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4 ENTRANCE ANTIPHON: The Lord said: I think thoughts of peace and not affliction. You will call upon me, and I will answer you, and I will lead back your captives from every place. (Jer 29:11-12, 14) A reading from the Book of Daniel (12:1-3) At that time shall arise Michael, the great prince who has charge of your people. And there shall be a time of trouble, such as never has been since there was a nation till that time; but at that time your people shall be delivered, every one whose name shall be found written in the book. And many of those who sleep in the dust of the earth shall awake, some to everlasting life, and some to shame and everlasting contempt. And those who are wise shall shine like the brightness of the firmament; and those who turn many to righteousness, like the stars for ever and ever. This is the Word of the Lord. Responsorial Psalm: Response: Keep me safe, O God; you are my hope. O Lord, it is you who are my portion and cup; it is you yourself who are my prize. I keep the Lord ever in my sight: since he is at my right hand, I shall stand firm. R./ And so my heart rejoices, my soul is glad; even my body shall rest in safety. For you will not leave my soul among the dead, nor let your beloved know decay. R./ You will show me the path of life, the fullness of joy in your presence, at your right hand happiness for ever. R./ A reading from the Letter to the Hebrews (10:11-14, 18) Every priest stands daily at his service, offering repeatedly the same sacrifices, which can never take away sins. But when Christ had offered for all time a single sacrifice for sins, he sat down at the right hand of God, then to wait until his enemies should be made a stool for his feet. For by a single offering he has perfected for all time those who are sanctified. Where there is forgiveness of these, there is no longer any offering for sin. This is the Word of the Lord. Alleluia, alleluia! Stay awake, pray at all time, for the strength to stand with confidence before the Son of Man. Alleluia! (Lk 21:36) A reading from the Holy Gospel according to St Mark (13:24–32) Jesus said to his disciples, "In those days, after the great tribulation, the sun will be darkened, and the moon will not give its light, and the stars will be falling from heaven, and the powers in the heavens will be shaken. And then they will see the Son of man coming in clouds with great power and glory. And then he will send out the angels and gather his elect from the four winds, from the ends of the earth to the ends of heaven. "From the fig tree learn its lesson: as soon as its branch becomes tender and puts forth its leaves you know that summer is near. So also, when you see these things taking place, you know that he is near, at the very gates. Truly, I say to you, this generation will not pass away before all these things take place. Heaven and earth will pass away, but my words will not pass away. "But of that day or that hour no one knows, not even the angels in heaven, nor the Son, but only the Father." The Gospel of the Lord. Communion Antiphon: To be near God is my happiness, to place my hope in God the Lord. Entrance: PRAISE TO YOU O CHRIST OUR SAVIOUR (Ps 72:28) Offertory LORD ACCEPT THE GIFTS WE OFFER Refrain: Praise to you, Communion: SEEK YE FIRST O Christ, our Saviour, Word of the Father, calling us to life; Son of God who leads us to freedom: Glory to you, Lord Jesus Christ! You are the Word who calls us out of darkness; You are the Word You are the Word who leads us into light; who brings us through the desert: Glory to you, Lord Jesus Christ! You are the Word who calls us to be servants; You are the Word You are the Word – whose only law is love; made flesh who lives among us: Glory to you, Lord Jesus Christ! © 1986, Bernadette Farrell. Published by OCP Publications Public Domain Seek ye first the Kingdom of God And His righteousness And all these things shall be added unto you Allelu, Alleluia! Man shall not live by bread alone That proceeds from the mouth of God But by every word Allelu, Alleluia! Ask and it shall be given unto you Knock and the door shall be opened Seek and ye shall find unto you Allelu, Alleluia! A-le-lu-ia, A-le-lu-u-ia A-le-lu-ia, A-le-lu, Alle-lu-ia Lord accept the gifts we offer at this Eucharistic feast, Bread and wine to be transformed now, Take us too Lord and transform us, through the action of thy priest, may Thy grace in us increase. May our souls be pure and spotless, as the host of wheat so fine, May all stain of sin be crushed out like the grape that forms the wine, As we too become partakers in this sacrifice divine Take our gifts Almighty Father, living God eternal true, Christ our Saviour Which we give through pleading here for us anew Grant salvation to us present and our faith and love renew. Contributor:Mary Teresine Haban: Text: © 1959, 1977, Liturgical Press. St. Brigid & St.Mark Collections I Collection $540 - 00 2 Collection $320 - 00 Envelopes $1208 - 00 Hymns: Reprinted with Permission ONE LICENSE # A-736575. All rights reserved. Final BRING FORTH THE KINGDOM You are salt for the earth, O people, salt for the city of God! O people: Share the flavor of life, life in the kingdom of God! Bring forth bring forth the kingdom of mercy, the kingdom of peace. Bring forth the kingdom of justice, bring forth the city of God! You are a seed of the word, bring forth the kingdom O people, of God! and seeds of justice, Seeds of mercy grow in the kingdom of God! Text and tune: Marty Haugen; © 1986, GIA Publications, Inc. Weekly Parish Newsletter Bollettino Parrocchiale Settimanale Volume XV- Issue 30th-33rdSUNDAY IN ORDINARY TIME "Year B"14th November 2021 The Parish Community of St. Brigid and St. Mark 378 Nicholson Street - North Fitzroy 3068 Vic - Phone No: 03 9489 6777 Email: email@example.com website: http://pol.org.au/fitzroynorth/Home.aspx Facebook: www.facebook.com/stbrigidsparish We acknowledge the Wurundjeri people, the traditional owners and custodians of the land on which we stand. We pay our respects to them for their care of the land. May we walk gently on this land. Living in the Power of Now with God Vivere il Momento Presente con Dio Covid-19 pandemic brings in our world today not only disasters but also blessings .One of the blessings we learn is the value of the present moment being spent alone , with members of our families, and hopefully with God in prayer. Jesus invites us today to cherish our loving relationship with Him and with one another not by clinging into our past or worrying about our future, but by being truly present in the now . When I say to you " I love you '' , I must make time and be present with you . After all, only LOVE that matters most to us and to God in this life and in the life to come . Let me end this reflection with the words of wisdom of Eckhart Tolle "Unease, anxiety, tension , stress, worry— all forms of fear —are caused by too much future and not enough presence , Guilt, regret, resentment, grievances, sadness, bitterness and forms of nonforgiveness are caused by too much past and not enough presence ". Fr Frank CS (Parish Priest) Prayer to Blessed John Baptist Scalabrini La pandemia Covid-19 porta nel nostro mondo oggi non solo disastri ma anche benedizioni. Una delle benedizioni che impariamo e''il valore del momento presente trascorso da soli, con I membri delle nostre famiglie, e speriamo , anche con Dio nella preghiera . Gesu' ci invita oggi a custodire il nostro rapporto d''amore con Lui e gli uni con gli altri non aggrappandoci al nostro passato ne' preoccpandoci del nostro futuro'ma essendo veramente presenti nel presente. Quando ti dico "ti amo" cioe devo trovare il tempo ed essere presente con voi. Dopotutto, solo L'ÁMORE che conta di piu'' per noi e per Dio in questa vita e nella quella in attesa Pemettetemi di concludere questa riflessione con le parole di saggezza di Eckhart Tolle " Disagio, ansia, tensione, stress, preoccupazione— tutte le forme di paura —sono causati da troppo futuro, e non abbbastanza presenza . Senso di colpa, rimpianti, risentimento, lamentale, tristeza, amarezza,e tutte le forme di non perdono sono causati da troppo passato, e non abbastanza presenza . P Frank CS (Parroco) O Blessed John Baptist Scalabrini, missionary of the Word of God, minister of the Eucharist and the Church Man of charity and communion, most loving son of Mary, apostle of the catechism, and father to the migrants , we rely on your intercession to receive God's blessings on ourselves and our beloved ones, on those who face migration and on all humankind. May the Holy Trinity, through your intercession, grant us the grace … (silently mention your petition here) that we entrust to your fatherly love. Amen. Our Father, Hail Mary, Glory Be. Blessed John Baptist Scalabrini. Pray for us! Fac me cruce inebriari (Let me be intoxicated by your Cross) JB Scalabrini To celebrate the occasion of the 25th Anniversary of the Beatification of our Founder Blessed John Baptist Scalabrini (09.11.1997–09.11.2022), we, Missionaries of St Charles – Scalabrinians, launched the "Scalabrini Year" on 09.11.2021. The Missionaries of St. Charles Borromeo - Scalabrinians - www. Scalabrini. org Ministering to the Parish and Migrants in St. Brigid since 1959 Our Parish is committed to the safety, wellbeing and dignity of all children and vulnerable adults. 2 Day of the Week Liturgical Calendar and activities Liturgical Celebra- tion Intention St. Mark Intention St. Brigid Parish Activity SATURDAY / SABATO "Heaven and Defunti membri delle famiglie 13th November 2021 earth will pass 6.00pmIntentions► CIRACI, MAZZON, e \| SUNDAY/DOMENICA 14th November 2021 33rd Sunday in Ordinary Time Year “B” \| "Il cielo e la terra passeranno, ma le mie parole non Passeranno". \| 8 .30am A l f redo MORETTI N icola e Giustina DI LABIO e famiglia Antonio DEL RASO Filomena DEL RASO Nicola PAOLUCCI \| \| 9.45am Virginio R. SACLOT Mark Joseph DE CASTRO John, Pasikalia & Vincent SMITH — Carmen Mary & Paul CORTIS 11.00am (Elenco prossima pagine) \| \| Baptism Celebration for: Allegra Enza GIRBAU Congratulations! \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Monday/Lunedi 15th November 2021Year ‘’B’’ 1 Macc 1:10-15,41-43, 54-57,62-64 Lk 18:35-43 \| Responsorial Psalm Give me life, O Lord, and I will do your commands. \| \| \| 9.15am Angela TAGLIARINI in DELL’OLIO. \| \| \| \| \| Tuesday/Martedi 16th November 2021 Year ‘B’’ 2 Macc 6:18-31: Lk 19:1-10 \| Responsorial Psalm The Lord upholds me. \| \| \| 9.15am Antonia & George COSTANZO Lina & Giovanni ROLLO \| \| \| \| \| Wednesday /Mercoledí 17th November 2021Year “B” St. Elizabeth of Hungary 2 Macc 7;1, 20-31; Lk 19:11-28 \| Responsorial Psalm Lord, when your Glory appears, my joy will be full. \| \| \| 9.15am St. Elizabeth of Hungary \| \| \| \| \| Thursday Giovedí 18th November 2021 Year “B” 1 Macc 2;15-29; Lk 19:41-44 \| Responsorial Psalm To the upright I will show the saving power of God . \| \| \| 9.15am \| \| \| \| \| Friday/Venerdí 19th November 2021 Year “B” 1 Macc 4:36-37, 52-59 Lk 19:45-48 \| Responsorial Psalm We praise your glorious name O mighty God. \| \| \| 9.15am \| \| \| \| \| Parish Community Parish Priest: Fr. Fransiskus (Frank) Yangminta, CS 0406 086 432 Assistant Parish Priests: Fr. Savino Bernardi, CS 0434 089 707 Fr. Vito Pegolo, CS & Migrant Chaplain to the Italian Community: Tel: 0419 736 890 \| Parish Office Monday to Friday 9.30am - 4.30pm Parish Secretary Giovanna Bellissimo Tel: (03) 9489 6777 \| \| Comunidad Pastoral De Habla Hispana Chaplain P. Fabio Esteban Duque Supulveda, CS Tel: (03) 9482 5362 Mob: 0410 001 462 \| \| Comunidade Pastoral De Expressão Portuguesa Chaplain P. Fabio Esteban Duque Supulveda, CS Mob: 0410 001 462 \| \| Filipino Pastoral Community Chaplain Mons. Joselito Asis Tel: (03) 9482 5349 Mob: 0404 261 228 \| \| Liturgy of the Word 20th & 21st November 2021 \| 6.00pm Vigil St. Brigid \| 8.30am St. Mark \| 9.45am St. Brigid \| 11.00am St. Brigid \| \|---\|---\|---\|---\|---\| \| I Reading \| M. de Souza \| G. Piantella \| E. Elkins \| T. Toscano \| \| Responsorial Psalm \| M. de Souza \| G. Piantella \| A. Atherton \| P. La Marca \| \| II Reading \| M. de Souza \| G. Piantella \| C. Penitito \| N. Cavallin \| 3 Moving with the times - Online Giving: If anyone wishes to make a donation online to the parish this is the link to St. Brigid's Parish North Fitzroy https://melbourne.cdfpay.org. au/ details/?id=622453 SUNDAY CATECHISM Religious instructions with the Missionaries of Charity for children preparing for 1st communion and Confirmation every Sunday at 10.30am in The Welcome In Room INTENZIONI PER I CARI DEFUNTI MESE DI NOVEMBRE: PARISH COVID SAFE PLAN A. 5.00PM MASS every FRIDAY (same as Sunday Vigil Mass) at St. Brigid's only for people who have unknown vaccination status the unvaccinated (This mass schedule remains in place from Friday 5th November until Friday 17th December 2021) B. The fully vaccinated people only, in this time, can attend regular Mass Times Red Wednesday: Stand up for persecuted Christians Parishes and households across the Archdiocese are invited to stand in solidarity on November and to pray for our brothers and sisters around the world who are suffering violence, persecution and death simply for professing their religious beliefs. 11.00am INTENZIONI Michele PANTALEO (1mo. annv.) Vincenzo e Vincenza TRIGILA Anna e Emilio RICCIUTI Angelo e Raffaele RICCIUTI Maria e Bartolomeo PANTALEO Defunti membri delle famiglie CAPITO, TRIGILA, BANDIERA e COSMA Defunti membri delle famiglie COLOSIMO e RUSSO Defunti membri delle famiglie BELLISSIMO e PETRUCCI Defunti membri delle famiglie FRACARO e MARTINI - Bruno RIGONI Defunti membri delle famiglie TOSCANO, AIELLO, DIPIERRI e SPINA Defunti membri delle famiglie LA MARCA, PASQUALE, MURGO e NUCCI Caterina FLORIO e def.memb della famiglia Immacolata, Concetta, Luisa e Carmela Gaetano BONGIOVANNI Paola SALUSTRO Rosa e Mario LOMACCHIO Michele e Carmela SALUSTRO e in ricordo di tutti i nonni Antonia e George COSTANZO Lina e Giovanni ROLLO or 24th Canto LODATE DIO Canto Di Comunione TI RINGRAZIO, O MIO SIGNORE Canto D'Offertorio Lodate Dio, schiera beate del cielo, lodate Dio, genti di tutta la terra: cantate a lui, che l'universo creò, somma sapienza e splendore. Lodate Dio, Padre che dona ogni bene. lodate Dio, ricco di grazia e perdono: cantate a lui, che tanto gli uomini amò da dare l'unico Figlio. Lodate Dio, uno e trino Signore, lodate Dio, mèta e premio dei buoni: cantate a lui, sorgente di ogni bontà, per tutti i secoli. Amen! Ti ringrazio, o mio Signore, per le cose che sono nel mondo, per la vita che tu mi hai donato, per l'amore che tu nutri per me. Alleluia, O mioSignore! Alleluia, O Dio del Cielo! Alleluia, O mio Signore! Alleluia, O Dio del Ciel! Come il pane che abbiamo spezzato Era sparso in grano sui colli, così unisci noi, sparsi nel mondo, in un Corpo che sia solo per te. Rit. Quell'amore che unisce te al Padre Sia la forza che unisce i fratelli ed il mondo conosca la pace: la tua gioia regni sempre tra noi. MISTERO DELLA CENA Mistero della Cena è il Corpo di Gesù. Mistero della Croce è il Sangue di Gesù. È questo pane e vino è Cristo in mezzo ai suoi Gesù risorto e vivo sarà sempre con noi. Mistero della Chiesa è il Corpo di Gesù . Mistero della pace è il sangue di Gesù. Il pane che mangiamo fratelli ci farà. Intorno a questo altare l'amore crescerà. Sul tavolo all'ingresso della Chiesa e sui banchi, si trovano bustine per le intenzioni in ricordo dei defunti, scrivete i loro nomi con la vostra offerta e questi saranno ricordati durante il mese di Novembre e durante tutto l'anno. Grazie. NOVEMBER MASS ENVELOPES: available at the entrance to the church and on the pews. Please write the name of the person/s you wish to remember and place For those who wish to remember their loved ones during November and throughout the year, there are envelopes the envelope with your offering in the collection basket. Thank you. Padri Savino e Vito saranno assenti dalla parrocchia da Lunedì 15 a Venerdì 19 Novembre per il ritiro annuale a Sydney. Le nostre preghiere vanno con loro. Fathers Savino e Vito will be on their annual retreat in Sydney from this Monday 15th to Friday 19 November. Our prayers go with them. Canto Finale SANTA MARIA DEL CAMMINO Mentre trascorre la vita, solo tu non sei mai Santa Maria del cammino, sempre sarà con te. Vieni o Madre in mezzo a noi vieni Maria quaggiù cammineremo insieme a te verso la libertà. Quando qualcuno ti dice: lotta per un mondo nuovo, "Nulla mai cambierà" lotta per la verità. Rit. Lungo la strada la gente, chiusa in se stessa va: offri per primo la mano a chi è vicino a te. Rit. Quando ti senti ormai stanco, e sembra inutile andar, tu vai tracciando un’altro ti seguirà. Rit. un cammino:
Letters to the Editor detecting mild steatosis. 7 Yet, it seems highly unlikely that missing out on some individuals with only mild steatosis resulted in a complete distortion of associations. Last, the FAST score was mentioned; this is a composite of liver stiffness, CAP and AST (aspartate aminotransferase) that has been used to predict the presence of NASH-ﬁbrosis. 8 This score is likely to encounter the same issues as liver stiffness alone and might not discriminate between venous congestion and NASH-ﬁbrosis. Because of the important role attributed to liver stiffness in this algorithm, validation of the diagnostic accuracy of the FAST score is required in populations at risk of venous congestion. In conclusion, we believe that the potential issues mentioned by Tsai et al. have not had any impact on our conclusion that atrial ﬁbrillation was associated with liver stiffness and not with fatty liver disease. However, additional studies are warranted to investigate the exact impact of the association between atrial ﬁbrillation and fatty liver disease on current elastography-based risk stratiﬁcation algorithms. Financial support Financial support was provided by the Foundation for Liver and Gastrointestinal Research, Rotterdam, the Netherlands. The funding source did not inﬂuence study design, nor the writing of the report and decision to submit for publication. Conﬂicts of interest RdK is a speaker for Echosens, consultant for AbbVie and received grants from Abbvie, Gilead and Janssen. The remaining authors reported no relevant conﬂicts. Please refer to the accompanying ICMJE disclosure forms for further details. Authors' contributions Writing of the manuscript: LvK and RdK. Critical review of the manuscript, approval of ﬁnal version approval of submission: LvK, MK, and RdK. Supplementary data Supplementary data to this article can be found online at https:// doi.org/10.1016/j.jhep.2022.07.030. HBsAg seroclearance and reduction in late recurrence of HBVrelated HCC: Causality or co-existence? To the Editor: We read with great interest the recent article in Journal of Hepatology by Yoo et al. 1 Among 2,520 patients who were alive and recurrence free 2 years after curative resection for HBVrelated early-stage (BCLC stage 0/A) hepatocellular carcinoma Received 4 June 2022; accepted 9 June 2022; available online 19 June 2022 (HCC), 891 (35.4%) patients developed late recurrence (>2 years after surgery) while 172 (6.8%) achieved HBsAg seroclearance during a median follow-up duration of 6.9 years after resection. Using univariate and multivariate analysis, the authors demonstrated that HBsAg seroclearance was independently associated with a signiﬁcantly lower risk of late recurrence of HBV-related HCC. As the authors stated at the end of this paper, HBsAg seroclearance has a "beneﬁcial impact" on reducing the 1468 Journal of Hepatology2022vol. 77 j – 1451 1474 References [1] van Kleef LA, Lu Z, Ikram MA, de Groot NMS, Kavousi M, de Knegt RJ. Liver stiffness, but not fatty liver disease, is associated with atrial ﬁbrillation: the Rotterdam Study. J Hepatol 2022;77:931–938. [2] Tsai W-C, Yu M-L, Dai C-Y. Liver stiffness, fatty liver disease and atrial ﬁbrillation in the Rotterdam study: some issues. J Hepatol 2022;77:1466–1477. [3] Feinberg WM, Blackshear JL, Laupacis A, Kronmal R, Hart RG. Prevalence, age distribution, and gender of patients with atrial ﬁbrillation: analysis and implications. Arch Intern Med 1995;155:469–473. [4] Schnabel RB, Yin X, Gona P, Larson MG, Beiser AS, McManus DD, et al. 50 year trends in atrial ﬁbrillation prevalence, incidence, risk factors, and mortality in the Framingham Heart Study: a cohort study. Lancet 2015;386:154–162. [5] Wijarnpreecha K, Panjawatanan P, Aby E, Ahmed A, Kim D. Nonalcoholic fatty liver disease in the over-60s: impact of sarcopenia and obesity. Maturitas 2019;124:48–54. [6] Ross R, Neeland IJ, Yamashita S, Shai I, Seidell J, Magni P, et al. Waist circumference as a vital sign in clinical practice: a Consensus Statement from the IAS and ICCR Working Group on Visceral Obesity. Nat Rev Endocrinol 2020;16:177–189. [7] Cao Y-t, Xiang L-l, Qi F, Zhang Y-j, Chen Y, Zhou X-q. Accuracy of controlled attenuation parameter (CAP) and liver stiffness measurement (LSM) for assessing steatosis and ﬁbrosis in non-alcoholic fatty liver disease: a systematic review and meta-analysis. eClinicalMedicine 2022:51. [8] Newsome PN, Sasso M, Deeks JJ, Paredes A, Boursier J, Chan WK, et al. FibroScan-AST (FAST) score for the non-invasive identiﬁcation of patients with non-alcoholic steatohepatitis with signiﬁcant activity and ﬁbrosis: a prospective derivation and global validation study. Lancet Gastroenterol Hepatol 2020;5:362–373. 1 Laurens A. van Kleef ,* Maryam Kavousi 2 Robert J. de Knegt 1 Departments of Gastroenterology and Hepatology, Erasmus MC, 1 University Medical Center, Rotterdam, The Netherlands 2 Departments of Epidemiology, Erasmus MC, University Medical Center, Rotterdam, The Netherlands * Corresponding author. Address: Department of Gastroenterology and Hepatology, Erasmus MC University Medical Center, Dr.Molewaterplein 40, room NA-602, 3015 GD Rotterdam, the Netherlands; Tel.: +31 6 50155197. E-mail address: firstname.lastname@example.org (L.A. van Kleef) risk of late recurrence for patients with HBV-related HCC. Although interesting, we have the following concerns about the inherent relationship between HBsAg seroclearance and late recurrence. First, in this study, Yoo et al. did not give the details regarding the sequence of HBsAg seroclearance and late recurrence. During the median follow-up of 6.9 years, among 172 patients with HBsAg seroclearance, 36 (20.9%) patients developed late recurrence. It is very possible that some patients ﬁrst developed late recurrence of HCC and then achieved HBsAg seroclearance in the real world. If so, it is inappropriate for a cohort study to use variables that occurred after the occurrence of the endpoint event. In our opinion, the ambiguous sequentiality between HBsAg seroclearance and late recurrence suggests that the causal relationship between them is really very weak. Second, by inhibiting viral replication, antiviral therapy has been widely recognized as being associated with reduced postoperative recurrence, especially late recurrence of HBV-related HCC. 2 , 3 Actually, HBsAg seroclearance is also one of the results of antiviral therapy, although the probability of its occurrence is still very low nowadays. 4 , 5 That is to say, both HBsAg seroclearance and the reduction in late recurrence are the consequences of antiviral therapy, and these outcomes co-exist in patients treated with regular antiviral therapy during follow-up. In conclusion, HBsAg seroclearance and no recurrence are optimal outcome events for patients undergoing curative liver resection for HBV-related HCC who receive antiviral therapy during the follow-up period. However, the effect of HBsAg seroclearance on the reduction of recurrence is still worthy of further mechanistic research. Financial support Adjunct Talent Fund of Zhejiang Provincial People's Hospital (No: 2021-YT from Tian Yang). Conﬂicts of interest The authors disclose no conﬂicts. Please refer to the accompanying ICMJE disclosure forms for further details. Authors' contributions Study concepts: Yong-Kang Diao, Qing-Yu Kong, Tian Yang; Manuscript preparation and editing: Yong-Kang Diao, Qing-Yu Kong; Manuscript review: Tian Yang. All the authors reviewed the paper and approved the ﬁnal version. Yong-Kang Diao and Qing-Yu Kong contributed equally to this work. Supplementary data Supplementary data to this article can be found online at https:// doi.org/10.1016/j.jhep.2022.06.009. References Author names in bold designate shared co-ﬁrst authorship [1] Yoo S, Kim JY, Lim YS, Han S, Choi J. Impact of HBsAg seroclearance on late recurrence of hepatitis B virus-related hepatocellular carcinoma after surgical resection. J Hepatol 2022;77:939–946. [2] Urata Y, Kubo S, Takemura S, Uenishi T, Kodai S, Shinkawa H, et al. Effects of antiviral therapy on long-term outcome after liver resection for hepatitis B virus-related hepatocellular carcinoma. J Hepatobiliary Pancreat Sci 2012;19:685–696. [3] Wang MD, Li C, Liang L, Xing H, Sun LY, Quan B, et al. Early and late recurrence of hepatitis B virus-associated hepatocellular carcinoma. Oncologist 2020;25:e1541–e1551. [4] Kim GA, Lim YS, An J, Lee D, Shim JH, Kim KM, et al. HBsAg seroclearance after nucleoside analogue therapy in patients with chronic hepatitis B: clinical outcomes and durability. Gut 2014;63:1325–1332. [5] Terrault NA, Bzowej NH, Chang KM, Hwang JP, Jonas MM, Murad MH. AASLD guidelines for treatment of chronic hepatitis B. Hepatology 2016;63:261–283. 1 Yong-Kang Diao ,2 Qing-Yu Kong 3 1 Tian Yang ,2,* 1 Department of General Surgery, Cancer Center, Division of Hepatobiliary and Pancreatic Surgery, Zhejiang Provincial People's Hospital, Afﬁliated People's Hospital, Hangzhou Medical College, Hangzhou, Zhejiang, China 2 Department of Hepatobiliary Surgery, Eastern Hepatobiliary Surgery Hospital, Navy Medical University (Second Military Medical University), Shanghai, China 3 Department of Hepatobiliary Surgery, Afﬁliated Hospital of Nantong University, Nantong, Jiangsu, China * Corresponding author. Address: Department of General Surgery, Cancer Center, Division of Hepatobiliary and Pancreatic Surgery, Zhejiang Provincial People's Hospital, Zhejiang, China. Tel.: +86-018917015805, fax: +86-21-81875182. E-mail address: email@example.com (T. Yang) HBsAg seroclearance reduces the risk of late recurrence in HBVrelated HCC To the Editor: We read with great interest the article published in the Journal of Hepatology by Yoo et al. and colleagues. 1 This study found that HBsAg loss was associated with a 38% lower risk of late recurrence of hepatocellular carcinoma (HCC) after curative liver resection compared with persistent HBsAg positivity. Journal of Hepatology2022vol. 77 j – 1451 1474 1469
A journal for underrepresented writers VOICES VOICES VOICES VOICES VOICES VOICES VOICES issue two volume one untitled Ollie Charles Nicola Lampard Co-Founders Paul Stapleton Design untitledwriting.co.uk @untitled_writing @writinguntitled Welcome to the second issue of Untitled: Voices! After the success of the first issue earlier in the year, we knew we wanted to get right back to work on a second collection. Again, so many of you submitted and trusted us to read your writing - for that we are eternally grateful. We believe it is vital, now more than ever, to work to amplify underrepresented voices. This collection is our part of the fight to be heard. We're so excited to be publishing two more volumes of amazing underrepresented writers from around the world. We hope you enjoy & thanks for reading! Ollie Charles & Nicola Lampard Poetry VOICES VOICES VOICES VOICES VOICES VOICES VOICES You look celestial under Hoxton streetlights these nights end with a fistfight between me and some pub stranger I'm sorry I bring you danger on the nights we celebrate us. Tequila Arun Jeetoo 31 Bridget Hart When my mum was my age she threw Ann Summers parties (when she was married these gatherings were strictly for Tupperware) a gaggle of women mum's work friends and two of my more daring aunties filled our flat with anticipation and avon perfume I choked on my first cherry vodka jelly glimpsed a bouquet of Bunnies nipple tassels on a stranger's tits * In the bedroom I mashed layers of blue tac into the wall trapping boys with no burning desires they just wanted to sing but had ended up topless in a Smash Hits magazine I cut a finger over the paper abdominals sat back against the door and thought about touching myself Home is a Bus Ride Bridget Hart The Tesco Express where Stacey's parents got engaged is always so bare the isles could still be used for skittles, her picture still pinned above the bar. A pensioner kicks one of the self service machines at the post office my grandfather painted as a young man. Clarence Hardware, the elder of Voy's Corner still beating its fist on the old high street has outlived four gold brokers. Does Grandad know his favourite curry house is a bar named 'Nichole' now? The house where Claire lived before she died has grown a sickness about it and the maple planted in her name is fever red in the city park. 'Shirley Home Fire Centre: a family run business for thirty years' the son once tripped me so hard in the playground my tights shredded at the knees. Will I ever go for ice cream and possibility at the Mayflower theatre again? This bus stop is where he gave me his number on the back of a bus ticket I never said thanks don't think about it Ellen Olivia Warren we could've been anything we wanted, and instead we smoked cigarettes and pondered like depressed philosophers. fingertips cling to the bottle like wet hair on flushed cheeks. it's a memory at the bottom of the glass, and we kept drinking. anything is better than being sober, it's like pulling teeth as we hum along to our imposter syndrome. soon enough we will feel nothing. The Last Post-Turning Over a New Leaf Fiona Linday Taking my last walk in the country park just a few weeks ago, before the gates were locked, I remained positive, even carefree. If only I heard what the birds were manically chirping about then, I may well have found myself doing the New Normal differently... Instead our group of creative, middle-aged women plus one gent! meandered, listening to wildlife and absorbing the wonder of nature. As God's paintbrush swept a green palette to add browns, yellows, then purple and orange hues graced a lawn of blessed crocuses. Our intention- to observe the joys of Mother Nature on the hoof. We bow below an arch taking time to hear the echoed swishing of knitted, wiry willow branches thick with waxy, bursting buds. To stroke a delicate sculpture as sparrows perch above, whittling. I missed a blackbird squawk warnings of a curved ball thrown by an overseas wild species, including that variety of bat I find had since infected us by sneezing out a cloud of the deadly virus. We're hi-jacked by no worries fake news sent on the grapevine. Absorbing germs, the treetop saxophone blew a loud melody before the storm whipped up an apocalyptic, chorused gale. In this vital outdoor space blessed by a cacophony of songbird little did I know, the denied right to roam prevented more trails. To God, I'm thankful He is the same today, as was before and tomorrow the birds will sing along to their country dance. Where you listen to sparrows merrily chortle from a sand pit the blackbirds shout a warning to stay away. No chance! The branches knew about vital social distancing, even then when humans were still sniffling the bitter pandemic scent. Ash trees grew longer roots to help prevent their die back, so we can learn from how these wise, adapted fir trees bent. Tomorrow, you'll touch and hug your family group and friends. Please, gladly listen carefully to embrace everyone's perfect age. Appreciate the birds' instinctive twitch to keep a safe distance. Tomorrow is another day; try next rebuilding your nests stage. Out of the mouths of those forgiven, wild species chicks live so they fly in harmony with you together up to mature treetops. Go raise awareness fairly, even on recycled handmade paper until, an unhealthy battle between creation and mankind stops. Now, dig for victory while listening to climate change warnings and I pray you live together to breath fresh air for another day. This last post I leave you as a thought-provoking legacy because my turning a new leaf prayer aims to sustain an extended stay. Included online at Edgehill University's Wow! Festival, Stories of Everyday Phrases, 2020. The Forgiveness of Sins Gale Acuff I'll be dead before you can say Jesus Christ, I mean considering time and how it compares to Eternity, it might take God that long, eternity I mean, to say Jesus Christ and to Him time here must be so short that almost even He can't make a note of it--I said so to my Sunday School teacher but she said that that was blasphemy, that if I was her son she'd wash out my mouth with soap but I would've put it washed your mouth out with soap which is, I guess, not how God would say it but how she does, I told her so and my sin was forgiven. Whatever it was. I Know Why the Ghosts Cry Ismim Putera I know why the ghosts cry: they cry because the graves are too shallow that they hear every gossip we spread about them what they do is mostly to pull out the nail from the oblong coffin and crawl out on all fours the ghost who laughs the hardest at the funeral cry the hardest at night and we assume they cry because they're too afraid to live or too afraid too die again hell no! they cry because we made them cry like us we cry like half-crazy banshee screeching and groaning and grunting they can see the bones in our throat i know why the ghosts cry: the graves are too shallow and the dirt is too sweet-scented In For Life Jeffrey Zable When I joined a Columbian cartel as an English teacher I began by teaching my students simple phrases like, "Pack the cocaine carefully!" and "That is a beautiful machinegun!" It wasn't long before they were able to express themselves in simple English that gave them confidence should they get arrested and extradited to the United States. "If I go to jail I will take out every member of your family!" one of my students said with hardly an accent, and another fine student declared, "Anyone messes with me, they'll wind up with a Columbian necktie!" Overall it's very satisfying teaching these students because they not only learn quickly, but show their appreciation by showering me with extra cash, cocaine, and sexy female companions. The only caveat is that I'll never be able to leave the organization, because as the saying goes, "Once you're in a cartel, you're in for life!" Desire Jeremy Gadd Whether motivated by need or yearning to achieve a more serene, cerebral state or, besotted by beauty, to physically possess a body or object, desire can become all-consuming, erupting with the intensity of a solar flare. Is it accidental desire rhymes with fire? Desire smoulders, burns, scorches, scars and, overwhelming rational behaviour, can encourage normally honest people to deceive or become a liar for love: the search for serenity can lead to a cult but desire also incentivises and, for all its negative attributes, is the last longing to retire. Boom kanani! Da sky is all glitter and in da carnival day dat wen come wun thundering herd of unicorns came running ovah da hill. Yeeha! I stay riding on da lead stead and da horn is pointed forward foa poke and trample all da pilikia dat like try foa bum me out. Boom kanani! My smile is biggah den wun half moon and I no care wat da negative guys tink wen dey tink wat dey stay tinking cause dey just like da blackness dat like foa swallow me whole but no can. BOOM KANANI Joe Balaz It's all joy foa dis heah buggah boy skipping to da loo and escaping from da repressive zoo. Boom kanani! I stay all happy cause my endorphins like party and buku confetti stay falling from da ceiling. No can rain on my cascade cause I sipping okolehao in da shade and everyting is fine wit me. It may be so cliché to say but I going say it anyway while I stay bursting at da dream— Boom kanani! boom kanani Slang expression of joy and excitement. pilikia Trouble. okolehao Liquor made from the root of the ti plant. SUPAH BIRD Joe Balaz "Wun progressive paradigm is wun pair of dimes replicating plenty kine Roosevelts two by two ovah and ovah again." Dats wat da green parrot wen say at da Honolulu Zoo wen all da people wuz looking at him. No one wen believe dere ears dat da buggah could be so smart and it wuzn't like he wuz trained foa say dat eidah cause da ting suddenly started carrying on two-way conversations wit da gathering crowd. Da amazing bird began to talk about geopolitical problems and industrial pollution along wit da challenges of outer space exploration and everybody's jaws wen drop revealing gaping holes in dere faces. Da news media found about it hearing dat da public wuz calling da bird "Einstein" and ovahnight da green parrot became famous. Da zoo staff nevah know wat foa do at first but some supervisor decided to move and isolate da bird into wun smaller cage so it could be observed moa closely. In trying to catch da ting da door to da main cage wuz mistakenly jarred open and da parrot turned into wun green streak escaping and flying out into da blue. Some astute observers wen notice dat it wuz headed foa da Koolaus. Many years ago some adah green parrots wen escape from wun enclosure at da old Paradise Park and dey wen establish demselves out in da wild. Dey been flying around foa years back and forth across da mountain range from da town side to da windward side. So now wen da flock flies ovah wit dere cries high up in da sky even dough dey all look da same it's going to be fascinating to know dat deah's actually wun genius flying up deah among dem. Koolaus Ko'olau Mountain Range. Sister Kathryn O'Driscoll ``` After Danez Smith's 'A Note on the Body' your body is still your body is soon to be mulch and moulding your body into something you think is beautiful ultimately is trying not to see your death in the mirror but it's just as good to close your eyes your body is silent your body exhales rot and I smell it in every corner of every room I feel at home in ultimately I'm just trying not to see your death in my mirror I don't want your passing to become my identity but you never put a foot wrong if you never move and I move too much and I am too much and you're nothing left now but your body. ``` The Grey Garden Kathryn O'Driscoll I told you I had wildflowers growing in my veins and you thought it was quaint, so, when I took shears to my jugular you wouldn't help me cut them out. You thought I'd be opheliac if they bloomed, splashing white into my already paling wrists. Maybe you thought the perfume would purify me and being a tragic heroine would be better than just being tragic. There's a rose garden planted in my brain I told you how the roots wriggled their spike fingers into my thoughts, how the headaches kept me awake for centuries, how the thorns kept piercing me when I moved and spinal fluid kept leaking from my eyes and still when I vomited petals, coated in their iron-rich soil, you told me that I looked beautiful. And I learned that people love the colour of blood more than they love me. Loved the convenience a friendship built on obsessive selflessness even if it was a symptom. Their roots choked out my heart and the landslides slipped soil into my bloodstream so as I died, drowning in the after-effects of Pretty, all I could hear was you telling me that you loved that I had gardenias in my eyes. Call it what it is Kristian Hoareau Foged Call it what it is, White teen shoplifts, So you take me too, I must be the mastermind, Gangbanger accomplice too. Words get too heavy to lift, Weakening breath screams, Don't cause a rift, Shouting into deaf ears, Denying lived reality. Why can't we call it what it is? Burgundy hoodie on, Shopping nice part of town, Aisle by aisle, watching frown, Labelled jacket 'security', Makes your suspicions clear, Ignoring others in matching gear, Because lighter tones means you don't question, Their presence here. Words get too heavy to lift, Weakening breath screams, Don't cause a rift, Shouting into deaf ears, Denying lived reality. Why can't we call it what