-wise and also technology-wise, as they come across." Mr. Simon made the motion to approve these items in their entirety. Chief Ray seconded the motion. Deputy Chief Bittner asked if he could present an item for discussion. Mr. Foerster stated he had sent an email last week, if you wanted to discuss something it needed to be on the agenda. You may bring up an item to be on the agenda for the next meeting. Deputy Chief Bittner requested that the report produced by Pendleton Partners be a discussion, and possibly action, item on the next meeting agenda. Mr. Lopez stated he had not seen the position report. Deputy Chief Bittner asked if the report becomes a part of the District record. Mr. Foerster replied that once received the report must be reviewed and accepted, if he has the report by the next meeting the board can take whatever action it needs. Chief Chancellor noted that the transportation committee of the legislature is hearing all eleven or twelve cell phone bills regarding driving while texting or using a cell phone tomorrow. At least one bill will make it to the floor for a vote. Chief Ray asked if the District buys a lot of flowers. Mr. Lopez replied negatively, we had sent flowers to one of our longtime cleaning people who was in the hospital. We thought it would be nice for her to know she was being kept in our thoughts. The motion carried with all in favor. There were no invoices requiring approval. OTHER MATTERS REQUIRING ATTENTION AND NOT IMMEDIATE ACTION A. Present Progress on Interlocal Agreements Mr. Lopez reported he had met with the city administrator for the City of Shenandoah, and there are no plans for that building within the next three years minimum and out to five years possibly as far as constructing a new building and moving. This puts us way beyond the time frame of the interlocal agreement. As far as the other interlocal agreements; we are working out the calculations for sizing centers based on call volume at this point so those have not been completed yet. We're also reviewing square footage and such for the center. Our fuel prices have increased considerably for utilities, so we're looking at what we can do as far as the agreements we have, and as far as the other centers are concerned. Probably expect something in front of you (the board) within the next month. B. Items Impacting 9-1-1 from recent conference and Alliance Meeting, specifically Femtocells and Telematics. Please refer to the top of page 6. C. 2010 Serial Photography (Orthophotography) Project Chief Chancellor asked what Orthophotography is? Mr. Lopez replied it is the aerial photography (project). Ms. Ray stated we (have) participated with H-GAC for the past ten years. They do the fly over the surrounding counties every other year. This is a reminder that they (will) fly next year. We have been successful having local entities participate with us as well. Please be aware and put in your budget, we need your continued support. D. TCDRS Projected Rate for 2010, and the TCDRS Web Conference Highlights and Slideshow. Materials were presented for review, no discussion was tendered. Chief Chancellor requested a motion to adjourn. Deputy Chief Bittner made the motion to adjourn. Mr. Simon seconded the motion. The motion carried. The meeting adjourned at 10:13 a.m. Attest: _____________________________ ______________________________ Joseph J. Bittner Secretary John R. Chancellor President
Brentwood Building Control Extensions and Alterations Guidance Booklet for the new Building Regulations coming into effect In June 2022 The new building regulations will come into force for applications made on or after 15 June 2022. The new requirements will not apply to applications made prior to June 15 , providing substantial building work has begun before 15 June 2023 on all aspects of the application. This gives 1 year's grace to allow commencement. (Note: jobs need substantial start i.e., foundations dug and poured.) Approved Document L – Extensions & Alterations noteworthy changes 1. New thermal elements, replacement thermal elements and glazing need to meet new U-Values. (Table 4.2, paragraph 4.7 in Part L) 2. >25% max glazing for the floor area of extensions including covering existing controlled openings still applies however is slightly stricter. Once over 25%, SAP calculations required or Area weighted U-value, possibly specifying a higher U-Value than Part L depicts. Highly glazed extensions will require design calculations prior to starting works. This also includes new glazing in existing buildings, extending openings for Bi folds etc. if exceeding 25% glazing of the total floor area of the dwelling. (Paragraph 10.10 in Part L) 3. Boiler efficiency should be assessed when extending the heating system and upgrading the system may be required to a 92% efficient boiler. Electric radiators or electric underfloor heating will likely become an alternative for those not wanting to upgrade but the running cost is likely more. (Table 6.2 in Part L) 4. Renovating thermal elements still applies but with more clarification. Most U-values stay the same however replacing a flat roof membrane will require insulation upgrades. (Paragraph 11.2 in Part L) Approved Document F – Extensions & Alterations noteworthy changes 1. Night latches cannot be used in place of trickle vents. (Part F, paragraph 1.52) 2. Open plan kitchen diners need minimum of 3 trickle vents in a room (8000mm 2 each). (Part F, Paragraph 1.52) 3. Minimum requirement for trickle vents now 8000mm 2 for habitable rooms or 10,000mm2 for single storey dwellings. (Part F Table 1.7) 4. Exposed Façades in busy areas (main road etc) will require noise attenuating trickle vents. (Paragraph 1.54 Part F) 5. Existing home ventilation guides required to be given to the homeowner by the builder. (Explaining how to use and ventilate efficiently etc) (Paragraph 4.20 Part F) 6. All replacement windows must have trickle vents regardless of if the previous windows did not. (Paragraph 3.15) Reproduced with kind permission of East Suffolk Council 7. Energy efficiency measures in existing homes means the ventilation of dwelling will be assessed. Doing multiple minor works (Insulating lofts, replacing loft hatches etc.) or major work (bricking up chimneys, installing internal wall insulation etc.) will now require ventilation retrospectively and in some cases, you will require a ventilation report to specify new ventilation requirements. In most cases retrofitting trickle vents will be an adequate method. (Table 3.1, para 3.6-3.13) U-Value Table highlighting changes as of June 2022 Note: New thermal elements may need higher values if you have more than 25% glazing. \| THERMAL ELEMENT \| \| OLD U-VALUE \| \| NEW U-VALUE \| \| \|---\|---\|---\|---\|---\|---\| \| New Floors \| \| 0.22 W/m2K \| \| 0.18 W/m2K \| \| \| Retained Floors \| \| 0.25 W/m2K \| \| 0.25 W/m2K \| \| \| New Cavity Walls \| \| 0.28 W/m2K \| \| 0.18 W/m2K \| \| \| Retained Cavity Walls \| \| 0.55 W/m2K \| \| 0.55 W/m2K \| \| \| Retained Solid Walls 9” \| \| 0.3 W/m2K \| \| 0.3 W/m2K \| \| \| \| Retained Single Skin Walls \| 0.3 W/m2K \| \| 0.3 W/m2K \| \| \| \| 4” \| \| \| \| \| \| Timber Frame Walls \| \| 0.28 W/m2K \| \| 0.18 W/m2K \| \| \| Pitched Roof (Flat Ceiling) \| \| 0.16 W/m2K \| \| 0.15 W/m2K \| \| \| Pitched Roof (Vaulted Ceiling) \| \| 0.18 W/m2K \| \| 0.15 W/m2K \| \| \| Flat Roof (Cold Deck) \| \| 0.18 W/m2K \| \| 0.15 W/m2K \| \| \| Flat Roof (Warm Deck) \| \| 0.18 W/m2K \| \| 0.15 W/m2K \| \| \| \| Retained Roof Upgrades \| \| \| \| \| \| \| Flat Roof \| \| 0.18 W/m2K \| \| 0.16 W/m2K \| \| \| Flat Ceiling \| \| 0.16 W/m2K \| \| 0.16 W/m2K \| \| \| Vaulted \| \| 0.18 W/m2K \| \| 0.16 W/m2K \| \| Windows \| \| 1.6 W/m2K \| \| 1.4 W/m2K \| \| \| External Doors >60% Glazing \| \| 1.8 W/m2K Band E \| \| 1.4 W/m2K Band C \| \| \| Other External Doors \| \| 1.8 W/m2K Band E \| \| 1.4 W/m2K Band B \| \| \| Roof Light \| \| \| 1.6 \| \| 2.2 W/m2K (New method of \| \| \| \| \| W/m2K \| \| calculating so appears worse) \| Ground floor U-Value guidance - Extensions and alterations Below is a table of examples of insulation products that can be used to achieve the new U-Values in Approved Document L as of June 2022. This is based upon traditional oversites and beam and block floors with a P/A ratio of 1, insulation thickness may be reduced if the P/A ratio is lower, but calculations may be required. The values below will suffice in most circumstances, with insulation either above or below the concrete slab and in floating floor scenarios. It is now a requirement to provide a 25mm perimeter upstand of PIR insulation as standard, with the exception of floating floors. Table 1- Minimum U-value now required 0.18W/m 2 K \| Product \| Thickness \| \|---\|---\| \| Celotex GA4000 \| 100mm \| \| Recticel Eurothane Gp \| 100mm \| \| Jabfloor insulation \| 100mm + 60mm \| \| Ecotherm Eco-Versal \| 100mm \| \| Kingspan K103 \| 100mm \| Note: To offset additional glazing, PIR insulation thickness in the floor is more likely to be specified / required to be 150mm on most jobs, rather than the 100mm you can get away with. This is because its more cost effective than upping wall thickness etc. Timber floors may be better to insulate as a floating floor however for insulating between joists see examples below. Table 2- examples of suspended timber floor. Minimum U-value now required 0.18W/m 2 K Cavity Wall Guidance – Extensions and alterations Cavity walls Below are tables of examples of insulation products that can be used to achieve the new U-Values in Approved Document L as of June 2022. This is based on a 'standard' cavity construction wall detail with a brick outer leaf and a block inner leaf. In most instances the cavity will now be greater than 100mm unless a suitable PIR cavity insulation board is used. Please see key for ease - this includes some but not all products that can be used. specialist advice from architects, energy assessors and manufacturers may be required. Table 1 -U-Value now required 0.18W/m 2 K \| Cavity width \| Detail \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 100mm \| Brickwork, 100mm cavity full fill insulation with an insulation with a thermal conductivity of 0.021 W/mK, 100 blockwork inner leaf with a thermal conductivity of 0.15 W/mK 12.5mm plasterboard finish. \| \| \| \| \| \| \| \| \| 100mm \| \| Brickwork, 100mm cavity full fill insulation with an insulation with a thermal \| \| \| \| \| \| \| \| \| \| conductivity \| \| 0.032 W/mK \| \| , 100 mm blockwork with a thermal conductivity of \| \| \| \| \| \| 0.15 W/mK \| and a 52.2 insulated PIR plasterboard finish (40mm PIR + 12.5mm \| \| \| \| \| \| \| \| \| plasterboard). \| \| \| \| \| \| \| \| 150mm \| Brickwork, 150mm cavity insulated with an insulation of thermal conductivity 0.032 W/mK, 100 mm blockwork with a thermal conductivity of 0.15 W/mK 12.5mm plasterboard finish. \| \| \| \| \| \| \| \| \| 150mm \| \| Brickwork, 150mm cavity insulated with an insulation of thermal conductivity \| \| \| \| \| \| \| \| \| \| 0.032 W/mK \| \| , 150 mm blockwork with a thermal conductivity of \| \| \| \| 0.15 W/mK \| \| \| \| 12.5mm plasterboard finish. \| \| \| \| \| \| \| \| 150 mm \| Brickwork, 150mm cavity partial filled with 100mm insulation with an insulation of thermal conductivity 0.022 W/mK, 150 mm blockwork with a thermal conductivity of 0.15 W/mK 12.5mm plasterboard finish. \| \| \| \| \| \| \| \| \| 175mm \| \| Brickwork, 175 mm cavity insulated with an insulation of thermal conductivity \| \| \| \| \| \| \| \| \| \| 0.037 W/mK \| \| (Knauf/ Dritherm 37) 100 mm blockwork with a thermal \| \| \| \| \| \| \| \| conductivity of \| \| \| 0.15 W/mK \| \| plasterboard finish. \| \| \| 180mm \| Brickwork, 180mm cavity full fill insulation with Rockwool full fill cavity batts 0.037 W/mK, 100mm of blockwork with a thermal conductivity up to 1.130 W/mK (Even dense concrete blocks achieve this). \| \| \| \| \| \| \| \| Table 2 – Key for common construction products used \| \| 0.15W/mK blocks or \| \| Cavity insulation \| \| Cavity insulation \| Cavity insulation \| \|---\|---\|---\|---\|---\|---\|---\| \| \| better \| \| 0.02 W/mK \| \| 0.032 W/mK \| 0.037 W/mK \| \| Celcon Solar. Celcon Standard. Durox Supablock Durox SupaBlock 400 Thermalite shield Thermalite Turbo Topblok supa bloc Toplite standard \| \| Recticel Euro wall Celotex CW4000 All will be PIR partial / full fill cavity wall systems and workmanship will need to be impeccable. \| \| Dritherm 32 Cavity Batts Please note most other cavity wall insulations do not achieve the same value as Dritherm 32, even other Dritherm products like 34 etc. \| \| \| Note: Denser blocks are sometimes required for structural stability, this often will have a serious effect on the U-Value and will subsequently require insulation upgrades. Timber framed wall U-Value guidance – extensions and alterations Timber frame wall Below is a table of examples of insulation products that can be used to achieve the new U-Values in Approved Document L as of June 2022. This is based on a worst-case scenario with any façade detailing, including a brick outer leaf, blockwork rendered, hanging tiles, timber or cement cladding or a rendered cement board. With a brick or rendered block façade, a better U-Value can typically be achieved meaning less insulation (potentially), but this will need site specific calculations. Table 1-Minimum U-value now required 0.18W/m 2 K \| Product \| \| 100mm X 47mm, 600cc \| \| 150mm x 47mm, \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| studs (4x2 inch \| \| 600cc (6x2 inch \| \| \| \| \| timbers) \| \| timbers) \| \| \| Kingspan Kooltherm K12 \| 70mm between studs + 40mm lining, 12.5mm plasterboard \| \| 100mm between studs + 25mm lining, 12.5mm plasterboard \| \| \| \| Celotex GA4000 + TB4000 \| \| 100mm GA4000 \| \| 100mm GA4000 \| 100mm GA4000 \| \| \| \| between + 50 mm \| \| between + 40 mm \| between + 30 mm \| \| \| \| GA4000 lining, 12.5mm \| \| TB4000 lining, \| TB4000 lining, \| \| \| \| plasterboard \| \| 12.5mm Plasterboard \| 12.5mm plasterboard \| \| Recticel Eurothane GP \| 100mm between + 50 mm insulation over + 12.5mm plasterboard \| \| 100mm between + 40 mm insulation over + 12.5mm plasterboard 150mm between + 25mm lining, 12.5mm plasterboard \| \| \| \| Ecotherm Eco-Versal \| 80mm between + 40mm lining, 12.5mm plasterboard \| \| 100mm between + 30mm lining,12.5mm plasterboard \| \| \| \| Actis hybris + Actis Hcontrol (Acts as a vapour control barrier also when taped.) \| N/A \| \| 105mm of Hybris Actis between studs + 45mm HControl Hybrid quilt lining, counter battened, 12.5mm plasterboard \| \| \| Flat roof U-Value guidance – Extensions and alterations Warm deck roof Below is a table of examples of insulation products that can be used to achieve the new U-Values in Approved Document L as of June 2022. This is based on a traditional warm deck build up with all insulation above the flat roof joists which negates the ventilation requirements. Table 1- Minimum U-value now required 0.15W/m 2 K \| \| Product \| Thickness \| \|---\|---\|---\| \| Celotex GA4000 \| \| \| \| \| Recticel Eurothane Power deck / Euro deck \| 150mm \| \| Ecotherm Eco-Versal \| \| \| Cold deck roof Below is a table of examples of insulation products that can be used to achieve the new U-Values in Approved Document L as of June 2022. This is based on a traditional cold deck build-up of insulation between and below the flat roof joists. This solution will require adequate cross flow ventilation. Cold decks are not ideal and warm decks are preferred. The table below assumes, as an example, 150mmx47mm joists with a 50mm ventilation void, and for the purpose of thermal values will suffice in most circumstances. Table 2- Minimum U-value now required 0.15W/m 2 K \| \| Product \| \| Joists at 600 centres \| \| Joists at 450 centres \| Joists at 400 centres \| \|---\|---\|---\|---\|---\|---\|---\| \| Kingspan Kooltherm K7 \| \| 100mm between joists +50mm underlining, 12.5mm plasterboard \| \| Follow 600cc guidance \| \| \| \| Celotex GA4000 \| \| \| 100mm between joists \| \| 100mm Between joists \| \| \| \| \| \| +60mm underlining, \| \| + 70mm underlining, \| \| \| \| \| \| 12.5mm plasterboard \| \| 12.5mm plasterboard \| \| \| Recticel Eurothane GP \| \| 100mm between joists +70mm underlining, 12.5mm plasterboard \| \| Follow 600cc guidance \| \| \| \| Ecotherm Eco-Versal \| \| 100mm between joists +60mm underlining, 12.5mm plasterboard \| \| 100mm between joist +70mm underlining, 12.5mm plasterboard \| \| \| Pitched roof U-Value guidance – Extensions and alterations Vaulted Ceilings Below is a table of examples of insulation products that can be used to achieve the new U-Values in Approved Document L as of June 2022. Pitched roof ( Vaulted ceilings ) (Insulation between and below rafters) The table below assumes, as an example, 150mmx47mm rafters with a 50mm ventilation void, thermal values will suffice in most circumstances. This is based on a pitched roof with a vaulted ceiling (no ceiling joists installed). Table 1- Minimum U-value now required 0.15W/m 2 K \| \| Product \| \| Rafters at 600mm cc \| \| Rafters at 450mm cc \| \| Rafters at 400mm cc \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Kingspan Kooltherm K7 \| \| 100 mm between rafters + 45mm underlining, 12.5mm plasterboard \| \| Follow 400 cc guidance \| \| 100 mm between rafters + 50mm underlining, 12.5mm plasterboard \| \| \| Celotex GA4000 \| \| \| 100 mm between \| \| 100 mm between \| Follow 450cc guidance \| \| \| \| \| \| rafters + 50mm \| \| rafters + 60mm \| \| \| \| \| \| \| underlining, 12.5mm \| \| underlining, 12.5mm \| \| \| \| \| \| \| plasterboard \| \| plasterboard \| \| \| \| Recticel Eurothane GP \| \| 100 mm between rafters + 60mm underlining, 12.5mm plasterboard \| \| Follow 400 cc Guidance \| \| Follow 600cc Guidance \| \| \| Ecotherm Eco- Versal \| \| \| 100 mm between \| Follow 400cc Guidance \| \| \| 100 mm between \| \| \| \| \| rafters + 50mm \| \| \| \| rafters +60mm \| \| \| \| \| underlining, 12.5mm \| \| \| \| underlining, 12.5mm \| \| \| \| \| plasterboard \| \| \| \| plasterboard \| \| \| Other Options indictive only. Minimum U-value now required 0.15W/m2K \| \| \| \| \| \| \| \| Celotex GA4000 \| \| \| \| Expect 75mm Between rafters and 75mm over rafter’s at 400cc. Full design should be sought with condensation risk analysis not all PIR manufactures will allow this. \| \| \| \| \| \| Celotex XR4000 \| \| \| \| Expect 140mm over rafters \| \| \| \| TLX Silver with a PIR insulation \| \| \| \| Around 130mm of PIR with a TLX silver underneath. Air gaps, timber size and design to be discussed \| \| \| \| \| TLX Gold \| \| \| \| \| 145mm PIR between , TLX gold above rafter, \| \| \| \| \| \| \| \| \| design to be discussed. \| \| \| Flat ceilings Below is a table of examples of insulation products that can be used to achieve the new U-Values in Approved Document L as of June 2022. This is based on the assumption all insulation is laid between and over the ceiling joists. This is based on a pitched roof construction with a flat ceiling, 147x47mm ceiling joists installed at 600cc. Table 2- Minimum U-value now required 0.15W/m 2 K \| \| Product \| Thickness / installation \| \|---\|---\|---\| \| Knauf - glass mineral wool \| \| \| \| Rockwool – Thermal insulation loft roll \| \| 150mm insulation between ceiling joists, \| \| \| \| 150mm laid perpendicular over the top, \| \| \| \| 300mm total \| \| Celotex GA4000 (Other PIR insulations options may differ slightly). \| \| \| \| Actis Multifoils. \| \| HYBRIS 140mm thickness between joists + \| \| \| \| HCONTROL HYBRID 45mm underneath with \| \| \| \| relevant air gaps. \| Disclaimer Brentwood Borough Council has no affiliations with manufacturers' and remains completely impartial. We take no accountability for use of this table as competent designs should ultimately be sought. You may choose different insulation types/brands as you see fit provided, they are appropriate for use and meet the regulations. This is based on a survey of the main products seen in our area. If a designer has specified insulation thickness that should be followed over this guidance. U-values are worst possible scenarios so actual manufacturer's guidance or designer's guidance can be sought for more costeffective solutions. Expect more guidance regarding new dwellings soon, including information vehicle charging points and overheating. Expect greater clarification on heating existing buildings/extensions in due course. We urge all our customers to make clients aware of these upcoming changes as it may have an impact on material lead times and cost.
SEDAR 21 DATA WORKSHOP DOCUMENT Standardized catch rates for sandbar and dusky sharks from exploratory longline surveys conducted by the Sandy Hook, NJ and Narragansett, RI labs: 1961-1996 Camilla T. McCandless NOAA/NMFS/NEFSC Apex Predators Investigation Narragansett, RI 02882 John J. Hoey NOAA/NMFS/NEFSC Cooperative Research Program Narragansett, RI 02882 email@example.com firstname.lastname@example.org July 2010 Workshop Draft not to be cited without permission of authors. Summary This document details shark catch from the exploratory longline surveys conducted by the National Marine Fisheries Service, Sandy Hook, NJ and Narragansett, RI labs from 19611996. Data from these surveys were used to look at the trends in relative abundance of sandbar and dusky sharks in the waters off the east coast of the United States. Catch per unit effort (CPUE) by set in number of sharks/hooks was used to examine trends in relative abundance. The CPUE was standardized using a two-step delta-lognormal approach originally proposed by Lo et al (1992) that models the proportion of positive catch with a binomial error distribution separately from the positive catch, which is modeled using a lognormal distribution. The resulting time series for sandbar sharks shows an initial decline in relative abundance in the early 1960s, followed by a sharp increase in 1964. Sandbar shark relative abundance then dropped down again to lower levels and held steady until the mid 1980s when a slight increase in relative abundance can be seen. For dusky sharks, the time series also begins with a decreasing trend, but it continues throughout the 1960s followed by a more stable trend throughout the remainder of the time series with a few small peaks in the early 1970s, mid 1980s and early 1990s. Introduction The United States National Marine Fisheries Service (NMFS), and its predecessor agencies; the Bureau of Commercial Fisheries (BCF) and the Bureau of Sport Fish and Wildlife (BSFW), have conducted periodic longline surveys for swordfish, tuna, and sharks off the east coast of the United States since the early 1950s. While the BCF surveys focused on the development of a tuna fishery, the initiation of shark surveys in1961 at the Sandy Hook Marine Lab (SHML) responded to concerns about shark attacks off the coast of New Jersey and resort owner demands for legislation that would require sport and commercial fishermen to fish further offshore. While surveys predominantly relied on longline gear, early sampling also used chain bottom gear, gillnets, and sport fishing gear. In subsequent years, monitoring of sport fishing tournaments during summer months complimented dedicated surveys on research vessels and opportunistic trips aboard commercial and sport fishing vessels. Early experimentation with different tag types, ultimately lead to the establishment of the ongoing Cooperative Shark Tagging Program. After the initial coastal surveys were conducted between 1961 and 1965, there was a gradual transition from coastal work to offshore effort along the edge of the continental shelf and associated Gulf Stream waters. The shark research program moved from the Sandy Hook to the Narragansett Lab in the early 1970s. Methods Data Sources Data from research cruises and opportunistic deployments were coded as consistently as possible with the data design for the more recent pelagic observer program. Not all of the gear and operational variables currently recorded by observers were recorded aboard early surveys or on opportunistic trips aboard commercial vessels. Some of these variables reflect new gear innovations. Set specific gear, deployment, retrieval, and species composition data were coded from original cruise reports, field fishing logs maintained by scientific personnel, final grant reports, or published papers. Species counts were initially entered as catch per set totals. For the shark survey data, catch per set totals were subsequently matched against separate morphometric and tagging databases to verify total set counts. While catch per set discrepancies were rare, when they could not be resolved by referring to the original field notes the higher value was accepted for a specific species catch per set estimate. Species Scientific observers attempt to identify all animals that are caught or entangled by the gear. Invariably there are animals that are coded as unidentified or unknown, and others that can only be identified to species family groups such as tunas, billfish, sharks, or species groups such as hammerhead, mako, or thresher sharks. This is particularly prevalent in recent observer data, where between 80 and 90 unique codes are recorded for species, species families, species groups, and unclassified records. In the recent observer time series, 30 to 35 rare codes account for 10 or fewer individuals. To simplify analyses and presentation of species catch per set data, the original 80 to 90 codes are combined into @ 34 categories that include the dominant target and incidentally caught (bycatch) species and species groupings. The original species codes are maintained in associated animal files. The shark survey records are geographically and operationally less diverse than observer time series, so the number of unique species identified is reduced. Operational variables Operating practices generally reflect targeting strategies that can influence catch rates for target and incidental species. Observers record gear characteristics and operating practices along with location and environmental variables. These include the date, location (latitude and longitude), time, and sea surface temperature at the start and end of setting and hauling operations for each set. For some of the earliest survey data, only one location was recoverable, although for most records the begin set and end haul locations were available. Survey gear information includes number of hooks set, gangion and dropper line lengths, mainline material, number of hooks between floats, hook sizes, types, and bait information. Additional information on the rare use of line throwers, lightsticks, weights, and sets where the gear is tended during the soak period is being recovered. In comparison to recent observer records, the gear characteristics of the shark survey records; especially those north of Cape Hatteras, are less variable in terms of component dimensions and rigging patterns (hooks between floats, distances between hooks, etc.). The major change over time relates to the annual proportions of sets deployed in coastal shallow depths versus offshore effort along the edge of the continental shelf and in Gulf Stream waters. The vast majority of shark survey records described in this report deployed pelagic (free floating) gear similar to Japanese style "basket gear" used by the BCF in tuna surveys and "Yankee Style" swordfish gear. The primary characteristic of these gears is that the major components consist of a multi-filament nylon 3/8" mainline with ¼" nylon gangions that end with 3/32" stainless steel leaders. When deployed with between 5 and 10 hooks between floats and in depths less than 40 or 50 meters, field notes on bait loss, species composition of the catch and reported hangs, clearly indicate that the gear is fishing on or near-bottom. Prior to 1966 almost all of the sets occurred in the northern Mid-Atlantic bight in the approaches to New York harbor. Most occurred east and southeast of Sandy Hook with a smaller number of sets off the southern coast of Long Island to Montauk in depths less than 40 meters. A small number of sets occurred in Delaware Bay and three sets occurred in Baltimore and Hudson canyons. A multi-filament nylon mainline was generally suspended with 5 meter dropper lines, 8 hooks between floats and gangions that were 5 to 6 meters in total length. The major transitional changes that occurred in the shark surveys occurred after 1966. Most of these cruises occurred between Cape Hatteras and the northeast peak of Georges Bank, where they overlapped BCF and Woods Hole Oceanographic (WHOI) tuna cruises and Canadian DFO swordfish surveys. Effort was primarily concentrated along the edge of the continental shelf and in Gulf Stream waters. Occasional cruises, including cruises with other institutions, extend south of 34° N both along the US continental shelf and in deeper offshore waters north and north east of the Bahamas. While the mainline material remained constant, and hooks between floats rarely exceeded 10, gangion lengths increased slightly to 8 to 12 meters in length. Greater variability occurred in dropper lengths. While dropper lengths exceeding 30 meters were rare, these deep rigs were attempted in offshore waters with depths > 1,000 m especially south of 34 N. During the final three large scale pelagic surveys (Wieczno 86, Del II 89 and Del II 91), a small proportion of monofilament gangions were fished on 55 deep water sets. Data Analysis Catch per unit effort (CPUE) for each set is defined as the number of sharks/hooks. The CPUE was standardized using the Lo et al. (2002) method, which models the proportion of positive sets separately from the positive catch. Factors considered as potential influences on CPUE were: year (1961-1996), area (<34.5 o latitude, 34.5 to 37.0 o latitude, 37.1 to 39.0 o latitude, and > 39.0 o latitude), season (February and March; April, May and June; July, August and September; October, November and December), depth (< 50 m, 50 to 99 m, 100 to 2499 m and > 2499 m), temperature (<15, 15-19, 20-24, 25+ deg C), target (coastal shark, pelagic shark, inshore pelagic shark, swordfish, tuna), and leader type (wire, monofilament, or a combination of both). The proportion of sets with positive catch values was modeled assuming a binomial distribution with a logit link function and the positive catch sets were modeled assuming a lognormal distribution. Models were fit in a stepwise forward manner adding one potential factor at a time after initially running a null model with no factors included (Gonzáles-Ania et al. 2001, Carlson 2002). Each potential factor was ranked from greatest to least reduction in deviance per degree of freedom when compared to the null model. The factor resulting in the greatest reduction in deviance was then incorporated into the model providing the effect was significant at α = 0.05 based on a Chi-Square test, and the deviance per degree freedom was reduced by at least 1% from the less complex model. This process was continued until no additional factors met the criteria for incorporation into the final model. The factor "year" was kept in all final models, regardless of its significance, to allow for calculation of indices. Single factors were incorporated first, followed by fixed first-level interactions. All models in the stepwise approach were fitted using the SAS GENMOD procedure (SAS Institute, Inc.). The final models were then run through the SAS GLIMMIX macro to allow fitting of the generalized linear mixed models using the SAS MIXED procedure (Wolfinger, SAS Institute, Inc), in which all interactions including the "year" factor were treated as a random effect. The standardized indices of abundance were based on the year effect least square means determined from the combined binomial and lognormal components. Results Sandbar shark A total of 1992 sandbar sharks were caught during 896 longline sets from 1961 to 1996. The proportion of sets with positive catch (at least one sandbar shark caught) was 27%. The stepwise construction of each model and the resulting statistics for the mixed models are detailed in Table 1. Model diagnostic plots reveal that the model fit is acceptable (Figures 2a and 2b). The resulting indices of abundance based on the year effect least square means, associated statistics and nominal indices are reported in Table 2 and are plotted by year in Figure 3. Dusky shark A total of 283 dusky sharks were caught during 896 longline sets from 1961 to 1996. The proportion of sets with positive catch (at least one sandbar shark caught) was 9%. The stepwise construction of each model and the resulting statistics for the mixed models are detailed in Table 3. Model diagnostic plots reveal that the model fit is acceptable (Figures 5a and 5b). The resulting indices of abundance based on the year effect least square means, associated statistics and nominal indices are reported in Table 4 and are plotted by year in Figure 6. References Cited Carlson J.K. 2002. A fishery-independent assessment of shark stock abundance for large coastal species in the northeast Gulf of Mexico. Panama City Laboratory Contribution Series 02-08. 26pp. González-Ania, L.V., C.A. Brown, and E. Cortés. 2001. Standardized catch rates for yellowfin tuna (Thunnus albacares) in the 1992-1999 Gulf of Mexico longline fishery based upon observer programs from Mexico and the United States. Col. Vol. Sci. Pap. ICCAT 52:222-237. Lo, N.C., L.D. Jacobson, and J.L. Squire. 1992. Indices of relative abundance from fish spotter data based on delta-lognormal models. Can. J. Fish. Aquat. Sci. 49:2515-2526. 6 Table 1. Results of the stepwise procedure for development of the catch rate model for sandbar sharks caught during the NEFSC exploratory longline surveys. %DIF is the percent difference in deviance/DF between each model and the null model. Delta% is the difference in deviance/DF between the newly included factor and the previous entered factor in the model. PROPORTION POSITIVE-BINOMIAL ERROR DISTRIBUTION POSITIVE CATCHES-LOGNORMAL ERROR DISTRIBUTION Table 2. Sandbar shark analysis number of sets per year (obs n), number of positive sets per year (obs pos), proportion of positive sets per year (obs ppos), nominal cpue as sharks per hook (obs cpue), resulting estimated cpue from the model (est cpue), the lower 95% confidence limit for the est cpue (LCL), the upper 95% confidence limit for the est cpue (UCL), and the coefficient of variation for the estimated cpue (CV). Table 3. Results of the stepwise procedure for development of the catch rate model for dusky sharks caught during the NEFSC exploratory longline surveys. %DIF is the percent difference in deviance/DF between each model and the null model. Delta% is the difference in deviance/DF between the newly included factor and the previous entered factor in the model. PROPORTION POSITIVE-BINOMIAL ERROR DISTRIBUTION Type 3 Test of Fixed Effects for Final Model = TARGET + DEPTH + YEAR POSITIVE CATCHES-LOGNORMAL ERROR DISTRIBUTION Type 3 Test of Fixed Effects for Final Model = YEAR + DEPTH CHI SQUARE 30.93 7.03 Table 4. Dusky shark analysis number of sets per year (obs n), number of positive sets per year (obs pos), proportion of positive sets per year (obs ppos), nominal cpue as sharks per hook (obs cpue), resulting estimated cpue from the model (est cpue), the lower 95% confidence limit for the est cpue (LCL), the upper 95% confidence limit for the est cpue (UCL), and the coefficient of variation for the estimated cpue (CV). Figure 2a continued. Sandbar shark model diagnostic plots for the binomial component. Figure 2a continued. Sandbar shark model diagnostic plots for the binomial component. Observed vs Predicted Proportion Positive OBS PPOS PRED PPOS Figure 2b continued. Sandbar shark model diagnostic plots for the lognormal component. Figure 2b continued. Sandbar shark model diagnostic plots for the lognormal component. Figure 3. Sandbar shark nominal (OBS CPUE) and estimated (EST CPUE) indices divided by the maximum values with 95% confidence limits (LCL, UCL). Figure 4a continued. Dusky shark model diagnostic plots for the binomial component. Observed vs Predicted Proportion Positive Figure 4b. Dusky shark model diagnostic plots for the lognormal component. Figure 4b continued. Dusky shark model diagnostic plots for the lognormal component. POSITIVE CATCH RESIDUALS VS DEPTH Figure 4b continued. Dusky shark model diagnostic plots for the lognormal component. CPUE
ON TRACK TO DELIVER 2019 TARGETS 2019 inflows of €12.9bn driven by targeted growth areas Flow turnaround Efficiency improvement Strategic priorities DWS Group Investor Relations All our regions achieved positive net flows in Q3 and YTD 2019 Continued strong fund performance attracts inflows into flagship products We are confident of delivering our medium-term savings guidance by YE 2019 On track to achieve our FY 2019 adjusted CIR target of ~70% Introduction of a Group Sustainability Office Successful launches into innovative ESG-focused products Q3 2019 results _ October 30, 2019 _ / 1 Q3 2019 KEY FINANCIAL HIGHLIGHTS Adjusted profit before tax stands at €170m, down 8% q-o-q due to the absence of a non-recurring performance fee reflected in Q2 Adjusted cost income ratio is stable quarter-over-quarter at 69.6% and in line with our FY 2019 target Net flows were €6.2bn in Q3 driven by strong inflows in targeted growth areas of Multi Asset, Passive and Alternatives AuM increased by €33bn benefiting from inflows, favourable market performance and FX DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ / 2 ADJUSTED COSTS (€M) DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ ADJUSTED REVENUES (€M) ADJUSTED PROFIT BEFORE TAX (€M) / 3 MARKET ENVIRONMENT VOLATILITY (VIX INDEX) Source: Bloomberg DWS Group Q3 2019 results Investor Relations October 30, 2019 _ _ / 4 AUM DEVELOPMENT DETAIL (€BN) DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ Q3 HIGHLIGHTS AuM increased by €33bn to €752bn in Q3 Q3 net inflows reached €6.2bn driven by targeted growth areas of Multi Asset, Passive and Alternatives Strong market performance and favorable FX development both individually contributed €13bn AuM growth / 5 Q3 2019 NET FLOWS NET FLOWS BREAKDOWN AUM BY ASSET CLASS 1 Systematic and Quantitative Investments DWS Group Q3 2019 results Investor Relations _ October 30, 2019 _ Q3 HIGHLIGHTS Net flows improved further from Q2 reaching €6.2bn with positive flows in all regions Multi Asset contributed the highest inflow driven by institutional mandates and strong flows into Concept Kaldemorgen of €0.7bn Institutional mandates and continued momentum in ETPs drove overall Passive inflows to €3.2bn Alternatives benefited from further inflows in Real Estate and other illiquid asset classes The low yield environment and corporate activities caused redemptions from some specific institutional clients in Fixed Income Outflows in Equities reflecting lower investor risk appetite as a consequence of recent equity market volatility / 6 PRODUCT INNOVATIONS & Q4 2019 PIPELINE Note: Not all DWS products and services are offered in all jurisdictions and availability is subject to local regulatory restrictions and requirements 1 Subject to demand assessments, approvals and successful transaction execution 2 Product change DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ / 7 ETFs REVENUE DEVELOPMENT 2 Monthly average Q3 2019 results October 30, 2019 _ _ Q3 HIGHLIGHTS Total adjusted revenues were €560m, down by 8% q-o-q due to a non-recurring performance fee in Q2 Stable management fees and other recurring revenues versus Q2 Performance and transaction fees excluding the non-recurring Alternatives fund performance fee are broadly stable versus Q2 Unfavorable change in fair value of guarantees as a consequence of declining interest rates impacted other revenues in Q3 / 8 MANAGEMENT FEES AND MARGIN DEVELOPMENT Q3 HIGHLIGHTS Stable management fees despite margin decline due to strong increase in AuM The change in the overall margin is mainly driven by three factors Product effects: price reductions in guaranteed funds earmarked for termination and a Q2 one-off item in Passive Flow effects: strong inflows into lower margin products within Multi Asset, Alternatives & Passive Market effects: lower margin asset classes appreciated more in value than high margin assets 1 Calculated by dividing the annualized management fees (considering the number of days in a specific quarter) for a period by average AuM for the same period 2 Management fees and other recurring revenues, non-product related management fees of €3m in Q3-18, €4m in Q2-19, €3m in Q3-19 excluded in asset class breakdown DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ / 9 COST DEVELOPMENT ADJUSTED COSTS (€M) 1 Q3 HIGHLIGHTS Total adjusted costs of €389m reflecting further cost efficiency improvements Compensation & benefits declined due to the non-recurring carried interest reflected in Q2 Stable adjusted CIR of 69.6% already below our FY 2019 target of ~70% We are well on track to achieve our accelerated cost savings target of €150m by the end of 2019 DB Group charges 1 Compensation & benefits and charges for DWS functions adjusted for severance payments; non-compensation direct costs adjusted for litigation DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ ADJUSTED GENERAL AND ADMINISTRATIVE EXPENSES (€M) 1 Q3 CONCLUSIONS Strong fund performance and product innovations support our net flow ambition We remain on track to outperform industry flows in 2019 We have identified further cost measures for 2020 in anticipation of a more challenging revenue environment, to ensure we remain on our glide path towards an adjusted cost-income ratio of <65% in 2021 "Investor Update" on December 10 th , 2019 in Frankfurt am Main DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ Appendix OUTLOOK AND TARGETS OUTLOOK 2019 Market environment is expected to remain challenging despite equity market recovery DWS' ambition to outperform industry flows in 2019 Accelerated cost initiatives expected to deliver a ~70% CIR in 2019 assuming flat revenues DWS Group Q3 2019 results Investor Relations October 30, 2019 Net flows (% of BoP AuM) 3-5% (on average 1 ) _ _ Dividend payout ratio 65% to 75% DWS DETAILED FINANCIALS PROFIT & LOSS STATEMENT AND KEY PERFORMANCE INDICATORS (€M, UNLESS STATED OTHERWISE) 9M 2019 vs DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ RECONCILIATION FROM IFRS TO ECONOMIC BALANCE SHEET DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ HISTORICAL NET FLOWS AND AUM DEVELOPMENT Q3 2019 91 54 70 240 59 145 93 752 205 185 323 39 752 328 424 752 Note 2017 & 2018 financials have been restated according to the annual product restatement process reflecting some minor changes in product classification 1 Systematic and Quantitative Investments DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ Q3 2019 DETAILED INVESTMENT PERFORMANCE 1 Aggregate asset-weighted gross outperformance of Active and Alternatives products that have benchmark spreads (gross and net) available over respective periods (Active and Liquid Real Assets as of Sep 30, 2019 and Direct Real Estate and Other Alternatives as of Jun 30, 2019) DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ CONTACT DETAILS INVESTOR RELATIONS Oliver Flade Head of Investor Relations email@example.com firstname.lastname@example.org Tel: +49(69)910-63072 Jana Zubatenko Director, Investor Relations email@example.com firstname.lastname@example.org Tel: +49(69)910-33834 DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _ CAUTIONARY STATEMENTS This presentation contains forward-looking statements. Forward-looking statements are statements that are not historical facts; they include statements about our beliefs and expectations and the assumptions underlying them. These statements are based on plans, estimates and projections as they are currently available to the management of DWS Group GmbH & Co. KGaA. Forward-looking statements therefore speak only as of the date they are made, and we undertake no obligation to update publicly any of them in light of new information or future events. By their very nature, forward-looking statements involve risks and uncertainties. A number of important factors could therefore cause actual results to differ materially from those contained in any forward-looking statement. Such factors include the conditions in the financial markets in Germany, in Europe, in the United States and elsewhere from which we derive a substantial portion of our revenues and in which we hold a substantial portion of our assets, the development of asset prices and market volatility, the implementation of our strategic initiatives, the reliability of our risk management policies, procedures and methods, and other risks. This document contains alternative performance measures (APMs). For a reconciliation to directly comparable figures under IFRS, to the extent not provided herein, please refer to the Q3 2019 Financial Data Supplement, which is accompanying this presentation and available at https://group.dws.com/ir/reports-andevents/financial-results. Copies of the financial report are readily available upon request or can be downloaded from https://group.dws.com/ir/reports-and-events. DWS Group _ Q3 2019 results Investor Relations October 30, 2019 _
Package 'miceRanger' April 3, 2020 Title Multiple Imputation by Chained Equations with Random Forests Version 1.3.5 Maintainer Sam Wilson <firstname.lastname@example.org> Description Multiple Imputation has been shown to be a ﬂexible method to impute missing values by Van Buuren (2007) <doi:10.1177/0962280206074463>. Expanding on this, random forests have been shown to be an accurate model by Stekhoven and Buhlmann <arXiv:1105.0828> to impute missing values in datasets. They have the added beneﬁts of returning out of bag error and variable importance estimates, as well as being simple to run in parallel. URL https://github.com/FarrellDay/miceRanger BugReports https://github.com/FarrellDay/miceRanger/issues Encoding UTF-8 LazyData true License MIT + ﬁle LICENSE Depends R (>= 3.5.0) Imports ranger, data.table, stats, FNN, ggplot2, crayon, corrplot, ggpubr, DescTools, foreach Suggests knitr, rmarkdown, doParallel, testthat (>= 2.1.0) RoxygenNote 7.1.0 VignetteBuilder knitr NeedsCompilation no Author Sam Wilson [aut, cre] Repository CRAN Date/Publication 2020-04-03 16:00:12 UTC R topics documented: Description Add datasets to a current miceDefs object. Adds the same number of iterations as other datasets. Usage Arguments Value an updated miceDefs object with additional datasets. Examples addIterations Description Add iterations to a current miceDefs object. Adds iterations for all datasets. Usage Arguments Value an updated miceDefs object with additional iterations. amputeData Description Randomly amputes data (MCAR). Usage Arguments The data to be amputed A scalar. The percentage (0-1) to be amputed. The columns to ampute. Value The same dataset with random values in cols set to NA. Examples completeData Description Return imputed datasets from a miceDefs object. Usage Arguments an object of class miceDefs. a vector of the datasets you want to return. a warning is thrown if integers are converted to doubles. To suppress this warn- ing, set to FALSE . Value A list of imputed datasets. Examples Get Variable Imputations Description Returns imputations for the speciﬁed datasets and variable. Usage Arguments AmiceDefsorimpDefsobject. The datasets to return. Can be a number, of a numeric vector. The variable to return the imputations for. Details These functions exist solely to get at the imputed data for a speciﬁc dataset and variable. Value A matrix of imputations for a single variable. Each column represents a different dataset. Impute New Data With Existing Models Description Impute data using the information from an existing miceDefs object. Usage Arguments Details This capability is experimental, but works well in benchmarking. The original data and random forests (if returnModels = TRUE) are returned when miceRanger is called. These models can be recycled to impute a new dataset in the same fashion as miceRanger, by imputing each variable over a series of iterations. Each dataset created in miceObj can be thought of as a different imputation mechanism, with different initialized values and a different associated random forests. Therefore, it is necessary to choose the datasets which will be used to impute the data. When mean matching a numeric variable, the candidate values are drawn from the original data passed to miceRanger, not the data passed to this function. Value An object of class impDefs, which contains information about the imputation process. The parameters of the object. The original data provided by the user. Logical index of missing data, having the same dimensions as data. Examples ``` The number of missing values for each variable. A list of imputed datasets. ``` miceRanger: Fast Imputation with Random Forests Description Performs multiple imputation by chained random forests. Returns a miceDefs object, which contains information about the imputation process. Usage Arguments A data.frame or data.table to be imputed. The number of datasets to produce. The number of iterations to run for each dataset. Speciﬁes which and how variables should be imputed. Can be speciﬁed in 3 different ways: * <missing> If not provided, all columns will be imputed using all columns. If a column contains no missing values, it will still be used as a feature to impute missing columns. * <character vector> If a character vector of column names is passed, these columns will be imputed using all available columns in the dataset. The order of this vector will determine the order in which the variables are imputed. * <named list of character vectors> Predictors can be speciﬁed for each variable with a named list. List names are the variables to impute. Elements in the vectors should be features used to impute that variable. The order of this list will determine the order in which the variables are imputed. How to select the value to be imputed from the model predictions. Can be "meanMatching", "value", or a named vector containing a mixture of those values. If a named vector is passed, the names must equal the variables to be imputed speciﬁed in vars. Speciﬁes the number of candidate values which are selected from in the mean matching algorithm. Can be either speciﬁed as an integer or a named integer vector for different values by variable. If a named integer vector is passed, the names of the vector must contain at a minimum the names of the numeric variables imputed using valueSelector = "meanMatch". Logical. Should the ﬁnal model for each variable be returned? Set to TRUE to use the impute function, which allows imputing new samples without having to run miceRanger again. Setting to TRUE can cause the returned miceDefs object to take up a lot of memory. Use only if you plan on using the impute function. Should the process run in parallel? Usually not necessary. This process will take advantage of any cluster set up when miceRanger is called. should progress be printed? other parameters passed to ranger() to control forest growth. Value a miceDefs object, containing the following: The parameters of the object. The original data provided by the user, cast to a data.table. Logical index of missing data, having the same dimensions as data. The number of missing values for each variable The original classes provided indata The new classes of the returned data. The imputations of all variables at each iteration, for each dataset. The variable importance metrics at each iteration, for each dataset. The OOB model error for all variables at each iteration, for each dataset. The ﬁnal imputations for each dataset. The ﬁnal variable importance metrics for each dataset. The ﬁnal model error for each variable in every dataset. Only returned if returnModels = TRUE. A list of ranger random forests for each dataset/variable. imputationTime The total time in seconds taken to create the imputations for the speciﬁed datasets and iterations. Does not include any setup time. Vignettes It is highly recommended to visit the GitHub README for a thorough walkthrough of miceRanger's capabilities, as well as performance benchmarks. Several vignettes are also available on miceRanger's listing on the CRAN website. 1. The MICE Algorithm 2. Imputing Missing Data with miceRanger 3. Diagnostic Plotting plotCorrelations Description Plot the correlation of imputed values between every combination of datasets for each variable. Usage Arguments an object of class miceDefs, created by the miceRanger function. the variables you want to plot. Default is to plot all variables. Can be a vector of variable names, or one of 'allNumeric' or 'allCategorical' factCorrMetric The correlation metric for categorical variables. Can be one of: * "CramerV" Cramer's V correlation metric. * "Chisq" Chi Square test statistic. * "TschuprowT" Tschuprow's T correlation metric. * "Phi" (Binary Variables Only) Phi coefﬁcient. * "YuleY" (Binary Variables Only) Yule's Y, also known as coefﬁcient of colligation * "YuleQ" (Binary Variables Only) Yule's Q, related to Yule's Y by Q=2Y/(1+Y^2) numbCorrMetric The correlation metric for numeric variables. Can be one of: * "pearson" Pearson's Correlation Coefﬁcient * "spearman" Spearman's Rank Correlation Coefﬁcient * "kendall" Kendall's Rank Correlation Coefﬁcient * "Rsquared" R-squared Other arguments to pass to ggarrange() Value an object of class ggarrange. ``` plotDistributions ``` Description Plots the distribution of the original data beside the imputed data. Usage Arguments Value an object of class ggarrange. Examples plotImputationVariance Description Plots the distribution of the difference between datasets of the imputed values. For categorical variables, the distribution of the number of distinct levels imputed for each sample is shown next to the distribution of unique draws from that variable in the nonmissing data, given that the draws were completely random. For numeric variables, the density of the standard deviation (between datasets) of imputations is plotted. The shaded area represents the samples that had a standard deviation lower than the total nonmissing standard deviation for the original data. Usage Arguments an object of class miceDefs, created by the miceRanger function. the variables you want to plot. Default is to plot all variables. Can be a vector of variable names, or one of 'allNumeric' or 'allCategorical' The number of simulations to run to determine the distribution of unique categorical levels drawn if the draws were completely random. additional parameters passed to ggarrange(). Value an object of class ggarrange. Examples plotModelError Description Plot the Out Of Bag model error for speciﬁed variables over all iterations. Usage Arguments Value an object of class ggarrange. Examples plotVarConvergence Description Plot the evolution of the dispersion and center of each variable. For numeric variables, the center is the mean, and the dispersion is the standard deviation. For categorical variables, the center is the mode, and the dispersion is the entropy of the distribution. Usage Arguments Value an object of class ggarrange. ``` plotVarImportance ``` Description Plot the variable importance for each imputed variable. The values represent the variables on the top axis importance in imputing the variables on the left axis. Usage Arguments Examples an object of class miceDefs, created by the miceRanger function. How do you want to display variable importance? * "Relative" Scales the importance measure between 0-1 for each variable. * "Absolute" Displays the variable importance as is. May be highly skewed. The dataset you want to plot the variable importance of. Other arguments passed to corrplot(). Print a miceDefs object Description Print a miceDefs object Usage Arguments Value Object of classmiceDefs required to use S3 method Sample miceDefs object built off of iris dataset. Included so examples don't run for too long. Description Sample miceDefs object built off of iris dataset. Included so examples don't run for too long. Usage Format A miceDefs object. See "'?miceRanger"' for details. Source set.seed(1991) data(iris) ampIris <- amputeData(iris,cols = c("Petal.Width","Species")) sampleMiceDefs <- miceRanger( ampIris ,m=3 ,maxiter=3 ,vars=c("Petal.Width","Species") ) Index ``` ∗Topic datasets sampleMiceDefs, 16 addDatasets, 2 addIterations, 3 amputeData, 4 completeData, 4 getVarImps, 5 impute, 6 miceRanger, 7 plotCorrelations, 10 plotDistributions, 12 plotImputationVariance, 12 plotModelError, 13 plotVarConvergence, 14 plotVarImportance, 15 print.miceDefs, 15 sampleMiceDefs, 16 ```
Issue 12: November 2017 Engaging business: using practice-based experiential learning approaches to enrich MBA programmes Justin O'Brien Royal Holloway, University of London, UK Donna Brown Royal Holloway, University of London, UK Abstract This practice-oriented paper seeks to identify business engagement as a form of experiential learning and to share insights of an approach which was developed to enhance reflective practitioner opportunities for MBA students. The authors have significant experience in partnering, designing and delivering a variety of business engagement activities undertaken with postgraduate management students. This is collated as a reflexive review of attempts, across 20 iterations with a diverse range of partner organisations, to introduce and expand on elements of experiential learning within the authors' institution. The paper's main contribution is the identification of opportunities and challenges involved in implementing and managing engagement with business to enrich the experience of Master in Business Administration (MBA) students. Firstly, a summary of the rationale for introducing different iterations of the business engagement approach is given. Then the paper seeks to identify a variety of potential hurdles and solutions associated with harnessing business engagement as a form of practical experiential learning, which are designed to illustrate the practicalities of implementing the approach for school, college and university professionals. Findings highlight implementation insights and the learning achieved by staff, students and business partners. Keywords: business engagement; experiential learning; management education. 