it is? Spit hits the ground, By my feet, Shouting tell me to go home, Back to where I came from, Unaccepting I'm standing in my hometown. Words get too heavy to lift, Weakening breath screams, Don't cause a rift, Shouting into deaf ears, Denying lived reality. Why can't we call it what it is? "Fuck off, you're black" Comes the reply to my "how's your night?" "Haha, but seriously," not accepting, That I heard it right, "Fuck off, I don't dig black," And leaves my sight. Words get too heavy to lift, Weakening breath screams, Don't cause a rift, Shouting into deaf ears, Denying lived reality. Why can't we call it what it is? Do my avocados cure sickness or fuel murder? Are bouquet flowers elegant or poison? Am I straight outta Compton when I'm not? When is 'attitude' assigned by skin? Words get too heavy to lift, Weakening breath screams, Don't cause a rift, Shouting into deaf ears, Denying lived reality. Why can't we call it what it is? "I can't breathe". Twice on camera. Unarmed and innocent. Black and jogging. Following rules when birdwatching. Victim untouched by Five in a park. Whose lives matter? Words get too heavy to lift, Weakening breath screams, Don't cause a rift, Shouting into deaf ears, Denying lived reality. Why can't we call it what it is? We have to die because they can't stand to call it racist. Grindr Gone Wrong Louis Glazzard The young men at 25 who followed you online they found you in your baseball cap and left you a twisting map... to the shape of the square screen leaving you wondering what all of this noise means. A cocktail with limes breeds this time an aching. Invading flesh, pink and protruding. Salt ridden eyes your own, a mud masked stranger lets you into his home. Broken door handle dusty bed lamps his kitchen under revamp. As you leave after making love dazed drowsy and drained by the social age. The trail to the foot of your youth pulses in your head. Why did you find a knife, under your lovers' bed? silk gown, her nipple the colour of raspberry at the sound of her voice, around my teeth—my back for my virginity. largest breasts of womankind », the firepit spit into burns. she Portrait of Aphrodite Lucy Hulton her hands painted my lips with aloe vera juice and olive soap. under her wrinkled into her lukewarm wine and dabbed out the flames. she licked her fingers; & I licked t h e m too . broke free like a fire stains on daisy chains. my tongue rusted senses left me as I begged « Grant me the I begged. her face— her hair dipped her hands A Real Date Niamh Haran I suck the lemon before they've even sipped their drink & not because I wanna suck up anymore second-hand alcohol Spent enough time scraping baggies snorting bits of carpet for a high I am not looking for love I am looking for an excuse A reason to enjoy mobile data instead of switching to pay as you go My tinder bio dream To suck toxic waste together & laugh at this baby of a sweet Potentials always wanna go for a drink I wonder what day or if I'll tell them Potentials might shave my head call me the sun rather than a lemon A sentence is a funny thing I make people laugh with those old piercing holes Niamh Haran grandmother was a dinner lady when she moved limerick to hornsey maybe that's why she feeds me so much because cows to milk are gone like the rest of her generation her foot doctor tried talking to me hiding in the kitchen with mrs brown's boys' calendar jaffa cakes stuffed down my throat to avoid the confrontation of corns used to get angry when she said I looked like dad toddler to tomboy to femme to whatever this is now grandmother has short hair too old piercing holes visible once got an earring stuck inside my lobe told my mother and her friends they said you don't know real pain just wait until you have a baby of your own सहारा* Niharika Jain I bring my need to her, It unfurls itself, separate from my history of suppression and silence. The cavern we are in results in echoes, Sound after sound of exposure, of hunger, of deep longing, of hope lying to the need. The two in battle, when they are in fact one, One in me, and two for her. So I try again to bring my need to her. This time, I speak, this time, I say the words, Her affection for perfect rhyme eludes me, I don’t care. I need not sing as the echoes create a harmony of wanting; No longer simple desires No longer scribbles at one AM in bed No longer shameful ideas No longer sins in my head. She seems to listen, pay attention and close the distance between dreaming and wakefulness. I try a third time, to bring my need to her. This time, an attempt to make it hers, That's not the way to go about it, As we float further away, Echoes get garbled and are lost to stalagmites worn shinier, in underwater currents. I bring my need to her for the last time, I am honest, I speak my desire, I uncover my own voice, A new one, which is vulnerable, Which doesn't stand in court. It is weak-kneed It is gloriously proud It is laced with experimentation It is petal-like fragile It is mine. We float, together, The echoes now our joint song, our combined सहारा* in this cavern of meaninglessness. *Hindi – mainstay, support, recourse, sustenance, help, anchor Dystopian Future Olivia Toh Metallic buildings rose sky high, greedily harnessing the sun's scorching energy to power cities. Skies were blanketed with a gloomy patch of constant haziness. The unprotected ones - without masked armours collapsed continually in the middle of exquisitely engineered streets. Earth. An acidic graveyard of crops and extinct animals. Selfish, foolish humans — fools to neglect Earth's cries of rescue at reversible stages. Now, Earth neglected humans' cries of agony, pleads of reversal. Earth made its final summon to set its last demons free. The sun's tormenting heat shone over Earth, and ice caps pleasurably melted to set dormant viruses free. Engine. Engine means he's off to work. Engine marks my safe zone. I wake up after hearing engine. I don't pretend to be asleep, hearing engine. I lay foot on the marble tiles, piercing cold, like the household, the maid greets me and guides me to my morning feast and I munch on the exquisite luxury, trying to ignore the aches and bruises stinging on my jaw. Morning flies by in the blink of an eye. He comes home scanning for traces of his obedient wife. A glance to the kitchen, I brew him coffee, submitting myself to inferiority; a second too late and he pins me onto the floor and whips his leather belt onto my face. I close my eyes to bear the sensation Home Olivia Toh Prose VOICES VOICES VOICES VOICES VOICES VOICES VOICES VOICES The Grave Of Robert Johnson In The Mississippi Delta Caroline Hagen There is a long straight road called Money Road that runs through the cotton fields of the Mississippi Delta not far from Clarksdale. If you find yourself driving along Money Road, as we do on a fiery hot day in July five years ago, you'll be passing three places that for one reason or another you should probably visit. All of them are to do with death, one fictional and two actual, which makes a kind of pleasing symmetry since we're coming from a day and a night in what the locals in Tupelo call The Birthplace. Up to this point we're all agreed that Elvis is hands down the strangest thing to come out of Mississippi. But the day is young. raised questions that have tormented music buffs to this day. Like, what did they throw off the Tallahatchie Bridge? Was it an aborted or miscarried baby or, as the artist herself once hinted, a wedding ring? A draft card? Why did Billy Joe throw himself off the same bridge to his death the next day? And how come this unexplained suicide somehow broke apart an ordinary Delta farming family? We pull into a verge off Money Road and stand on the Tallahatchie Bridge. Maybe you have to be of a certain age, or maybe you have to be a country music fan to understand the appeal of a fairly nondescript bridge over a sluggish river in pretty much the middle of nowhere. Lucky for us, out of the three people in the car, two of us tick both boxes and the third, our youngest son Chris, is fully au fait whether he wants to be or not, due to having grown up in our house. I'm sure you know I'm talking about Ode To Billy Joe, and if you don't, hustle along to whatever you play your music on and call it up. Its a slow haunting song, sometimes categorised as belonging to the sub-genre of Southern Gothic. Bobbie Gentry's smoky voice is backed by her own guitar and some swooping strings, and it gave her an unexpected monumental worldwide hit in 1967. It's a masterclass in packing a complex story into a four minute record, and it The original bridge is gone, destroyed in a fire in 1972 and rebuilt, but it's still worth a visit to us, so that we can say we hung over the rails and looked into the muddy waters off the Tallahatchie Bridge, and that's exactly what we do. The car thermometer reads 94 degrees as we get out and it's about 11am. We've seen maybe a dozen other vehicles in the last hour and now the road is empty and dusty, with the heat rising off the blacktop in a languid haze. We stand there, taking pictures and staring down at the water, singing snatches of the song to each other. The sight of what might be a frog sets Mark and me off, and we warble tunelessly but happily of frogs and county picture shows. I have trouble carrying a tune, but Mark is a whole different level of awful. He's been known to spread confusion and chaos for up to six rows ahead and behind while trying to join in with the hymns at weddings. One couple, dear friends, made our attendance in the church conditional on Mark not singing. That bad. Chris rolls his eyes and starts to laugh. We're all in shorts and thin vests but it's so hot we can feel the sweat popping out on our top lips and at our hairlines the minute we leave the air conditioned car. Mark throws a stick off the bridge and we watch it eddy lazily in the brown water. Truthfully, this bridge is a bit of a disappointment. It looks to me like anyone who threw themselves off it could just swim to the bank. It's really not very high. Doesn't even look very deep. We bundle back into the car and the blessed aircon. We've got two more places to get to. You can't really call Bryant's Grocery and Meat Market a tourist attraction: the awful story that started there makes it more of a tourist repulsion, but nevertheless people go in large numbers to read the memorial plaque that gives a brief resume of the events of 60 years ago, and to stare at the wreckage of the store. And it really is a wreck; actually dangerous now and held together by plastic safety netting. In August 1955 a 14 year old black boy called Emmett Till was abducted by the store's owner, Roy Bryant, and his half brother J W Milam. They tortured him, shot him in the head, then weighted down his body and threw him in the Tallahatchie River, and they did this because Bryant's wife Carolyn had told her husband that Emmett wolf-whistled her when he came into the store a few days earlier to buy some candy. They were arrested, tried and found not guilty by an all-white jury after less than one hours deliberation. Some months later they confessed to the murder - for a large fee from a magazine - and gave harrowing details. The law of double jeopardy meant they couldn't be re-arrested. A hundred days later, Rosa Parks refused to give up her seat on a bus in Alabama. She said that she thought of what had happened to Emmett Till, and she couldn't move. It's a short drive to the site of Bryant's Grocery. We get out of the car and step into the wall of heat. I scrabble in the pile of clutter on the backseat, grab my hat and jam it on my head. The time is approaching midday and the sky is clear and pale blue with the sun directly above us. We have virtually no shadows, no shade and no company. There isn't another living soul as far as the eye can see, and out here across the flat plains of the cottonfields you can see forever. The old Bryant store building is slumped on the side of the empty road, covered in vines that now almost eclipse the safety netting. The three of us stand in silence, alternately staring at the ruin and reading the plaque, feeling the fizz of joy from singing together on the Bridge leaking away into the weedy verge. The story of poor 14-year old Emmett Till seems like something that should have happened over a hundred years ago, in a time we can safely disown, not within living memory. None of us can think of anything to say, so we stand there in silence for a few minutes. I hear Chris mutter "Jesus" under his breath, not in a religious way but in tones of horrified disbelief. It's too hot and too sad to stay any longer so we set off for the last of our targets, and the one that Mark has been waiting for. The one that is possibly the main reason for our road trip through the Deep South. The grave of the legendary blues guitarist Robert Johnson. Robert Johnson was born in the Delta in 1911 and he died in the Delta at the age of 27. He's considered one of the greatest blues guitarists who ever lived, although the nearest he got to a recording studio was a hotel room, and his entire output comprises some 29 songs. It's said he met the devil at a crossroads, where he sold his soul in return for being able to play the blues. There are many legends around him and few verifiable facts, because there are virtually no reliable written records and the oral accounts are confused and contradictory. But it appears to be true that he had a weakness for whiskey and women, and helped himself to plenty of both as an itinerant musician wandering round the southern states, playing on street corners. He was allegedly given poisoned whiskey by the husband of a woman he was having an affair with, and took three days to die. A doctor was never called. His gravesite has been much puzzled over, but is now thought to be in the churchyard of the Little Church of Zion, directly off Money Road. Money Road stretches ahead, straight and white and hazy. You wouldn't think we'd be able to miss the Little Church of Zion but in fact that's exactly what happens. Mark does a U turn and the car bumps up onto the cracked blacktop at the entrance. The thermometer now reads 97° and the humidity is almost unbearable. As we clamber out of the car yet again, I think of all the slaves forced to work these cotton fields in the queasy heat, and now it's my turn to mutter "Jesus" to myself. Chris and I head straight for a big pecan tree and stand in the welcome shade while Mark fiddles with his camera and starts prowling round the churchyard. The church itself is a tiny white clapboard structure, with a couple of high windows. It's probably about the size of our living room at home. There's a sign that says services are held once a month here, although I don't like their chances of getting any more than 10 people in the building. The burial ground adjoining the church is nothing but a field of scabby earth and sickly looking patches of grass here and there. A few of the tombstones - no more than eight or nine of them in total - are leaning at crazy angles. At some point there must have been a small land slip or something, because we can see the corner of a coffin sticking up out of the ground by one of the more recent looking stones. They seem like a mixture of old and relatively new, but there's one that stands out from the rest by virtue of its size and this, it turns out, is Robert Johnson's resting place. Across the flashy stone is written "I know that my Redeemer liveth and I know that He will call me from the grave" in a facsimile of Johnson's handwriting, taken directly from a letter that he wrote to his sister. The quotation, although I don't find this out until later, is from Handel's Messiah. Round the bone dry earth at the bottom of the grave previous visitors have left tokens. Little charms, whiskey bottles, a lock of hair, a couple of tiny shot glasses, thin leather bracelets. The silence is absolute and the sun is coming down through the trees like a hammer. Unconsciously, Chris and I have huddled closer together. There's a weird energy about this place that's making me feel very uneasy. I find myself thinking that you couldn't pay me enough to come back here at night when there's a sudden yelp from Mark and we both jump convulsively. "Jesus!" he says, making it a hat trick for our Lord and Saviour. He's clutching his chest with one hand, the camera dangling on its strap from the other and he's looking utterly bewildered. "What was that?" "Well, what happened?" I squeak, hand on thumping heart. "We didn't see. What were you doing?" He pulls his T shirt up and we can see a round bright red mark in the middle of his chest, as if someone has hit a tennis ball at him really hard. "Blimey, that hurts," he says, rubbing it. "I was just trying to get a picture of the inside of the church. I held the camera up and then something sort of...sort of.... flew out of the wall and bit me." "Didn't you see it?" "No! I don't see where it can have come from either.." We look at the bland white wall of the church. I start to wonder what sort of strange exotic insects there might be round here that could've bitten him and whether we need to find a hospital, but on closer inspection of the red mark we can all see that there's no puncture. We stand there in the hot heavy silence for about a minute, looking rather wildly about us. "Let's just go," Chris says. "Just drive away now." This is a popular suggestion. We don't exactly run back to the car but we certainly bustle very briskly indeed. Mark stuffs the camera into the centre console and swings the wheel back onto Money Road, heading towards Clarksdale where we'll be staying tonight. He concentrates on his driving, responding in terse monosyllables to my enquiries. "Does it still hurt?" "Yep." A few miles later: "Does it still hurt now?" "Yep." Fifteen minutes further on: "Does it....?" "God, Caroline!" We pull up in Clarksdale to find the guy with the keys leaning up against his car outside our accommodation. This is two self contained apartments next door to each other directly off the street and rejoicing in the collective name The Hooker Hotel. Keys man has got no fucks to give about the heat, and is wearing faded Levi's, scuffed up cowboy boots and a long sleeved T shirt featuring a perkily breasted naked lady, in the 1950's Pin Up Art style, hanging onto a pole. Arranged in a semi circle above and below her are the words "Liquor In The Front" and "Poker In The Rear". I can see Chris fancying himself greatly in just such a T shirt when he goes back to University in October and make a mental "oh no you don't" note to myself. The apartments are clean, the air conditioning is working and both are equipped with kitchens, fridges, coffee machines and the like. Ours has a separate bedroom, while Chris's is one big space dominated by a king size bed. The town seems deserted, with keys man the only other person we've seen, and by common consent we heave our cases silently into our rooms and go to bed. It's only mid afternoon but it's already been a long, strange day. That evening, slightly groggy from sleeping during the day, we meet outside the Hooker Hotel and wander through the darkening town to Ground Zero, Morgan Freeman's blues club. It's a cavernous space, covered in graffiti and furnished from someone's granny's attic. On stage are a band from Kansas playing 10 Years After covers, and the place is surprisingly full given the empty streets we walked through to get here. By a quirk of pricing, there's hardly any difference between buying a gin and tonic, a glass of wine or a beer and normally I'd be G&T and no mistake, but somehow it's been a cold beer kind of day. We sit idly watching the band, rolling our frosted beer bottles round our hot faces and rather hesitantly talking through the events of the day. The red circle on Mark's chest has gone, leaving no evidence that it was ever there, although the experience at The Little Church Of Zion seems even odder in retrospect than it did at the time. But then, we all agree, the whole area feels odd. As we left Tupelo and drove down into the Delta, we seemed to pass through an invisible membrane to a different place. The shadows cast by slavery and racism are darker here than anywhere else in the Southern states, the weight of injustice and unhappiness heavier. But out of all that came the astonishing music: Robert Johnson, Bobbie Gentry, Sam Cooke, Muddy Waters, Bo Diddley, BB King, Howlin' Wolf, Arthur 'Big Boy' Crudup - the list isn't endless but it's very long. And now it's 2015 and we're sitting in Clarksdale, "ground zero" for the blues, drinking beer in a club owned by a globally famous black man whose name is Freeman. We clink our frosty beer bottles together and raise a toast to the glorious weirdness that is the Mississippi Delta. 1912 DC Diamondopolous "Women and children first! Women and children first!" The ship creaks, a slow back and forth. The vessel tilts. I balance myself between the doorway. A brandy snifter in one hand, a cigar in the other, I am alone as I watch people rush about on deck from the comfort of my leather chair in the first-class smoking room. It's past midnight, the lights flicker, but I am ruthlessly serene, for I did not overcome my childhood in the slums of the East End to drown in the freezing Atlantic water. Second-class is where I belong, but who's to care now? When faced with death, we're all in the same boat. Perhaps you've heard of me, Julian Grey, or seen my name on music hall marquees from Belfast to London. I've made an enviable living as a comic, mimic, dancer, and acrobat. But what has brought me my greatest fame, and why I set sail on the Titanic to New York at the request of vaudeville manager, William Hammerstein, is my unfathomable ability to juggle five balls with my feet. I put my cigar into an ashtray and set down the glass. Twisting the ends of my mustache, I am resolved about what I'm to do next, for I've never been one to pass up an opportunity. I rise. The ship lurches. Poker chips, chess pieces, and tumblers fall on the floor. With my walking stick, I whack them away and stagger toward the door. The corridor is empty. I open the door to a first-class suite. What finery, such elegance. There's a diamond stickpin and a ruby ring on the mahogany dresser. Did I mention that I am also a thief? I drop the stickpin and ruby ring into my coat pocket. I open the armoire and glide my hand over the dresses until I choose one. If costumed in one lady's attire, I might draw attention, so I open the door to the next cabin. "Excuse me, Sir," I say. A man holds a whiskey bottle in one hand and a Bible in the other. "Aren't you going on deck?" "Leave me be young man." I shut the door. The next room is charming, even as the furniture slides to the wall, with peacock patterns on overturned chairs, an electric fireplace, a vanity fit for Sarah Bernhardt. Stumbling, I open a chest of drawers grab undergarments and a scarf. What I need is a warm coat, ladies' boots, and a hat. The lights go off, then on. I must hurry. I enter a suite across the hall. The room is in shambles. The dresser is on its side, a chair on its back. I throw the clothes on the bed and go to the trunk and take out a winter coat, lace-up boots, and a hat with a feather. What I am about to do may seem shameful. I sit on the edge of the bed next to the heap of clothes and remove my coat, then my tie and collar. My brother, may he rest in peace, comes to mind as I unbutton my shirt. The binding is tight around my chest, and I begin to unfasten. Charles, was more than a brother, a father, he was (I continue to unwind) to me, a motherless devilrat, five years to his twelve. The bandage is off. My breasts are revealed. I remove my trousers and drawers and pull the padding from between my legs. At a young age, Charles dressed me as a boy — "You'll be safer, and we can make a shilling or two." We performed on street corners and in taverns, and as I grew and girls liked me, I liked them back. I am not an impersonator like the popular music hall drags. I am a man, and I've made the best of my oddity. Naked, I dress. Perfumes from the clothes make my eyes water. I put my wallet, cuff links, and stolen jewelry into the pocket of the woolen coat and squeeze my feet into the boots. There is a strangeness to it, and I feel an utter distaste, the way the undergarments rustle and swish. Above the dresser is a mirror. I put on the hat and cover my short hair but leave a fringe that falls over my forehead. The mustache, I peel off and put in my pocket. Pinching my cheeks, the way I've seen my lovers do, I leave the way I came and go onto the deck. Such chaos and panic. A man says good-bye to his wife and son as a lifeboat is lowered. Their cries provoke pity. "Is there room?" I ask in a feminine voice. "No, Miss," a crew member shouts. "Might be on the other side." My unease mounts. I hurry among the crowd. My air of detachment collapses as I shove aside men and go around the stern. A lifeboat hangs from the davits. "Women and children first!" It's mayhem. Men implore their families to board, promising everything will be all right. From their shabby clothes, it's easy to see they're from steerage. "What do we have here?" a shipmate yells. He removes a shawl and a scarf from the head of a man trying to board. "Josser." A woman has the vapors and faints in her husband's arms. A crowd gathers by a lifeboat hanging from the derricks. Men step aside as I make my way through them. Before me is a woman and her three daughters. Their tattered clothes arouse my sympathy. I slip the ruby ring into the woman's coat pocket. "Come on, Miss," a deckhand says. He takes my arm and helps me into the boat. Other than the two in command of rowing, I am the only man. I dismiss any charge that I am a coward. Be that as it may, it will forever be a blessing, an irony indeed, that what saved me was the hand I was dealt. infertile via implant Emma Dawson Bridie did not normally have a menstrual cycle due to her implant and it was probably the most amazing gift that technological advances had ever given her. She knew this was especially true because she was currently having her period and she'd already wasted a lot of time wondering how the hell she used to cope with this once a month. She was pre-menstrual a few days ago and she thought that she'd sunk into pure darkness. I mean, it was months into lockdown, she had a reason not to be super cheery, but still – her emotions were jogging around wildly and she was constantly on the verge of tears. She even tried going for a jog. Nothing! She couldn't do anything and Bridie normally does absolutely everything. Okay, she takes breaks sometimes, but she gets her wellbeing through productivity. People say that it's dangerous, but it just works. So, when it turned out that it was only a period, Bridie was so fucking relieved. Okay, that's not quite right, she shat herself initially because when you only have one period a year, it's arrival's a real shocker, but then, she celebrated because she absolutely didn't want to deal with this crying because of hormones business! She wanted to cry for an actual reason, or not at all. She was so thankful that it wasn't something worse that she didn't much mind when breast pain, stomach cramps, and generally feeling utterly depleted followed. Of course, it was still like being ill. How the hell do women deal with this shit monthly? Bridie focused on being lucky and praised the implant. When Bridie tells people about her wonderful implant, the most common response from women is, "I wouldn't like not having my periods." And Bridie understands. And feels judged. Her doctor said it was fine. She wonders why more women aren't delighted like her with the idea of getting rid of most of the mood swings, blood, and pain involved in having a menstrual cycle. How the hell do women deal with this shit monthly? Of course, when she went on the implant, she didn't know that it was going to do this to her and obviously, it wouldn't necessarily do the same thing for another woman. But in terms of accidental brilliance, the implant was the perfect thing for Bridie. Because she never worried about getting pregnant while on contraception, so not having that monthly indicator that she wasn't with child was absolutely acceptable. She gets that other women need that. She doesn't fully understand why her cycle has stopped, but Bridie suspects that other women are concerned by the lack of fertility indicated by a woman of childbearing age who doesn't bleed. The pill stops fertility AND offers that reassuring blood, for instance. But Bridie was only keen on being fertile when she was teenager and hadn't quite learnt to think for herself. Not that women who want children don't think for themselves! But Bride knows that, back then, she was assuming that she would live her life as most women do. She read too much into dreams where she was pregnant. She even found kids quite interesting. She wanted something to cuddle. Now, the only thing left of that Bridie is the fact that she quite likes holding other people's babies. It's because they're tiny and warm, but also because it's a safe way of trying out someone else's life. You put the Mum role on for five minutes and you cast it off again. And she's quite fascinated by people who want that all the time. Bridie began life surrounded by teenagers who knew that they would one day have kids and then she gradually started meeting people who weren't sure and people who didn't want them and it made her feel less alone. Which doesn't mean that she's exempted from getting shit for being unmaternal. From acquaintances mostly, who are baffled that she could possibly not want that. They want her to explain it. And she can, but she suspects not in terms that they'll understand. She tries to make it simple, "I think that I'd be a completely different person if I wanted kids because the whole thing horrifies me." That upsets people. If she was diplomatic, she'd just say, "Ooo, maybe in the future." But she doesn't really like bare-faced lies, or pandering to society's general opinion of rightness when she's decided that it's not her own. She doesn't see why she should show such reverence for them when they show none for her. So, she tells them the truth, normally the somewhat sanitised version, but the truth. And she tries to answer in a way that will prevent them from claiming that they know better about what she wants to do with her life and womb. When her periods stopped, she felt slightly freer from the bullshit of being a woman, so it was always frustrating when other people started to bring her back to earth. Because if there was an option to still be fertile and to not have periods, you'd think that women would take it, wouldn't you? It's like they think that she's making herself permanently infertile via implant. And she isn't – not that that's her priority. But why does the absence of this messy, nasty, smelly thing freak them out so much? How the hell do women deal with this shit monthly? Bridie is so cranky today that she can hardly heft herself to go to the shops. She feels heavy and sullen and fragile. This is some sick joke on women, she thinks. She thinks, HOW THE HELL DO WOMEN DEAL WITH THIS SHIT MONTHLY???!!! Then she hauls her body, that feels like a bulk right now, out the door and makes herself go to Sainsburys. Reaching Jon Barton The ancient cab arrives, spilling us onto the deserted street. We are four bone-jolting hours' drive from Surat – the capital of Gujurat – and the last thing we've seen that could loosely be termed civilisation. Now we find ourselves standing amid the mud and thatch houses, with only the purr of cicadas in the midday heat and the smell of burnt earth in the air. I feel wilted. I brace myself for further disappointments. Neither of us know what to expect: me armed with Lonely Planet titbits; Ben with his copy of Shantaram. The India we expected was no less a fiction. I knew Ben had always struggled with his heritage. If someone asked where he was from, he'd side-step the question with a retort. 'My surnames Foster, what do you think?' I'd struggled to speak to him about it because being mixed race is particularly difficult in South Africa, where it had been a punishable offence for his parents to be together. They were never able to marry, and their relationship had been crushed under the pressure of sickening circumstances. His mother told me once that she named him after a righteous son, who is told of in both the Bible and the Koran. I think she always hoped that in time he might bridge the divide. I also knew she'd chosen to register him as white, giving him her last name and leaving his father's blank on the birth certificate. Wracked with guilt at the last minute, she gave him his father's family name. Benjamin Motala Foster. This caused a great scandal, but it was preferable to the alternative. What I didn't know was that Ben was ashamed of his identity – the bobble headed Indian in a gold outfit chatting away in a sing-song voice. This is why, when it came time to plan a summer break, he was reluctant when I suggested India. It was to be the longest holiday either of us had ever taken after the toughest work year we'd ever had. In my mind, we were already strolling the softly disclosed gardens around the Taj – I would later discover that these were non-existent. Days before our departure, we received a rare visit from Ben's father. As the years passed and laws became more liberal, Mr Motala had rebelled against them, reverting to his roots to seek comfort in the Muslim community. Ben, who grew up in an Anglican household, disappointed his father by stretching ever further from him. I eavesdropped from the Switzerland of our kitchen as they manoeuvred the attacks and retreats of their conversation like oversized chess pieces. I was saddened to detect fissures in both voices: Ben's guarded, laced with the formality of undelivered expectation; Mr Motala's terse, hardened by uncounted years of persecution. I was surprised to hear Ben's father instructing him as he left. "Go to the village of Waretti, outside the capital. Waretti. Not Varadi. In Gujarat." That was all. We had no map, address, or co-ordinates. Sitting safely in our pretty flat on our calm, cream, middle-class sofa, wondering at that cryptic command, it never occurred to me what it might mean – and what it might take to get there. Growing up in South Africa I thought I understood poverty. I knew what it felt like to have people sleeping in the streets. My personal background noise was a gentle hum of gratitude for the roof over my head, coupled with the roaring shame and impotence of helplessness. I could not help the thousands homeless, the millions starving. Yet here in India, the poverty has levels. People do sleep in the streets, but in the evenings they unroll threadbare blankets onto trash-speckled pavements. They may not be so lucky: if you are too weak, too sick, or too small to wage war for your turf, you may find yourself sleeping in the road instead. Seeing this knocks the breath out of me. I am on holiday. I could leave anytime, but I can't ignore the savage truth that, for these people, there is no holiday from hardship. Once again, shame finds me. Despite this, I quickly fall in love with the heady sights and sounds of Mumbai. Ben does too – a city boy at heart. Our allotted two days linger into three, then four. Before we know it a week had passed, and we are still eating pistachio ice cream at sunset on the Marine Drive promenade before hot nights in the Jazz Club. One afternoon, I stop to buy a book from a street seller. I quickly realise, with his horde of treasures piled high on the pavement I have no chance of finding the right thing by myself. He, like the dragon atop his gold, greets me with riddles. What am I thinking about today? How do I judge good and evil? What, if I pleased, were the most important qualities for a happy life? His methods seem to work, and while I stock up on Rushdie, Roy and Rowles, the afternoon rolls into evening. We discuss culture, morality, and yesterday's cricket score. As we pack away our purchases, he spots the Shantaram in Ben's bag, and gleefully reveals that Gregory David Roberts used to buy books from him too. Where we were, just down the street from Roberts' usual jaunt in Colaba, I was inclined to believe him. At six o'clock the Chai wallah came by peddling tea, insisting on buying us all a glass. He reveals (with some satisfaction) he'd been selling all kinds of books, to all kinds of people, on the same street corner for forty years, and the only thing that had changed was the price of chai. I smile and tell him he is a philosopher; to which he replies that Indians are natural philosophers thanks to their lyrical languages, and the way history is taught through songs and poetry. I leave with two gifts from him: an anthology of Rumi verses, and the circumspect look on Ben's face. When I ask why, he murmured 'natural philosophers' and carried on looking thoughtful. We spend the next two months exploring regal palaces and lush gardens, the abandoned city of Fatehpur Sikhri. Waretti tumbles into the fathomless depths of our growing To Do List. Everywhere we go is more beautiful than the next, the contrasts more extreme. Our 'summer' holiday becomes a frozen ordeal in the Delhi winter, and my temper (malleable at the worst of times) stiffened in the Maharashtran sun, to snap without warning at one too many travel hurdles, or Ben's hangry fits. In what felt like no more than a moment, our time was up. It was Wednesday, in some lake city in Rajasthan. We were to fly out on Saturday from Mumbai, two gargantuan states away. Upon closer inspection we realised that Waretti was easily reached, and on a whim we board a sleeper train with little time to spare. In the morning we head to Surat's tourist office. The turbaned gentleman is kind and firm and assures us Waretti does not exist. We must mean Varadi – would it please us if he called a cab? No? Then please, let him send us down the road, to his sister's brother's cousin, who owns a travel agency, around the corner. Mr Sister's Brother's Cousin was not down the road, and as it turned out, around the corner became six very hot corners. When we finally arrive, the man was equally pleased to see us. News of our arrival had clearly preceded us on the telephone. He was just as pleased to assure us that Waretti most definitely did not exist. Didn't we know there were lovely tours available to the Taj? We could leave today. Six hours, seven phone calls, and five wild-goose-chases later – each with a goose more wildly disappointing than the last – Ben despairs. He is exhausted. He decides that we miscalculated and, thanks to his own pursuit of pleasure, no longer had time to search elsewhere. What would his father say? I can see he is trying. He is trying so hard. But he is unable to hide the defeat as he suggests we find a hotel for the night. I can't bring myself to look at him. If he has tears in his eyes, I'll cry too, and the geese will win. I had long lost hope that we will find Waretti but the truth is I can't face his disappointment. I cannot bear it if he gives up. I know that now is the time to summon enough belief to carry us both. So I make my face calm and my voice low and instead of agreeing I say 'No'. It makes me feel better so I say it again: 'No. No, no, no.' There is no way we can leave with an errant goose unchaste. So we find ourselves in the office of Mr Chaudhary, refined Municipal Liaison for Southern Gujarat. Collapsing into the proffered leather chair in front of his rich mahogany desk, I can see he can't help us but is loath to add to our dejection. He orders tea. Through that time-honoured magic, our spirits lift. Mr Chaudhary's soft voice and mild-manners seem to lift them further. Ben explains he has no family in South Africa. It is almost an accident that he was born there. On a whim, his grandfather takes his son and left Waretti, shortly after his wife was taken by tuberculosis. He travels to Mumbai and boards a ship for the Indian Ocean Islands, which was blown off course, to dock in South Africa instead. He himself died young and heart-broken, and never told his son about his homeland. Now here we are, retracing the journey back from South Africa. Mr Chaudhary listens with his head dipped politely towards us. A thoughtful silence pools around him. Finally, he lifts his head and enquires 'Is it not Varadi you are looking for? You are sure?' Ben is sure. Mr Chaudhary crosses to a huge map of Gujurat, covering the wall opposite his desk, where he pours over the Sanskrit text for several minutes. At last he says: 'you will drink your tea, I will make a phone call.' One moment becomes many, as a phone call became seven. The clock crawls past five and Mr Chaudhary's staff escape in dribs and drabs. We sit obediently in our leather chairs, tea finished, despair returning, and nothing left to do with ourselves but wait. After an age, Mr Chaudhary finishes his last phone call and turns to us. He has found a retired census clerk from the office of the sister office of the Northern Gujurat municipality who remembers there being a small village, called Varethi, several hundred kilometres outside of Surat, the capital city. He remembers it because it is Muslim, and Gujurat is largely a Hindu state. 