'The only source of knowledge is experience' (Einstein) Introduction Whilst the opening quote may seem an extreme position, experiential learning approaches are particularly powerful; Bevan and Kipka (2012) posit that they can be effectively utilised in a wide range of management education fields. Whilst the rationale for utilising 'learning by doing' approaches appears robust and widely supported (Fenwick, 2003; McCarthy, 2010; Beard, 2010; Mughal and Zafar, 2011), evidence of UK university experiential learning in practice was found to be sparse (for examples see Beard and Wilson, 2005; Pedler, 2011). Using a qualitative approach to evaluation, this paper seeks to identify a variety of benefits and potential hurdles in maximising engagement with external organisations to enhance Master in Business Administration (MBA) students' teaching and learning. Building on Kolb's (1984) experiential learning theory, the paper examines participant reflections from twenty different business engagement activities, involving ten diverse organisations. Stakeholder insights were gleaned from student, teacher and business partner feedback during a five year period of planning, delivering and following up phases of engagement. Using a heuristic approach, supported by reflection on professional practice, we seek to encourage further experimentation with business engagement. Perhaps the key contribution offered by this paper is to further motivate wider innovation with forms of experiential learning in practice. This paper seeks not to reiterate and reinforce the extensive literature on Kolb's experiential learning (see references below), but rather to offer colleagues practical insights into how they might embed business engagement into their own teaching practice. The paper starts by briefly discussing the original concept of experiential learning (Kolb, 1984) and its impact. One distinct form of experiential learning, business engagement, was introduced at this institution, with iterations integrated in to the MBA programme to allow postgraduate students, who already had considerable employment experience, to assume greater control of the learning process. The qualitative approach to evaluation of these iterations is outlined in the methodology section. There were a number of practical challenges faced in successfully facilitating a business engagement approach; considered first are a number of internal issues, followed by those experienced at the external interface. We conclude the paper with practical recommendations for course design. Considering experiential learning In 2005, Kolb and Kolb reviewed the six original facets of experiential learning identified by Kolb (1984). The initial concept was built on six propositions; firstly, that learning should be a continuous process, based on ongoing feedback, rather than something measured at an end point. It was argued that 'all learning is relearning', which implies that students with work experience are at an advantage when applying academic concepts and models to business problems and could be expected to be more capable of the reflection needed to reconcile conflicting information (Kolb and Kolb, 2005, p.194). Kolb argued learning will involve emotional and perceptual involvement rather than a purely intellectual response, (Kolb, 1984; Kolb and Kolb, 2008). And finally, and of greatest relevance here, were the arguments that learning involves students in the co-creation of knowledge as they integrate and reconcile new and existing theory and experience. Whilst the attention of Kolb and Kolb (2005) subsequently shifted to the interaction of the transformation and absorption of experience, this paper is concerned with the operationalisation of the final two facets of Kolb's 1984 concept of experiential learning. How can engagement with external partners, organisations and businesses, be deployed to permit students to 'birth' new perspectives? Consideration has been given to a number of related approaches that appear to derive from or are similar to Kolb's (1984) experiential learning theory and how and why these approaches might manifest themselves as part of an advanced learning programme. Valkanos and Fragoulis (2007) explain that experiential learning can be expressed in simple terms as a form of 'learning by doing', which seems to miss the importance of reflection and the conscious evaluation of the conflict between theory and real-world experience. Wilson and Beard (2003) posit that due to the centrality of experience in all learning, that learning and experience essentially mean the same thing, and are therefore a tautology. However, they conceptualise a learning-experience continuum typology with one extreme being that of pure knowledge dissemination, that might be typified as rote learning and the other purely reliant on learning by doing. Experiential learning, according to Wilson and Beard (2003) offers a philosophical underpinning, an integrating framework if you will, which can help unify many different theories and offer a more practical orientation. Hodge et al. (2011, p.180), from their research using 230 participants across three Australian universities, argue that 'practice based learning exchanges clearly provide a powerful and highly valued learning experience for students'. They found that students 'can experience transformative and emotional elucidations of learning', leading to assumption, changing ways of thinking and altering students' world views (Hodge et al., p.167). Hickcox (2002) identifies that educators can use experiential learning programmes, courses and tasks to engineer innovative interactions for both faculty and students. Valkanos et al. (2007) suggest that participative techniques integrated with experience can facilitate behavioural, attitudinal, skill and knowledge development linked to the workplace and in social contexts. Yet Hodge et al. (2011) found that extant experiential learning models underestimated the extent of multidirectional learning flows and co-learning. Before moving on to consider the university graduate skills expectation gap that may exist between employers and educators, a number of key terms associated with experiential learning theory are briefly considered, namely; situated, authentic and action learning, reflective practice, and continuing and lifelong learning. Lave and Wenger (1991) believe that learning is embedded in activity, context and culture and use the terminology 'situated' to encompass this. They believe that learning needs to be presented in an authentic context. Xu et al. (2012) explain authentic learning as a form of research skill enhancement achieved through simply exposing students to practical business contexts using guest speakers and field visits. Action learning, as defined by Zuber-Skerritt (2002), would seem to represent a ruminative group based approach to Kolb's experiential learning concept and describe it as a reflective learning technique that utilises group discussion, discovery, experiment and error stepped iterations. Wilson and Beard (2003) argue that action learning and reflective practice are common variations of the symbiosis of practice and theory. Building on a somewhat clichéd notion that change is a defining factor of modern life, is the idea that successful individuals need to, in a continual self-directed process, engage themselves in continuing and lifelong learning. Yang states 'Even if educational institutions evolve and ensure newly minted workers are ready for employment, workers must continue learning throughout their lives to stay relevant' (2013, p.1). It would appear that learning how to learn is the crucial point here. MacGregor and Semler (2012) highlight that movement away from purely cognitive intellectual development has been underway for decades and that business education has already integrated a number of contextual learning approaches, but significantly they suggest that management education needs to go further than merely using the 1930's originating case method. The authors argue cogently in favour of engaging management students across a variety of intertwining levels that comprise a convergence of intellectual, behavioural, social and physiological elements to assist achieving the change and reflection needed. The authors believe that many educators implicitly assume that a blend of traditional knowledge transfer techniques are enhanced and not replaced by the experiential. Notable by its absence in the literature is any consideration of the appropriate allocation of the balance of learning time across a term or semester, the optimal orchestration, for example longitudinal or capstone, nor the degree to which such techniques might be embedded and interconnected within the curriculum journey. This absence is perhaps further evidence of a lack of sufficient engagement and systemic experience in this important field. Kolb and Kolb (2005) also highlight certain areas where changes to institutional behaviours (across faculty, student and curriculum development) will enhance experiential learning; and evaluation of the innovations is advocated. Whilst accepted as good practice in principle, it is the authors' contention, supported by MacGregor and Semler (2012), that a full range of experiential learning techniques have not been universally adopted in university management education. Therefore an examination of the use of in-business and with-business exchanges, to develop students' learning ability to integrate and reconcile new and existing theory and experience, and thus co-create knowledge, is provided below. The case for using business engagement as an experiential learning approach There appears to be a mismatch between what employers are looking for in graduates and the qualities developed in universities (Vasagar, 2011). Whilst some academics have discussed and advocated the concept of experiential learning to help to prepare students for employment, UK Commission for Employment and Skills (2016, p.3) stated 'a growing number of jobs are being left unfilled because companies can't find the right people with the right skills'. Similarly, Yang (2013, p.1) cites an important dis-connect between business and US university perceptions of graduate workplace preparedness: 'Employers report frustration at not finding skilled workers. Jobs wait to be filled – current job seekers just lack the right skills'. Indeed, Kumaraswamy and Chitale (2012) argue that in a context of rapid change, fulfilling industry's expectations requires academic institutions to adopt innovative learning systems. Griffiths (2007) notes a historic, close, but uneasy relationship between professions and higher education institutes. Giffiths' bi-modal environment model powerfully illustrates the segregated, discipline-based approach to management used in many universities, which they believe is at variance to the complex and highly interconnected real world. According to Yang (2013) the root of the problem is that traditional universities were not designed for a dynamic environment where skill depreciation is rapid, so they are unable to keep pace with ever changing industry requirements. Perhaps the focus on academics' publishable research and developing new researchers is too strongly embedded. Heron (1999) indicates that conventional cognitive learning approaches attach insufficient focus to whole person learning and posits that sense-making from in-person experience is instrumental in learning and change. More recently, Marzo-Navarro et al.'s (2009) study of the graduate skills gap corroborates the need for improved mastery of generic competencies that include practical training, adaptability, oral communication, workplace integration, and the application of practical knowledge. They identified a sparse academic literature addressing solutions to the void between a perceived gap between business needs and university educated graduate skill sets. Tyran and Garcia (2005) identify the constant challenge for management educators to find ways for students to link skill acquisition to career success. They note that perhaps one of the important inhibitors is the laborious planning required to ensure that experiential learning activities are effective and useful. An Ashridge-EABIS study found that 70 per cent of senior executives agreed that experiential learning was an important element in developing crucial business changing mind sets and skills, whilst only 30 per cent felt the same about lecture-based learning (Gitsham and Lenssen, 2009). Whilst it might be argued that employers should shoulder more responsibility, rather than just waiting for work-ready graduates to drop off the education conveyor belt, Tholen (2014, p.1) counters, stating that 'a vast and rapidly growing body of literature on employability has emerged in the last 15 years across both the academic and popular management literature'. Snyder (2003) identified industry complaints about a lack of critical thinking and creative skills from students employed in entry-level managerial roles. Few companies integrate experiential learning for staff into their leadership development programmes as seriously as IBM and HSBC, according to Gitsham (2012, p.298), who reflects 'the learning programmes had a powerful impact and that a range of outcomes was achieved. The experiential, immersive experience was a fundamental factor in the achievement of these outcomes, from the perspective of participants'. The sample size for semi-structured interviews was small, but in tracking participants for up to three years following their immersion, Gitsham (2012) was able to explore the long term benefits and the importance of wider organisational receptiveness in maximising the value to the business. MacGregor and Semler (2012) suggest that management education needs to go further than merely using the 1930's originating case method. They argue the importance of engaging management students across a variety of intertwining levels that comprise a convergence of intellectual, behavioural, social and physiological elements to assist achieving the change and reflection needed. Conversely, Hodge et al. (2011) challenge a popular perception of academics in isolated, ivory towers using traditional didactic techniques, discovering that business hosts, students and academics all teach and learn in experiential learning scenarios. Activity, they claim, that sees academics play a crucial role in real world learning. They believe that although learning in formal academic settings has changed significantly in recent decades, changes to what constitutes learning, notably in respect to experience-led and situated learning models, is challenging traditional universities' provision of purely academic programmes (Hodge et al., 2011). Gitsham (2012) notes the growing recognition for a mind-set change and the development of wider skill sets, recommending the powerful role that experiential learning should have here. A number of campus-based activities would include experiential learning even when class room based, for example; case study, role play presentations and context based discussions. Interestingly, Tyran and Garcia (2005) formally identify activities such as; internships, business simulations, off-campus projects, mentoring and guest speakers in their consideration of experiential learning approaches. Additionally, Hickcox (2002) also mentions consulting, off-campus visits and discussions, which supports the idea that experimental learning approaches can use a blend of on- and off-campus delivery styles. There is perhaps an opportunity for universities to ensure a greater understanding, stakeholder engagement if you will, of the education value they provide to students, alumni and employers (Gitsham, 2012). It appears evident from the academic literature that a strong case for further change is understood. Some may posit that a university education, underpinned by the rigour of empirical research, is different and superior to work-based training approaches popular in business. Systemic resistance here may be a material factor inhibiting change and the differing expectations may be a suitable topic for further research. The theoretical validity of experiential pedagogic approaches would seem to be accepted by many, with numerous examples of how different, rich learning environments can be engendered. However, a number of significant and valid inhibiting hurdles have also been identified in the primary research outlined below and perhaps others exist that are yet to raise their heads in publication. Whilst the cognitive case appears to be well made, it seems that widespread evidence supporting the actual behavioural and structural changes required to operationalise the gap closure are sparse. Implementing experiential learning with business partners Why was experiential learning identified to address student engagement? The catalyst for exploring innovations in business engagement was dwindling attendance for the weekly Management School industry guest lecture series, primarily provided for the MBA programme. The observed student behaviour was paradoxically juxtaposed