'I think this could be your place', he says. 'I have engaged a driver for you. If you please, he will collect you here at eight o'clock tomorrow morning and take you there.' To our surprise, we find ourselves standing in the dusty street of Varethi. The streets are empty, and I imagine the ominous call of fleeing geese in the air. Our driver reminds us it is one o'clock on a Friday afternoon – the inhabitants are all at prayer. He will go to the mosque and make enquiries. What on earth could he possibly enquire? How can we know possibly know whether we are in the right place? Once more, there is nothing to do but wait, so I join Ben sat on the root of a banyan tree that hugs the sand of the obliging road. His nerves dither between excitement and frustration, as fast as his leg bounces. I bite my tongue. Nothing more can be done. The universe is with us or against us. Then we hear voices, and before we can register that they are coming nearer, a crowd of men appear, led by the Driver; and an imposing, grey haired gentleman in traditional Shalwar Kameez and a taqiyah skullcap. The man speaks in rapid Gujurati, punctuated by the occasional 'Motala' as he strides towards us. The Driver, who has been vigorously nodding his head and running alongside, races up to us and crows: 'Mr Benjamin, Mr Benjamin! This is Mr Motala, your uncle, your grandfather's brother! These are your cousins!' I can hardly believe it. The next moments feel like a cyclone. Embraces, and more Gujurati, as we are led to the Motala family home. No one speaks English, but that doesn't matter, because Ben is speechless, a scent of a smile roaming over his face as he gushes from one person to the next. Upon arrival the women are waiting. One of the children must have run ahead and there is more wonderment and more crowing: 'This is your cousin, this is your aunt, this is your Grandmother, no-no, your Grandmother-Sister.' Our Driver slows to deferentially translate when an old lady – back stooped, a head scarf revealing only her face – grasps my arm and whispers 'We are so happy to meet our missing family. You are welcome here.' I am indescribably moved. We gather on the porch. Motalas take up every space on couches, cushions and the bare concrete floor. One by one, slowly, softly, and aided by translation, we exchange stories like precious gifts. They eagerly receive news of Ben's father and with grateful astonishment we listen to how he was born in this room. I am floored by their hospitality. They have so little – not even electricity. Yet they want to share it with us, with their lost child, and his pale walking ghost. They welcome him completely as one of their own. They express pride in his achievements and the life he has made, further away than they can imagine, but now so near. Stories ebb and flow: realisations, confusions, coincidences. Bonds form, lineages drawn, and thus, a heritage is found. You could say our trip to India was a holiday like any other, but there was one afternoon that eclipsed the everyday, as if we'd reached for the unknown and universe had reached back, and leaned down to pull us that last little way up. And I have noticed these days, when someone asks Ben where he is from, there is a certain lift of his chin, a pride in the tilt of his head, when he says 'I am Indian.' The White Hart Judy Upton I swore as I checked the mirror and braked hard. It was just before 2am. When I got home I went to bed straight as soon as I'd eaten, but its red eyes burning beneath my lids, stopped me from sleeping. The sunlight pouring through the curtains made matters worse. The material is far too thin and flimsy. If I worked regular nightshifts I'd get blackout blinds, but I've no time to do anything about it now. I suppose I could stick old newspapers over the windows. I don't get one delivered myself, but there're usually a few kicking about in the waiting area. my own for long periods of time, but now, like so many people, I don't see anyone outside of work either. All us drivers are confined to this one corner of the warehouse now, while our trucks are loaded. There are five plastic chairs, all spaced apart, though currently I'm the only person here. After we protested to management yesterday, we also have a single port-a-loo for our use. Drivers had always used the general staff toilets until we were banned last week. So while it's still fine for the wholesaler's own staff to use their facilities the drivers for reasons unknown, are treated like lepers. We sit on our designated chairs, fenced off by a line of hazard tape, eating our homemade sandwiches and drinking lukewarm coffee from our thermos flasks. There is a coffee machine, but it's now on the other side of the tape border and reserved for packers and forklift drivers. I miss hearing all the news and gossip from my friends among the warehouse workers. I won't be able to have a chat with any of the supermarket shelf-stackers on arrival either, and supper will be in my cab, as the café at services is closed. As a trucker I'm used to being on I live alone in a one-room box, and most of my friends aren't yet into virtual conversations. We do Skype, but we're all a bit awkward and quickly run out of things to say. It's not the same as when we'd go for a meal or to the pub in a big group. Mum rang about an hour before I left tonight, even though I'd told her not to call during my downtime. She can't adjust to me working nights. I'd said I'd drop in any shopping she needs on my way home, but all she wanted were her bleeding lottery tickets. "Can you get me three and a couple of scratch cards, Jen? They won't put any of those in my food parcel will they?" I don't think that was a serious question, but you never can tell with Mum. I told her the supermarket wouldn't be open when I arrived, and that I wasn't going out again later just so she could waste her money. Why do people in their eighties want to win the lottery anyway? Mum always says she has no idea what she would do with a million if she won it. Why then ask your daughter to risk her health for something pointless? Sitting here alone, as the forklifts bleep and the distant packers shout and laugh, the white stag's on my mind again. When it stepped out in front of my truck last night, I was certain I was going to hit it. I'm seated too high in the cab for that kind of impact to do me damage, unless it was thrown into the air, of course. Knowing my stopping distance, even at only a little over 30 mph, I didn't think the deer stood much of a chance. It disappeared and I feared it had gone underneath, despite not feeling so much as a judder. When I got out to take a look though, there was nothing there. Not a mark on the truck, no movement in the trees, and no sound of any living thing on that deserted stretch of road. The stag had melted away, as if I'd driven through a ghost. At least that meant it didn't have to go in the incident log. It's only since this crisis began that we've been asked to drive at night. Previously we were used to setting out before the sun was up, but doing whole trips in darkness is a new experience. No one likes to hear heavy lorries thundering past their home in the early hours, or at least they didn't before empty shelves became a problem. At night the motorway lights can become hypnotic and with few vehicles apart from other trucks out there, there's less than usual to occupy your mind. You leave the radio on for the traffic reports and notice how the DJs struggle to play appropriate songs after each news bulletin. Follow it up with something cheerful and it appears insensitive, choose a downbeat track and it'll make us feel worse. In the end they usually just play the bland stuff. It's middle of the road music for the middle of the motorway in the middle of the night. I'd already left the motorway by the time I saw the white stag. I was delivering to store in a village where there's a winding lane with a tree canopy for several miles before you reach the High Street. That's where it happened. He stepped boldly out from the shadows of the trees. His head was held high and his huge antlers branched wider than a Christmas reindeer. In those few seconds, as he turned his head to confront my 7.5 tonne lorry, he appeared utterly fearless. Taking out my phone I search 'white stag' and discover that they're actually quite rare. There are several species of deer in this country but by his size I think he must be a Red Deer. They shed those massive antlers around this time, in March or early April, and grow a complete new set by autumn. A large white stag is also known as a 'White Hart' - like in the name of a pub or in White Hart Lane. It says they're surrounded by superstition and folklore. Mum's superstitious, but I'm not. Not usually. Though I do suddenly feel the urge to discover whether, like a black cat crossing my path, a white hart is associated with good luck, or with bad. It's mainly because of the way it looked directly at me – those burning ruby eyes meeting mine as if it was trying to tell me something. If any of the other drivers were here at the moment, they wouldn't let me take this white hart thing seriously. "You nearly hit a stag – oh deer!" That's how it'd be. Then Markos would be telling, for the umpteenth time, the story of the squirrel trapped in his cab, whilst proudly showing the teeth-marks left in his thumb. Richard though might be interested in the whole white hart mythology. He has a dream-catcher hanging above his windscreen and likes folk music. Catch him in the right mood and he'll talk about things like water divining and ley lines. Richard might know if it's lucky or unlucky to see a white hart. I'll text him before I leave and send him links to some of the stuff I've just found about them. A couple of websites mention white harts as part of the legend of Herne The Hunter. He's an antler-wearing lord of the forest who watches over the natural world. Celtic people once saw white harts as messengers from a place called 'the otherworld' – a land of spirits. My Gran was from County Wexford and she was superstitious. Perhaps that's where Mum gets her love of the ruddy lottery. Now I've clicked on a site about English folklore and it says a white hart appears at times of great turmoil and it signifies change. That's certainly interesting, if at present, a little unnerving. A man wearing a mask from a DIY shop appears, and beckons from a social distance with his blue-gloved hand. I think it's Steve but it could be Dave as they're both bald and around the same height. Either would be a friendly face, in normal times. You start to miss smiles when they're not visible. My truck is loaded and it's time to go. 'A white hart can lead you down new roads' the folklore website says, which to me sounds suspiciously like a detour ahead. 'It can also symbolise new beginnings, new knowledge and a greater understanding of the world'. The white hart might not be the lucky black cat I was hoping for, but at least it's no prophet of doom. I'm toying with printing up a photo of one later. I could stick it up in my cab, like the way people are putting rainbows in their windows. I will pop out later and buy Mum her lottery tickets too, I've decided. I'll take them round and put them through her letterbox. It's not because seeing a white hart has made me feel particularly fortunate. It's just that at the moment, we all need to believe in something, whether that's family, friends, luck, or something more spiritual. In this time of uncertainty, there's one thing I now feel certain of. At some point I'm going to see the white hart again. Maybe sooner, maybe later, somewhere down the road. Come on Eileen Mauk Donnabhain Turkey in the oven. It was the screaming that I looked forward to most. I knew they would scream. I was ready for it. The moment she opened the oven door and said, "There she is!" But the screaming was even louder than I thought it would be. A trail of children running from the house. Eileen laughing to herself. I was a teenager by then. Hanging around with a gang of boys on BMXs. Terrorising the pavements with our bikes. Eileen had stopped babysitting us a few years before. The turkey was in school now, and well able to look after herself. I'd missed Eileen when she stopped coming around. Then she'd disappeared completely. Gone back to England for a while. When I saw her again, I was too ashamed to acknowledge her. She was my babysitter. Not that I needed a babysitter. But the turkey had come along. With her pink screwedup face and her constant wailing. And then Eileen had appeared. A cloud of mystery surrounding her. She'd come from a place called Birmingham. A place none of us had ever heard of, where she'd picked up an English twang and a funny way of dressing. I loved the madness in her. The terrifying feeling of freedom when she was around. You never knew what she would say or do next. Of course, the turkey was safely tucked into her cot in the living room. The turkey in the oven was a real one. It just looked a bit like a baby. Looking back on it as an adult, I can see how wrong it was. What Eileen did. If it was nowadays, the social services would be called in. People would give her the help she needed. But it was the eighties. Even the adults laughed, when they heard about it later. The last time I saw Eileen. The ambulance outside her block of flats. A drama that was important enough to make us swing our bikes around and stand there gawking, like everyone else. Ambulances showed up on our street often enough. There was always a drama. When they brought her out, supported on each side by neighbouring women. Alexis Carrington. Dark glasses. Blanket wrapped around her. Resigned to fate. "C'mon, Eileen!" Climbing the steps into the back of the vehicle. "Look at me." A million hearts cried. "No, see me!" Da-Na-Na-Na. Come on Eileen. The time I like to remember her best was when she taught us how to dance. Me and two of my girl cousins. Lined up in the living room. Music blaring through the house. Shoulders moving. Step forward. Hips swaying. Copying her. She was a ruthless teacher. We repeated the moves. Over and over. "We are far too young and clever." Laughing until we choked up. "C'mon, Eileen!' " Verging. Doctors and nurses. "But sure what do they know?" They wouldn't know about the times we dressed up the Barbie dolls. Fashion parades I wouldn't admit to. Spraying Ma's perfume and swatting the air afterwards. Eileen talked to me like a grown-up. Her self-confidence rubbing off. An attitude, as my mother would later call it. Babysitter. Not wife. Not girlfriend or mother. The ambulance. And the neighbours coaxing her in. "C'mon, Eileen. C'mon love! " Basted. Temperature high. Skin crackling. Stuffed with life. My parents' room. The reason Ma hates Da. Doors shut and a whacking sound. Eyes sunk. "Can you see that?" "What?" Screaming and running out onto the street. Sure it was all just a bit of craic. Late night, national anthem. Soldiers are we. "Stand up!" "But I want to sleep." It's midnight and, and … Another image surfacing. Eileen in the kitchen. "Let's play a game. " It's called sitting still. It's called listening to our lives passing. "Can you hear that? " Something wrong with her. "See who can stay quiet the longest." It's called silence. It's called giving Eileen's head peace. As if someone had died. As if turkey had been in the oven for real. I waited for a sign. A hint of laughter in her eyes. A bout of tickling. But Eileen's eyes looked empty and I wondered what it was then, that made me love her so much. Dungarees and the smell of pups being born. Eileen is wild about them. She wants to adopt them all. Save the bitches from being drowned in a bucket of water. "Can I keep just the one? " But Eileen can't keep anything, as it turns out. Not a pup. Not a silence. Not a turkey in the oven. The things you think as a child. Wishing Eileen was my mother. Wishing I didn't have to stand for the national anthem, when it's midnight and I'm half asleep. Wishing Eileen would smile again. Wishing the doctors and nurses would leave her alone. At this moment. You mean everything. Goodnight, Miguelito Michael Handrick 22 He called me Miguel during the day as he held my hand and pulled me through the National Gallery, the Serpentine and the White Cube. Cupped my ear with his hand to whisper about a portrait or an artist or the history behind a scene. I became entangled in the lilt in his voice, the press of his lips against the spirals of my ear as if it were his own conch to store his secrets in. When he let go of my hand, he danced down the marble hallways leaving me to follow his shadow and the echoes of his laugh deeper into the labyrinth. At night, he called me Miguelito as we lay twined together. His clothes were folded and stacked on my bookcase where he always left them after choosing a book for us to read. His skin shone in the moonlight like the inside of a shell. He smelled of salt and twilight. I rubbed the scar above his lip, a tiny gondola. When he climbed into bed, he pulled me into his chest, and we held Love in the Time of Cholera between our hands and he traced each line with his finger as he read them. He translated the words I didn't understand, filled my mouth with Spanish and my mind with us sailing down the Magdalena River in that tiny gondola where the stars had collapsed into the black waters. My body has been fluent in all languages except this one. 'To translate is to destroy. It's disgusting when I say it in English,' he said as he snapped the book shut and put it on the bedside table. 'I'll take you there one day,' he promised me as I ran my finger along the tattoo on his forearm, a camel in the desert with a crescent moon above it. The mirror propped on top of the radiator reflected his back to me, his spine a thread of pearls. He kissed me goodnight. It left my mouth laced with cider and cinnamon and sugar. I placed my index and middle fingers on his lids, his eyes like moon slits, and closed them gently. I had no coins to keep them shut. No coins for the journey, for the next story. And as his breathing deepened it sounded like the sighs of drowning men. I woke up in the moment when time was in suspension. When the darkness was in equilibrium with the light and everything was possible and endless. Just for a second, until the sky brightened, and the room was dripping full of light like honeycomb, a warm, gloopey heat as if it were preserving the moment. The illusion of possibilities was broken the moment I turned and realised that I was alone under half-empty sheets. The room was as it was before he arrived: the space where his clothes were normally kept empty, the glass he had drunk cider from was wiped clean of his lips' imprint on the rim. The remains of his lips still lingered across my body. All that indicated that he had been there at all was the smell of sandalwood on the pillow next to me and the upturned book on my bedside table. The smell of twilight and the sea disappeared in the dusk as he sailed on that gondola alone. The window was still open as if he had slipped from my arms in the night and escaped through it. We all have our ways to disappear. Just as he arrived in the depths of night, he departed. I lifted up Love in the Time of Cholera and flicked through the pages trying to find where our story was, whose it would replicate. I closed it shut and the tiny gold embossed sun beams on the dust cover shone in the light. 23 We'd signed our names in a book to enter. Just like the witches, he laughed. We swigged wine from the bottle in the underground Italian bar full of dust-smeared photos of famous people long forgotten and sticky, red Formica tables. Outside in the rain he kissed me. It filled me with his story since he left: the words unsaid and forgotten, the sighs of his other lovers, their love and languages tied to the root of his tongue. With that kiss I let him erase the past year and a half. As if he had never slipped into the dark and never returned. He held himself in a perpetual state of readiness as if ready to slip into the night, for one last dance. He spun, turned me under the rain, under the stars. Fleshless, but flesh. Hand-shadows on the floor, on my face. He asked me to dance. Took my hand, stepped from the path, stepped into the night. Peeled away the skin and the flesh until all that was left was the dancing part of himself. He spun new worlds and new stories. Froth lined shores and shipwrecks, sun-speckled forests, gondolas down misty canals and masked faces in the shadows. No time for words. No space to form them. Speak now or forever hold your peace. I drank the apple from his lips. Unlike language and rules, he led me to places unknown, pulled into dances in the dark. He stood on one of the fountain rims in Trafalgar Square as if conducting everyone to dance to his soundless tune. The water black where the stars thrashed and gasped under its glassy surface. A face stared back up at me, one that collided with my own. I was tempted to dip my finger in, but I dared not disturb, save the person trapped under the surface. He stared out to the city and I felt myself anchored to him. He jumped from the fountain, the spray black around him, and held me. His eyes swimming with the white and red and blue lights. 'Let's dance again soon,' he let go of my hand, left me spinning, wanting to dance, alone on the street as he jumped on the bus. As the 88 pulled away, I hugged myself realising just how cold it was stood there alone. Did you get home okay? The message is undelivered, his profile picture disappeared. 25 - 29 Recipe for love: 1. Download the app. 2. Sort, filter and select by height, weight, girth, race, fetish. 3. Fill out the form, pass the CAPTCHA test. Human or robot? Not relevant in 2D. 4. Order. 5. Delivery an estimated 30 mins. 6. Engage. 7. Feel validated. 8. Return tied nicely in a bow without complication. 9. Repeat. Set up the code and algorithms. Let's automate love. It'll choose, you choose. It became mechanical, preordained. I became a network of bandwidth and data. Plugged in the Ethernet cable and pressed start. It was cyberspace, virtual reality, suspended reality. It was freedom for a night, freedom from the past, freedom from connecting. It was freedom from me. Scrap the data, build a new profile, build a new you, delete and start again tomorrow. Connect to disconnect. Anonymous intimacy. Always another chance, another opportunity, another swipe, another body to take from the production line of lust. Select the parts and assemble, it's the digital Frankenstein. I've lain half dressed as they humped and fumbled and fucked. The kisses that taste of emptiness. Damp hands over exposed skin, the final gasp, the waiting as they tuck themselves in without a goodbye, without complication. They slide in, slide out as programmed on the production line of love. Carbon copy fucking. Delete, data wipe, restore to factory settings. It's a clean slate, tomorrow is a new day and a new chance to upgrade them, upgrade you. How many times could I keep reinventing love? The possibilities are limitless in the world wide wantonness. You choose who you'll be. Just for a day, just for a night. There is no past, there is no present when we can erase our history. When we become scrapped data. The sauna, the new place of worship. We offered ourselves up as tributes to the true God. The libations flowed freely, willingly and they drank greedily. The golden rings flashing in the darkness. A new marriage in steamy darkness. The nods and winks and flicking open of towels. Clammy hand in clammy hand led down dark labyrinths to be sacrificed on altars of flesh and sighs. Pulled into shadow-smeared cubicles with faceless, nameless bodies. They can metamorphosise to who, what we want. There are no borders here. The dark swallows us whole just as we do. Lock the door, lock everything out, leave everything behind. Open the door and wait. Wait for the next, the next dripping back to grip, the same flesh. In the steam all is one and the same. The dark swallows everything. We all enter with a list of lovers at the door and leave that person at the threshold. Hang up that skin in the changing room. In there I am no one. I have no past, there is no present or future. We make our offerings and accept. We are silhouettes, shadows, figures that disappear and appear for as long as we need. That is the transaction. Nothing more, nothing less. We enter with no past and leave without one. The list hasn't grown, we haven't developed. We remain the same. Steamed, fresh, purged. Check who has been messaging. Who has been missed. There will be another chance, there's always another chance at love, at lust. The algorithms will keep selecting. All the algorithms lead to you. Slide under the covers alone with the afterglow. Never radiated more, never been better. Upgraded and all new available features downloaded. Validated, you've been validated. Plug in and recharge. It says 100%. No cracks in the screen, flawless. The tears were an error. Something was malfunctioning. 29 I waited after work outside Boots for him to arrive. He was late and I went in and out to use the tiny mirrors above the make-up stands to check my reflection. Pushed my hair up, to the side. Pulled my shirt straight, did up, undid the buttons. I pieced together the fragments of my face. The blue irises cracked with white. The skin around them that had crinkled. The cupid's bow that had started to unravel. The hairline that had edged further back. I pieced them together one part at a time. I hoped that the pieces still fit together to reflect how he remembered me. What did he remember after five years of not seeing each other? Would he remember me as some preserve of our youth? Mummified in his mind with the rotten bits scooped out ready for him to unwind the bandages to reveal an artefact of his memories long past. Blow off the dust and I'd be fresh, unchanged, untainted. He won't see what has calcified, what is now wrapped in scar tissue inside. We went to a pub nearby and I automatically bought him a cider and took it to the booth he had grabbed. Our knees pressed together so I crossed them to the side. 'You know I saw you at that concert the other year?' 'Yes, I saw you. Coming out of the bathroom.' 'You didn't reply to my message asking if you wanted a coffee.' I'd ignored all his messages for a year since he reappeared. The messages from a faceless Grindr profile, which I knew was him as he always started it with 'Miguel', the texts asking when I would be free to meet, if I no longer wanted to dance. We sat next to each other without saying a word. Sometimes glancing at each other but unable to hold the image of the other for long. I ran my finger along the water rims on the table. He kissed me to break the moment. Because physicality is less revealing than words. He knows words hold power so he speaks with his body as that's where he feels. My body tensed and I let him kiss me. 'That was unexpected,' I said when he sat back. 'It was a moment of weakness,' he laughed. The same wide laugh that made his eyes crease. He whispered in my ear, I nodded and looking at the ground. I went back to his, I don't know why, because that is how it always ended. With the door locked, he pulled me in. My whole body was alert. The tendons and the sinews and the muscles tensed, alarmed, ready. The stubble on his face scraped against mine. The cider on his mouth now tangy and stale where it had once been sweet and sharp before. My skin rippled with goose bumps as the feeling of repulsion rose with every thrust, with every slap of his flesh against mine. The grunts, the pants and the moans as I lay in front of him, his eyes wide and still. His body descended into instinct, every move made memorised and mechanical, reflex after reflex after reflex. Rapid, involuntary, override the emotion, override the heart. Routes and patterns that have been travelled down before. As if I were any other man that lay underneath his sheet. And I in turn descended into my own instincts. Something inanimate and detached where I no longer even needed to focus hard on the mirror or the wall or a thread coming loose on a shirt like I used to. For the duration I became more and less human simultaneously. Everything became a reflection, a film of two people I didn't know unfolding in front of me. I didn't move. Played dead like the game I played as a kid. I gazed out the window and watched the night pass and the clouds gradually suffocate the moon and stars without regret. He closed the window as if to stop me slipping from his grip and out through it. When he climbed back into bed, he gripped the sides of my face and stared at me as if to say something. Those wide, still eyes. I waited for him to say something but all he did was release his grip and I listened to his breathing steady. The light off, the moon covered, we lay in silence. My body held the same rigidity as he rested his arm over my chest. My face trapped against where his heart sat thumping no, no, no, while his body said yes all the time. I lay there underneath his weight, unable to cradle myself to sleep, staring into the dark. I listened to the sway of the trees, its inky skeleton scratching the window wondering which of us will be left under the sheets alone tomorrow. The room filled with a pale glow, just for a moment, like a ghost had entered the room as the moon was uncovered. Shadows moved and crawled over me until the moon was blanketed once again by the clouds and they retreated into the corners of the room to wait. 'Goodnight, Miguelito,' he said so lightly, an echo from a dream. Tomorrow, You Will Mohammed Rizwan Tomorrow, you will wake up and wish you hadn't. You will watch the light around the curtains and your cortisol mind will wonder why you didn't buy those blackout ones. As the sun rises, you will lose yourself in the sky-blue colour, memories of a sky-blue childhood imbuing themselves in the curtains' hue. You will have answered your mind's wonderings. The memories will be sufficient to raise you from your bed and you will remember them as you go through the motions of a morning set adrift on your life but anchored on your survival. yourself out of the shower and become a different type of breathless as you dry yourself and as you deodorise yourself and as you dress yourself. You will carry the exhaustion with you as you walk into the kitchen where you will fill your water bottle into which you've poured drops of the CBD oil you bought online. You've been buying stronger doses every month because it doesn't seem to be working as well as you thought it would. The aches of your head and the aches of your heart exist in complementary distribution, except for the times when they exist simultaneously. It's a pity the oil hasn't helped. You will make a mental note to remind yourself to buy a more medicinal dose. In the shower, the water will cascade down your body and you will wish that it take with it some of your yesterdays and all of your tomorrows. You'll scoff at your own wish because this water never has and it won't tomorrow either. You will turn the tap blue and look up. Even tomorrow, when you will have done this a thousand times, your cardio-respiratory system will remain unaccustomed because the day after, you won't do this. You won't let your body become accustomed to breathlessness and hyper-everything. When you have out-hyperventilated yesterday, you will turn towards the rest of your body, shivers rocking it back and forth like the rocking chair you haven't taken out of storage. Was bathing always so exhausting? You will haul You'll take what accoutrements you need to make tea and you'll walk to work. Even though the sun will only have risen for an hour, there will be people around, making the same journey you are, you will assume. You will wonder about their lives and you will compare theirs to yours. You have made this journey many times so you won't need to pay too much attention to the roads. Even if something did happen to you, would that be so bad? You will let your mind adrift, as it does every day, first to the sky-blue curtains and thence to… Once upon a time you walked and ran in others' shoes. You let the darkness of their paths imbue your heart but that was OK because the vessels of that organ emanated light strong enough to withstand all darkness. Your heart took it and turned it into something better, superior. Along their paths you discovered your own, hated by your family, reigned by a God who didn't know his own creation. But you only found this out later, when you had exhausted all supplication and all ritual and all bowing, all prostration. You spent years on that path listening to others until you realised that your own thoughts were stronger than even your Lord's. So, you decided that your path would be your own, not littered with anyone else's thoughts or feelings, but… It was only as you carried on walking the darkness in your own shoes that your heart weakened, its vessels becoming smaller and smaller until only that which was necessary for survival remained, and everything else, all that hope that was once upon a time stronger than even the darkest of dark, disappeared and left you. Tomorrow, the heat will be bearable at that time that you go to work. You will wonder, though, what it would be like if you stood underneath a perpetual midday Arabian sun. You'll wonder if you'll melt and you'll wonder if there'll be anyone to mop you up or if everyone will stomp in your melted essence and kick this way and that. You'll take a deep breath and come back to your journey. You'll wonder where the time has gone, as if you didn't know that your thoughts warp time, like great celestial bodies floating, moving, changing. Your face won't have altered in any way since you awoke but as you near your workplace, a vampire that doesn't work on you because all those journeys in others' shoes have already drained everything, your mask will be firmly in place: soldered, nailed, screwed. The day will be the same as the other days have been. The men on your team won't do anything different, but their very being will make you uncomfortable, as all masculinity has done ever since before you started on your own path. Their lack of emotion at anything, the topics of their discourses, the monotony of their time, will be far removed from anything you can pretend to do, even with your mask, and you will feel lachrymal lubrication loosen it, so you'll nonchalantly go to the fifth floor bathroom, where there's no chance of meeting anyone you know, and you will lock yourself in the farthest cubicle, and you will rip off the mask, rip off the other men from you, and you will let loose your authentic self, which you hate so much. It'll carve valleys on your cheeks until it falls, drip-by-drip onto the shirt, whose dark colour leaves you hidden, just as you want it, even though you long to wear a rainbow hue. Your lacrimal glands will be empty by now. Their emptying will have replenished your mask, enough for you to return. You will hold it in your hands, remembering that first time you realised you could build one with events you found on your path. It didn't fit at first and would slip off even at the slightest movement, but as time passed, and events swirled into black holes, you were able to add to it, until it fit you so perfectly, it took on your features. You will marvel that only you can tell it apart from your own face. You will wish that were your mother around, she, too, would look at the mask and know that it wasn't you. But she's not around, and you will place it on your face until it is indistinguishable from your actual visage. As your lips rise at the corners in pretence, you'll take a breath whose oxygen fuels your ersatz façade and you will walk out of the bathroom and back to your desk. There won't be any point in looking at the clock because the day will end when it ends. And when it ends, you will walk back the way you came, the heat getting inside you. You have changed your working hours so you have time to sleep before you make your way to the one place the work mask refuses to go. You will wonder as you enter your house what it will be like tonight. It's different every night and it does nothing for you. It will remind you neither that you are alive nor that you are not dead. After your nap, you will shower and dress in clothes that are another mask. These will be vibrant, unlike your work clothes. They will mark you as unique in your house, in your street, in your neighbourhood, but in the place you are going, they will mark you as common, as belonging, as coming home. Because of the former, you will cover them when you leave; because of the latter, you will uncover them as soon as you have arrived. In the bus, you'll look at your reflection in the window, and you'll hear the ululating requiems of which your heart was so capable. The dirges it brought forth strengthened you once, strengthened all those shoes in which you walked and reinforced those walls of your heart. But the lamentations of your own path, the one you decided was more important than those of your family, your culture, your God, will be a facsimile, paralleled by the path you now walk, and they won't add any strength. You'll meet him in the space between lives, yours and his, where the dogs howl, and where nothing but the fox sleeps and survives. You'll meet and meet and meet. Your breaths will hitch and stitch and this seam between you will be unpicked with the same needle and you'll go your separate ways. For what remains of today, you embrace the darkness, the sky-blue curtains with their sky-blue memories covered by it. Tomorrow, though, you will carry on and live your life without that word's f. The Magic Machine Nathan Evans Once upon a time in a world like this one, there lived a young worldling called Daimon who was not altogether happy, for he worked all day and every day in an enormous factory as wide as a country and filled to the brim with other young worldlings like him, working all day and every day to make magic machines. it could kill you, so all the worldlings who worked at polishing wore special clothing to protect them from the crystal dust that flew about them. The possessor of such a machine would have magical powers at the touch of their fingers: the power to conjure visions as if from the air, the power to speak with spirits who were not there, to ask any question and be given the answer, to never be lost or lonely or unhappy. Daimon wanted more than anything to never be unhappy again so he went on working, all day and every day, saving all the money he could save from his minimalist wage in the hope that one day he could buy a machine. And become a magician. He kept the cash in a box beneath his mattress. The factory dormitories were so overcrowded there weren't enough beds to go around, so Daimon shared his with Yann. Every evening they would fall exhausted into each other's arms and Yann would whisper into Daimon's ear how he didn't think it fair that the magicians who ruled over the factory should have all the power and all the money and all the magic things. And Daimon would kiss Yann to quiet him for the magicians were always listening. Daimon's job was to polish the screens of the magic machines. They were made of a crystal so powerful One day, whilst they were working, the magician in charge of the polishing—Volta was her name—descended through the glass ceiling, upgraded a favoured worker to the upper echelon, then told those remaining they must make more machines in less time. And if they didn't, they knew what would happen: they'd be flung from the factory into the world which lay beyond. A world as hard as an orange, its juice sucked from within. And some dry and desperate worldling would be only too happy to replace them. Their hearts sank together to the floor for how could they work any harder or faster? But none dared speak anything of what they were thinking, none except Yann. Volta could not believe it as Yann told her they couldn't do it, that if they were to polish any harder or faster the crystal could catch fire, and why would they take that risk when all profits from increased production would go to the magicians and not to them? He looked to Daimon to support him. But Daimon—who could still recall being a dry and desperate worldling, still see the dry and desperate fingers with which his mother had waved goodbye to him—looked down and said nothing. And when he looked up again a swarm of sorcerers were magicking Yann away from him. The last disappointed look Yann gave him stayed burnt on Daimon's brain and he worked harder and faster at his polishing, trying to burn it away again. He did not see the meter's warning: he saw was the world turning white then red then black around him. He felt himself flying then falling, smelt himself burning and bleeding, heard himself screaming. The echo in every nerve ending drowned the sound of Volta telling him how he must pay for the damage he'd done as she loomed over him and glitter dust snowed around him and onto his skin or the place where his skin had been and even as it cooled him Daimon knew it could kill him. And then there was nothing, not even any pain. The world was cool and green again, his mother beside him telling him that one day, one day he would be a magician. When his eyes opened on the perma-lighting of the dormitory ceiling, he did not know if it was the same day or a new one. If he a new person or the same one. His skin had regrown but now it shone, sparkled in the light as he moved. Like glitter, like crystal. A shadow fell across his glittering skin: the magicians were always watching and—eyes ominous in her own dull visage—Volta was standing over him. 'Well this is most interesting.' She raised her magic machine. 'Put me through to Master Maling.' Before his head had caught up with him, Daimon was running for the door, faster than he'd ever run before. But ahead of him—though still far—he could clearly see the advancing sorcerers. His skin reflected their fire. 'Alive, idiots!' Volta was advancing behind him, clearly heard though still at some distance. What should he do? Somehow, he knew. With new power in his fingertips he lifted himself into the air duct and never got lost, never got caught up as he turned and twisted through the factory's guts and was born once more into the world beyond the factory doors. It had been ten years since he'd first passed through them, clutching the moneybox—now lost—his mother had given him with the instruction to work hard, save wisely and be happy. At all but the first he had failed miserably. Locks turned in the portals beside him; sadness became exhilaration as he sped into orange sands, only once glancing at the factory behind him. High as a country and piled to the sky like boxes, each one smaller than the one on which it sat, it reached a crystal pinnacle which pierced the cadmium sunset. And in that pinnacle Master Magician Maling— who drew the world's juices to him as a blister draws blood from skin—saw the shimmering trail snaking behind Daimon and knew the time was coming. Daimon soon returned to earth, or somewhere not unlike it: things were worse, far worse than he'd remembered. He sped, strode, stumbled until the factory was lost even to his super-vision and saw no sign of any other being. But what good were super-powers to him when he still needed to eat and drink like any other human? On the third day he surrendered to sand, his skin lost in its glittering. In his head he could hear Yann, sweet Yann. But when he raised his head, he heard sweet nothing. Resting it down, there was Yann – like he was whispering in Daimon's ear again, like he was buried beneath him. In his delirium, Daimon began digging. And with every last soupcon of super-strength, he kept digging. Until he could all but hear the words Yann was singing. He was singing! And Daimon was falling through earth and through air into Yann's arms. They rejected him. Of course, Yann couldn't recognise him in his shining skin. And Daimon could have been forgiven for not recognising Yann in his stinking one. 'It's me! Daimon!' Yann stopped resisting, started staring. 'What happened?' After Daimon had told Yann everything, after Yann had told off Daimon for not seconding his protestations, an extraordinary thing happened: as lip met lip the glitter slipped from Daimon into Yann. And he too became a magic being. Yann had been keeping watch, singing to keep himself up while the others slept: he'd been adopted by some factory rejects eking an existence amongst the elements. When Daimon woke next morning, Yann was no longer with him: he was with them. Daimon found him further into their subterranean dwellings, a woman beside him, flaunting her glittering skin. 'Welcome to the commune,' said Yann, 'Here we share everything.' Daimon's specialness had been short-lived. So too his happiness. He wanted his powers—and Yann—for himself alone, resented sharing. And, in spite of their new empowerment, the sharers seemed to resent him. One evening he was sat, as usual, on the rim of their circle as they shared the meagrest of meals. And, as usual, conversation turned to the magicians. 'What is to be done?' Raine fed Yann his cue-line from her seat beside him. 'We must bring down Maling!' Yann did not disappoint, not her at least. Daimon saw a chance to again monopolise Yann's affections. 'I can lead you to him'. On a night with no moonbeams to betray their sparkling skins, Daimon led the factory rejects back to the factory doorstep, back through the factory's guts to the dormitory duct. How strange it seemed to return a free being to the place he'd been enslaved so long and to see two new dull-skinned worldlings in the bed he'd shared with Yann. 'I still love you,' said Yann, beside him. 'But that doesn't mean I can't love others too.' 'So, this is the Boy's dorm,' Raine joined them. 'I always dreamt of breaking in.' 'Well, now's your chance.' Daimon all but pushed her below. 'Power to the people!' 'I love you,' Raine called back to Yann. 'But that doesn't mean I can't love others too.' Yann didn't much like the taste of his own medicine. Daimon led the team onwards and upwards to Maling, unerring, though now navigating a part of the duct he'd never been in. They knew they'd passed through the glass ceiling when they paused at another portal to peer within. Machines, row upon row of them, magicians bowed before them conjuring visions. And there was Volta's favoured worker, machine to ear, speaking with spirits who were not there. He looked more miserable than before. 'Poor things,' said Yann, 'to be so enslaved by machines.' For he could see that every time a machine rang, a magician sped to serve it. But Daimon wasn't ready to have his illusions upturned yet. They left the others to overpower their oppressed oppressors and Daimon continued alone with Yann, happy to have him to himself again. Up and up and up—Daimon almost wished it wouldn't stop—until they emerged from the darkness of the duct into the vertiginous brightness of the crystal palace. It seemed to be sculpted from light beams alone. And through them one could see the planet unravelling like the rind of a discarded orange. 'I'm afraid the gardens aren't much to look at, at the moment.' The beams converged at the centre of the structure to succour a decrepit worldling there. 'You must be Daimon. And may I compliment you on your glowing complexion?' 'Who are you?' demanded Yann. 'I'll give you a guess: it starts with an M.' 'You are the Master Magician?' 'Magic is illusion merely. It exists only in the minds of those who wish to believe.' Yann did not understand. 'If you are Maling then we must inform you that the factory is under new management.' 'Yes, I heard you've been spreading yourself about.' 'And you must abdicate or die!' Maling laughed coldly, 'Darling, to kill me you must kill the machine. And to kill the machine you must kill each and every worldling, for they carry its mechanics within. Though…' he added, airily, 'all, except we three, are as good as dead already.' Daimon grabbed Yann's hand as the floor beneath their feet turned transparent and the crystal began rising, like a giant magic machine, away from the factory it had rested upon. 'What good a glittering skin when there is nothing to feed the body within? It is a gilded husk. As this planet is a husk. Its last essences are now powering us.' 'Where are you taking us?' Daimon's voice shook. 'That depends very much on what you do next, so let's get down to business.' Maling's deadened eyes focused on Daimon alone. 'You, young man, have something I need and I have everything you want.' He went on, 'I, the mighty Maling, have harnessed about me the powers of this planet but you, a lowly worldling, have harnessed them within, been reborn. As you can see, I could use a new lease of life, so you share your powers and I shall share mine.' 'No!' Yann gripped tighter on Daimon's hand. 'But Yann, I thought you shared everything? Or is that only with pretty young worldlings called Raine?' Yann felt his friend's grip loosen. 'You understand me, don't you Daimon?' And then Maling was holding the moneybox Daimon's mother had given him. He rattled it to and fro. 'I've been saving this for you.' It sounded full. 'I may have added a coin or two.' Still spellbound, Daimon took his hand from Yann's, reached out to claim his hopes and dreams. 'Not so quick.' Maling withdrew them. 'First a little kiss.' 'Don't!' cried Yann. He was reaching again for Daimon's hand when the floor dissolved beneath him and he was falling as fast as the machine was rising. 'Yann!' In moments, Daimon's love was lost to even super-vision. 'I have no idea what you saw in him. But if you would you like to join him I can let you out at your convenience.' Maling grinned. 'Alternatively, there's a position going: mistress of a new planet – lovely spot I've picked for us, just a few light years off.' He offered the box again. 'But you do need to hurry up and make a decision. We'll be leaving this world at any moment.' Daimon looked up at Maling, tears tumbling, worldview upturned. 'You'll never want for anything and never be unhappy again.' Maling's breath smelt of death. Daimon opened his lips. 'I don't believe,' he said. The illusion was shattered, the machine destroyed and with it Maling, and with it Daimon. But the earth's essences—which had been so selfishly stolen—returned to the planet in a fine crystal rain. And it all began again. M-uh-th-er Nicola Borasinski Something buzzes up ahead. Agni keeps her eyes focused on the pavement. One foot, then the other. Rain pockmarks the ground, light at first, but growing heavier as Agni heaves herself along the street. to the pavement, a hand wrapped around her bump. A faint whine follows her and that's when it happens. Her stomach twists in agony, as if someone has taken a poker and wedged it deep into her skin. She cries out, stops, leans against the wall of a building. Pain ripples through her thighs. Agni leans back, taking a deep breath and wiping the sweat from her forehead. When she straightens, she finds herself staring at a drone. A red light blinks underneath it, a camera. There is a subtle sound of machinery, the buzz without the bee, as the drone angles the camera down. The lens tightens, fixing on her face. She shouldn't be down here. "Fuck off," Agni says, waving her hand towards the drone. It darts out of the way, avoiding her hand by a comfortable distance. The fans whirr louder as the drone circles back, squaring up to her. Agni squints through the rain, at the bright light at the drone's centre. It shifts as if recognising her look. Her stomach clenches as a dragging sensation echoes deep within her. She groans as the pain erupts through her body, like a hand reaching in and ripping her insides out. She crumbles against the wall, sinking "You don't look so good," Stevie says, reaching a hand across the table. "Are you ok?" Agni pulls her hand back and folds into herself. "I'm fine." Wind lifts leaves from the ground. They twist and turn into the air, as if they're stuck in a whirlpool. The park, if you could call it that, is dead. This is the first time they've seen each other in a year. Stevie suggested the park, a no man's land, where they could talk without being overheard. "How is," her eyes glance towards Agni's baby bump," everything?" Agni nods, but can't bring herself to tell Stevie about the pain. She clears her throat and folds her arms over her tummy. "I – we're fine." Stevie nods slowly, staring out across the park. Agni follows her gaze and they stare at the pond in silence. The fountain in the middle used to shoot out great jets of water. Now, the pond is more of a smear, patches of concrete visible where the water's dried. It's only beautiful when it rains. Agni opens her mouth to speak but she doesn't know how to articulate the words: I miss you. Stevie sighs and leans back into the bench. She glances up at the sky as dark clouds roll in the distance. "When are you due?" Agni, her hand resting on her bump, looks at her ex. There are more grey hairs than when they were together. When did they get so old? "Twenty-second of October." Stevie nods, rubs her nose. "Not long then." Agni shakes her head, dislodging memories of the two of them walking through the park when the trees were green, parakeets soaring above, darts of green against blue. Stevie would always shout excitedly, scouring the sky to catch a glimpse. "They live happier in groups. Did you know that? One parakeet on its own doesn't last as long." Agni looks down at her feet, the trainers falling apart on the tarmac. Shoes Stevie bought her. Stevie's eyes are as steely as the drones that circle around the park. "Are there any side effects?" Agni opens and closes her mouth. The truth feels too large, the words too hard to break down into understanding. "No." The lie slips out, runny as honey on the tip of her tongue. Stevie frowns, her face pale. "Beth is suffering. There are days when she can't walk from the agony." Agni grits her teeth. She doesn't care about Beth but the worry lines on Stevie's face pull her in. "How long has she been in the programme?" "Four weeks." Agni nods. For her the pain wasn't intense back then, maybe the machines are getting stronger. "When is she due?” Stevie sighs and her body deflates like a balloon. "How did we get here?" Agni wants to laugh. Stevie might've forgotten the arguments but she hasn't. Nights spent lying in separate rooms, listening for the slightest cough, any sound that would indicate Stevie was lying there, same as her, awake and wondering about the future. Stevie shakes her head, stares out into the distance and leaps from the bench. She moves so quickly that Agni jumps. Stevie looks up at the patrol drones and yells. "FUCK OFF!" Her scream echoes around them, lifting Agni to her feet. She fills her lungs and shouts too. As her anger builds, words reduce to their base level of sound. Agni can feel them, all of the women who've been forced into this programme. Their bodies pile up in the park. She screams until her voice breaks. Once they've stopped, her and Stevie look at each other, laugh. The air around them feels lighter, despite the metal blocking the sky. They sit back down and look out across the park in silence. It doesn't take long for one of them to appear. Its blue body whizzes into view, the red light blinking at them. "Due to incoming weather, all visitors are asked to evacuate the park." Agni rises to her feet, stumbles. Stevie catches her arm, steadying her. Their eyes find each other. Agni opens her mouth, about to speak when – "Storms approaching. All visitors must leave now." The walk from the park is short but Agni's feet trip over themselves. Wind pulls at her like desperate hands. She wraps her arms around her bump and urges her legs to move faster. Up above, the drones are doing a coordinated dance as they move higher into the air. Specks of grey on grey. Agni hates that metal is unaffected by the storms. She turns the corner, her street visible in the distance. Stevie's face swims in front of her vision and she is struck by a longing so acute that her knees buckle. Something whines by her side. She looks up - a drone. Is it the same one as before? The metal bodies all look the same, the four fans rotate so quickly they look invisible. Agni reaches out a hand but the machine doesn't move. The camera tilts as the drone flies closer to Agni's face. A breeze from the fans buffets her cheek and she throws up her hand. The drone leans to its side, like a dog tilting its head to a question from an owner. She reaches out again, her fingers so close to the metal. Are we allowed to touch them? A siren pings high above as the drone lurches forwards. Agni lunges to the side as metal flashes past her. The drone spins quickly, its camera fixes on her, the red light flashing. Agni runs. The sky crackles above. Agni stops, static. She looks up and immediately wishes she hadn't. Drones. Twenty, no more. They hover above her, a wall of metal and red light, as angry as wasps. Agni searches for her front door and finds it. The space from here to there is small but her legs are lead. Agni grits her teeth and darts towards home. The buzz of drones roars in her ears as she pumps her arms and legs. She keeps her eyes on the dark blue door, scared to look up. Her t-shirt clings to the sweat on her back. She is almost there and pulls the key from her pocket. Her hands stumble, fumble with the metal in their hands. She wipes them on her jeans and grips the keys so hard the teeth leave marks in her skin. She slams into the door and turns round. The drones stop suddenly before switching their direction. Agni stands, transfixed as they form into a shape. Is that a mouth? The thrumming of the fans subsidies and Agni stumbles back in horror. The drones have formed a face. A baby's face. Agni steps back and hits the door. Her wrists shake as she struggles to fit the key into the lock. She glances over her shoulder at the drones. Goosebumps break over her skin. The baby's mouth moves. Finally, she forces the key into the lock and tumbles into her home, slamming the door shut. Agni drops the keys and turns around. She presses her shaking palms against the door as nerves vibrate through her body. There is a small peephole. Agni takes a deep breath and brings her eye to the glass. The drones are gone, replaced by the baby. Agni watches in horror as it mouths something to her. She copies the shapes trying to understand what the child is saying. M–uh–th–er. Sticks and Stones Yvonne Clarke The taste of chips and coke lingered on my tongue, seasoned with a dash of despair and served with a helping of self-consciousness. I licked the grease off my lips as I decided which ball to select. I settled on the black one, the heaviest – I thought it would create a better impression: more macho, more confident. The holes were a bit loose for my spindly fingers, but the weight of the ball, I figured, would make it go further and straighter. I tensed up like an arrow drawn back in a bow. So much depended on this; I didn't want to let my team down. Schlepping towards the foul line, I let go of the ball too soon in my nervousness. There was a collective groan from my colleagues as the ball banged down with a sound like thunder onto the smooth polished maple and scudded seamlessly into the gutter. My cack-handed efforts had just earned me nil points in a tie break between Personnel and Production. I sloped back self-conciously towards my team, vision blurred, eyes unable to meet anyone else's. Not the most promising start to my new life. My lack of coordination had always been a problem. I was the person who couldn't catch a ball, ride a bicycle, dance in time to music. It wasn't such a problem in primary school, but when I became a teen the issues escalated. Always the last to be picked for a team, I felt myself flushing scarlet as the number of selectees grew smaller and smaller. As I waited in vain, as always, to be chosen I was infused with a mixture of acute embarrassment and shame. With animal intuition I sensed, long before I experienced, the unwillingness of others to engage with me. What had I done wrong? I made an appropriate amount of eye contact (I had researched this so as not to appear too threatening), I used deodorant and I brushed my teeth regularly. I wasn't the class swot or bully, yet I didn't 'belong'. I have been branded as an oddball, I concluded. Mum didn't help matters. She nagged me, half concerned, half irritated. 'Why don't you talk to your classmates?' 'Why do you never have any friends?' 'Why don't you join in the games at break time?' She only knew this from parents' evenings. I was acutely uncomfortable knowing that the teachers had noticed and were concerned about me. I did try. I hung around on the periphery of the football games at break time, hoping fervently that someone would invite me to join in. They never did. Then the name calling started. 'Runt!' 'Weirdo!' 'Mong!' Each word a dart into the bullseye of my heart. 'Can I have your chocolate and crisps? My mum won't give me any.' In an effort to be accepted I started giving away my packed lunch, first sporadically, then regularly. I still didn't make any friends. The boys ignored me and the girls called a tomboy. Mum taught me what to say. 'Sticks and stones will break my bones, but words will never hurt me.' I'll try that tomorrow, I promised myself. But the playground insults continued relentlessly as I tried to hold back the tide of hot, brackish tears which stung my face as though I'd invaded a hornets' nest. But it gradually dawned on me that I was not only an oddball, a loner. I felt like I was a foreigner within my own body; a parasite growing and invading me from within. The onset of puberty made me reach a profound and irrevocable conclusion – one which I realised held the key to unlocking all my problems. I decided that facing up to my issues was the only way forward, otherwise I would be forever trapped – a tiger within the confines of an ever-tightening cage. Maybe coming out at breakfast time was not the best idea. 'Who's been filling you with these crazy ideas?' 'They're not ideas, they're facts.' 'It's just a phase you're going through.' 'It isn't; I think I've always known. You just didn't want to acknowledge it.' 'You're too young to know what you're talking about!' 'I've never been so sure of anything in my life.' Hysterical tears and self-castigation from Mum. Dad, poor man, was out of his depth and tried to assume the roles of both mediator and counsellor. They both needed as much time to digest my pronouncements as I had needed to be able to broach the subject with them. So began the first steps in my transformation. I cut my hair as short as I could and bought masculine clothes. The relief I felt at no longer having to pretend was immediate. And I tried different names for size, finally settling on Mark. Martha to Mark – I rolled it round my tongue, trying it for size. Martha to Mark. Yes, it sounded right. 'Are you a boy now?' 'Not really, not yet.' 'Perv!' 'Dyke!' 'She-male!' Sticks and stones… sticks and stones…. The litany of insults continued. Eventually, inevitably, real sticks and stones did come, on my way home from school via the cemetery short cut. This I saw as the death of my feminine guise: they didn't break my bones physically, but they did mess with my mind. Defenceless, defeated and bloody, I propped myself up painfully against a tombstone. I read the inscription. RIP Martha Marshall. Funny coincidence. Funny strange, that is, not funny ha ha. But sticks and stones are used to build as well as break. As I sat there, I watched the rooks gathering twigs for their nests, preparing for the renewal of life, just as I was. Stones mend missing pieces, fill gaps and build bridges with which to connect places and people. When I emerged from my chrysalis, when my metamorphosis was complete, I would start to build my bridges. If I could just get through my last two terms at school, I would be ready to make a new start, just like the rooks. One year later It's my second ten pin bowling night, and this time I feel more comfortable in my new skin. Despite my previous pathetic efforts, I had been invited again a tiny triumph for Mark, my new persona, but one which holds massive significance for me. I flex my fingers and assemble myself into a tighter format. This time, I choose a lighter ball, one which matches my frame and my fingers: I have nothing to prove any more. The atmosphere around me is a coiled spring of tension. I swing my arm back gracefully, moving with the measured stride of a stalking tiger. I arc my arm forwards like a pendulum on a clock. I release the ball at the critical moment. It rolls on a smooth and true trajectory, straight as a Roman road, towards the pins. Strike! Arun Jeetoo Bios Caroline Hagen Tequila Arun Jeetoo is a poet, short story writer and secondary school English teacher based in North London. He is a wanderer who possesses the gift of compassion known for his dirty realism style of work, provocative and raw imagery, and dark humour. @G2poetry @G2poetry Bridget Hart They/Them 31 / Home is a Bus Ride Bridget Hart explores discomfort, resilience and survivorship with wry anger and wit that inspires to kick back against the world and dig deep within our own introspective selves. A master of DIY, immediate and intimate performance. Tying together multiple and often contradictory identities, Bridget encourages readers/audiences to embrace their inner-conflicts. @beehartyeah @beehartyeah bridgethart.wordpress.com bridgethart.bigcartel.com The Grave of Robert Johnson in The Mississippi Delta Caroline had a career as a film publicist, which might sound glamorous but wasn't really, although it had its moments. Now in her 60s with time on her hands, she's started writing short stories and creative non-fiction with a view to - maybe - a novel. It's never too late, right? @carodarcy DC Diamondopolous 1912 DC Diamondopolous is an award-winning novelette, short story, and flash fiction writer with over 250 stories published internationally in print and online magazines, literary journals, and anthologies. DC's stories have appeared in: 34th Parallel, So It Goes: The Literary Journal of the Kurt Vonnegut Museum and others. Ellen Olivia Warren Don't Think About it Ellen Warren is an enigmatic, young writer with a passion for poetry, which she has loved since she was a child. Since graduating from a creative writing degree in 2019, Ellen has been inspired by innovative poetry and is fascinated by art that explores emotions and mental health. The poems are unapologetic and physical, reflecting the experiences in her life that have now made it onto the page. @vorago_lit @voragoliterature Emma Dawson Infertile Via Implant Emma is a short story writer and playwright. Emma's short stories have been published by Dear Damsels and Inkapture. The full-length play, Mum, had online readings with Dramatists Guild of America and Up 'Ere Productions, whilst short plays have been performed at Theatre503, Battersea Arts Centre, and Pleasance Theatre. @emmaruthdawson Fiona Linday The Last Post-Turning Over a New Leaf Fiona wrote the YA, "Get Over It, Adventures," Onwards and Upwards. Before my prize-winning short story, 'Off the Beaten Track' was published. Winning the Unique Writing Publications Short Story Award with 'Love', in American anthology called Spiritual Awakenings. Published in eBook anthology of short stories, "The Heavenly Road Trip" and she edited "Family Matters, an anthology of new writing", Dahlia, 2019. fionalinday.co.uk Gale Acuff The Forgiveness of Sins Gale has had poetry published in Ascent, Reed, Poet Lore, Chiron Review, Cardiff Review, Poem, Adirondack Review, Florida Review, Slant, Nebo, Arkansas Review, South Dakota Review, Roanoke Review, and many other journals in eleven countries. In addition Gale has authored three books of poetry: Buffalo Nickel, The Weight of the World, and The Story of My Lives. Gale has taught university English courses in the US, China, and Palestine. Ismim Putera He/Him I Know Why the Ghosts Cry Ismim Putera is a poet and writer from Sarawak, Malaysian Borneo. His work has appeared in Anak Sastra, Ghost Heart Literary, Prismatica, and forthcoming in Omelette magazine and Voice and Verse Magazine. @ismimputera Jeffrey Zable In For Life Jeffrey Zable in a teacher, professional musician, and writer of poetry, fiction, and non-fiction. His writing has appeared in hundreds of literary magazines and anthologies, more recently in Arierl Chart, Corvus, Boston Literary Magazine, Pensive Stories, Derelict Lit, Third Wednesday, The Stray Branch and many others. Jeremy Gadd Desire Jeremy Gadd has previously contributed poems to literary magazines and periodicals in Australia, the USA, the UK, Canada, New Zealand, Germany, Belgium and India. He has MA Honours and PhD degrees from the University of New England and his writing has won several literary awards. He lives and writes in an old Federation era house overlooking Botany Bay, the birthplace of modern Australia. jeremygaddpoet.com Joe Balaz Boom Kanani / Supah Bird Joe Balaz writes in Hawaiian Islands Pidgin (Hawai'i Creole English). He is the author of Pidgin Eye, a book of poetry. The book was featured in 2019 by NBC News for Asian Pacific American Heritage Month, as one of the best new books to be written by a Pacific Islander. Jon Barton Reaching Jon writes plays, work for children and young people, and is an author-in-progress. Work includes Bush Meat (HighTide), Serious Heroes (Old Vic) and Oedipus (Almeida). Children's work includes Mr Gobble's Garden and Red Riding Hood & the Wolf (Little Angel Theatre / HOME Manchester). He runs City Academy's writing department. @jnbarton Judy Upton The White Hart Judy's an award-winning playwright with plays produced by the Royal Court, National Theatre, Hampstead Theatre and BBC Radio 4 etc. 'The Bulbul Was Singing' was a Radio 4 Drama Of The Week (2019). She's had two feature films and a TV drama produced, plus a novella published by Orion Books. Kathryn O'Driscoll Sister / The Grey Garden Kathryn O'Driscoll is a spoken word poet, writer and activist from Bath. She talks openly about disabilities, mental health, LGBTQIA+ issues and joys and gender politics in her wide range of poems. She's a Bristol slam champion who has performed at the Edinburgh Fringe and competed at UK National competitions. Kristian Hoareau Foged He/Him Call it What it is Kristian is a twenty-nine year old part-time poet and full-time communications consultant and social commentator. He's a mixed race, third culture kid: ethnically Danish and Seychellois, he grew up in Denmark, Uganda and Greenland before moving to England to study and, eventually, work. @Kristian_Foged @kristianhoareau Louis Glazzard Grindr Gone Wrong Louis Glazzard was born and raised in Yorkshire, England. After graduating with a degree in English Literature, Louis has been working as a queer writer and poet. These poems have been featured and shared in various creative spaces across Manchester and beyond, including the BBC, Waterside Arts and London LGBTQ+ community centre. In July, Louis' poetry was published in New Critique and he headlined Verbose Manchester. @lourowpoet @lourowpoet Lucy Hulton She/Her Portrait of Aphrodite Lucy C. Hulton is a bi-bilingual poet and translator. She has an interest in hybrid forms and she was shortlisted for the Streetcake Experimental Poetry Prize 2020. Currently, she is studying for an MA in creative writing. Her work often incorporates themes of mental illness and environmentalism. @lucechulton @lucechulton Mauk Donnabhain Come on Eileen Mauk Donnabhain is a working-class writer from Donegal, Ireland. A knowledge artisan and aspiring polymath, he has lived in different parts of the world including France, Russia, Thailand and Uzbekistan. He currently lives in London. His short story 'The Rabbit and the Moon' was shortlisted for the Colm Tóibín International Short Story award 2020 and he has had other work published in The Honest Ulsterman, The Blue Nib, Cold Coffee Stand, Pendora magazine and The Galway Review. @maukee @maukdonnabhain /Mauk Donnabhain wordpressmaukdonnabhain.wordpress.com Michael Handrick Goodnight, Miguelito Michael Handrick was born in the UK and raised in various countries. A graduate from the Creative and Life Writing MA at Goldsmiths, University of London, his short stories and journalism have been published in various anthologies and publications including Litro, Attitude, and PYLOT, with academic research published by The Inter-Disciplinary Press. Michael has been shortlisted for Penguin Random House's Write Now 2020 and the Creative Future Writers' Award. @michaelhandrick Mohammed Rizwan Tomorrow, You Will Mohammed is a UK-based writer who's writing is informed by their cultural and religious background. Mohammed is currently working on a YA LGBT novel. @MoRizwan1983 Nathan Evans He/Him The Magic Machine Nathan's poetry has been published by, amongst others, Manchester Metropolitan University. His first collection was long listed for the Polari First Book Prize; his second is published by Inkandescent. He is long listed for the Live Canon 2020 International Poetry Competition. His first short story was published in Untitled: Voices. @nathanevansarts @nathanevansarts Niamh Haran A Real Date / Old Piercing Holes Niamh Haran is a queer non-binary poet based in London. They are an English Undergraduate at King's College London and member of The Roundhouse Poetry Collective. Some of their poems appear in Perverse, Abridged, The Babel Tower Notice Board and The Interpreter's House. @niamhjerrie Nicola Borasinski M-uh-th-er Nicola Borasinski is a writer from Stoke-on-Trent. She currently lives in London with her partner. In 2018 she completed the Faber Academy course and was long listed for the Bath Short Story Award. She is currently working on her first novel. @N1icky Niharika Jain सहारा Niharika collects stamps and loves painting her nails, eating chocolate, making lists and watching TV dramas in the mystery genre. Used to be bed-fellows with impostor syndrome and is frenemies with anxiety. In 2020's global pandemic, she has given herself what she needs from herself: courage and self-belief. Olivia Toh She/Her Dystopian Future / Home Olivia Toh is a high school student from Malaysia. She is featured in The Global Citizens Innovative Solutions SDGs Challenge's book, "Resilient Youth: Emotional Wellbeing in the Wake of the Covid-19 Global Pandemic". Outside of school, she enjoys brush lettering, poetry and dancing. She is also passionate about travelling around the world. @zhihuitoh Yvonne Clarke Sticks and Stones Yvonne Clarke has been a teacher of English as a Second Language for twenty years. Prior to this she was a copy editor for a number of publishing companies and also worked as a content editor for Pearson Education for several years. She has had several flash and short stories published. She was a finalist in the 2020 LISP Short Story Prize and runner up in the 2020 Broadway Arts Festival Flash Fiction Competition.