by attitudinal feedback requesting more opportunities to interface with business professionals. The 2010 MBA programme review survey (36 responses from a five cohort population of 150 current students and alumni) identified a number of very clear wants; 42% of respondents were keen to see more guest speakers; 61% identified a desire to engage in more practical activities; and 75% wanted to visit businesses in person. A different approach to traditional industry guest lectures was needed. Negotiating and engaging with business partners In seeking to develop and grow innovative business-university relationships, we discovered, through several difficult early discussions with potential industry partners, that the terminology of 'experiential learning' was problematic. Even the more common 'action learning set' phraseology resulted either in an over simplification to 'learning by doing' or an uncomfortable explanation of Kolb's (1984) learning cycle that was greeted with glazed eyes. A more straightforward yet accurate explanation was needed that framed the opportunity as an easily orchestrated, low cost, immersive and meaningful encounter that ideally offered some value back to the partner organisation. LeBeau and Bennion (2014) noted the use of community engagement and public engagement. By packaging the concept as business engagement we sought to emphasise active-not-passive and unpaid reciprocity as key elements. The crucial and perhaps subtle difference in the sales pitch was requesting business professionals not merely to contribute unilaterally, but to identify potential benefits for everyone as part of an equitable tripartite cashless exchange. This idea appears to accord with Hodge et al. (2011) who recognise the need for universities to facilitate and structure exchanges, build relationships and engender co-participation. Examples of co-operative or reciprocal academic and industry partnerships the authors experimented with include: industry guest lectures to coaching public speaking; framing a student consulting project as a dissertation; a half day in-company workshop to think out loud about current business problems; or engendering team work by creating and running a live business consultancy case study. Unexpected benefits were observed amongst business participants including; positive feelings resulting from a return to a campus environment, gratification from peer-like engagements with faculty, the résumé kudos of being invited to be a university guest lecturer, and an altruistic glow from giving back to a local university. Others were perhaps more hard headed and instrumentalist in gleaning benefits from collaborations and using these as opportunities to identify future talent for their business and low cost consultancy. Engaging academic staff – challenges and model developed Initially a number of faculty staff indicated a lack of interest in off-campus visits and a dearth of external contacts drawn on to offer guest lectures. Clear student feedback and unequivocal recommendations from the School's MBA accrediting body AMBA were used as powerful justifications to negotiate the integration of field visits, which included a business focused international study week, and a stronger emphasis on the case teaching method during the curriculum redesign. The lead author, as MBA Director, encouraged staff by making introductions to potential new business partners and by emphasising that funding was always available to support new engagement activity. Gradually the new approaches were adopted by most of the teaching teams. Many also reported deriving greater pleasure from interacting with and directing the students following the introduction of the innovations, in line with observation of Dewey (1916, cited Kolb and Kolb, 2005) that 'chalk and talk' approaches demoralise faculty as well as students. In addition to helping design and deliver the business collaborations, faculty were found to play an important role in engendering student reflexivity during and following business engagements, connecting experiential learning episodes back into relevant areas of the curriculum. Thus having explored the evolution and development of the concept, by way of summary, business engagement is defined for the purposes of this pedagogic paper as the trilateral knowledge exchange model that organisations (considered to include commercial, public sector and third stream not-for-profits), groups of students and lecturers apply across a range of business contextualised learning activities. Table 1 presents summaries of the engagement activities introduced in the School of Management to boost the students' experiential learning. Table 1. Business Engagement Innovations to boost Distance Learning (DL) and On-Campus (OC) MBA experiential learning. \| Brewing Multinational \| Theme Park \| Telcoms Multinational \| Chemical Coatings \| Engineering Multinational \| Theatre / Drama engagement \| \|---\|---\|---\|---\|---\|---\| \| Three iterations of live consultancy case studies (CSR and digital marketing) with DL cohorts during summer school residential \| \| \| \| \| \| \| \| \| \| Offer plenary workshop to DL cohort \| Guest lectures to OC OC Guest lecture used as staff development presentation coaching exercise \| \| \| \| Offer formative consultancy to OC cohorts (park visit, senior management briefing and group consultancy findings presentation) \| Offer DL visit to iconic HQ followed by conference event \| Deliver & assess OC student performance on core course \| \| Experimental London theatre experiences connected to OC open space drama workshops embedded into curriculum \| \| \| \| Two live consultancy case studies with DL summer school residential \| \| \| \| \| Company visit including CEO interaction for OC \| \| \| \| \| \| 11 Methodological approach The grounded case study research approach used data drawn from twenty different faculty organised, student-business interactions at a mid-sized English university. Collaborations with ten different global and national organisations took place over a five-year period, involving a range of small, medium and large, commercial and not-for-profit enterprises. The students had a minimum of three years post-graduate work experience with highly diverse industry, function and cultural backgrounds, studying on full-time and distance learning MBA International Management programmes. The primary research data was collated from oral and e-mail based post-event unstructured free comment feedback from participating students, business partners and colleagues by the lead author who orchestrated and participated in all of the business engagement activities. Participants were invited to comment on what went well, what could be improved and to reflect on their learning. Clearly respondents were identifiable in their e-mail and conversational exchanges, but all sources have been anonymised when presented here. This qualitative and non-generalisable research methodology has been certified through the School of Management ethics committee approval process. Findings and recommendations The findings are presented in four parts, initially considering insights gleaned from managing business engagement projects, and this is followed with discussion of academic, student and business partner learning. Managing the project and learning from this Successful implementation of business engagement was found to require some important structural and behavioural changes. Aside from developing the established curriculum and ring-fencing the required resourcing, a number of important internal cultural inhibitors were identified, including: costs and inertia; logistical complexity; the need for cashless exchanges; and the ethics of immaterial labour. Costs and inertia Travel time and costs militate against engaging in relationships with distant organisations; thus a strategy of looking for local partnering opportunities was found to be more effective. The first business engagement saw a half-day theme park visit take place early in the first term during the closed season, assuring free entrance and timed to sit well away from assignment deadline pressure (see column two of Table 1). Students were given a behind the scenes tour by a group of experienced senior park managers, who shared insights into how their business operated. This was followed by a visit to the thrills workshop, a large space used for educational visits and decorated with a range of props, posters and models, where the business questions were put across following a multi-media company presentation. Close geographic proximity helped make a follow-up on campus interaction feasible, after an assignment peak. This allowed student groups to present back their recommended approaches to questions set by the visiting company managers. Additionally students were also encouraged to visit the park in operation at their own expense, which the majority did. Students were able to gauge their own performance based on observing the company management's body language, questioning approach and evaluative oral feedback of their own and peers' presentations. Particularly effective groups were sometimes invited to represent their ideas to a senior management board. A few ideas were taken forwards and implemented. Most students commented that these encounters were particularly motivating. Overall, it was found that tourism and hospitality venues have scalable facilities that can offer heavily discounted prices for off-peak educational groups and were happy to tailor the experience to address required learning outcomes. Subsequent highly successful engagements have included partnerships with a local brewery and theatre. To ease bureaucratic inertia, trialling without the additional pressure of adhering to formal assessment constraints and regulations was a lower risk, pragmatic approach. However, sometimes un-weighted programme elements were seen by students as optional or worthy only of limited engagement. Modest teaching-innovation funding to cover coach transportation and any off-peak entrance fee was found to greatly simplify planning arrangements. Logistics of time and space Finding suitable engagement windows outside assignment deadlines, in a congested teaching timetable, required some tenacity. The development of additional formative, nonassessed, interactions was not straight forward and subsequently led to the embedding of Journal of Learning Development in Higher Education, Issue 12: November 2017 business-engagement activity into timetabled sessions. A typical MBA cohort of around 30 is often considered too big for most companies to host; they did not have rooms of that size and using smaller sub-groups required extensive logistical co-ordination that was often considered just too difficult. The use of micro and self-directed approaches was found to yield some surprisingly positive results, with cold-calling and networking approaches used by proactive student groups to self-select a suitable business to engage with. One enthusiastic group challenged with assessing one of London's tourist attractions elected to visit a public house adjacent to campus and then were surprisingly invited to a local craft brewery for a private tour, driven there by the landlord. Illustrating clearly a lesson about luck, relationships and seizing every opportunity. Cashless exchanges: do not ask for money It was found that income generating opportunities for sponsored students, gifted chairs and contributions to library funds were unattractive. One partner explained that 'I ask my CEO to allow me merely to spend time here' and another elucidated, 'There would have to be a bottom line benefit for me to be able to invest any of my budget. I just don't see that justification'. Successful exchanges were centred on the intrinsic value of knowledge transfer and looking to ensure an equitable exchange. However, requests for limited time commitments, manifested as both personal and corporate social responsibility, were more easily forthcoming than expected, and often offered proactively once the business engagement concept, based on trilateral knowledge exchange and experiential learning, had been explained. Ethics of immaterial labour It is important to consider the ethics of inviting students to offer their labour immaterially, particularly when the engagement offers a more structured consulting context. The use of some non-assessed course elements allowed students to opt out, although very few did, and it was clear that students valued this form of experiential learning so highly that they were not unduly concerned about working without payment. The activity was perceived as enrichment rather than exploitation. However, it was crucial to ensure an appropriate balance was achieved, with the centrality of student-learning a prime consideration. Engagement with notfor-profit organisations, which often rely on volunteer labour with a clear community minded purpose, offered a more ethically optimal collaboration. What academics learned /gained Size matters: impact asymmetry Whilst some faculty enjoyed some kudos from interactions with global brand names, big company engagements were often complex and it was difficult to get under the skin of tacit organisational considerations. Working with small and medium sized enterprises (SME), students were often able to engage with senior management or even the leadership team directly. This resulted in higher levels of commitment and easier co-operation across the organisation. Students working with a SME were often able to understand the whole business more quickly and have a greater chance of making meaningful, implementable recommendations. Networking terror Adoption of business engagement approaches requires some risk taking, even where a supportive culture and sufficient resources are available. A rather surprising finding was to discover that some experienced academics lacked a material external business network and/or felt they lacked the necessary skills to engage in networking activity, illustrated powerfully by this earnest statement 'My worst fear would be to walk into a room of strangers and be expected to talk to them'. Partnered collaborations, pairing the inexperienced with more experienced staff, and formal training activities were used to mitigate here. Building trust and commitment Bastow et al. (2014) suggest the challenge for management research 'impact' is a function of credibility and divergent time spans. We soon learnt to start small and not expect too much, too quickly. Hodge et al. (2011) identified that not every practice-based learning exchange goes to plan, so we grasped that we needed to work with rather vague and ambiguous objectives, what might be referred to as an emergent strategic approach. An important element of the 'trust development phase' was ensuring the establishment of realistic expectations pertaining to the level of problem solving that might be reasonably garnered from the students. Rather surprisingly business partners were considerably less guarded and more open than initially expected, 'I had assumed that company confidentiality would be a huge stumbling block. We never used our own confidentially agreement, and actually this was rarely an issue. In contrast to written information, in person exchanges were often detailed and candid and this level of trust and openness was something staff and students appreciated greatly'. Set expectations low and be flexible This was unlikely to be at the level or depth of professional consultancy. However, host organisation activities such as problematising, requiring useful introspection and opening up for external exchanges of ideas, were seen as key outcomes. Given very limited time to put across what were often complex issues, it was illuminating to note that business partners valued engaging in the process ahead of garnering specific recommendations. Currency and impact Although not everyone possesses the complex skill set to juggle student-client expectations to successfully deliver a live consultancy, participating teaching staff found their subject currency and credibility was enhanced, with some students noting that academic staff benefitted by becoming 'more aware about business operations'. Modest impact related scholarship was observed in the form of a number of published teaching case studies, business journalism and paid individual consultancy. What students learned /gained Theory into practice: the importance of being real and live Students highlighted that the most significant benefit of business engagement was the opportunity to put theory into practice and obtain formative and summative feedback on their ideas from real business practitioners. One MBA candidate stated 'It was an excellent opportunity to practise our presentation skills, building from our personal development lectures. The presence of industry senior management listening to our ideas was very motivational' (O'Brien, 2012a). Whilst another said 'This exercise was a brilliant opportunity to put some of the theories we learnt in the MBA into practice. Ansoff's matrix, BCG boxes, SWOT & PEST analysis, 5 Forces Model, Revenue Management, Corporate Social Responsibility… we had it all in our tool box and we did not shy away' (O'Brien, 2012b). A faculty observation noted that watching students prepare for their final presentations often brought on an electric-like buzz, a heady blend of nerves and excitement. Receiving immediate, direct feedback via both the spoken word and body language from highly credible business professionals considering current, important business challenges was particularly highly prized. A supportive MBA reflection stated 'I enjoyed the fact-gathering sessions and team brainstorming meetings where we had heated debates about what was potentially relevant to offer as solutions and what was not. In the end, the possibility of making a difference drove us. This was not just an academic exercise as our work and proposed solutions could be implemented by the businesses'. Management consultancy insight Others appreciated the insight the exercises gave them on management consultancy. 'We had to prepare and brainstorm ideas on how to resolve complex business challenges and this was no mean feat, as in some cases we lacked the expertise on their specific industries'. In working with a small company that did not know what they needed or wanted, students learnt that 'the basics are most valuable'. 'The mid-size project like [company name] was a business performance challenge that taught respect for the client and professionalism while managing circumstances that you might not like'. During 'the international strategy consultancy… [it] was the methodology challenge that tested our wits and humbled us [we learnt to focus on] what was best for the client's interest and not what we believed was the best idea'. What business partners learned /gained Initially several companies strongly questioned the motivation of their staff wishing to undertake university-based activities, struggling to appreciate the business benefits. But, a number of diverse forms of organisational value to help justify the time and modest expenses have been identified, most notably; the opportunity to investigate at the cost of 'only' staff time (no consultancy fees) a non-critical business problem, to facilitate a conversation that engenders knowledge transfer and staff development and catalysing some real business changes. Problem formulation: investigating non-critical business problems One of the more surprising insights from this research was the internal value to an organisation that happened before the engagement took place, in framing and being able to communicate the business problem clearly to outsiders. This is evidenced in the following direct quotes from business partners: The engagement… created a focus for the business team to think about their current business transformation problem in a structured analytical way. [Our] managers had to identify a present challenge to the business and quantify the problem. Root cause analysis was required from involved managers to determine clearest layout of the problem. This was often important, as these problems had often not been explored fully because of internal pressures. Additionally business participant leaders highlighted the value of having the time to look at problems that were neither trivial nor business critical: The importance here was that the problems used were often issues that were too large for quick fixes but not overtly damaging enough to justify resource to change The consultancy group has the time to consider the problem fully which a business often does not. And finally: Accessing the latest business school approaches and thinking [using a] free of charge methodology meant we were able to examine areas where we wouldn't have thought of engaging outside consultants [which we found] surprisingly beneficial. Facilitating conversation: enabling knowledge transfer and staff development One business partner stated 'we greatly valued the experience. The chance to interact with bright, young minds was genuinely useful and shining a spotlight on aspects of our business has identified a number of opportunities' (O'Brien, 2012c). Another stated 'it allowed everyone involved to reflect, in an open and objective and non-judgemental atmosphere, on what was happening within the business'. The engagement 'offered new perspective over problems and Journal of Learning Development in Higher Education, Issue 12: November 2017 open debate over solutions generated by university groups'. Several partners highlighted the benefit from their own intra-organisational dialogues. Because student groups had very diverse cultural and professional backgrounds and lacked tacit internal business knowledge, slow, often iterative, conversations were needed, which 'resulted in real self-questioning' generating 'some surprising and valuable insights' and 'created conversations within the [company name] through different staff levels that wouldn't have taken place without the stimulus'. All partners valued the conversational knowledge exchange but one partner primarily used a week long case study interaction on campus as an explicit team building and staff development vehicle which they found 'confidence boosting and insightful,… [which demonstrated] the value of formal MBA training'. Catalysing real business changes Whilst the conversation and idea exchange was the most highly valued benefit perceived, some partners were also able to point to their university interaction as catalyzing real business change. 'We saw one concise and developed [student] solution which has resulted in gradual adoption of its key principles by the business… the initial [student] groundwork was key to changes in business strategy'. Another evidenced alternative approaches that 'were taken back and used in our organisation'. Lastly, drawing on the idiom which suggests remarkable insight can come 'out of the mouths of babes', a student during a consultancy interaction in front of the company's whole board, which at the time was made up of middle aged male engineers, asked a seemingly innocuous question 'why are there no females on the board and why no marketing director?'. One innocent question, but both ideas were acted upon within three months. Conclusion The academic literature suggests that students can benefit from a range of contextual learning experiences, but evidence of adoption of this powerful approach is meagre. This paper's key contribution is proposing the idea of business engagement, a trilateral knowledge exchange between students, business and faculty, that emphasises active-not-passive and unpaid reciprocity. Learning in a novel and meaningful commercial context can be highly motivational, which is evidenced in the participant reflections. MBA students valued the opportunity to put their theoretical knowledge into practice, working on live, real business problems and gaining insight into management consultancy. Business partners benefitted by being challenged to formulate and communicate business problems, garnering value from their own intra-organisation conversations, as well as the external perspectives provided by freshly minted MBA students. The knowledge transfer exchange was also used as a talent recruitment opportunity and for staff and team development. There was also some modest evidence of interactions catalysing some real business change, validation of meaningful impact. Implicitly this paper underscores the valuable currency faculty can gain from the external engagement required to facilitate business engagement. However, a number of important challenges for staff considering innovating their pedagogic practice have been highlighted. Internal organisational constraints identified include cultural inertia, access to financial resources, and logistical limitations. Resilient staff need to be able to harness their business networking capability, skilfully build trust and commitment with new partners, and carefully manage expectations from often cashless exchanges. The reflections on practice presented above aim to inspire and enable management educators, and the authors recommend that they look to expand their use of business engagement more widely across their curricula. 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(2012) 'Seeing is believing: developing research skills in international maritime students through authentic learning', The International Journal of Management Education, 10(1), pp. 50–60 [Online]. Available at: http://dx.doi.org/10.1016/j.ijme.2012.02.005 (Accessed: 10 October 2017). Yang, D. (2013) 'Can we fix the skills gap?', Forbes [Online]. Available at: http://www.forbes.com/sites/groupthink/2013/08/02/can-we-fix-the-skills-gap/ (Accessed: 10 October 2017). Zuber-Skerritt, O. (2002) 'The concept of action learning', Learning Organization, 9(3), pp. 114-124. Author details Justin O'Brien is a Senior Lecturer (teaching focussed), Strategy and Marketing, at the School of Management, Royal Holloway, University of London. Dr Donna Brown is a Senior Lecturer in the Accounting, Finance and Economics subject group at the School of Management, Royal Holloway, University of London.
TENDER NO: MR 270/2022 Supply of Outdoor AC and DC Distribution Boards for Sawani 33kV Bus Extension Project Contents INSTRUCTIONS TO TENDER 1.1 GENERAL The Energy Fiji Limited is a statutory body vested with the responsibility for the provision of electricity supply throughout Fiji. EFL is currently carrying out outdoor 33kV Bus Extension Project. The scope for this tender is for the supply of outdoor AC and DC Distribution Boards for Sawani 33kV Bus Extension Project 1.2 TYPE OF TENDER The Tenderer shall submit a fixed price tender. This requirement shall apply equally to the conforming tender as well as any alternative tender. 1.3 COMPLIANCE WITH INSTRUCTIONS The Tender shall be submitted in accordance with these Instructions and the letter of invitation to tender. All the necessary forms and schedules need to be completed and submitted with the tender. 1.4 ADDENDUM TO TENDER Where EFL finds it necessary to make amendments to or clarify the requirements of the tender documents during the period of tendering, an Addendum will be uploaded to the EFL website/tender link. 1.5 COMPLIANCE WITH SPECIFICATION The tender shall be based on the equipment and work specified and shall be in accordance with the Technical Specification. It should be noted that unless departures from specifications are detailed in Schedule I of the Technical Specification, the tender would be taken as conforming to the Specification in its entirety. The Tenderer shall tender for the whole of the Works included in the Specification. 1.6 DELIVERY PERIODS The Tenderer shall submit his tender on the basis which will permit the Works to be completed under normal circumstances by the completion dates stated in Schedule 3 of the Technical Specification. Suppliers with delivery of 4 weeks after the tender award and issuance of the purchase order. 1.7 CURRENCY The tender shall be in the currency of the Tenderer's home country. All local companies registered in Fiji shall bid in VIP and Duty inclusive. For overseas currencies, bid are to be in DAP to EFL Kinoya Deport and all duties, VAT and customs clearance chargers shall be paid by EFL. 1.8 SIGNATURE OF TENDERER A tender submitted by a Partnership shall be signed by one of the members of the Partnership and shall be accompanied by a certified authorization of all the partners authorizing the individual partner to sign on behalf of the Partnership. A tender submitted by a Corporation to the Contract and shall be accompanied by a certified resolution of the Board of Directors authorizing the individual to sign on behalf of the Corporation. 1.9 INFORMATION FORMING PART OF THE TENDER The Tenderer shall supply with each set of the tender copies of the technical, price and information schedules of the Tender Documents duly completed with all missing information and shall also supply requisite drawings. A copy of the Tenderer's covering letter (if any) shall be submitted with each tender and each tender shall be accompanied by a full set of supporting matter which the Tenderer wishes to have considered by EFL as supporting information for his tender. It is a mandatory requirement to submit the following documents as part of the tender proposal: 1. Tender Covering Letter with signature/seal of authorised signatory 2. Price schedule 3. Technical Information or datasheet of the item being tendered 4. Test certificates 5. Detail of past experience in similar nature of work 6. Confirmation of Insurance Policies 1.10 CONFORMING AND ALTERNATIVE TENDERS No alternative bids shall be accepted. 1.11 NON CONFORMING TENDERS A tender which does not comply with the Conditions of Tendering or in which the technical price information schedules requiring information to be inserted by the Tenderer have not been completed in all respects may be considered informal will be rejected for these reasons. 