Contents lists available atScienceDirect Food Chemistry journal homepage: www.elsevier.com/locate/foodchem Review Health beneﬁts and bioactive compounds of eggplant Nergiz Gürbüz a , 1 , Selman Uluişik b , 1 , Anne Frary a , Amy Frary c , Sami Doğanlar a , a Izmir Institute of Technology, Department of Molecular Biology and Genetics, 35430 Urla Izmir, Turkey c Mount Holyoke College, Department of Biological Sciences, The Biochemistry Program, 50 College St, South Hadley, MA 01075, USA b Mehmet Akif Ersoy University, Burdur Food Agriculture and Livestock Vocational School, 15030 Burdur, Turkey ARTICLEINFO ABSTRACT Keywords: Metabolic proﬁling Solanum melongena Eggplant Chemical composition Bioactive compounds Eggplant is a vegetable crop that is grown around the world and can provide signiﬁcant nutritive beneﬁts thanks to its abundance of vitamins, phenolics and antioxidants. In addition, eggplant has potential pharmaceutical uses that are just now becoming recognized. As compared to other crops in the Solanaceae, few studies have investigated eggplant's metabolic proﬁle. Metabolomics and metabolic proﬁling are important platforms for assessing the chemical composition of plants and breeders are increasingly concerned about the nutritional and health beneﬁts of crops. In this review, the historical background and classiﬁcation of eggplant are shortly explained; then the beneﬁcial phytochemicals, antioxidant activity and health eﬀects of eggplant are discussed in detail. 1. Introduction The primary concern of plant breeders has traditionally been the agronomic properties of crop plants: yield, uniformity and resistance. With population growth, climate change, soil and irrigation management practices all contributing toward a decline in both the quantity and quality of arable land, crop yield and disease resistance continue to be breeding priorities. However, increased consumer awareness of the nutritional and medicinal qualities of fruits and vegetables has shifted some of the breeders' focus toward enhancing the chemical composition of plants (Raigon, Prohens, Muñoz-Falcón, & Nuez, 2008). medicine rely on these phytochemicals as an important source of remedies and pharmaceuticals. Thus, understanding the metabolic constitution of plants and the genetic control of secondary metabolite synthesis is now a goal of many breeding programmes. Such knowledge promises to facilitate strategies for improving traits, such as ﬂavour, and biotic and abiotic stress resistance, and should help to address the more complex issue of modifying levels of antioxidants and amino acids as a means of improving crop compositional quality (Maloney, 2004). Thus, metabolomics approaches are becoming more important in plant breeding. In addition to accumulating minerals that are essential elements in the human diet, plants produce a wide array of both primary and secondary metabolites that impact human health and nutrition. Primary metabolites are compounds that are directly involved in plant physiological and developmental processes. The carbohydrates, proteins, lipids and vitamins, made by plants as primary metabolites, are crucial to human nutrition. Secondary metabolites are not essential for basic plant processes. However, these phytochemicals often play important roles in plant defence against biotic and abiotic stresses. Although there is no common classiﬁcation of secondary metabolites, generally they can be categorized as phenolics, terpenoids, nitrogen-containing alkaloids and sulfur-containing compounds. In addition, both traditional and modern Metabolomics is the "study of all the chemical compounds in an organism that have low molecular weight" (Maloney, 2004). Liquid chromatography (LC) and gas chromatography (GC) are often combined with mass spectrometry (MS) to reveal the metabolic composition of plants. This strategy is frequently untargetted: although it reveals variation among individual plants, it often does not attempt to identify individual chemical compounds. Metabolic proﬁling, on the other hand, targets speciﬁc metabolites and results in qualitative and quantitative data that can be used for various purposes. Populations can be phenotyped for a speciﬁc metabolite, the safety of genetically modiﬁed organisms (GMOs) can be more precisely evaluated, and plants can be screened to uncover metabolite bioactivity and to assess metabolites as biomarkers of plant stress, injury or disease. Using metabolites as Abbreviations: CAE, Caﬀeic acid equivalents; CatE, Catechin equivalents; DE, Dry extract; DW, Dry weight; EβC, β-Carotene equivalents; FRAP, Ferric ion reducing antioxidant powder; FW, Fresh weight; GAE, Gallic acid equivalents; ORAC, Oxygen radical absorbance capacity; LE, Lycopene equivalents; TE, Trolox equivalents; TAE, Tannic acid equivalents; QueE, Quercetin equivalents ⁎ Corresponding author. E-mail addresses: firstname.lastname@example.org (A. Frary), email@example.com (A. Frary), firstname.lastname@example.org (S. Doğanlar). 1 Equal contributions. https://doi.org/10.1016/j.foodchem.2018.06.093 ⁎ biomarkers is challenging. Unlike molecular markers they are subject to environmental variation. However, under controlled environmental conditions, metabolome analyses oﬀer the potential of biomarker discovery and application. These types of studies can help to reveal the quantitative genetic bases of the biochemical processes underlying metabolite production and may inform breeding strategies. For these reasons metabolomics and metabolic proﬁling are increasingly popular platforms in plant genetics and breeding (Kliebenstein, 2009). Eggplant (Solanum melongena L.) also known as aubergine, brinjal, berenjena or Guinea is an agronomically and economically important non-tuberous species of the nightshade Solanaceae family. Eggplant has been cultivated for centuries in Asia, Africa, Europe, and the Near East (Bohs & Weese, 2010). Today, around 50 million tons of cultivated eggplant are produced on more than 1,800,000 ha worldwide (FAOSTAT, 2014, Accessed 03.08.2017). Eggplant production is concentrated in a few countries: China (29.5 million tons) is the top producer, followed by India (13.5 million tons), Egypt (1.2 million tons), Iran (0.85 million tons) and Turkey (0.82 million tons). However, eggplant fruit are also commonly sold in American, European, and Australian markets (FAOSTAT, 2014, Accessed 03.08.2017). Eggplant is a high-yielding crop and is well-adapted to hot and wet environments. Therefore it typically remains aﬀordable while other vegetable crop prices increase. As a result, eggplant is an especially important source of nutrients (Table 1) in the diets of low-income consumers (Hanson et al., 2006). Interest in this plant is growing rapidly because it is a good source of antioxidants (anthocyanins and phenolic acids), which are beneﬁcial to human health (Gajewski, Katarzyna, & Bajer, 2009). Eggplant has also been used in traditional medicine to treat many diseases. For example, in parts of Asia, vegetative aerial parts of S. americanum/nigrum were traditionally used for treatment of skin problems and as a purgative, to ease urination, and to Table 1 Nutritional value of eggplant (USDA report 11209). 603 increase sex drive (Meyer, Bamshad, Fuller, & Litt, 2014). In the same study, 77 medicinal properties were recorded for eggplant which indicates the importance of this plant in local medicine and its promise as a functional food and in the natural products industry. Although there are a few reviews describing the structures and levels of phenolic compounds in eggplant, there is no collective information in the form of a literature review that summarizes the nutritional and phytochemical compounds in eggplant, their antioxidative potential and health beneﬁts. This review aims to shed light on the nutritional content and potential pharmaceutical beneﬁts of diﬀerent eggplant species. This information can help to determine which properties warrant further breeding eﬀorts. 2. Background and classiﬁcation of eggplant Eggplant is an Old World species, unlike other solanaceous crops which are native to the New World. However, like its Solanum relatives, tomato and pepper, eggplant is an autogamous diploid with 12 chromosomes (2n = 24). The fruit of the eggplant is botanically classiﬁed as a berry, and contains numerous edible soft seeds that are bitter because they contain nicotinoid alkaloids. Although the domestication history of eggplant has long been debated, according to the most accepted hypotheses, eggplants were ﬁrst domesticated over 4000 years ago in south east Asia (Meyer, Karol, Little, Nee, & Litt, 2012). The putative progenitor of eggplant, S. insanum L. is widespread in tropical Asia from Madagascar to the Philippines (Syfert et al., 2016). India has been labelled the centre of diversity of varietal eggplant by some researchers (Fraikue, 2016). Cultivation of this crop then spread through Africa, the Near East and Europe. Although there are several diﬀerent eggplant species grown around the world, the one most commonly cultivated is Solanum melongena. Wild relatives of this eggplant species produce large spiny leaves and small, green, hard, egg-shaped fruits. S. melongena diﬀers from its wild predecessors mostly in terms of fruit colour and shape. Ranging from dark purple to black, with some green and white varieties, the fruit of cultivated eggplant is larger than the wild type and more variable in shape. Some eggplant varieties have rounder (S. melongena var. esculentum) fruits whereas others have elongated (S. melongena var. serpentinum) fruits (Swarup, 1995). Two other agriculturally important species of eggplant are commonly grown and consumed in Africa: Solanum aethiopicum and Solanum macrocarpon. Unlike S. melongena, these species are grown for their nutritious leaves. S. aethiopicum is a shrublike plant with hairy or glabrous leaves. Based on leaf and fruit morphology and uses, S. aethiopicum is grouped into four accessions (Aculeatum, Gilo, Kumba, and Shum). The Gilo group is the most important group in the S. aethiopicum complex with its large and rounded edible fruits (Gramazio et al., 2016). S. macrocarpon is grown solely for its large, glabrous leaves. It produces small yellow-orange fruits which are not edible (Macha, 2005). 3. Bioactive compounds in eggplant 3.1. General Plant secondary metabolites are not essential for basic plant processes; however, traditional and modern medicine rely on these bioactive compounds which, with their antioxidant properties, are an important source of remedies and pharmaceuticals. Phenolics and carotenoids are the main phytochemicals that help maintain human health (Singh, Kaur, Shevkani, & Singh, 2015). Like other vegetables and fruits, eggplants have a characteristic array of bioactive compounds, including phenolics, carotenoids and alkaloids. The following sections concentrate on the beneﬁcial phytochemicals present in eggplant. 3.2. Phenolic compounds Eggplant is considered to be the best source of total phenolic acids within cultivated members of the Solanaceae (Helmja, Vaher, Gorbatšova, & Kaljurand, 2007). Several studies have shown that eggplant has a diverse phenolic content with signiﬁcant variability among eggplant lines (Chumyam, Whangchai, Jungklang, Faiyue, & Saengnil, 2013; Kaur, Nagal, Nishad, Kumar, & Sarika, 2014; Mennella et al., 2012; Prohens et al., 2013; Okmen et al., 2009). The total phenolic content (ranging from 23 mg/100 g DW to 1,168,100 mg/100 g DW) of eggplant cultivars and wild relatives is presented in Table S1 which also includes some other major phenolic acids, ﬂavonoids and tannins identiﬁed by various researchers. Harvesting season has an eﬀect on phenolic acid content in eggplant (García-Salas, Gómez-Caravaca, Gómez-Caravaca, Segura-Carretero, & Fernández Gutiérrez, 2014). Most of the phenolic compounds decreased from spring to summer, suggesting that high temperatures have a negative eﬀect on phenolic content. This information might be a guide for the agricultural sector in determining a suitable time for harvesting eggplants with high phenolic compound content. Supplementary data associated with this article can be found, in the online version, at https://doi.org/10.1016/j.foodchem.2018.06.093. Evidence suggests that the phenolic acid and tannin contents of eggplant's wild relatives and landraces are even higher than that of cultivars (Kaur et al., 2014; Ossamulu, Akanya, Jigam, & Egwim, 2014; Prohens, Burruezo, Raigon, & Nuez, 2007; Prohens et al., 2013; Raigon, Rodriguez-Burruezo, & Prohens, 2010). The wild relative S. incanum has more total phenolic compounds than S. melongena; however, there are no signiﬁcant diﬀerences between the phenolic acid proﬁles of wild type and those of cultivated eggplant (Raigon et al., 2008). S. incanum has recently been used in breeding programmes to improve the phenolic acid content of commercial eggplant lines (Prohens et al., 2013). Landraces represent another useful source of variation which can help selection and breeding programmes. Despite the antioxidant beneﬁts of phenolics for the plant and human consumers, it is important to recognize that high phenolic acid content also brings some disadvantages, such as accelerated fruit browning (Tan, Kha, Parks, & Roach, 2016). Browning of fruits and vegetables is a major problem in the food industry as it is one of the greatest causes of quality loss during postharvest and processing. In general, browning is caused by enzymatic oxidation of phenolic compounds and polyphenol oxidase (PPO) is the main enzyme in this degradation. Peroxidase (POD) activity can also cause browning but is a less signiﬁcant contributor than PPO (Mishra, Gautam, & Sharma, 2013). Several studies have characterized PPO activity in diﬀerent eggplant cultivars in diﬀerent environments. However, the main focus is on reducing the level of browning by different methods. For example, browning was signiﬁcantly inhibited by cutting, using a thin, sharp blade, and immediate dipping in water for 10 min, followed by ambient air-drying and packaging. Because, such cutting caused less physical injury and cell death, it resulted in reduced leaching of phenolics and polyphenol oxidase activity and hence less browning (Mishra, Gautam, & Sharma, 2012). In other work carried out by Dogan, Arslan & Dogan (2002), PPO enzyme activity for three eggplant cultivars decreased with increasing temperature and inactivation time, and showed very little activity at about 60 °C. Flavonoids are signiﬁcant phenolic compounds in eggplant. Eggplant leaves and fruits have diﬀerent ﬂavonoid proﬁles. While kaempferol, quercetin, apigenin and isorhamnetin are minor compounds in eggplant fruit (Huang, Wang, Eaves, Shikany & Pace, 2007), kaempferol accumulates in the leaves (Piao et al., 2014). Solanum anguivi, African eggplant, might be an exception as it had high levels of some ﬂavonoids, such as rutin and quercetin (Elekofehinti et al., 2013). This result might suggest that other eggplant species should be explored for potentially high levels of ﬂavonoids. Although tannins are one of the major groups of ﬂavonoids, there are not many reports on tannin content in the eggplant literature. Alkurd, Takruri & Al-Sayyed (2008) 604 measured tannin content in 39 plants used in the Jordanian diet and found that eggplant had nearly two-fold more tannins than had tomato. Hydroxycinnamic acids (HCA) and their derivatives are the most prevalent class of phenolic acid conjugates in eggplant (8.6–13.6% of the total phenolic acid conjugates) (Stommel, Whitaker, Haynes & Prohens, 2015), and there are signiﬁcant diﬀerences in individual HCA proﬁles among eggplant cultivars (Whitaker & Stommel, 2003). Chlorogenic acid (CGA) (Fig. 1a), an ester of HCA, is the single most abundant phenolic compound in eggplant (ranging from 4240 to 9610 mg/kg) (Medina, Orona, Rangel & Heredia, 2017; Plazas, Andujar et al., 2013; Whitaker & Stommel, 2003). Caﬀeoylquinic acid (CQA) derivatives show high antioxidant capacity and are found in high concentrations in eggplant and related Solanum species (Whitaker & Stommel, 2003). The content of potentially health beneﬁcial HCA conjugates is substantial in eggplant cultivars. The data on HCA conjugates will help in development of new cultivars with optimal HCA composition and content. Anthocyanins are naturally occurring pigments in eggplant. They are concentrated in the fruit peel, ranging from 80 to 850 mg/kg peel with variability due to agronomic and genetic factors, intensity and type of light, temperature, processing and storage (Dranca & Oroian, 2016). Delphinidin glucosides (derivatives of delphinidin anthocyanidin) are one of the major anthocyanins of eggplant peel and impart a dark purple colour (Li & Ding, 2012; García-Salas et al., 2014). Acylglycosides (for example nasunin shown in Fig. 1b) have also been identiﬁed in Japanese eggplant varieties (Casati, Pagani, Braga, Scalzo & Sibilia, 2016). Consumers generally feel that organic foods are healthier and more nutritious. Metabolomics have been used to test this notion. Organically N. Gürbüz et al. grown eggplants were found to have higher levels of total phenolics (498 mg/kg) than conventionally grown (382 mg/kg) eggplants (Raigon et al., 2010). However, fruit of the American variety 'Blackbell', grown under organic and conventional conditions, had nearly identical phenolic contents (8900 and 9900 mg/kg, respectively) (Luthria et al., 2010). These results show that the amount of phenolic compounds depends more on the cultivar than on growing conditions. In other work, conventional (50 mg CatE/100 g) and organic (49 mg CatE/100 g) cultivation did not have a signiﬁcant eﬀect on ﬂavonoid content ( Zambrano-Moreno, Chávez-Jáuregui, Plaza, & Beaver, 2015 ). 3.3. Carotenoids Carotenoids are lipophilic molecules and mostly found in yellowand orange-coloured vegetables and fruits. Carotenoids serve as accessory pigments in photosynthesis and also protect the photosynthetic apparatus from excess energy (Ahmed et al., 2014). These pigments are important in the food industry as colorants and their health beneﬁts 605 have made them popular as dietary supplements. Lutein (Fig. 2a) and zeaxanthin (Fig. 2b) have displayed beneﬁcial eﬀects on age-related macular degeneration (Benke, & Benke, 2014) and cataracts (Weikel, Garber, Baburins, & Taylor, 2014). Although eggplant contains lower levels of carotenoids than do some other vegetables, such as carrot and tomato, some locally grown varieties of eggplant can have signiﬁcant amounts of carotenoids. For example, the best source of lutein and zeaxanthin in vegetables and vegetable oils commonly consumed in India is pumpkin, followed by chili and eggplant (Aruna, Mamatha, & Baskaran, 2009). The carotenoid contents reported in some eggplant species and cultivars are presented in Table S2. Carotenoid levels are aﬀected by various factors, such as developmental stage of the plant, stress conditions, post-harvest conditions or cooking treatments. Carotenoid levels are highest at early stages of eggplant fruit maturity, then decrease during eggplant fruit ripening, and post-harvest storage at 0 °C protects carotenoid levels (Zaro, Keunchkarian, Chaves, Vicente, & Concellón, 2014). Heat treatment (cooking, grilling and frying) decreases carotenoid levels (ArkoubDjermoune et al., 2016; Das et al., 2011). The eﬀect of drought stress on carotenoid proﬁles depends on the type of carotenoid. While carotenes, chlorophylls, neoxanthin and violaxanthin contents declined, the amount of zeaxanthin increased under stress conditions (Mibei, Ambuko, Giovannoni, Onyango & Owino, 2017). There is growing interest in carotenoids because of their potential as antioxidants to decrease the risk of certain cancers. Thus, metabolomic approaches are necessary to expose the potential of eggplant carotenoids in diﬀerent varieties. 3.4. Glycoalkaloids Glycoalkaloids are nitrogen-containing steroidal glycosides found in members of the genus Solanum, including the crop species potato (S. tuberosum), tomato (S. lycopersicum) and eggplants (S. melongena, S. macrocarpon and S. aethiopicum). Glycoalkaloids have roles in plant resistance against pests and pathogens (Sanchez-Maldonado, Schieber & Gänzle, 2016). Two main steroidal glycoalklaoids (SGAs) found in eggplant are α-solamargine (Fig. 3a) and α-solasonine (Fig. 3b) (Blankemeyer, McWilliams, Rayburn, Weissenberg, & Friedman, 1998). These SGAs have potential to treat diﬀerent types of cancers, such as gastric cancer (Ding, Zhu, Yang & Li, 2013), leukemia (Sun et al., 2011), liver cancer (Ding, Zhu, Li, & Gao, 2012), lung cancer (Liu et al., 2004), osteosarcoma (Li et al., 2011) and basal cell carcinoma (Punjabi, Cook, Kersey, Marks, & Cerio, 2008). In addition to the anticarcinogenic effect, their antiparasitic activity was reported in the literature. Researchers showed that SGAs have an antiparasitic eﬀect on Leishmania mexicana (Lezama-Dávila et al., 2016), Leishmania amazonensis (Miranda et al., 2013) and Trypanosoma cruzi (Hall, Hobby & Cipollini, 2006; Chataing, Concepción, Lobatón, & Usubillaga, 1998). Although they have beneﬁcial eﬀects, glycoalkaloids are toxic to humans and can even cause death at high concentrations (3–5 mg/kg body mass) (Bagheri, Bushehri, Hassandokht & Naghavi, 2017). Market eggplant, S. melongena, has lower levels of glycoalkaloids than the toxic dose (Table S3). Levels in S. aethiopicum were similar to those of S. melongena and thus safe for consumption. On the other hand, glycoalkaloid levels in fruit ﬂesh of S. macrocarpon were 5–10 times higher than the value considered as safe in foods (Sanchez-Mata, Yokoyama, Hong, & Prohens, 2010). Glycoalkaloids are found at diﬀerent concentrations in diﬀerent parts of the plants and at diﬀerent developmental stages as is the case with diﬀerent wild relatives and varieties of eggplant. The highest solasodine content was observed in ﬂower buds, followed by leaf, physiologically ripe fruit, young fruit, and mature fruit (Bagheri et al., 2017). It is well known that glycoalkaloids are eﬀective inhibitors of cancer cells due to their toxic eﬀects. However, the optimal levels for toxicity should be further studied. 606 4. Antioxidant capacity of eggplant Metabolic processes are necessary for the continuity of life. However, these processes produce potentially dangerous entities called reactive oxygen species (ROS). The primary source of ROS is incompletely processed oxygen or electrons produced by the electron transport chain (ETC) in the mitochondria (Elekofehinti et al., 2013). The free radical groups of ROS are highly reactive and disrupt the chemical bonds of nearby molecules. For this reason, ROS are usually neutralized or recycled immediately after they are produced. This function is generally performed by antioxidants (Akanitapichat, Phraibung, Nuchklang, & Prompitakkul, 2010). If ROS are not neutralized, proteins, lipids and DNA molecules can be damaged. This damage has been linked to cancer, as well as neurodegenerative and cardiovascular diseases. In addition, because the liver functions as a recycling centre for these reactive species, liver diseases have been associated with ROS (Cichoż-Lach & Michalak, 2014). Humans can synthesize antioxidant enzymes, yet levels of these enzymes are not high enough to cope with the ROS generated by metabolic processes within the cells. For this reason, dietary sources of antioxidants are required (Lobo, Phatak, & Chandra, 2010). Plants can synthesize a variety of antioxidants, and many plants are rich in such compounds. The antioxidant capacity of eggplant is ranked in the top ten of 120 diﬀerent vegetables (Nisha, Nazar, & Jayamurthy, 2009). However, the total amount of these compounds varies (ranging from 2664 to 8247 mmol trolox/kg) according to eggplant variety, fruit shape and size and methodology. For example, antioxidant activity in ﬁve types of eggplant (Chinese, Philippine, American Hindu, and Thai) ranged from 95 to 539 µmol TE/g (Medina et al., 2014). A long eggplant cultivar had the third highest antioxidant activity in FRAP (5.31–8.66 mmol eq. FeSO4/100 g); however, the same eggplant cultivar showed the second-lowest antioxidant capacity in the ORAC assay (0.383–0.594 mmol TE/100 g) among 44 fruits and vegetables grown in Andalucia (Morales-Soto et al., 2014). The skin of eggplant fruit shows particularly high superoxide-scavenging (SOS) activity in inhibiting hydroxyl radical generation (Kaneyuki, Noda, Traber, Mori, & Packer, 1999). Anthocyanin extracts have the greatest reducing power and SOS activity while phenolic extracts show the greatest metal-chelating activity (Boulekbache-Makhlouf, Medouni, Medouni-Adrar, Arkoub, & Madani, 2013). Antioxidant capacity and phenolic acid content are highly positively correlated in eggplant (Chumyam et al., 2013; Okmen et al., 2009; Plazas, Lopez-Gresa et al., 2013). Moreover, antioxidant capacity is related to skin colour and fruit size. Small purple fruit showed higher phenolic and anthocyanin contents and higher antioxidant capacity than did other eggplant fruit types (long green, large purple, mediumsized purple) (Nisha et al., 2009). Storage and cooking temperatures can have signiﬁcant eﬀects on the levels of antioxidants in food. The antioxidant content of eggplant fruit increased during the ﬁrst three days of storage at 0 °C and then declined. In contrast, a gradual and continuous accumulation was observed at 10 °C (Concellón, Zaro, Chaves, & Vicente, 2012). Refrigerated storage (4 °C) did not cause loss of antioxidant activity (Murcia, Jiménez, & Martínez-Tomé, 2009). Heat treatment, such as cooking, led to higher total phenolic content and antioxidant capacity as compared to raw eggplant (Ramírez-Anaya, Samaniego-Sánchez, Castañeda-Saucedo, Villalón-Mir, & Serrana, 2015, Chumyam et al., 2013). The antioxidant activity of eggplant decreased in response to grilling below 65 °C but increased after grilling at higher temperatures up to 95 °C (Uchida, Tomita, Takemori, & Takamura, 2017). However, not all cooking methods increase the antioxidant capacity of the eggplant. Frying caused 50% losses in antioxidant activity (Kalkan & Yücecan, 2013). Deep-fat frying is an extensively used cooking method that enhances organoleptic properties but reduces nutritional value and compromises the antioxidant content of foods. Oxidation, hydrolysis, polymerization, Table 2 Uses and health beneﬁts of eggplant bioactive compounds. isomerization and cyclization reactions occur in the oil during the frying process. Synthetic antioxidants, such as butylated hydroxyl anisole, are added to edible oils to improve their oxidative stability but these compounds may have toxic and carcinogenic eﬀects. However, natural antioxidants released during cooking can help protect the oil from lipid oxidation. Thus, eggplant has been investigated as a source of natural antioxidants for extending the usability of frying oil. The high polyphenol content of eggplant peel juice helped to enhance the oxidative stability of frying oil (Basuny, Arafat, & Kamel, 2013). 5. Health beneﬁts of eggplant Besides its agricultural and nutritional importance, eggplant has a number of medicinal beneﬁts (Table 2). In several studies, extracts from eggplant fruits were shown to have excellent therapeutic eﬀects on warts, burns, and many inﬂammatory diseases, such as stomatitis, arthritis, and gastritis (Im et al., 2016). The wide range of secondary metabolites produced by eggplant, including antioxidant compounds, glycoalkaloids and vitamins, seems to be the source of many of its health beneﬁts. For example, the phenolic compound chlorogenic acid (5-O-caﬀeoyl-quinic acid; CGA), a major phenolic compound in the fruit ﬂesh (Prohens et al., 2013), provides many beneﬁts for human health, such as antioxidant, anti-inﬂammatory, cardioprotective, antiobesity, and anti-diabetic properties (Plazas, Andujar et al., 2013; Plazas, Lopez-Gresa et al., 2013). CGA also demonstrates anti-carcinogenic eﬀects by inducing apoptosis in many human cancer cells, such as leukemia and lung cancer cells (Tajik, Tajik, Mack & Enck, 2017). Afshari et al. (2016) demonstrated that an eggplant extract had a more toxic eﬀect on cancer cells than on normal cells. The antibacterial properties of methanolic extracts of eggplant fruits have been tested and shown to be eﬀective against S. aureus, V. cholera, B. subtilis, B. cereus, E. coli and Pseudomonas sp. (Ahmed, Mubassara & Sultana, 2016). Although the results are promising, more studies are needed on the bioactive compounds of eggplant extracts and their possible mechanisms of action against cancer cells. Anthocyanins have long been valued for their colouring properties; however, their roles in helping to prevent neuronal diseases, cardiovascular illnesses, cancer, diabetes, inﬂammation, and many other medical conditions are now becoming clear. The health-promoting effects of anthocyanins are mostly related to their antioxidant activity. Diﬀerent anthocyanins have shown high antioxidant activity by in vitro and in vivo tests. It is known that high iron levels in cells cause lipid peroxidation. Consuming purple eggplant, which has a high level of the antioxidant nasunin (the major anthocyanin in eggplant skin), can help prevent lipid peroxidation and ROS accumulation ( Casati et al., 2016 ). Anthocyanins appear to increase serum antioxidant capacity and help prevent cardiovascular disease and hyperlipidemia by reducing LDL (low density lipoprotein) oxidation. Basuny, Arafat & El-Marzooq (2012) claimed that eggplant peel can be used in pharmaceuticals because of the reducing power of anthocyanins on cholesterol levels. Anthocyanins also seem to have antiangiogenic activities ( Matsubara, Kaneyuki, Miyake & Mori, 2005 ) and help prevent in ﬂ ammation by inhibiting cyclooxygenases (COXs) ( Lin & Li, 2017 ) . Antiproliferative, apoptotic, anti-in ﬂ ammatory, antioxidant and antimutagenic e ﬀ ects have also been observed in anthocyanin-treated gastrointestinal cancer cells ( Wang & Stoner, 2008 ). When added to the diet, anthocyanins seem to have a role in preventing obesity by reducing serum triglyceride and cholesterol and increasing high-density lipoprotein (HDL) cholesterol ( Seeram, Momin, Nair & Bourquin, 2001 ). Moreover, they appear to control diabetes, are used in ulcer treatment, and help improve cognitive function ( Yousuf, Gul, Wani & Singh, 2016 ) and eyesight ( Ghosh & Konishi, 2007 ). Thus eggplant phytochemicals may be a potential source of antimicrobial agents as well as natural antioxidants. As humans cannot synthesize carotenoids, they need to include them in their diet. Consumption of carotenoid-rich foods has been associated with a decreased risk of several types of cancer (LinnewielHermoni et al., 2015). Lutein, zeaxanthin and β-cryptoxanthin have shown beneﬁcial eﬀects on age-related muscular degeneration (Benke & Benke, 2014), cataracts (Weikel et al., 2014), reducing cardiovascular disease (Pietro, Tomo & Pandolﬁ, 2016) and protecting against sunburn-related disorders (Cooperstone & Schwartz, 2016). Vitamin A deﬁciency is an important problem for school children in some countries. The introduction of carotenoid-rich eggplant in the diet of children could help in reducing this problem (Kamga, Kouame, Atangana, & Chagomoka, & Ndango, 2013). Glycoalkaloids are reported to possess anti-cancer activity. Solasodine, a naturally occurring aglycone of the glycoalkaloid in eggplant, reduces human lung cancer cells in vitro (Shen et al., 2017). Glycoalkaloids also have anti-inﬂammatory (Ferreira da Costa et al., 2015) properties, and have been used to help lower blood cholesterol (Friedman, 2006). Overall, glycoalkaloids seem to be a natural product that can be used in the ﬁght against cancer cells. However, more research at the molecular level needs to be done. The ﬁbre content of eggplant promotes healthy digestion, which helps the body get rid of waste materials and harmful toxins, thereby reducing the risk of colon and stomach cancer (Fraikue, 2016). Eggplant's high ﬁbre and low soluble carbohydrate levels make it a good choice for helping to manage type 2 diabetes (Nwanna, Ibukun & Oboh, 607 2013). African eggplant (Solanum kumba) was found to reduce blood glucose levels in diabetic rats. These results suggest that a diet rich in eggplant may be a good way to reduce hyperglycemia, hypertension and oxidative stress in those with type 2 diabetes (Nwanna, Ibukun & Oboh, 2016). Hyperlipidemia and obesity can cause a variety of serious diseases. A diet rich in products, aiding in lipid digestion and absorption inhibitory activities, may be beneﬁcial for human health. Feeding albino rats with dried eggplant was eﬀective in lowering hypercholesterolemia (Hussein, 2012). Green eggplant juice (Solanum aculeatissimum Jacq.) was the most eﬀective disruptor of micellar cholesterol which eﬀectively inhibits cholesterol solubility (Trisat, Wong, Lapphanichayakool, Tiyaboonchai, & Limpeanchob, 2017). Health-conscious consumers generally focus on the antioxidant, phenolic and vitamin contents of foods. However, carbohydrates are an indispensable part of the human diet and possess more health beneﬁts than they are generally given credit for. Polysaccharides have beneﬁcial biological activities, such as immunomodulation, antitumor eﬀects and antioxidant properties (Mei, Yi & Huang, 2017). Saccharides (such as glucose, fructose, saccarose), sugar alcohols (e.g. sorbitol, mannitol, inositol, myoinositol), and β-galactosides (e.g. raﬃnose, stachyose, and galactosyl-cyclitols) are low molecular weight carbohydrates important in nutrition. Eggplant is rich in saccharides, such as fructose (13750 mg/kg), glucose (13270 mg/kg) and, to a lesser extent sucrose (5030 mg/kg) (Ayaz et al., 2015). S. melongena also contains inositol and its derivatives which have positive eﬀects on human health, including the treatment of insulin resistance (Michell, 2007). A molecule with therapeutic properties against Alzheimer's disease pathologies, scyllo-inositol (16 mg/kg), was also reported to be present in eggplant (Hernandez-Hernandez, Ruiz-Aceituno, Sanz & Martínez-Castro, 2011). Mannitol, another carbohydrate with various physiological properties within the cell, was found in low amounts in the same analysis. As mentioned above, although carbohydrates constitute a major part of the human diet, they have not been researched in detail, especially in eggplant. Therefore, both simple sugar and polysaccharide levels in diﬀerent varieties of eggplant should be studied further. 6. Conclusion and future perspectives Metabolomics and metabolic proﬁling are powerful techniques for evaluating the biochemical and nutritional composition of plants. Many bioactive compounds have not yet been discovered and adequately characterized. Analytical tools and platforms, such as metabolomics and metabolic proﬁling, have developed considerably, leading to the discovery of various bioactive compounds and characterization of their bioactivity in a less time-consuming and less laborious way. Exploration of the plant world for bioactive compounds can be used to develop pharmaceutical and agricultural products. Thus, metabolomics can help inform breeding programmes aimed at improving crop quality. In the Solanaceae family there have been numerous studies of metabolites in tomato and potato. Although eggplant is an important source of nutraceuticals and pharmaceuticals, few studies have investigated compounds in eggplant beyond phenolic acids and antioxidant capacity. 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QUOTEL A/S INVESTMENT MEMORANDUM January 2023 TABLE OF CONTENTS Disclaimer The information provided herein is prepared on a best effort basis and has been obtained from sources which we believe are accurate and complete. Although reasonable care has been taken, we cannot guarantee the accuracy or completeness of information published herein. Any opinions or statements herein may be erroneous and may change at any time. An investor should always carry out his own due diligence of facts and data before making a decision to subscribe shares made available in this Memorandum. In case of uncertainty the investors should seek counsel from a professional financial advisor. Financial estimates are based on recent market data which are believed to reflect the nature of the business described herein. However, realised figures might be higher or lower than projected, thus influencing the future Enterprise Valuation downwards or upwards. General prerequisites, guidelines for use of this Memorandum and liability limitations are included herein. OPPORTUNITY INTRODUCTION Quotel - is a Danish company that has launched its game changing hotel booking engine in April 2022 with more than 5,000 European hotels. Quotel´s business model has proved highly competitive with hotel rates on average 19% lower that the hotels´ public prices and the prices on the dominant OTAs like Bookingdotcom, Expedia or Tripadvisor. The competive advantage is outlined in Appendix I. In summary Quotel sells hotel rooms in the B2C market at B2B wholesale prices. Quotel works exclusively with large associations currently including Visma\|Logbuy, PlusKort and the proprietary Quotel Discount Club. The members save up to 50% on room rates publicly offered by the hotels and the OTA´s. The OTAs generally charge the hotels commissions up to 25% and at the same time preclude the hotels in publishing better rates than the OTAs´ publicly offered rates – known as the Price Parity Clause (PPC). Quotel circumvents the PPC and is formally not serving the public market but only makes its rates available to association members via private membership groups. To unlock discounts members buy a Booking Pass (€5-29) that grants unlimited booking access at a single specified hotel. Access to another hotel requires a new specific Booking Pass. Associations are highly incentivised to make agreements with Quotel because good deals attracts new members and as they receive kick backs packages on all Booking Pass revenue generated by their members. Quotel´s proprietary hotel booking engine, association agreements and the hotel supply agreement are immediately fully scalable at very low marginal costs. Taking only marginal market share from the OTAs offers astronomous growth potential. Quotel has raised new capital during the last year of approx. DKK 3.8 million and is offering a new round to procure capital for scaling the company for further growth. Quotel offers subscription of 170,000 new shares, equivalent to 8% post-money of the share capital, at a pre-money valuation of DKK 29 million and a share price of DKK 15.00. Please disclose subscription interest to CEO, Svend Endresen at: email@example.com or to CoFunding Group KS at: firstname.lastname@example.org FINANCIAL HIGHLIGHTS Below section provides a brief overview of the expected financial performance of Quotel in the near term. Forecast 2023-2025 - 000´ DKK Source: Quotel Financial Analysis as of January 2023 The revenue consists of Booking Pass purchases acquired from association members and from members of the proprietary association: Quotel Discount Club. The Associations´ revenue growth is based on realised 2022 sales and forecasts are made subject to realised 2022 conversion rates and scheduled expansion plans for contracted associations: \| Realised traction May-December 2022 \| \| \|---\|---\| \| Members contracted 000´ \| 1.145 \| \| Marketing spend 000´ DKK \| 45 \| \| Click through rate - CTR% \| 49% \| \| Buy conversion % \| 3,5% \| \| Sold bookings \| 217 \| \| Members contracted 000´ \| 33.500 \| \|---\|---\| \| Marketing spend 000´ DKK \| 2,824 \| \| Click through rate - CTR% \| 49% \| \| Buy conversion % \| 4,25% \| \| Sold bookings 000´ \| 178 \| The Quotel Discount Club revenue growth is based on paid social media, subject to acknowledged statistics and conversion rates. \| Views convertable estimate 000´ \| \| \|---\|---\| \| Marketing spend 000´ DKK \| 730 \| \| Click through rate - CTR% \| 6,5% \| \| Buy conversion % \| 5,0% \| \| Sold bookings 000´ \| 11 \| Profitability Development The operating model requires minimum investments in fixed costs going forward and benefits from significant operating leverage. Fully scalable and asset light platform. VALUE PROPOSITION - ROOM DEMAND Customer acquisition and expansion strategy Current potential demand from ~1.2 million association members. Quotel works directly with the associations to create marketing plans promoting Quotel to their members. By this structure Quotel minimises dependency on massive high cost marketing budgets and realises low CAC (customer acquisition costs). Members buy a Booking Pass between €5-€29, depending on the individual hotel´s public rate level. This grants unlimited access to the highly discounted Quotel prices at a specific hotel for 365 days. If the member wants to book additional nights at a new hotel, a new Booking Pass covering that specific hotel is required. The incremental cost for members to acquire several booking passes is far outweighed by the discount Quotel offers on the rooms compared to public market prices. An annual multiple Booking Pass on subscription basis is under development. This Booking Pass will give access to all the hotels in Quotels platform. The pricing is expected between €30 to €50, annually. Quotel offers the associations a kick-back packages on all Booking Pass´ purchased by their members. Contracted association for corporations and their employees, offering exclusive benefits and good deals for 400,000 employees. "We look forward to a value generating collaboration with Quotel who has an exciting concept, which certainly is attractive to our members." Line Gustafsson, Digital Marketing Manager, Visma\|Logbuy Association for 19 labour and trade unions and their 750,000 members, offering exclusive benefits and good deals for the members. "We are looking forward to an exciting cooperation with Quotel offering our members exclusive hotel room savings." Mette Krag Veber, Partner Marketing Manager, PlusKort QDC is Quotel´s proprietary association where customer acquisition is made through paid social media, including Facebook, Instagram and other. QDC provides direct customer ownership and higher customer life time value with no kick back payments. Additionally, it enables flexible content of marketing campaigns and higher frequency. Facebook profiles have very recently been launched in Denmark and the UK. FDM is Denmark´s largest association for car owners with 250,000 members. FDM offers the members good deals which in particular are related to car ownership and use, including travel and insurance. An agreement with FDM is currently under process and is expected to be launched early 2023. Awin is a global affiliate marketing network which empowers advertisers and publishers of all sizes to grow their businesses online. Awin has in 2021 faciliated sales of DKK 1.7 billion through their associated publishers or associations. Quotel has made an agreement with Awin, which shortly will give Quotel access to millions of new members at low CAC. European associations´potential Quotel has identified the potential as follows: \| Country \| Members \| Country \| Members \| \|---\|---\|---\|---\| VALUE PROPOSITION - ROOM SUPPLY Quotel has made an unprecedented and exclusive agreement with WebBeds Ltd., the world´s second largest supplier of wholesale hotel rooms with a global inventory of 400,000 hotels. In December 2022 Quotel has selected and quality validated a supply of 5,000 hotels in Europe, which will be increased up to 20 to 25,000 hotels by year end 2023. This will offer the customers a broader selection of hotels and is expected to substantially increase buy conversion rates. VALUE PROPOSITION - CUSTOMER BENEFITS and JOURNEY Quotel offers on average hotel room saving of ~19%, including Booking Pass costs, with a spread (December 2022) between 1% up to 63% saving. Quotel works closely with WebBeds to make sure that the discount offered to members results in room rates well below the OTA published room rates. A Quotel Discount Club search example shows 133 London hotels for the selected dates. Novotel London Canary Wharf with 40% saving is chosen Member clicks BOOK NOW and is seamlessly directed to the booking engine where the booking is completed in few steps - just like at the hotels´ own booking pages The Quotel booking engine registers and e-mail confirms the booking and collects the payment for the stay via credit card through Stripe The Booking Pass is only to be paid when the member has seen the saving and confirmed the booking An improved picture presentation including a carrousel with pictures of each hotel is presently under development. Additionally interactive maps of the hotel´s location in the searched area will shortly be included in the search engine. Further, improved search criteria will be implemented, showing the available hotels in selected geographic regions. For example showing hotels in a location like Sicily, Italy or Cornwal, England, as an alternative to searching for hotels in specific cities or a country as a whole. SHARE CAPITAL & CAPITAL RAISE OFFER The nominal share capital of Quotel was pertaining to the annual report 2021; DKK 685,736 divided into 1,371,472 shares of nominal value DKK 0.50 per share. The annual report 2021 was approved at the General Assembly on June 10th 2022. A fully paid in capital raise was approved at the General Assembly on June 10th 2022, which increased the nominal share capital of Quotel to DKK 821,018 divided into 1,642,035 shares of DKK 0.50, which has been registered and approved by the Danish Erhvervsstyrelsen by end June 2022. A shareholder pre-emption round in July has been completed by July 25 th 2022, which has increased the nominal share capital of Quotel to DKK 959,071 divided into 1,918,142 shares of DKK 0.50, which has been registered with the Danish Erhvervsstyrelsen in August 2022. A Q3/Q4 capital raise was completed on December 20 th 2022, which has increased the nominal share capital of Quotel to DKK 978,959 divided into 1,957,918 shares of DKK 0.50, which has been registered and approved by January 3 rd 2023 with the Danish governmental body: Erhvervsstyrelsen. Quotel has 302 shareholders with holdings ranging from 16.8% to 0.002% of the nominal share capital. Quotel is offering subscription of new shares subject to terms as follows: Quotel plans, to the extent necessary, to raise additional funds for further growth through an IPO in 2024 or alternatively conduct a full or partial exit in cooperation with an industrial exit partner. Thus the shareholders will have an investment exit opportunity - in full or partially at their discretion. Note: All shares will be registered in an electronic share register such as Danish VP Securities: https://www.vp.dk/ DEPLOYMENT OF RAISED FUNDS The raised funds will be deployed to generate further traction and to substantially grow the company value. MARKETING AND SALES Quotel is currently in the process of onboarding new associations in the UK, Sweden, Germany and Australia, which substantially will increase the customer base. Parallel to this paid social media has been included into the marketing mix, which will open the gates towards Quotel´s proprietary association: Quotel Discount Club. Please find marketing examples in Exhibit II, which currently are used with the above mentioned associations. HOTEL SUPPLY The hotel inventory will be increased to 20 to 25,000 hotels by year end 2023 in order to offer a broader selection of hotels, which is expected to increase conversion rates and the number of customers choosing Quotel. SOFTWARE The software architecture and code-base will be revisited and improved to increase robustness, enable new features, deliver faster search times and automated report generation, which will provide the necessary data for marketing and sales optimization, customer behaviour analyses and customer journey optimisation. DATA SUPPLY Quotel has made an agreement with OTAinsight who supplies data on public hotel rates and rates from OTAs like Booking.com. This enables Quotel to present accurate and trustworthy comparisons of Quotel´s room rates with the publicly available rates and show the customers how much they save before they book - at any hotel, at any time. ORGANISATION Quotel plans to expand the organisation, primarily with resources within marketing and sales and software engineering, still complying with the concept of a lean cost effective operation. Source: Quotel Financial Analysis as of January 2023 MANAGEMENT Seasoned management team, Board of directors and Advisory Board with collective substantial experience within start-ups, software engineering, digital marketing and the global travel industry. EXECUTIVE MANAGEMENT Svend Endresen, CEO * Former Board member and CFO of Algatek Biotech, Spain & UK * Marketing Director of BRF Mortgage Financing, Denmark * Marketing Manager at Unilever, Denmark and Germany * Managed several high-tech start-up projects originating from the Copenhagen Technical University * More than 25 years experience with corporate turn-arounds * LinkedIn: https://www.linkedin.com/in/svend-endresen-3844b3a5/ Martin Robert Knudsen, CTO * Strong scientific background (astronomy and computer science) * More than 15 years of interdisciplinary work in the space industry and for SMEs * Working with startups and has been a Business Angel the last 9 years * Founder of non-profit coding club * LinkedIn: https://www.linkedin.com/in/martinrobertknudsen/ BOARD OF DIRECTORS David McLellan - chairman LinkedIn: David McLellan \| LinkedIn Svend Endresen - member LinkedIn: https://www.linkedin.com/in/svend-endresen-3844b3a5/ Martin Robert Knudsen - member LinkedIn: https://www.linkedin.com/in/martinrobertknudsen/ Bonnie Groth Frølund - member LinkedIn: Bonnie Groth Frølund \| LinkedIn ADVISORY BOARD Roland Tanner, shareholder and Chairman * Special advisor on travel industry structures and technology * More than 25 years experience within the travel industry, including COO at Lanyon * LinkedIn: https://www.linkedin.com/in/roland-tanner-aa5856/ Vladimir Martinov, shareholder and member * Special advisor on IT systems design and web applications design, development and implementation * More than 20 years experience within the hospitality travel industry * LinkedIn: https://www.linkedin.com/in/vladmartinov Kim Tisdale, shareholder and member * Strategy and consulting expert with focus on the global travel industry * More than 20 years experience in the hotel industry, incl. a leading role with Amadeus * LinkedIn: https://www.linkedin.com/in/kim-tisdale-b2a2394/ Clara Maria Hoeck Endresen, shareholder and member * Head of commercial development with Euroinvestor, a Berlingske Media Group brand * Executive with 5 years´ marketing experience with Scandinavian Tobacco Group in DK and UK * LinkedIn: Clara Maria H. Endresen \| LinkedIn RISK ASSESSMENT General Business activities and investing in shares is always associated with risk and Quotel is no exception to this rule. In addition to the information contained in this Memorandum every potential investor should make his/her own assessment of each risk factor and what it may imply for the future potential of Quotel. This review highlights the most obvious risks pertaining to an investment in Quotel and the assessment below does not claim to be complete. Financing Quotel's market investments entail increased costs and a risk that market investments could be delayed, which in turn would mean increased costs for Quotel. It cannot be precluded that Quotel might require additional capital in the future. Suppliers Quotel has collaborations with suppliers. There is a risk that one or more of these might choose to terminate relations with Quotel. This might have a negative impact on the pace of business development. Similarly, the establishment of new suppliers can become more costly and/or take longer time than expected. Key persons & employees Quotel has presently a limited number of employees which in short term might constitute a risk. However, Quotel's main assets are its proprietary technology, its business concept and client/supplier relations which exist independently of its employees. The risk of key employees leaving poses a minor risk. Competition Quotel's potential competitors are companies with large financial resources. An extensive investment and product development from a competitor could entail risks in the form of deteriorated sales. Demand & supply Quotel has focused on developing it´s platform and on establishing the demand as well as the supply lines, both of which constitutes partners in Quotel´s multisided platform. Quotel has not registered any objections or conflicts of interest in this connection. Development costs Quotel will continuously develop the existing products within its area of operation. Time and cost aspects for the product development can be hard to judge beforehand. This might constitute a risk of higher development cost than originally planned. Litigation The company is currently not the subject of any litigation or claims. COMPETITIVE ADVANTAGE - APPENDIX I A room rate comparison between public rates (Booking.com) and closed group consumer rates, offered by Quotel and other global players operating similar business models. Extract: 46% 13% 52% 48% 21% 57% Source: Quotel competitor analyses of December 2022 Tripscout - Home operates with customer acquisition through social media, in particular Instagram. They offer room rates slightly higher than Quotel and requires a membership registration to get access to the discounted rates at all the hotels in their platform. The socalled "Closed Group" business model has in general been validated through Tripscout´s 19 million USD capital raise from US venture funds during the last two years. Genie Traveler - Genie Traveler is offering significantly higher room rates than Quotel. In addition Genie requires an annual up front subscription payment of USD 50 to get access to all the hotels in their platform. This subscription fee is not included in the above competitor analyses, which further will deteriorate Genies competitiveness. They are getting their hotel supply from Avia Travel Services: https://www.aviatravelservices.com/ which is a B2B supplier of wholesale hotel room rates. None of the competitors have solved the issue concerning a correct comparison between public prices and the discounted offers. Here Quotel stands alone. MARKETING - APPENDIX II The global market for hotel accommodation is a multibillion dollar market in which a dominant trend is to encourage hotel guests to book directly at the hotels, thus circumventing the heavily commission charging OTAs and similar intermediaries. Quotel is a selective distribution channel, which will be a vital alternative and additional room distribution channel for the hotels who keep the existing OTA displays and still receive the majority of their bookings from the OTAs. This way the hotels will still benefit from the huge billboard effect from the OTAs massive advertising expenditures. The associations´ marketing partnerships and the paid social media marketing content include Quotel banner exposures, traditional member magazines advertising and frequent news letters campaigns. The associations are hereby effectively deployed as marketing partners. Quotel will market its proprietary Quotel Discount Club through paid social media. The combined effectiveness will procure low CAC´s . Below please find examples of marketing material: APPENDIX III: LEGAL TERMS and CONDITIONS Legal entities Quotel A/S with CVR No.: 33753241, domiciled at Rønne Allé 1, DK-2800 Kgs. Lyngby is the legal entity of the share issue offered herein. Preparation This Memorandum has been prepared by the management of Quotel A/S. Purpose The Memorandum´s purpose is to assist in the valuation of a potential investment in Quotel A/S. Exemptions This Memorandum is exempt from the law regarding trading with financial instruments requiring a Prospectus in accordance with Danish law regulations. The exemption applies to share offerings with a total value of no more than €8m and with a subscription period less than 12 months. Consequently, this Memorandum has not been examined by, nor approved by Finanstilsynet (FSA in Denmark). Dissemination This Memorandum is aimed at investors who do not require further information than contained herein nor need other arrangements as per Danish law. This Memorandum may not be disseminated in USA, Canada, New Zealand, Australia, South Africa, Japan or Hong Kong or any other country where further requirements must be met. This Memorandum is subject to Danish law and any dispute shall be settled with Danish jurisdiction at the applicable Danish Court. The Recipient is encouraged to perform his own due diligence including but not limited to consultation with professional advisors concerning legal, financial, tax and other potential issues which might require examination pertaining to a contemplated investment in Quotel A/S. Statements and projections Statements and projections included herein reflect the Board of Directors' current expectations. The contents and conclusions are prepared on a best effort basis and neither the executive management nor the Board of Directors in Quotel A/S assume any liability pertaining hereto. The recipients of this Memorandum accept said reservations and the potential risks associated herewith. Delivery The Memorandum can be obtained from Quotel A/S by request through email@example.com or CoFunding Group KS at: firstname.lastname@example.org
Bridging Unit: A Level Media Studies Exam board: AQA What are the bridging tasks? These have been designed to give you a sample of a range of things we do in Media. 1. You will start with a 'Warm up task', using a bit of Media terminology, and researching what the words mean. 2. The 'Main tasks: Engaging with the frameworks' section is made up of three different tasks that relate to the 'frameworks' we study. Here, there is an extension you can choose to use by applying some Media theories. You will find these in a box at the end of this document. 3. An optional production task. What am I looking for? I want to see close engagement with the tasks, with evidence and examples used, and clear explanations given. This should give me an idea of how you are beginning to think like a person who analyses the media and reflects on how the media communicate ideas, and how and why you are using it. Warm up task: Media Terminology A Level courses are full of new and often unfamiliar words that are crucial to learn. This will introduce you to a few we use in Media. Find definitions and examples of the following media terms: Mise en scene Iconography Common conventions Diegetic sound Non diegetic sound Representations Stereotype Colour connotations Moral panics Hypodermic Needle Theory For example, if I'd asked for a definition and example of 'mean world syndrome' you might write this: Mean world syndrome: when people watch too much negative news, they begin to think the world is 'mean'. Example: most of the news about teenagers in some newspapers is negative, calling them 'thugs' and linking them to crime. This might make some people believe all teenagers are bad. Main tasks: Engaging with the frameworks There are four 'frameworks' on the Media course (Media Language, Audiences, Representations and Industry). The three tasks below will give you a flavour of most of these. You can do these in any order you choose. I also want you to read and apply some Media theories (mini outlines of these are under list of tasks below). Media Language: 1. Read the mini outline of Barthes and van Zoonen's theories in your Mini Theory Guide below. 2. Find a front cover of a magazine that targets a specific gender (i.e. Vogue, Men's Health, GQ Magazine, Elle). These can be found by doing a search on Google images. Annotate it in detail to show what ideas are being created about that gender. Alternatively, you can describe them. Aim to use some of the Media theory below (Barthes and van Zoonen). Make sure you pick out a range of evidence – precise details of photographs such as colours, poses, the way they look at the camera, lighting, clothing, props, words etc. Media Representations: 1. Read Hall and Gerbner's theories in your Mini Theory Guide below. 2. Decide on a specific group in society (for example, teenagers, black women, Muslim men, disabled people, elderly people, men, women… etc). Gather evidence of different ways they are represented across the media – it's important to get a range of different types (positive and negative). Gather evidence in quick notes from what you see – your examples need to be from a range of different types of media from news to films, soap operas to documentaries, YouTube to newspapers – the broader the range the better. For example, I might choose teachers, then look at a teacher doing a blog for other teachers or their students, a news article about teachers that says they are all terrible, another praising a teacher for being a hero, then a TV drama such asThe Inbetweeners. I might focus on some pictures from them, and a few different quotes from each, or a scene in The Inbetweeners to think about how they are represented. 3. Using your examples and the most appropriate theory (van Zoonen, Gerbner or Hall – you could use a little bit of each if it works), explain how you think the media might be able to influence the ways people see that group. This should be 250-300 words. Media Audiences: This part is all about you – how and why you use media, and how it might influence you. You are going to read two media theories. Then you are going to think about a range of media you use, and explain the reasons that you use it. Make sure that you use media theories to help explain - I will give examples below. 1. Theory 1: Read Dyer's Utopian Theory in your Mini Theory Guide below. 2. Dyer's Utopian Theory Task: Using at least four different pieces of media you use, explain why you use them, using this theory. i.e. one of mine could be that during lockdown, I liked watching 'Race Around the World' at the moment because my life lacked adventure. 3. Theory 2: Read Blumler and Katz's Uses and Gratifications in your Mini Theory Guide. 4. Blumler and Katz Task: Using at least four different pieces of media that you use regularly, explain why you use them, using this theory. Look again at the examples I gave if you are stuck. Remember that there might be some media texts you use for more than one reason Optional production task: Make a piece of media in any form that tells me something about you. I could be short film, a blog, an article, a webpage – the choice is yours. Mini Theory Guides for Bridging Unit Below are some mini outlines of a few of the key theories we use in Media Studies: Aim to use these in each of the tasks. You will be directed to which ones work best in each task. However, you can mix them up. Media Language: Roland Barthes – semiology - Media products are decoded by readers (we read messages in them, such as red can be decoded as 'danger') - Denotations occur when we recognise literal meanings, or physical objects (i.e. a picture of a man = man) - Connotations are when words and objects can have associated meanings that we share across culture (i.e. a picture of a muscular man towering over us, with a glow around the edges, would represent him as god-like). - When words and images are used together they can form complex meanings (think about the different features in the idea above). We call these different words and images 'signs' or 'codes'. (i.e. the word 'love' is a verbal code, the colour red is a visual code.). - Signs can help to reinforce myths in society (i.e. the myth of masculinity reinforces ideas that men should be strong, not have emotions, be violent etc.) Representation: Liesbet van Zoonen - The media has a powerful influence on our identities and can shape ideas of gender. (i.e. there is no 'truth' about what a man or woman should be like but we get lots of our ideas from the media). - Gender is performative based on 'what we do' not our biology (i.e. as there is not 'truth' about how men or women should behave, we can perform how we choose – women can be violent and men can be gentle.) - In a patriarchal society, women's bodies are seen as objects and different to male bodies as powerful and strong. The 'male gaze' invites women to be looked at which makes them passive, and demeans them (i.e. many media images of women focus on their bodies and ideas of beauty, these encourage them to be looked at, as objects, not people.) - Passive women/active male representations reinforce male social dominance. - Representations can challenge dominant ideas in society. Media Audiences: Gerbner's Cultivation Theory - It can be a stronger form of socialisation than real-life experiences – this leads to mainstreaming (where certain ideas, beliefs and trends become mainstream – or normalised) - The media cultivates beliefs and ideologies and acts as a form of socialiation - If audiences see messages repeated in the media, it becomes an easy sell to audiences. They've already been primed for the ideas and so are more likely to agree with messages that have been repeated across the media. - If ideas resonate with your experiences, it amplifies the effect of the message, encouraging more people to believe them. - Heavy use of negative media can lead to seeing the world in a negative way: mean world syndrome Hall's Representation Theory Hall argues that the media is constructed in ways that influence us: Hall recognises that the media can imitate the world but that it does not simply do that because they are constructed through selection of choices that shape ideas, values, attitudes and beliefs about the world (we call this the mediation process). In the box below, it outlines some of the choices media producers make when constructing media texts. Examples of the mediation process: - Selection: by choosing the order in which news stories are ordered (first to last, longest to shortest) shapes our understanding of what is seen as important. - Composition: codes are chosen for their connotations so have an impact – a scruffy sign chosen to represent a hospital will connote it is in a poor state of repair, dark clouds and rain can connote sadness or danger whereas sunshine connotes positivity. - Editing: the way something is edited can also convey meanings. Fast paced edits can create ideas of something being exciting. A 30 second news item seems to not be very important. However, Hall points out that we are not born with the ability to understand these techniques the media are using, so therefore, they are shaping our understanding of the world, even if we do learn to recognise some of them. Effects of stereotyping: The widespread use of stereotypes encourages negative ideas about specific groups; they position some groups as powerful, and others as outcasts, or social 'others'. He argues this is a form of 'symbolic violence' that suppresses some groups and acts as a form of social controlit makes some people more visible and others undesirable. It also suggests these ideas are natural, therefore normalising certain appearances and behaviours. Through this, stereotypes 'fix boundaries' for what is seen as socially acceptable while excluding everyone else who doesn't fit inside these boundaries. Through this, it creates a 'circularity' which prevents some groups escaping oppression or poverty. Stereotypes can be challenged: by deconstructing stereotypes (presenting groups represented in negative ways as normal people), appropriating them (such as Grime artists as violent black males), or creating countertypes, negative ideas can be challenged. Dyer's Utopian Theory suggests that we use media to fill a 'gap' or a 'lack' in our lives. For example, if we lack power, we might enjoy watching superhero films where people have incredible power. If we don't have much money, we might use media that allows us to see lives filled with luxury. If our lives feel completely safe, we may even enjoy media that shows unstable lives. You can do some further reading about this theory online – there are lots of explanations of it. Blumler and Katz's Uses and Gratifications. They suggest that there are four reasons why we use media texts: 1.Diversion (escapism): The audience use the media for escapism or emotional release from everyday pressure (i.e. I like watching sci-fis like 'Future Man' as it is a complete escape from the real world into a fictional world – it is also funny). 2. Personal Relationships: The audience use media texts to form relationships with 'known' TV programmes or characters, as well as relationships with other people who can discuss the same media texts. "Did you see East Enders? I really felt for poor Peggy/Sharon, Little Mo………" (i.e. Twitter: lots of people enjoy following footballers, or celebrities on Twitter. They may also enjoy talking with their friends about them.) 3. Personal Identity: The audience use media texts to compare their own life with characters' lives and situations, or to further develop our own sense of identity. (i.e.News – The Guardian: when I see people whose lives are really difficult, it makes me recognise how lucky I am. Or, when I watch Masterchef, it helps me learn new cooking techniques). 4. Surveillance: The audience use media texts to see what is going on in the world. (i.e. Twitter: some people love to follow what celebrities are doing; others like to follow the news to keep up to date with current affairs.)
⌂ Services Blog\|Payatu Products Who we are Home› ☷ All Blogs› ✍ asmita-jha› IoT Security - Part 21 (Famous IoT Attacks & Vulnerabilities) This blog is part of the IoT Security series, where we discuss the basic concepts about the IoT/IIoT ecosystem and its security.If you have not gone through the previous blogs in the series, I will urge you to go through those first. In case you are only interested in reading about a few famous IoT attacks and vulnerabilities, feel free to continue. IoT Security - Part 1 (101 - IoT Introduction And Architecture) IoT Security - Part 20 (101 - Introduction to Fault Injection Attack (FI)) In our previous parts of this blog series, we discussed the basic overview of IoT security, covering the introduction, attack surface, radio, firmware, IoT protocols, hardware attacks, etc.This is the last part of our journey on IoT Security 101 blog series. We hope this blog series would be a good starting point for someone getting started in IoT security. In this blog, we will discuss a few famous IoT attacks and vulnerabilities to conclude this series. Though there are many IoT attacks with varying attack surfaces ranging from hardware, firmware, radio, etc., we have chosen a few of them for this blog. Kindly note that the sequence in which these attacks have been mentioned here does not convey anything. Ripple20 JSOF Research labs discovered Ripple20. It's a series of 19 zero-day vulnerabilities in the low-level TCP/IP library developed by Treck, Inc. This affected library exists in various IoT and embedded devices, including medical, home, enterprise, networking, retail, aviation, power grids, etc., leading various devices at high risks. The risks include data theft, malfunctioning of industrial devices, patching with malicious code/ backdoor in the device, remote control, etc. Hence, the issue in one library created a ripple-effect for the millions of devices in the entire supply chain of various sectors. Out of the 19 https://payatu.com/blog/asmita-jha/iot-attacks-and-vulnerabilities Resources Contact Us Blog\|Payatu vulnerabilities found, 4 are critical remote code execution with CVSS score greater than or equal to 9, 4 are having CVSS score greater than or equal to 7, 11 have various lower severity, DoS, info leaks, etc., and two were anonymously reported. The technical details on a few of its CVEs are mentioned below. Reference: JSOF website CVE-2020-11896 Remote code execution (RCE) For performing RCE, the prerequisites for the device is to support IP fragmentation and IP tunneling. If these prerequisites are not met then the vulnerability remains DoS. An attacker can perform the RCE on the target device if he/she can send UDP packets to an open port of the device. Fixed on version 220.127.116.11 Reference : JSOF technical details CVE-2020-11898 Information leak The incoming IPv4 fragments over an IP-in-IP tunnel is not handled properly by the Treck TCP/IP stack. An attacker can leak memory from the heap leading to information leakage vulnerability. Fixed on version 18.104.22.168 Reference : JSOF technical details CVE-2020-11901 It consists of many critical client-side vulnerabilities in Treck's TCP/IP stack DNS resolver. The vulnerability is in the DNS resolver component of the network stack. It occurs from an incorrect DNS label length calculation. After the successful exploitation, an attacker can perform RCE to respond to a DNS query generated from an affected device. Fixed on version 22.214.171.124 Reference : JSOF technical details More details about all the vulnerabilities can be read at JSOF Ripple20 Technical Section Meltdown and Spectre Meltdown and Spectre are the hardware vulnerabilities in processors to leak/steal information by abusing CPU data cache timing via side-channel analysis. Meltdown attack exploits the side effects like leakages via timing differences and cache analysis of outof-order execution features present in most of the modern processors. More detailed working can be read from the Meltdown research paper mentioned under the reference. It bypasses the memory isolation security feature between the user applications and the operating system that ensures the kernel address https://payatu.com/blog/asmita-jha/iot-attacks-and-vulnerabilities Blog\|Payatu range should be non-accessible and protected from user access. The adversary with non-privileged access can read the entire kernel memory through this attack, including any mapped physical memory without any permission. It was thus leaking critical information of the operating system and the other programs. Spectre attack exploits the branch prediction and speculative execution feature of processors. These attacks trick the processor to speculatively execute instructions that should not have occurred during the correct program execution. The CPU states are reverted to maintain the functional correctness, which is called transient instructions. The adversary can then leak the sensitive information via side-channel analysis from the processor's memory address space by influencing the transient instructions that are speculatively executed. There are three known variants of these vulnerabilities, variant 1 : CVE-2017-5753 and variant 2: CVE2017-5715 is grouped under Spectre attack, and variant 3: CVE-2017-5754is grouped under Meltdown. There are patches to prevent from the known exploits based on Meltdown and Spectre through software patches. References: Meltdown: Reading Kernel Memory from User Space, Spectre Attacks: Exploiting Speculative Execution, Meltdown attack, IoTSF, Ars Technica, The Register, Google Project Zero Mirai botnet attack on IoT devices The IoT botnet attack exploits the insecure IoT devices with open Telnet ports and weak/default credentials to build a botnet. IoT devices located at inaccessible locations without the feature to be remotely patched become the victim of such attacks. Mirai) is a malware that turns Linux based network devices into bots to form a large botnet army. It has been used to perform major DDoS attacks including Brian Krebs' website, French web host OVH, Dyn cyberattack. It is used to convert the insecure IoT devices into bots. The infected devices then scan for other vulnerable IoT devices to infect them, thus becoming self-propagating. The creators made the source code for Mirai open source. Since then, it's used to perform attacks on many IoT devices. References : csoonline, IoTSF, Wikipedia) Rolljam Attack This attack, demonstrated by Samy Kamkar, targeted the key fobs of cars that are used to unlock the door remotely and for other purposes. He developed a gadget called "Rolljam," a radio device to perform this attack in the vehicle's radio range. When the door unlock button is pressed on the key fob, it transmits the code via the radio signal that is received by the car. The door gets opened if the code received matches the car's code. The key fobs use a rolling code security mechanism to send these codes where each time a new code is generated and old codes that are already used are discarded to avoid replay attacks by the attacker. But the rolljam attack brokes this security mechanism by recording and jamming the radio signal from the key fob. The car doesn't unlock because the signal is jammed. Hence the owner has to send the signal again. The second signal is also recorded and blocked, but this time the attacker unlocks the door by broadcasting the blocked first code. The adversary now also has the second sequence of recorded code that is not used by the car yet and hence not discarded. The adversary can use it to unlock the door anytime later. References: Wired article, Research paper titled, "Hold the Door! Fingerprinting Your Car Key to Prevent Keyless Entry Car Theft", Hackster.io article Sweyntooth vulnerabilities https://payatu.com/blog/asmita-jha/iot-attacks-and-vulnerabilities Blog\|Payatu Sweyntooth is a collection of Bluetooth Low Energy (BLE) vulnerabilities discovered by a group of researchers at SUTD Asset Research group. As of now, it has a family of 18 vulnerabilities. The vulnerabilities are across the various BLE software development kits (SDKs) of major systems on chips (SoCs), exposing the BLE implementation flaws. Depending on the applications, it allows an adversary in the radio range to cause crashes, deadlock; buffer overflows, security bypass, etc. It affected various IoT devices having the vulnerable BLE stack from different vendors. The CVEs related to these vulnerabilities include : CVE-2019-16336, CVE-2019-17519, CVE-2019-17061, CVE-2019-17060, CVE-2019-17517, CVE-2019-17518, CVE-2019-17520, CVE-2019-19193, CVE-2019-19195, CVE-2019-19192, CVE-2019-19196, CVE-2019-19194, CVE-2020-13593, CVE-2020-13595, CVE-2020-10061, CVE-2020-10069, CVE-2020-13594. As mentioned in the Sweyntooth github repo, Zero LTK Installation CVE-2019-19194 is the most critical sweyntooth vulnerabilities. It allows the adversary to bypass the latest Bluetooth pairing mechanism altogether. More detail about the other CVEs can be read from the links mentioned in the references. Though many vendors have released the patch as mentioned on the research page,there could still be various unverified devices with these vulnerabilities. To automate these testings, the researchers have released the open-source Sweyntooh Framework with proof of concepts. Reference : SUTD Asset Research Group, SweynTooth: Unleashing Mayhem over Bluetooth Low Energy Philips Hue smart lightbulb Zigbee vulnerability The vulnerability was found in the Philip Hue smart bulbs. It exploited the heap-based overflow in the implementation of the Zigbee wireless protocol while handling a long ZCL (Zigbee cluster library) string during the commissioning phase. It resulted in remote code execution in the bridge component that is responsible for sending the remote commands to the bulb over Zigbee protocol. To achieve this, the attacker has to first compromise the bulb with the malicious firmware (this was achieved a few years before by exploiting the vulnerability in the Zigbee Light Link (ZLL) protocol implementation. It can be referred to in the report titled,"IoT Goes Nuclear: Creating a ZigBee Chain Reaction"). The compromisation of the bulb with the malicious firmware makes it appear unreachable from the user control app. It tricks the user into thinking that there is just a fault. To reset the bulb, the user removes it from the app and instructs the bridge to discover the bulb. The bridge discovers the compromised bulb that then gets added to the network. Exploiting the Zigbee implementation vulnerability to trigger the heap-based overflow on the bridge enables the adversary to send malicious code (malware) to the bridge. The infected bridge connects back to the hacker, infiltrates the network using known exploits, and compromises other devices, including the target network's computer network. The vulnerability in a smart bulb leads to the compromisation of the complete target network. The corresponding CVE is : CVE-2020-6007. After the Checkpoint research team's responsible disclosure, the patch has been released. Still, the main issue is in the Zigbee protocol implementation that can attack the other IoT devices in similar ways. References : Checkpoint research Fault Injection Attack on ESP32 Researchers at Raelize have discovered various flaws in ESP32 using EM (Electromagnetic) fault injection attacks. The attack, as mentioned in CVE-2019-15894 bypasses the secure boot verification that was later patched by implementing flash encryption. Later, the researchers bypass even this flash encryption and thus the secure boot via fault injection. The corresponding CVE is CVE-2020-15048. These attacks lead to the execution of unverified code, escalating privileges on Linux, arbitrary control of the program counter (PC) register, etc. More detail about these attacks can be read in our previous blogs FI https://payatu.com/blog/asmita-jha/iot-attacks-and-vulnerabilities Blog\|Payatu and SCA . ESP32 is low cost, easy to use. It is used by many hobbyists and also in developing low-cost IoT products. Attacks like these can affect other chips used to develop IoT products that might not be resistant to such attacks. References : Raelize BLESA Attack BLESA, i.e., Bluetooth Low Energy Spoofing Attack, exploits the BLE software stack implementation vulnerability. This vulnerability is related to BLE's reconnection procedure, during which the two previously connected devices reconnect. As per the BLE specification analysis, researchers found that the BLE specification does not mandate it to perform authentication during reconnection. The vendor implementation can take this reconnection authentication part optional despite following the specification hence prone to attack. These critical weaknesses identified in the BLE specification make the BLE devices vulnerable to spoofing attacks. This attack enables the adversary to impersonate the BLE device and provide the spoofed malicious data to the previously paired device. It was found that this attack applied to many BLE stack implementations, including Linux BlueZ, Android, and iOS. Though Apple assigned the CVE-2020-9770 to the vulnerability and fixed it, as per researchers, the Android on which this attack was made is still vulnerable. As many IoT devices have BLE implementation, this is a critical threat if the stack implemented inside them possess the same vulnerability. References : Research Paper titled, "BLESA: Spoofing Attacks against Reconnections in Bluetooth Low Energy", Zdnet Article Bluetooth attack on Tesla Model X The recent Bluetooth attack on Tesla Model X's keyless entry system showed that the security researcher named "Lennert Wouters" at Belgian university KU Leuven could break into the car in 90 seconds. The vulnerability in the key fob firmware update mechanism over Bluetooth was exploited, allowing the adversary to patch the key fob with the malicious firmware. It shows the lack of code signing feature in the over-the-air firmware update mechanism of the key fob. The researcher revealed that a group of security vulnerabilities was found in the Tesla Model X car and their key fobs. These vulnerabilities can be combinedly exploited to unlock and steal the car. The malicious firmware in the keyfob was able to query the secure enclave chip responsible for generating the car's unlock code. The details about it can be read from the Wired article mentioned under the references. References : Wired article Amnesia:33 Amnesia:33 discovered by the Forescout research team is a collection of 33 vulnerabilities in four opensource TCP/IP stacks (uIP, FNET, picoTCP, and Nut/Net). The vulnerabilities include improper memory management, overflow flaws, lack of input validation, etc. The exploitation of these vulnerabilities could lead to memory corruption, remote code execution, perform DoS (Denial of service0) attacks, information leaks, etc. The TCP/IP stack is used in millions of IoT devices ranging from consumer IoT, industries, power grids, medical, access controls, servers, routers, the whole supply chain, etc. We also saw the Ripple20 vulnerabilities that were found in the TCP/IP stacks. As per researchers, more than 150 vendors and millions of devices are vulnerable to Amnesia:33. Thus these vulnerabilities possess potential threats. There could be possibilities of the presence of vulnerable TCP/IP stacks in many code bases of various products leading to more such attacks. References : Hackernews article,Forescout research lab, Blackhat https://payatu.com/blog/asmita-jha/iot-attacks-and-vulnerabilities Blog\|Payatu Conclusion There are a lot more different attacks related to IoT. In this blog, we picked up a few of them to show the various attack possibilities in the IoT ecosystem, ranging from hardware, firmware, radio, etc. We hope you got the idea of the threat on the IoT devices and why it is so essential to gear up IoT security. About Payatu Payatu is a research-powered cybersecurity service and training organization specialized in IoT, embedded, mobile, cloud, infrastructure security and advanced security training. We offer a full IoT/IIoT ecosystem security assessment, including hardware, firmware, middleware and application interfaces. If you are looking for security testing services then let's talk, share your requirements: https://payatu.com/#getstarted. Payatu is at the front line of IoT security research, with a great team, and in house tools like expliot.io. In the last 8+ years, Payatu has performed, security assessment of 100+ IoT/IIoT product ecosystems and we understand the IoT ecosystem inside out. Get in touch with us. Click on the get started button below. Get to know more about our process, methodology & team! GET STARTED ☷ All Blogs› ✍Latest Blogs Anubhav.Singh 11-February-2022 Understand the Postmessage Vulnerabilities and its implications Postmessages are widely https://payatu.com/blog/asmita-jha/iot-attacks-and-vulnerabilities