1.12 VALIDITY PERIOD OF TENDERS Tenders shall remain valid for acceptance within 90 days from the date of opening of tenders and a Tenderer shall not withdraw or amend his tender prior to the expiration of the Validity Period. In exceptional circumstances prior to expiry of the original tender validity period, EFL may request the Tenderer for an extension in the period of validity. The request and the response thereto shall be in writing. A tenderer agreeing to the request will not be permitted to amend his tender price. 1.13 EXTENSION OF CLOSING TIME FOR TENDERS The right is reserved to amend the date set for the opening of tenders to any late date. If it is decided to extend the time for submission of tenders. All prospective Tenderers to whom tender documents have been issued will be promptly notified. 1.14 MANDATORY LODGEMENT OF TENDER Bidders are requested to upload electronic copies via Tender Link by registering their interest at: https://www.tenderlink.com/efl EFL will not accept any hard copy submission to be dropped in the tender box at EFL Head Office in Suva. This tender closes at 4.00pm (1600hrs) Fiji Time on Wednesday 26 th October, 2022. For further information or clarification please contact our Supply Chain Office on phone 3224360/ 9992400/ 9987085 or email us on firstname.lastname@example.org The bidders must ensure that their bid is inclusive of all Taxes payable under Fiji Income Tax Act. Bidders are to clearly state the percentage of VAT that is applicable to the bid prices. The lowest bid will not necessarily be accepted as the successful bid. The Tender Bids particularly the "Price" must be typed and not hand written. Any request for the extension of the closing date must be addressed to EFL in writing three (3) working days prior to the tender closing date. Tender Submission via email or fax will not be accepted. 1.15 DEADLINE FOR SUBMISSION OF BIDS Bids must be received by the Employer at the address specified above no later than 1600 hours (Fiji Time) Wednesday 26 th October, 2022. The Employer may, at its discretion, extend the deadline for submission of bids by issuing an addendum, in which case all rights and obligations of the Employer and the bidders previously subject to the original deadline will thereafter be subject to the deadlines extended. 1.16 TENDER EVALUATION After a preliminary analysis to ascertain whether or not the tender is in accordance with the requirements of the tender documents, each tender will be considered with particular reference to its eligibility as being a manufacturer, offer testing facilities in its workshop, price, completion date, design capability, evidence of past performance on contracts of a similar nature, supply of reliable & quality equipment, relevant certification and all other matters affecting the Tenderers ability to complete the Contract in accordance with EFL's requirements. 1.17 ADJUSTMENT OF ERRORS EFL reserves the right to adjust arithmetical or other errors in the Tender. Any adjustments made by the Authority to a Tender will be stated to the Tenderer prior to acceptance of the Tender. In the event of discrepancies appearing between words and figures in the Tender, the words shall prevail. 1.18 ACCEPTANCE OF TENDERS EFL shall not be bound to accept the lowest bid or assign any reason for the rejection of a tender and reserves the right to waive any informality in a tender. No tender shall be deemed to have been accepted unless such acceptance is notified to the Tenderer by notice in writing either by handing such notice to the representative of the successful Tenderer or by sending such notice by e-mail. Such notice shall include any essential identifying details of the tender. The date of acceptance of Tender shall be the date on which the above mentioned notice is given or e-mailed. 1.19 LANGUAGE OF TENDER All Tenders together with any documents submitted by the Tenderer as part of any Tender shall be typed in the English language. Hand written tender submissions will be disqualified. 1.20 PAYMENT SCHEDULE The contract shall be on a lump sum fixed price basis. 100% of the payment will be made upon receipt of goods by EFL at Kinoya Depot. 1.21 CONDITIONS OF CONTRACT The Conditions of Contract shall be the AS/NZS 4911:2003 – General Conditions of Contract for the Supply of Equipment without Installation. 1.22 INSURANCE The Contractor is to confirm that they have in effect the insurance policies below: 1. Public and Products Liability Insurance The scope of works for contract is for the supply and delivery to EFL Kinoya Depot of the following: 2.1 Supply of 415V AC Distribution Board The distribution board shall be: - Suitable for outdoor installation with weather proof enclosure - Mounting provision on the rear of the panel or bottom and suitable to be mounted directly on concrete or via support structure - Fixed with access door on the front with locking provision - Shall have a main switch for 3 phase power supply which shall be connected to the 3 phase bus bar. The main switch shall be Schneider brand or of similar quality - The main switch shall have provision for termination of 16mm 2 cable - The board shall have separate earthing and neutral bars. - The board shall have provision for at least 24 pole. This sets the minimum requirement, however the bidder can specify the provision on their product. - Removable gland plate on the bottom of the panel for cable entry. The gland plate shall be able to accommodate 30 glands for 2.5mm 2 Cables - The bus bar shall accept 3 pole MCB, single pole MCB or any combination of these. - The bus bar shall be shrouded against accidental contact. - The board shall have 2 x 20A three phase MCB while the remaining MCB shall be 16A Single phase. The MCB shall be Schneider brand or of similar quality. MCB shall be type C. The bidder shall specify if their product comes pre-install with the MCBs and if the above requirement cannot be met. - The board shall have provision for earthing. - The product shall comply to AS/NZS 61439.1 and its relevant parts for Low-voltage switchgear and controlgear assemblies Note: The bidder to specify any departure from the specification above and the specifications of the product they are offering. The bidder to provide relevant datasheet or technical information with the bid. 2.2 Supply DC Distribution Board The distribution board will be utilized on 110V DC system. The board shall be: - Suitable for outdoor installation with weather proof enclosure - Mounting provision on the rear of the panel or bottom and suitable to be mounted directly on concrete or via support structure. - Fixed with access door on the front with provision for locking - Shall have a main switch which shall be connected to the bus bar. The main switch shall have provision for termination of 16mm 2 cable. - The board shall have separate earthing bar. - The board shall have provision for at least 30 circuits. This sets the minimum requirement, however the bidder can specify the provision on their product. - Removable gland plate on the bottom of the panel for cable entry. The gland plate shall be able to accommodate the 30 glands for 2.5mm 2 Cables - The bus bar shall be shrouded against accidental contact. - The MCB shall be Schneider brand or of similar quality. MCB shall be type C. There shall be 10 x 16A MCB, 10 x 10A MCB and 10 x 6A MCB. If the product offered by the bidder has different number of circuit provisions, equal proportions of 16A, 10A and 6A MCBs shall be supplied. The bidder shall specify if their product comes pre-install with the MCBs and if the above requirement cannot be met. - The board shall have provision for earthing. - The product shall comply to AS/NZS 61439.1 and its relevant parts for Low-voltage switchgear and controlgear assemblies Note: The bidder to specify any departure from the specification above and the specifications of the product they are offering. The bidder to provide relevant datasheet or technical information with the bid. The board can also be custom made/assembled to the above requirements or equivalent. The bidder to specify in the bid if they are offering custom made board. Financial The bidders shall fill the details in the below table for the financial information of the required scope of work. Items are to be assembled and delivered to EFL Kinoya Depot which includes all relevant accessories specified in the scope. \| No. \| Item \| Quantity \| Price VIP FJD \| \|---\|---\|---\|---\| \| 1 \| Supply of 415V AC Distribution Board \| 1 \| \| \| 2 \| Supply of DC Distribution Board \| 1 \| \| QUALITY OF MATERIALS AND WORKMANSHIP All cables supplied by the company under this contract shall be new and of the high quality and class most suitable for working under the conditions specified and shall withstand the variations of temperature, atmospheric conditions arising under working conditions without distortion or deterioration or the setting up of undue stresses in any part and also without affecting the strength and suitability of the various parts of the work which they have to perform. STANDARDS IEC, IEEE and AS/NZS Standards are to be adopted in general. Any other national or international standard may be used if such standards are not less exacting than corresponding IEC Standard. In such an instance a copy of the relevant standard should be forwarded. The following standards (or the current revision of it) shall apply to this tender, but not limited to: This standard must be specified in the submission. WARRANTY The Contractor shall provide warranty for the distribution boards supplied for a Period twelve [12] months after delivery of the boards. EVALUATION CRITERION The evaluation shall be based on all the data bidders provide regarding the product. 7.1 Compliance Checklist The following documents are to be provided with the tender bid for local bidders: \| \| No. \| \| Criteria \| Requirement \| \|---\|---\|---\|---\|---\| \| 1 \| \| Business Registration Certificate \| \| \| \| 2 \| \| FRCS Compliance Certificate \| \| \| \| 3 \| \| FNPF Compliance Certificate \| \| \| \| 4 \| \| FNU Compliance Certificate \| \| \| \| 5 \| \| Product Liability Insurance \| \| \| \| 6 \| \| Previous List of Similar work experience \| \| \| Bidder has to scope 100% Mandatory compliance for consideration. 7.2 Other Submissions \| \| No. \| \| Criteria \| Requirement \| \|---\|---\|---\|---\|---\| \| 1 \| \| Material Specification Criteria from Bidder \| \| \| \| 2 \| \| Material Warranty Period Details \| \| \| \| 3 \| \| Product Specification from Manufacturer \| \| \| \| 4 \| \| Evidence of quality of materials used \| \| \| \| 5 \| \| Bidder to account for all the cost of the items with delivery \| \| \| \| 6 \| \| Product to have similar specification required by EFL as per tender \| \| \| \| 7 \| \| Product to have all necessary accessories as required by EFL \| \| \| \| 8 \| \| Financial Offer (Typed) \| \| \| 7.3 Technical Evaluation \| \| No. \| \| CRITERIA \| Requirement \| \|---\|---\|---\|---\|---\| \| \| \| \| Manufacturer & Bidder Capability and Experience \| \| \| 1 \| \| Compliance to Standard \| \| \| \| 2 \| \| Delivery Period \| \| \| \| 3 \| \| Bid validity \| \| \| \| 4 \| \| Warranty on switchboard \| \| \| \| \| \| \| Origin of Materials, Switchgear & Key Components \| \| \| 5 \| \| Switchboard \| \| \| \| 6 \| \| Country of manufacture of switchboard \| \| \| \| 7 \| \| MCBs \| \| \| \| 8 \| \| Country of manufacture of MCBs \| \| \| \| 9 \| \| Origin of Bus Bar \| \| \| \| \| \| \| Key Components - Technical Data & Compliance \| \| \| 11 \| \| Manufacturer's Type and model \| \| \| \| 12 \| \| Main busbar rating \| \| \| \| 13 \| \| Insulation type \| \| \| \| 14 \| \| Test reports, Drawings and Manuals supplied as per Requirements \| \| \| \| 15 \| \| Confirm Operational life of all Switchboards and shall be more than 20 years \| \| \| \| 16 \| \| Complete Board Dimensions: W x H x D \| \| \| \| 17 \| \| Switchboard is front open access \| \| \| \| 18 \| \| Switchboard weight \| \| \| \| 19 \| \| Circuit Breaker Mounting Chassis: Manufacturer \| \| \| \| 21 \| Circuit Breaker Mounting Chassis: Continuous current rating \| \| \|---\|---\|---\| \| 22 \| Location of cable entry \| \| \| 23 \| Standard to which board is designed and constructed \| \| \| \| \| Switchboard Panel \| \| 24 \| Switchboard is IP51 rated \| \| \| 25 \| Material of switchboard panel \| \| \| \| \| Design and Support Documentation \| \| 26 \| Design drawing of offered system provided \| \| \| 27 \| Operations and maintenance manual if any \| \| \| 28 \| Inspection and Test reports \| \| \| 29 \| Any other document which may add value to the bid \| \| TENDER CHECKLIST The Bidders must ensure that the details and documentation mention below must be submitted as part of their tender Bid Tender Number _________________ Tender Name ________________________________________________________ 1. Full Company / Business Name: ____________________________________________ (Attach copy of Registration Certificate) 2. Director/Owner(s):_______________________________________________________ 3. Postal Address: __________________________________________________________ 4. Phone Contact: __________________________________________________________ 5. Fax Number: ____________________________________________________________ 6. Email address: __________________________________________________________ 7. Office Location: _________________________________________________________ 8. TIN Number: ____________________________________________________________ (Attach copy of the VAT/TIN Registration Certificate - Local Bidders Only (Mandatory) 9. FNPF Employer Registration Number: _________ (For Local Bidders only) (Mandatory) 10. Provide a copy of Valid FNPF Compliance Certificate (Mandatory- Local Bidders only) 11. Provide a copy of Valid FRCS (Tax) Compliance Certificate (Mandatory Local Bidders only) 12. Provide a copy of Valid FNU Compliance Certificate (Mandatory Local Bidders only) 13. Contact Person: _________________________________________________ I declare that all the above information is correct. Name: ______________ Position: _________________ Sign: __________________ Date: ______________ TENDER SUBMISSION - INSTRUCTION TO BIDDERS Bidders are requested to upload electronic copies via Tender Link by registering their interest at: https://www.tenderlink.com/efl EFL will not accept any hard copy submission to be dropped in the tender box at EFL Head Office in Suva. This tender closes at 4.00pm (1600hrs) on Wednesday 26 th October, 2022. For further information or clarification please contact our Supply Chain Office on phone (+679) 3224360 or (+679) 9992400 or email us on email@example.com The bidders must ensure that their bid is inclusive of all Taxes payable under Fiji Income Tax Act. Bidders are to clearly state the percentage of VAT that is applicable to the bid prices. The lowest bid will not necessarily be accepted as the successful bid. The Tender Bids particularly the "Price" must be typed and not hand written. Any request for the extension of the closing date must be addressed to EFL in writing three (3) working days prior to the tender closing date. Tender Submission via email or fax will not be accepted.

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