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Nor does it apply to provisions arising from employee benefits (guidance on accounting for employee benefits is found in PBE IPSAS 25 Employee Benefits). 15. Some amounts treated as provisions may relate to the recognition of revenue, for example where an entity gives guarantees in exchange for a fee. This Standard does not address the recognition of revenue. PBE IPSAS 9 Revenue from Exchange Transactions identifies the circumstances in which revenue from exchange transactions is recognised, and provides practical guidance on the application of the recognition criteria. This Standard does not change the requirements of PBE IPSAS 9. 16. [Not used] 17. Other PBE Standards specify whether expenditures are treated as assets or as expenses. These issues are not addressed in this Standard. Accordingly, this Standard neither prohibits nor requires capitalisation of the costs recognised when a provision is made. Definitions 18. The following terms are used in this Standard with the meanings specified: A constructive obligation is an obligation that derives from an entity's actions where: (a) By an established pattern of past practice, published policies, or a sufficiently specific current statement, the entity has indicated to other parties that it will accept certain responsibilities; and (b) As a result, the entity has created a valid expectation on the part of those other parties that it will discharge those responsibilities. A contingent asset is a possible asset that arises from past events, and whose existence will be confirmed only by the occurrence or non-occurrence of one or more uncertain future events not wholly within the control of the entity. A contingent liability is: (a) A possible obligation that arises from past events, and whose existence will be confirmed only by the occurrence or non-occurrence of one or more uncertain future events not wholly within the control of the entity; or (b) A present obligation that arises from past events, but is not recognised because: (i) It is not probable that an outflow of resources embodying economic benefits or service potential will be required to settle the obligation; or (ii) The amount of the obligation cannot be measured with sufficient reliability. 1 Executory contracts are contracts under which neither party has performed any of its obligations, or both parties have partially performed their obligations to an equal extent. A legal obligation is an obligation that derives from: (a) A contract (through its explicit or implicit terms); (b) Legislation; or (c) Other operation of law. An obligating event is an event that creates a legal or constructive obligation that results in an entity having no realistic alternative to settling that obligation. An onerous contract is a contract for the exchange of assets or services in which the unavoidable costs of meeting the obligations under the contract exceed the economic benefits or service potential expected to be received under it. A provision is a liability of uncertain timing or amount. A restructuring is a programme that is planned and controlled by management, and materially changes either: (a) The scope of an entity's activities; or (b) The manner in which those activities are carried out. Terms defined in other PBE Standards are used in this Standard with the same meaning as in those Standards, and are reproduced in the Glossary of Defined Terms published separately. Provisions and Other Liabilities 19. Provisions can be distinguished from other liabilities such as payables and accruals because there is uncertainty about the timing or amount of the future expenditure required in settlement. By contrast: (a) Payables are liabilities to pay for goods or services that have been received or supplied, and have been invoiced or formally agreed with the supplier (and include payments in respect of social benefits where formal agreements for specified amounts exist); and (b) Accruals are liabilities to pay for goods or services that have been received or supplied, but have not been paid, invoiced, or formally agreed with the supplier, including amounts due to employees (for example, amounts relating to accrued vacation pay). Although it is sometimes necessary to estimate the amount or timing of accruals, the uncertainty is generally much less than for provisions. Accruals are often reported as part of accounts payable, whereas provisions are reported separately. 1 Information that is reliable is free from material error and bias, and can be depended on by users to faithfully represent that which it purports to represent or could reasonably be expected to represent. Paragraph BC10 of PBE IPSAS 1 Presentation of Financial Statements discusses the transitional approach to the explanation of reliability. Relationship between Provisions and Contingent Liabilities 20. In a general sense, all provisions are contingent because they are uncertain in timing or amount. However, within this Standard, the term contingent is used for liabilities and assets that are not recognised because their existence will be confirmed only by the occurrence or non-occurrence of one or more uncertain future events not wholly within the control of the entity. In addition, the term contingent liability is used for liabilities that do not meet the recognition criteria. 21. This Standard distinguishes between: (a) Provisions―which are recognised as liabilities (assuming that a reliable estimate can be made) because they are present obligations and it is probable that an outflow of resources embodying economic benefits or service potential will be required to settle the obligations; and (b) Contingent liabilities―which are not recognised as liabilities because they are either: (i) Possible obligations, as it has yet to be confirmed whether the entity has a present obligation that could lead to an outflow of resources embodying economic benefits or service potential; or (ii) Present obligations that do not meet the recognition criteria in this Standard (because either it is not probable that an outflow of resources embodying economic benefits or service potential will be required to settle the obligation, or a sufficiently reliable estimate of the amount of the obligation cannot be made). Recognition Provisions 22. A provision shall be recognised when: (a) An entity has a present obligation (legal or constructive) as a result of a past event; (b) It is probable that an outflow of resources embodying economic benefits or service potential will be required to settle the obligation; and (c) A reliable estimate can be made of the amount of the obligation. If these conditions are not met, no provision shall be recognised. Present Obligation 23. In some cases it is not clear whether there is a present obligation. In these cases, a past event is deemed to give rise to a present obligation if, taking account of all available evidence, it is more likely than not that a present obligation exists at the reporting date. 24. In most cases it will be clear whether a past event has given rise to a present obligation. In other cases, for example in a lawsuit, it may be disputed either whether certain events have occurred or whether those events result in a present obligation. In such cases, an entity determines whether a present obligation exists at the reporting date by taking account of all available evidence, including, for example, the opinion of experts. The evidence considered includes any additional evidence provided by events after the reporting date. On the basis of such evidence: (a) Where it is more likely than not that a present obligation exists at the reporting date, the entity recognises a provision (if the recognition criteria are met); and (b) Where it is more likely that no present obligation exists at the reporting date, the entity discloses a contingent liability, unless the possibility of an outflow of resources embodying economic benefits or service potential is remote (see paragraph 100). Past Event 25. A past event that leads to a present obligation is called an obligating event. For an event to be an obligating event, it is necessary that the entity has no realistic alternative to settling the obligation created by the event. This is the case only: (a) Where the settlement of the obligation can be enforced by law; or (b) In the case of a constructive obligation, where the event (which may be an action of the entity) creates valid expectations in other parties that the entity will discharge the obligation. 26. Financial statements deal with the financial position of an entity at the end of its reporting period and not its possible position in the future. Therefore, no provision is recognised for costs that need to be incurred to continue an entity's ongoing activities in the future. The only liabilities recognised in an entity's statement of financial position are those that exist at the reporting date. 27. It is only those obligations arising from past events existing independently of an entity's future actions (that is, the future conduct of its activities) that are recognised as provisions. Examples of such obligations are penalties or clean-up costs for unlawful environmental damage imposed by legislation on an entity. Both of these obligations would lead to an outflow of resources embodying economic benefits or service potential in settlement regardless of the future actions of that entity. Similarly, an entity would recognise a provision for the decommissioning costs of a defence installation or a power station, to the extent that the entity is obliged to rectify damage already caused. PBE IPSAS 17 Property, Plant and Equipment deals with items, including dismantling and site restoring costs that are included in the cost of an asset. In contrast, because of legal requirements, pressure from constituents, or a desire to demonstrate community leadership, an entity may intend or need to carry out expenditure to operate in a particular way in the future. An example would be where an entity decides to fit emission controls on certain of its vehicles, or a laboratory decides to install extraction units to protect employees from the fumes of certain chemicals. Because the entities can avoid the future expenditure by their future actions – for example, by changing their method of operation – they have no present obligation for that future expenditure, and no provision is recognised. 28. An obligation always involves another party to whom the obligation is owed. It is not necessary, however, to know the identity of the party to whom the obligation is owed – indeed the obligation may be to the public at large. Because an obligation always involves a commitment to another party, it follows that a decision by an entity's management, governing body, or controlling entity does not give rise to a constructive obligation at the reporting date, unless the decision has been communicated before the reporting date to those affected by it in a sufficiently specific manner to raise a valid expectation in them that the entity will discharge its responsibilities. 29. An event that does not give rise to an obligation immediately may do so at a later date, because of changes in the law or because an act (for example, a sufficiently specific public statement) by the entity gives rise to a constructive obligation. For example, when environmental damage is caused by an entity, there may be no obligation to remedy the consequences. However, the causing of the damage will become an obligating event when a new law requires the existing damage to be rectified, or the entity publicly accepts responsibility for rectification in a way that creates a constructive obligation. 30. Where details of a proposed new law have yet to be finalised, an obligation arises only when the legislation is virtually certain to be enacted as drafted. For the purpose of this Standard, such an obligation is treated as a legal obligation. However, differences in circumstances surrounding enactment often make it impossible to specify a single event that would make the enactment of a law virtually certain. In many cases, it is not possible to judge whether a proposed new law is virtually certain to be enacted as drafted, and any decision about the existence of an obligation should await the enactment of the proposed law. Probable Outflow of Resources Embodying Economic Benefits or Service Potential 31. For a liability to qualify for recognition, there must be not only a present obligation but also the probability of an outflow of resources embodying economic benefits or service potential to settle that obligation. For the purpose of this Standard, an outflow of resources or other event is regarded as probable if the event is more likely than not to occur, that is, the probability that the event will occur is greater than the probability that it will not. Where it is not probable that a present obligation exists, an entity discloses a contingent liability, unless the possibility of an outflow of resources embodying economic benefits or service potential is remote (see paragraph 100). 32. Where there are a number of similar obligations (for example, a hospital's obligation to compensate individuals who have received contaminated blood from it), the probability that an outflow will be required in settlement is determined by considering the class of obligations as a whole. Although the likelihood of outflow for any one item may be small, it may well be probable that some outflow of resources will be needed to settle the class of obligations as a whole. If that is the case, a provision is recognised (if the other recognition criteria are met). Reliable Estimate of the Obligation 33. The use of estimates is an essential part of the preparation of financial statements, and does not undermine their reliability. This is especially true in the case of provisions, which by their nature are more uncertain than most other assets or liabilities. Except in extremely rare cases, an entity will be able to determine a range of possible outcomes, and can therefore make an estimate of the obligation that is sufficiently reliable to use in recognising a provision. 34. In the extremely rare case where no reliable estimate can be made, a liability exists that cannot be recognised. That liability is disclosed as a contingent liability (see paragraph 100). Contingent Liabilities 35. An entity shall not recognise a contingent liability. 36. A contingent liability is disclosed, as required by paragraph 100, unless the possibility of an outflow of resources embodying economic benefits or service potential is remote. 37. Where an entity is jointly and severally liable for an obligation, the part of the obligation that is expected to be met by other parties is treated as a contingent liability. For example, in the case of joint venture debt, that part of the obligation that is to be met by other joint venture participants is treated as a contingent liability. The entity recognises a provision for the part of the obligation for which an outflow of resources embodying economic benefits or service potential is probable, except in the rare circumstances where no reliable estimate can be made. 38. Contingent liabilities may develop in a way not initially expected. Therefore, they are assessed continually to determine whether an outflow of resources embodying economic benefits or service potential has become probable. If it becomes probable that an outflow of future economic benefits or service potential will be required for an item previously dealt with as a contingent liability, a provision is recognised in the financial statements of the period in which the change in probability occurs (except in the extremely rare circumstances where no reliable estimate can be made). For example, an entity may have breached an environmental law, but it remains unclear whether any damage was caused to the environment. Where, subsequently it becomes clear that damage was caused and remediation will be required, the entity would recognise a provision because an outflow of economic benefits is now probable. Contingent Assets 39. An entity shall not recognise a contingent asset. 40. Contingent assets usually arise from unplanned or other unexpected events that (a) are not wholly within the control of the entity, and (b) give rise to the possibility of an inflow of economic benefits or service potential to the entity. An example is a claim that an entity is pursuing through legal processes, where the outcome is uncertain. 41. Contingent assets are not recognised in financial statements, since this may result in the recognition of revenue that may never be realised. However, when the realisation of revenue is virtually certain, then the related asset is not a contingent asset and its recognition is appropriate. 42. A contingent asset is disclosed, as required by paragraph 105, where an inflow of economic benefits or service potential is probable. 43. Contingent assets are assessed continually to ensure that developments are appropriately reflected in the financial statements. If it has become virtually certain that an inflow of economic benefits or service potential will arise and the asset's value can be measured reliably, the asset and the related revenue are recognised in the financial statements of the period in which the change occurs. If an inflow of economic benefits or service potential has become probable, an entity discloses the contingent asset (see paragraph 105). Measurement Best Estimate 44. The amount recognised as a provision shall be the best estimate of the expenditure required to settle the present obligation at the reporting date. 45. The best estimate of the expenditure required to settle the present obligation is the amount that an entity would rationally pay to settle the obligation at the reporting date or to transfer it to a third party at that time. It will often be impossible or prohibitively expensive to settle or transfer an obligation at the reporting date. However, the estimate of the amount that an entity would rationally pay to settle or transfer the obligation gives the best estimate of the expenditure required to settle the present obligation at the reporting date. 46. The estimates of outcome and financial effect are determined by the judgment of the management of the entity, supplemented by experience of similar transactions and, in some cases, reports from independent experts. The evidence considered includes any additional evidence provided by events after the reporting date. Example A medical laboratory provides diagnostic ultrasound scanners to medical centres and hospitals on a fullcost recovery basis. The equipment is provided with a warranty under which the medical centres and hospitals are covered for the cost of repairs of any defects that become apparent within the first six months after purchase. If minor defects were detected in all equipment provided, repair costs of 1 million currency units would result. If major defects were detected in all equipment provided, repair costs of 4 million currency units would result. The laboratory's past experience and future expectations indicate that, for the coming year, 75% of the equipment will have no defects, 20% of the equipment will have minor defects and 5% of the equipment will have major defects. In accordance with paragraph 32, the laboratory assesses the probability of an outflow for the warranty obligations as a whole. The expected value of the cost of repairs is: (75% of nil) + (20% of 1m) + (5% of 4m) = 400,000 47. Uncertainties surrounding the amount to be recognised as a provision are dealt with by various means according to the circumstances. Where the provision being measured involves a large population of items, the obligation is estimated by weighting all possible outcomes by their associated probabilities. The name for this statistical method of estimation is "expected value." The provision will therefore be different, depending on whether the probability of a loss of a given amount is, for example, 60% or 90%. Where there is a continuous range of possible outcomes, and each point in that range is as likely as any other, the midpoint of the range is used. 48. Where a single obligation is being measured, the individual most likely outcome may be the best estimate of the liability. However, even in such a case, the entity considers other possible outcomes. Where other possible outcomes are either mostly higher or mostly lower than the most likely outcome, the best estimate will be a higher or lower amount. For example, if an entity has to rectify a serious fault in a defence vessel that it has constructed for another government, the individual most likely outcome may be for the repair to succeed at the first attempt at a cost of 100,000 currency units, but a provision for a larger amount is made if there is a significant chance that further attempts will be necessary. 49. The provision is measured before tax or tax equivalents. If the entity is subject to taxation, guidance on dealing with the tax consequences of a provision, and changes in it, is found in PBE IAS 12. Risks and Uncertainties 50. The risks and uncertainties that inevitably surround many events and circumstances shall be taken into account in reaching the best estimate of a provision. 51. Risk describes variability of outcome. A risk adjustment may increase the amount at which a liability is measured. Caution is needed in making judgments under conditions of uncertainty, so that revenue or assets are not overstated and expenses or liabilities are not understated. However, uncertainty does not justify the creation of excessive provisions or a deliberate overstatement of liabilities. For example, if the projected costs of a particularly adverse outcome are estimated on a prudent basis, that outcome is not then deliberately treated as more probable than is realistically the case. Care is needed to avoid duplicating adjustments for risk and uncertainty with consequent overstatement of a provision. 52. Disclosure of the uncertainties surrounding the amount of the expenditure is made under paragraph 98(b). Present Value 53. Where the effect of the time value of money is material, the amount of a provision shall be the present value of the expenditures expected to be required to settle the obligation. 54. Because of the time value of money, provisions relating to cash outflows that arise soon after the reporting date are more onerous than those where cash outflows of the same amount arise later. Provisions are therefore discounted, where the effect is material. When a provision is discounted over a number of years, the present value of the provision will increase each year as the provision comes closer to the expected time of settlement (see Illustrative Example). 55. Paragraph 97(e) of this Standard requires disclosure of the increase, during the period, in the discounted amount arising from the passage of time. 56. The discount rate (or rates) shall be a pre-tax rate (or rates) that reflect(s) current market assessments of the time value of money and the risks specific to the liability. The discount rate(s) shall not reflect risks for which future cash flow estimates have been adjusted. 57. In some jurisdictions, income taxes or income tax equivalents are levied on a public sector entity's surplus for the period. Where such income taxes are levied on public sector entities, the discount rate selected should be a pre-tax rate. Future Events 58. Future events that may affect the amount required to settle an obligation shall be reflected in the amount of a provision where there is sufficient objective evidence that they will occur. 59. Expected future events may be particularly important in measuring provisions. For example, certain obligations may be index-linked to compensate recipients for the effects of inflation or other specific price changes. If there is sufficient evidence of likely expected rates of inflation, this should be reflected in the amount of the provision. Another example of future events affecting the amount of a provision is where an entity believes that the cost of cleaning up the tar, ash, and other pollutants associated with a gasworks' site at the end of its life will be reduced by future changes in technology. In this case, the amount recognised reflects the cost that technically qualified, objective observers reasonably expect to be incurred, taking account of all available evidence as to the technology that will be available at the time of the clean-up. Thus it is appropriate to include, for example, expected cost reductions associated with increased experience in applying existing technology, or the expected cost of applying existing technology to a larger or more complex clean-up operation than has previously been carried out. However, an entity does not anticipate the development of a completely new technology for cleaning up unless it is supported by sufficient objective evidence. 60. The effect of possible new legislation that may affect the amount of an existing obligation of an entity is taken into consideration in measuring that obligation, when sufficient objective evidence exists that the legislation is virtually certain to be enacted. The variety of circumstances that arise in practice makes it impossible to specify a single event that will provide sufficient, objective evidence in every case. Evidence is required both (a) of what legislation will demand, and (b) of whether it is virtually certain to be enacted and implemented in due course. In many cases, sufficient objective evidence will not exist until the new legislation is enacted. Expected Disposal of Assets 61. Gains from the expected disposal of assets shall not be taken into account in measuring a provision. 62. Gains on the expected disposal of assets are not taken into account in measuring a provision, even if the expected disposal is closely linked to the event giving rise to the provision. Instead, an entity recognises gains on expected disposals of assets at the time specified by the PBE Standard dealing with the assets concerned. Reimbursements 63. Where some or all of the expenditure required to settle a provision is expected to be reimbursed by another party, the reimbursement shall be recognised when, and only when, it is virtually certain that reimbursement will be received if the entity settles the obligation. The reimbursement shall be treated as a separate asset. The amount recognised for the reimbursement shall not exceed the amount of the provision. 64. In the statement of comprehensive revenue and expense, the expense relating to a provision may be presented net of the amount recognised for a reimbursement. 65. Sometimes, an entity is able to look to another party to pay part or all of the expenditure required to settle a provision (for example, through insurance contracts, indemnity clauses, or suppliers' warranties). The other party may either reimburse amounts paid by the entity, or pay the amounts directly. For example, an entity may have legal liability to an individual as a result of misleading advice provided by its employees. However, the entity may be able to recover some of the expenditure from professional indemnity insurance. 66. In most cases, the entity will remain liable for the whole of the amount in question, so that the entity would have to settle the full amount if the third party failed to pay for any reason. In this situation, a provision is recognised for the full amount of the liability, and a separate asset for the expected reimbursement is recognised when it is virtually certain that reimbursement will be received if the entity settles the liability. 67. In some cases, the entity will not be liable for the costs in question if the third party fails to pay. In such a case, the entity has no liability for those costs, and they are not included in the provision. 68. As noted in paragraph 37, an obligation for which an entity is jointly and severally liable is a contingent liability, to the extent that it is expected that the obligation will be settled by the other parties. Changes in Provisions 69. Provisions shall be reviewed at each reporting date, and adjusted to reflect the current best estimate. If it is no longer probable that an outflow of resources embodying economic benefits or service potential will be required to settle the obligation, the provision shall be reversed. 70. Where discounting is used, the carrying amount of a provision increases in each period to reflect the passage of time. This increase is recognised as an interest expense. Use of Provisions 71. A provision shall be used only for expenditures for which the provision was originally recognised. 72. Only expenditures that relate to the original provision are set against it. Setting expenditures against a provision that was originally recognised for another purpose would conceal the impact of two different events. Application of the Recognition and Measurement Rules Future Operating Net Deficits 73. Provisions shall not be recognised for net deficits from future operating activities. 74. Net deficits from future operating activities do not meet the definition of liabilities in paragraph 18 and the general recognition criteria set out for provisions in paragraph 22. 75. An expectation of net deficits from future operating activities is an indication that certain assets used in these activities may be impaired. An entity tests these assets for impairment. Guidance on accounting for impairment is found in PBE IPSAS 21 Impairment of Non-Cash-Generating Assets or PBE IPSAS 26 Impairment of Cash-Generating Assets, as appropriate. Onerous Contracts 76. If an entity has a contract that is onerous, the present obligation (net of recoveries) under the contract shall be recognised and measured as a provision. 77. Paragraph 76 of this Standard applies only to contracts that are onerous. 78. Many contracts evidencing exchange transactions (for example, some routine purchase orders) can be cancelled without paying compensation to the other party, and therefore there is no obligation. Other contracts establish both rights and obligations for each of the contracting parties. Where events make such a contract onerous, the contract falls within the scope of this Standard, and a liability exists that is recognised. Executory contracts that are not onerous fall outside the scope of this Standard. 79. This Standard defines an onerous contract as a contract in which the unavoidable costs of meeting the obligations under the contract exceed the economic benefits or service potential expected to be received under it, which includes amounts recoverable. Therefore, it is the present obligation net of recoveries that is recognised as a provision under paragraph 76. The unavoidable costs under a contract reflect the least net cost of exiting from the contract, which is the lower of the cost of fulfilling it and any compensation or penalties arising from failure to fulfil it. 80. Before a separate provision for an onerous contract is established, an entity recognises any impairment loss that has occurred on assets dedicated to that contract. Restructuring 81. The following are examples of events that may fall under the definition of restructuring: (a) Termination or disposal of an activity or service; (b) The closure of a branch office or termination of activities of an entity in a specific location or region, or the relocation of activities from one region to another; (c) Changes in management structure, for example, eliminating a layer of management or executive service; and (d) Fundamental reorganisations that have a material effect on the nature and focus of the entity's operations. 82. A provision for restructuring costs is recognised only when the general recognition criteria for provisions set out in paragraph 22 are met. Paragraphs 83–96 set out how the general recognition criteria apply to restructurings. 83. A constructive obligation to restructure arises only when an entity: (a) Has a detailed formal plan for the restructuring identifying at least: (i) The activity/operating unit or part of an activity/operating unit concerned; (ii) The principal locations affected; (iii) The location, function, and approximate number of employees who will be compensated for terminating their services; (iv) The expenditures that will be undertaken; and (v) When the plan will be implemented; and (b) Has raised a valid expectation in those affected that it will carry out the restructuring by starting to implement that plan or announcing its main features to those affected by it. 84. Within the public sector, restructuring may occur at the whole-of-government, portfolio or ministry, or agency level. 85. Evidence that an entity has started to implement a restructuring plan would be provided, for example, by (a) the public announcement of the main features of the plan, (b) the sale or transfer of assets, (c) notification of intention to cancel leases, or (d) the establishment of alternative arrangements for clients of services. A public announcement of a detailed plan to restructure constitutes a constructive obligation to restructure only if it is made in such a way and in sufficient detail (that is, setting out the main features of the plan) that it gives rise to valid expectations in other parties, such as users of the service, suppliers, and employees (or their representatives) that the entity will carry out the restructuring. 86. For a plan to be sufficient to give rise to a constructive obligation when communicated to those affected by it, its implementation needs to be planned to begin as soon as possible, and to be completed in a timeframe that makes significant changes to the plan unlikely. If it is expected that there will be a long delay before the restructuring begins, or that the restructuring will take an unreasonably long time, it is unlikely that the plan will raise a valid expectation on the part of others that the entity is at present committed to restructuring, because the timeframe allows opportunities for the entity to change its plans. 87. A decision by management or the governing body to restructure, taken before the reporting date, does not give rise to a constructive obligation at the reporting date unless the entity has, before the reporting date: (a) Started to implement the restructuring plan; or (b) Announced the main features of the restructuring plan to those affected by it in a sufficiently specific manner to raise a valid expectation in them that the entity will carry out the restructuring. If an entity starts to implement a restructuring plan, or announces its main features to those affected, only after the reporting date, disclosure may be required under PBE IPSAS 14 Events After the Reporting Date if the restructuring is material and non-disclosure could influence the economic decisions of users taken on the financial statements. 88. Although a constructive obligation is not created solely by a management or governing body decision, an obligation may result from other earlier events together with such a decision. For example, negotiations with employee representatives for termination payments, or with purchasers for the sale or transfer of an operation, may have been concluded subject only to governing body or board approval. Once that approval has been obtained and communicated to the other parties, the entity has a constructive obligation to restructure, if the conditions of paragraph 83 are met. 89. In some countries, (a) the ultimate authority for making decisions about an entity is vested in a governing body or board whose membership includes representatives of interests other than those of management (for example, employees), or (b) notification to these representatives may be necessary before the governing body or board decision is taken. Because a decision by such a governing body or board involves communication to these representatives, it may result in a constructive obligation to restructure. Sale or Transfer of Operations 90. No obligation arises as a consequence of the sale or transfer of an operation until the entity is committed to the sale or transfer, that is, there is a binding agreement. 91. Even when an entity has taken a decision to sell an operation and announced that decision publicly, it cannot be committed to the sale until a purchaser has been identified and there is a binding sale agreement. Until there is a binding sale agreement, the entity will be able to change its mind, and indeed will have to take another course of action if a purchaser cannot be found on acceptable terms. When a sale is only part of a restructuring, a constructive obligation can arise for the other parts of the restructuring before a binding sale agreement exists. 92. Restructuring within the public sector often involves the transfer of operations from one controlled entity to another, and may involve the transfer of operations at no or nominal consideration. Such transfers will often take place under a government directive, and will not involve binding agreements as described in paragraph 90. An obligation exists only when there is a binding transfer agreement. Even where proposed transfers do not lead to the recognition of a provision, the planned transaction may require disclosure under other PBE Standards, such as PBE IPSAS 14, and PBE IPSAS 20 Related Party Disclosures. Restructuring Provisions 93. A restructuring provision shall include only the direct expenditures arising from the restructuring, which are those that are both: (a) Necessarily entailed by the restructuring; and (b) Not associated with the ongoing activities of the entity. 94. A restructuring provision does not include such costs as: (a) Retraining or relocating continuing staff; (b) Marketing; or (c) Investment in new systems and distribution networks. These expenditures relate to the future conduct of an activity, and are not liabilities for restructuring at the reporting date. Such expenditures are recognised on the same basis as if they arose independently of a restructuring. 95. Identifiable future operating net deficits up to the date of a restructuring are not included in a provision, unless they relate to an onerous contract, as defined in paragraph 18. 96. As required by paragraph 61, gains on the expected disposal of assets are not taken into account in measuring a restructuring provision, even if the sale of assets is envisaged as part of the restructuring. Disclosure 97. For each class of provision, an entity shall disclose: (a) The carrying amount at the beginning and end of the period; (b) Additional provisions made in the period, including increases to existing provisions; (c) Amounts used (that is, incurred and charged against the provision) during the period; (d) Unused amounts reversed during the period; and (e) The increase during the period in the discounted amount arising from the passage of time and the effect of any change in the discount rate. Comparative information is not required. 98. An entity shall disclose the following for each class of provision: (a) A brief description of the nature of the obligation and the expected timing of any resulting outflows of economic benefits or service potential; (b) An indication of the uncertainties about the amount or timing of those outflows. Where necessary to provide adequate information, an entity shall disclose the major assumptions made concerning future events, as addressed in paragraph 58; and (c) The amount of any expected reimbursement, stating the amount of any asset that has been recognised for that expected reimbursement. RDR 98.1 A Tier 2 entity is not required to disclose the major assumptions concerning future events in accordance with paragraph 98(b). 99. [Not used] 100. Unless the possibility of any outflow in settlement is remote, an entity shall disclose, for each class of contingent liability at the reporting date, a brief description of the nature of the contingent liability and, where practicable: (a) An estimate of its financial effect, measured under paragraphs 44–62; (b) An indication of the uncertainties relating to the amount or timing of any outflow; and (c) The possibility of any reimbursement. 101. In determining which provisions or contingent liabilities may be aggregated to form a class, it is necessary to consider whether the nature of the items is sufficiently similar for a single statement about them to fulfil the requirements of paragraphs 98(a) and (b) and 100(a) and (b). Thus, it may be appropriate to treat, as a single class of provision, amounts relating to one type of obligation, but it would not be appropriate to treat, as a single class, amounts relating to environmental restoration costs and amounts that are subject to legal proceedings. 102. Where a provision and a contingent liability arise from the same set of circumstances, an entity makes the disclosures required by paragraphs 97, 98, and 100 in a way that shows the link between the provision and the contingent liability. 103. An entity may in certain circumstances use external valuation to measure a provision. In such cases, information relating to the valuation can usefully be disclosed. 104. [Not used] 105. Where an inflow of economic benefits or service potential is probable, an entity shall disclose a brief description of the nature of the contingent assets at the reporting date, and, where practicable, an estimate of their financial effect, measured using the principles set out for provisions in paragraphs 44–62. 106. The disclosure requirements in paragraph 105 are only intended to apply to those contingent assets where there is a reasonable expectation that benefits will flow to the entity. That is, there is no requirement to disclose this information about all contingent assets (see paragraphs 39 to 43 for a discussion of contingent assets). It is important that disclosures for contingent assets avoid giving misleading indications of the likelihood of revenue arising. For example, a contingent asset would arise from a contract where an entity allows a company to mine one of its properties in exchange for a royalty based on a set price per ton extracted, and the company has commenced mining. In addition to disclosing the nature of the arrangement, the contingent asset should be quantified, where a reasonable estimate can be made of the quantity of mineral to be extracted and the timing of the expected cash inflows. If there were no proven reserves, or some other circumstances prevailed that indicated that it would be unlikely that any minerals would be extracted, the entity would not disclose information required by paragraph 105 as there is no probable flow of benefits. 107. The disclosure requirements in paragraph 105 encompass contingent assets from both exchange and nonexchange transactions. Whether a contingent asset exists in relation to taxation revenues rests on the interpretation of what constitutes a taxable event. 108. Where any of the information required by paragraphs 100 and 105 is not disclosed because it is not practicable to do so, that fact shall be stated. 109. In extremely rare cases, disclosure of some or all of the information required by paragraphs 97–107 can be expected to prejudice seriously the position of the entity in a dispute with other parties on the subject matter of the provision, contingent liability or contingent asset. In such cases, an entity need not disclose the information, but shall disclose the general nature of the dispute, together with the fact that, and reason why, the information has not been disclosed. Transitional Provisions 110. [Not used] Effective Date 111–112. [Not used] 112.1 A public benefit entity shall apply this Standard for annual financial statements covering periods beginning on or after 1 April 2015. Earlier application is permitted for not-for-profit public benefit entities as long as the full suite of PBE Standards is applied at the same time. 112.2 2015 Omnibus Amendments to PBE Standards, issued in July 2015, added paragraph 1(h) as a consequential amendment derived from the amendment to PBE IFRS 3 Business Combinations. An entity shall apply that amendment prospectively to business combinations to which the amendment to PBE IFRS 3 applies. 112.3 2016 Omnibus Amendments to PBE Standards, issued in January 2017, added a footnote to paragraph 18. An entity shall apply that amendment for annual financial statements covering periods beginning on or after 1 January 2017. Withdrawal and Replacement of PBE IPSAS 19 (May 2013) 113. This Standard, when applied, supersedes PBE IPSAS 19 Provisions, Contingent Liabilities and Contingent Assets issued in May 2013. Appendix A Application Guidance Changes in Existing Decommissioning, Restoration and Similar Liabilities This Appendix is an integral part of PBE IPSAS 19. Issue A1. This Appendix addresses how the effect of the following events that change the measurement of an existing decommissioning, restoration or similar liability should be accounted for: (a) A change in the estimated outflow of resources embodying economic benefits (e.g., cash flows) required to settle the obligation; (b) A change in the current market-based discount rate as defined in paragraph 56 of this Standard (this includes changes in the time value of money and the risks specific to the liability); and (c) An increase that reflects the passage of time (also referred to as the unwinding of the discount). Consensus A2. Changes in the measurement of an existing decommissioning, restoration and similar liability that result from changes in the estimated timing or amount of the outflow of resources embodying economic benefits required to settle the obligation, or a change in the discount rate, shall be accounted for in accordance with paragraphs A3–A5 below. A3. If the related asset is measured using the cost model: (a) Subject to (b), changes in the liability shall be added to, or deducted from, the cost of the related asset in the current period. (b) The amount deducted from the cost of the asset shall not exceed its carrying amount. If a decrease in the liability exceeds the carrying amount of the asset, the excess shall be recognised immediately in surplus or deficit. (c) If the adjustment results in an addition to the cost of an asset, the entity shall consider whether this is an indication that the new carrying amount of the asset may not be fully recoverable. If it is such an indication, the entity shall test the asset for impairment by estimating its recoverable amount, and shall account for any impairment loss, in accordance with PBE IPSAS 21 Impairment of Non-CashGenerating Assets and PBE IPSAS 26 Cash-Generating Assets. A4. If the related asset is measured using the revaluation model: (a) Changes in the liability alter the revaluation surplus or deficit previously recognised on that asset, so that: (i) A decrease in the liability shall (subject to (b)) be recognised in other comprehensive revenue and expense and increase the revaluation surplus within net assets/equity, except that it shall be recognised in surplus or deficit to the extent that it reverses a revaluation deficit on the asset that was previously recognised in surplus or deficit; (ii) An increase in the liability shall be recognised in surplus or deficit, except that it shall be recognised in other comprehensive revenue and expense and reduce the revaluation surplus within net assets/equity to the extent of any credit balance existing in the revaluation surplus in respect of that asset. (b) In the event that a decrease in the liability exceeds the carrying amount that would have been recognised had the asset been carried under the cost model, the excess shall be recognised immediately in surplus or deficit. (c) A change in the liability is an indication that the asset may have to be revalued in order to ensure that the carrying amount does not differ materially from that which would be determined using fair value at the end of the reporting period. Any such revaluation shall be taken into account in determining the amounts to be recognised in surplus or deficit or in other comprehensive revenue and expense under (a). If a revaluation is necessary, all assets of that class shall be revalued. (d) PBE IPSAS 1 Presentation of Financial Statements requires disclosure in the statement of comprehensive revenue and expense of each item of other comprehensive revenue/expense. In complying with this requirement, the change in the revaluation surplus arising from a change in the liability shall be separately identified and disclosed as such. A5. The adjusted depreciable amount of the asset is depreciated over its useful life. Therefore, once the related asset has reached the end of its useful life, all subsequent changes in the liability shall be recognised in surplus or deficit as they occur. This applies under both the cost model and the revaluation model. A6. The periodic unwinding of the discount shall be recognised in surplus or deficit as a finance cost as it occurs. Capitalisation under PBE IPSAS 5 Borrowing Costs is not permitted. Application Guidance Rights to Interests Arising from Decommissioning, Restoration and Environmental Rehabilitation Funds This Appendix is an integral part of PBE IPSAS 19. Issues B1. The issues addressed in this Appendix are: (a) How should a contributor account for its interest in a fund? (b) When a contributor has an obligation to make additional contributions, for example, in the event of the bankruptcy of another contributor, how should that obligation be accounted for? Consensus Accounting for an Interest in a Fund B2. The contributor shall recognise its obligation to pay decommissioning costs as a liability and recognise its interest in the fund separately unless the contributor is not liable to pay decommissioning costs even if the fund fails to pay. B3. The contributor shall determine whether it has control, joint control or significant influence over the fund by reference to PBE IPSAS 6 Consolidated and Separate Financial Statements, PBE IPSAS 7 Investments in Associates, and PBE IPSAS 8 Interests in Joint Ventures. If it does, the contributor shall account for its interest in the fund in accordance with those Standards. B4. If a contributor does not have control, joint control or significant influence over the fund, the contributor shall recognise the right to receive reimbursement from the fund as a reimbursement in accordance with this Standard. This reimbursement shall be measured at the lower of: (a) The amount of the decommissioning obligation recognised; and (b) The contributor's share of the fair value of the net assets of the fund attributable to contributors. Changes in the carrying value of the right to receive reimbursement other than contributions to and payments from the fund shall be recognised in surplus or deficit in the period in which these changes occur. Accounting for Obligations to make Additional Contributions B5. When a contributor has an obligation to make potential additional contributions, for example, in the event of the bankruptcy of another contributor or if the value of the investment assets held by the fund decreases to an extent that they are insufficient to fulfil the fund's reimbursement obligations, this obligation is a contingent liability that is within the scope of this Standard. The contributor shall recognise a liability only if it is probable that additional contributions will be made. Disclosure B6. A contributor shall disclose the nature of its interest in a fund and any restrictions on access to the assets in the fund. B7. When a contributor has an obligation to make potential additional contributions that is not recognised as a liability (see paragraph 5), it shall make the disclosures required by paragraph 100 of this Standard. B8. When a contributor accounts for its interest in the fund in accordance with paragraph 4, it shall make the disclosures required by paragraph 98(c) of this Standard. Application Guidance Liabilities arising from Participating in a Specific Market—Waste Electrical and Electronic Equipment This Appendix is an integral part of PBE IPSAS 19. Issue C1. This Appendix provides guidance on the identification of the obligating event for the recognition of a provision for waste management costs, in the context of the decommissioning of waste electrical and electronic equipment in a specific market such as that regulated by the EU Directive on Waste Electrical and Electronic Equipment. For the purposes of recognising a provision for waste management costs, what constitutes the obligating event in accordance with paragraph 22(a) of this Standard: (a) The manufacture or sale of the historical household equipment? (b) Participation in the market during the measurement period? (c) The incurrence of costs in the performance of waste management activities? Consensus C2. Participation in the market during the measurement period is the obligating event in accordance with paragraph 22(a) of this Standard. As a consequence, a liability for waste management costs for historical household equipment does not arise as the products are manufactured or sold. Because the obligation for historical household equipment is linked to participation in the market during the measurement period, rather than to production or sale of the items to be disposed of, there is no obligation unless and until a market share exists during the measurement period. The timing of the obligating event may also be independent of the particular period in which the activities to perform the waste management are undertaken and the related costs incurred. Basis for Conclusions This Basis for Conclusions accompanies, but is not part of, PBE IPSAS 19. BC1. The New Zealand Accounting Standards Board (NZASB) has modified IPSAS 19 Provisions, Contingent Liabilities and Contingent Assets for application by Tier 1 and Tier 2 public benefit entities. Where applicable, disclosure concessions have been identified for Tier 2 entities and the language generalised for use by public benefit entities. The NZASB considered that the requirements of IPSAS 19 are generally appropriate for application by public benefit entities. BC2. The NZASB has decided to replace the scope exclusion for social benefit obligations in IPSAS 19 (paragraph 1(a) and paragraphs 7–10 of IPSAS 19) with the scope exclusion for certain obligations of the Crown from NZ IAS 37 (PBE) (paragraphs NZ1.1 and NZ3.1–NZ3.3 of NZ IAS 37 (PBE)). The NZASB noted that, at the time of developing PBE IPSAS 19, the IPSASB had two projects which could lead to a review of the scope of IPSAS 19. The projects relate to social benefits and the development of a conceptual framework. 1 While these projects are in progress, the NZASB decided to retain the existing scope exclusion in relation to certain obligations of the Crown. BC3. The scope exclusion in PBE IPSAS 19 is in respect of those obligations of the Crown expressed in legislation that have characteristics similar to an executory contract where: (a) the Crown is obligated to provide goods, services or transfers to the community in future periods using funding to be obtained from the community substantially in those future periods; and (b) the intended third party recipients of the goods, services or transfers have not yet satisfied the criteria for entitlement to those goods, services or transfers. This scope exclusion replaces that in IPSAS 19 in respect of certain provisions and contingent liabilities arising from social benefits. BC4. The NZASB elected to delete paragraph 16 of PBE IPSAS 19 which read: This Standard defines provisions as liabilities of uncertain timing or amount. In some countries, the term provision is also used in the context of items such as depreciation, impairment of assets and doubtful debts; these are adjustments to the carrying amounts of assets and are not addressed in this Standard. This paragraph was removed because the term "provisions" has not been used in New Zealand in the other contexts mentioned by IPSAS 19 for some time. BC5. The NZASB included the requirements of NZ IFRIC 1 Changes in Existing Decommissioning, Restoration and Similar Liabilities, NZ IFRIC 5 Rights to Interests arising from Decommissioning, Restoration and Environmental Rehabilitation Funds, and NZ IFRIC 6 Liabilities arising from Participation in a Specific Market—Waste Electrical and Electronic Equipment in order to continue current practice in areas that are not addressed by IPSASs. 1 The IPSAB issued The Conceptual Framework for General Purpose Financial Reporting by Public Sector Entities in October 2014, and the NZASB issued the Public Benefit Entities' Conceptual Framework in May 2016. Provisions, Contingent Liabilities, Contingent Assets, and Reimbursements These Tables accompany, but are not part of, PBE IPSAS 19. Provisions and Contingent Liabilities Where, as a result of past events, there may be an outflow of resources embodying future economic benefits or service potential in settlement of (a) a present obligation, or (b) a possible obligation whose existence will be confirmed only by the occurrence or non-occurrence of one or more uncertain future events not wholly within the control of the entity. A contingent liability also arises in the extremely rare case where there is a liability that cannot be recognised because it cannot be measured reliably. Disclosures are required for the contingent liability. Contingent Assets Where, as a result of past events, there is a possible asset whose existence will be confirmed only by the occurrence or non-occurrence of one or more uncertain future events not wholly within the control of the entity. \| The inflow of economic benefits or service potential is virtually certain. \| The inflow of economic benefits or service potential is probable, but not virtually certain. \| \|---\|---\| \| The asset is not contingent (paragraph 41). \| No asset is recognised (paragraph 39). \| Reimbursements Some or all of the expenditure required to settle a provision is expected to be reimbursed by another party. \| The entity has no obligation for the part of the expenditure to be reimbursed by the other party. \| The obligation for the amount expected to be reimbursed remains with the entity, and it is virtually certain that reimbursement will be received if the entity settles the provision. \| \|---\|---\| \| The entity has no liability for the amount to be reimbursed (paragraph 67). \| The reimbursement is recognised as a separate asset in the statement of financial position, and may be offset against the expense in the statement of comprehensive revenue and expense. The amount recognised for the expected reimbursement does not exceed the liability (paragraphs 63 and 64). \| \| No disclosure is required. \| The reimbursement is disclosed, together with the amount recognised for the reimbursement (paragraph 98(c)). \| Illustrative Decision Tree This decision tree accompanies, but is not part of, PBE IPSAS 19. Note: In some cases, it is not clear whether there is a present obligation. In these cases, a past event is deemed to give rise to a present obligation if, taking account of all available evidence, it is more likely than not that a present obligation exists at the reporting date (paragraph 23 of this Standard). Start Possible obligation? Reliable estimate? Yes Yes No Yes Present obligation as a result of an obligating event Probable outflow? Remote? No (rare) No Yes No Yes No Provide Disclose Contingent Liability Do nothing Implementation Guidance This guidance accompanies, but is not part of, PBE IPSAS 19. Recognition IG1. All the entities in the examples have a reporting date of June 30. In all cases, it is assumed that a reliable estimate can be made of any outflows expected. In some examples, the circumstances described may have resulted in impairment of the assets – this aspect is not dealt with in the examples. IG2. The cross-references provided in the examples indicate paragraphs of this Standard that are particularly relevant. This guidance should be read in the context of the full text of this Standard. IG3. References to "best estimate" are to the present value amount, where the effect of the time value of money is material. Warranties IG4. Entity A manufactures search and rescue equipment for use within the entity and for sale to the public. At the time of sale, the entity gives warranties to purchasers in relation to certain products. Under the terms of the sale, the entity undertakes to make good, by repair or replacement, manufacturing defects that become apparent within three years from the date of sale. On past experience, it is probable (that is, more likely than not) that there will be some claims under the warranties. Analysis Present obligation as a result of a past obligating event – The obligating event is the sale of the product with a warranty, which gives rise to a legal obligation. An outflow of resources embodying economic benefits or service potential in settlement – Probable for the warranties as a whole (see paragraph 32). Conclusion A provision is recognised for the best estimate of the costs of making good under the warranty products sold on or before the reporting date (see paragraphs 22 and 32). Contaminated Land—Legislation Virtually Certain to be Enacted IG5. An entity owns a warehouse on land near a port. The entity has retained ownership of the land because it may require the land for future expansion of its port operations. For the past ten years, a group of farmers have leased the property as a storage facility for agricultural chemicals. Central government announces its intention to enact environmental legislation requiring property owners to accept liability for environmental pollution, including the cost of cleaning-up contaminated land. As a result, the entity introduces a hazardous chemical policy and begins applying the policy to its activities and properties. At this stage it becomes apparent that the agricultural chemicals have contaminated the land surrounding the warehouse. The entity has no recourse against the farmers or its insurance company for the clean-up costs. At June 30 2001 it is virtually certain that a draft law requiring a clean-up of land already contaminated will be enacted shortly after the year end. Analysis Present obligation as a result of a past obligating event – The obligating event is the contamination of the land because of the virtual certainty of legislation requiring the clean-up. An outflow of resources embodying economic benefits or service potential in settlement – Probable. Conclusion A provision is recognised for the best estimate of the costs of the clean-up (see paragraphs 22 and 30). Contamination and Constructive Obligation IG6. An entity running a fishing business has a widely published environmental policy in which it undertakes to clean up all contamination that it causes. The entity has a record of honouring this published policy. There is no environmental legislation in place in the jurisdiction. During the course of normal business, a fishing vessel is damaged and leaks a substantial amount of oil. The entity agrees to pay for the costs of the immediate clean-up and the ongoing costs of monitoring and assisting marine animals and birds. Analysis Present obligation as a result of a past obligating event – The obligating event is the contamination of the environment, which gives rise to a constructive obligation because the policy and previous conduct of the entity has created a valid expectation that the entity will clean up the contamination. An outflow of resources embodying economic benefits or service potential in settlement – Probable. Conclusion A provision is recognised for the best estimate of the costs of the clean-up (see paragraphs 22 and 30). Gravel Quarry IG7. An entity operates a gravel quarry on land that it leases on a commercial basis from a private sector company. The gravel is used for the construction and maintenance of roads. The agreement with the landowners requires the entity to restore the quarry site by removing all buildings, reshaping the land, and replacing all topsoil. 60% of the eventual restoration costs relate to the removal of the quarry buildings and restoration of the site, and 40% arise through the extraction of gravel. At the reporting date, the quarry buildings have been constructed, and excavation of the site has begun but no gravel has been extracted. Analysis Present obligation as a result of a past obligating event – The construction of buildings and the excavation of the quarry creates a legal obligation under the terms of the agreement to remove the buildings and restore the site, and is thus an obligating event. At the reporting date, however, there is no obligation to rectify the damage that will be caused by extraction of the gravel. An outflow of resources embodying economic benefits or service potential in settlement – Probable. Conclusion A provision is recognised for the best estimate of 60% of the eventual costs that relate to the removal of the buildings and restoration of the site (see paragraph 22). These costs are included as part of the cost of the quarry. The 40% of costs that arise through the extraction of gravel are recognised as a liability progressively when the gravel is extracted. Refunds Policy IG8. An entity operates as a centralised purchasing agency and allows the public to purchase surplus supplies. It has a policy of refunding purchases by dissatisfied customers, even though it is under no legal obligation to do so. Its policy of making refunds is generally known. Analysis Present obligation as a result of a past obligating event – The obligating event is the sale of the supplies, which gives rise to a constructive obligation, because the conduct of the entity has created a valid expectation on the part of its customers that the agency will refund purchases. An outflow of resources embodying economic benefits or service potential in settlement – Probable that a proportion of goods are returned for refund (see paragraph 32). Conclusion A provision is recognised for the best estimate of the costs of refunds (see paragraphs 18 (the definition of a constructive obligation), 22, 25, and 32). Closure of a Division—No Implementation before Reporting Date IG9. On 12 June 2004, an entity decides to close down a division of its operations. The decision was not communicated to any of those affected before the reporting date (June 30 2004), and no other steps were taken to implement the decision. Analysis Present obligation as a result of a past obligating event – There has been no obligating event and so there is no obligation. Conclusion No provision is recognised (see paragraphs 22 and 83). Outsourcing of a Division—Implementation Before the Reporting Date IG10. On June 12, 2004, an entity decided to outsource a division of its operations. On June 20 2004, a detailed plan for outsourcing the division was agreed by the management of the entity, and redundancy notices were sent to the staff of the division. Analysis Present obligation as a result of a past obligating event – The obligating event is the communication of the decision to employees, which gives rise to a constructive obligation from that date, because it creates a valid expectation that the division will be outsourced. An outflow of resources embodying economic benefits or service potential in settlement – Probable. Conclusion A provision is recognised at June 30 2004 for the best estimate of the costs of outsourcing the division (see paragraphs 22 and 83). Legal Requirement to Fit Air Filters IG11. Under new legislation, a local government entity is required to fit new air filters to its public buildings by 31 December 2004. The entity has not fitted the air filters. Analysis (a) At the reporting date of June 30 2004 Present obligation as a result of a past obligating event – There is no obligation because there is no obligating event either for the costs of fitting air filters or for fines under the legislation. Conclusion No provision is recognised for the cost of fitting the filters (see paragraphs 22 and 25–27). Analysis (b) At the reporting date of June 30 2005 Present obligation as a result of a past obligating event – There is still no obligation for the costs of fitting air filters because no obligating event has occurred (the fitting of the filters). However, an obligation might arise to pay fines or penalties under the legislation because the obligating event has occurred (the noncompliance of the public buildings). An outflow of resources embodying economic benefits or service potential in settlement – Assessment of probability of incurring fines and penalties for non-compliance depends on the details of the legislation and the stringency of the enforcement regime. Conclusion No provision is recognised for the costs of fitting air filters. However, a provision is recognised for the best estimate of any fines and penalties that are more likely than not to be imposed (see paragraphs 22 and 25-27). Staff Retraining as a Result of Changes in the Income Tax System IG12. The government introduces a number of changes to the income tax system. As a result of these changes, the taxation department (reporting entity) will need to retrain a large proportion of its administrative and compliance staff in order to ensure continued compliance with financial services regulation. At the reporting date, no retraining of staff has taken place. Analysis Present obligation as a result of a past obligating event – There is no obligation because no obligating event (retraining) has taken place. Conclusion No provision is recognised (see paragraphs 22 and 25–27). An Onerous Contract IG13. A hospital laundry operates from a building that the hospital (the reporting entity) has leased under an operating lease. During December 2004, the laundry relocates to a new building. The lease on the old building continues for the next four years; it cannot be cancelled. The hospital has no alternative use for the building and the building cannot be re-let to another user. Analysis Present obligation as a result of a past obligating event – The obligating event is the signing of the lease contract, which gives rise to a legal obligation. An outflow of resources embodying economic benefits or service potential in settlement – When the lease becomes onerous, an outflow of resources embodying economic benefits is probable. (Until the lease becomes onerous, the hospital accounts for the lease under PBE IPSAS 13 Leases). Conclusion A provision is recognised for the best estimate of the unavoidable lease payments (see paragraphs 13(b), 22 and 76). A Single Guarantee IG14. During 2004–05, a provincial government gives a guarantee of certain borrowings of a private sector operator providing public services for a fee, whose financial condition at that time is sound. During 2005–06, the financial condition of the operator deteriorates and, at December 31 2005, the operator files for protection from its creditors. This contract meets the definition of a financial guarantee contract in PBE IPSAS 29, except those where the issuer elects to treat such contracts as insurance contracts in accordance with PBE IFRS 4 Insurance Contracts. The following is an example of an accounting policy that complies with the requirements in PBE IPSAS 29 for financial guarantee contracts within the scope of PBE IPSAS 29. Analysis (a) At June 30 2005 Present obligation as a result of a past obligating event – The obligating event is the giving of the guarantee, which gives rise to a legal obligation. An outflow of resources embodying economic benefits or service potential in settlement – No outflow of benefits is probable at June 30 2005. Conclusion The guarantee is recognised at fair value. Analysis (b) At June 30 2006 Present obligation as a result of a past obligating event – The obligating event is the giving of the guarantee, which gives rise to a legal obligation. An outflow of resources embodying economic benefits or service potential in settlement – At June 30 2006, it is probable that an outflow of resources embodying economic benefits or service potential will be required to settle the obligation. Conclusion The guarantee is subsequently measured at the higher of (a) the best estimate of the obligation (see paragraphs 22, 31 and 109), and (b) the amount initially recognised less, when appropriate, cumulative amortisation in accordance with PBE IPSAS 9 Revenue from Exchange Transactions. A Court Case IG15. After a luncheon in 2004, ten people died, possibly as a result of food poisoning from products sold by a restaurant at a public museum (the reporting entity). Legal proceedings are started seeking damages from the entity, but it disputes liability. Up to the date of authorisation of the financial statements for the year to June 30 2004 for issue, the entity's lawyers advise that it is probable that the entity will not be found liable. However, when the entity prepares the financial statements for the year to June 30, 2005, its lawyers advise that, owing to developments in the case, it is probable that the entity will be found liable. Analysis (a) At June 30 2004 Present obligation as a result of a past obligating event – On the basis of the evidence available when the financial statements were approved, there is no obligation as a result of past events. Conclusion No provision is recognised by the museum (see paragraphs 23 and 24). The matter is disclosed as a contingent liability unless the probability of any outflow is regarded as remote (paragraphs 100 and 109). Analysis (b) At June 30 2005 Present obligation as a result of a past obligating event – On the basis of the evidence available, there is a present obligation. An outflow of resources embodying economic benefits or service potential in settlement – Probable. Conclusion A provision is recognised for the best estimate of the amount to settle the obligation (paragraphs 22–24 and 109). Repairs and Maintenance IG16. Some assets require, in addition to routine maintenance, substantial expenditure every few years for major refits or refurbishment and the replacement of major components. PBE IPSAS 17 Property, Plant and Equipment gives guidance on allocating expenditure on an asset to its component parts where these components have different useful lives or provide benefits in a different pattern. Refurbishment Costs—No Legislative Requirement IG17. A furnace for heating a building that is leased out by an entity to a number of tenants has a lining that needs to be replaced every five years for technical reasons. At the reporting date, the lining has been in use for three years. Analysis Present obligation as a result of a past obligating event – There is no present obligation. Conclusion No provision is recognised (see paragraphs 22 and 25–27). The cost of replacing the lining is not recognised because, at the reporting date, no obligation to replace the lining exists independently of the entity's future actions – even the intention to incur the expenditure depends on the entity deciding to continue operating the furnace or to replace the lining. Instead of a provision being recognised, the depreciation of the lining takes account of its consumption, that is, it is depreciated over five years. The re-lining costs then incurred are capitalised, with the consumption of each new lining shown by depreciation over the subsequent five years. Refurbishment Costs—Legislative Requirement IG18. A cartography service is required by law to overhaul its aircraft used for aerial mapping once every three years. Analysis Present obligation as a result of a past obligating event – There is no present obligation. Conclusion No provision is recognised (see paragraphs 22 and 25–27). The costs of overhauling aircraft are not recognised as a provision for the same reasons as the cost of replacing the lining is not recognised as a provision in Example 11A. Even a legal requirement to overhaul does not make the costs of overhaul a liability, because no obligation exists to overhaul the aircraft independently of the entity's future actions – the entity could avoid the future expenditure by its future actions, for example by selling the aircraft. Non-Discretionary Grant IG18.1 Entity XYZ provides development grants (Type A grants) to encourage new businesses. Entity XYZ has a policy to pay Type A grants (of a minimum amount of 10,000) on receipt of an application which is shown to meet various criteria. Entity XYZ's policy of always providing Type A grants and the application criteria for Type A grants are generally known. Entity XYZ cannot refuse to pay the grant if the applicant has met the criteria. The end of Entity XYZ's reporting period is 30 June. On 30 June 2000, Department M of Entity XYZ had received 10 applications for a Type A grant but had not yet made a decision as to the amount of the grants that will be paid to the applicants. Based on past experience, Entity XYZ expects to pay a total of 2,000,000 to the applicants. Analysis Present obligation as a result of a past obligating event – The obligating event is the receipt of an application for a Type A grant that meets the application criteria. A legal obligation exists because Entity XYZ has stated that it will pay the grant to those applicants that meet the criteria. An outflow of resources embodying economic benefits in settlement – Payment of the grants is probable as at 30 June 2000. Conclusion At 30 June 2000, Entity XYZ recognises a provision for the best estimate of the grants (see paragraph 22). Discretionary Grant IG18.2 Entity XYZ provides development grants (Type B grants) to encourage new businesses. When an application for a Type B grant is received, a committee considers it for approval. The committee has complete discretion as to whether the grant should be paid. (a) Applicant notified prior to the balance date On 15 June 2000, Department M received an application for a Type B grant. Prior to the end of the reporting period (30 June 2000) a committee approved payment of the grant. However, a decision regarding the amount of the grant had not been made. Based on the grants paid to previous applicants, the committee expected that the amount of the grant would be 50,000. The committee's decision to pay the grant (excluding the amount) was communicated to the applicant on 20 June 2000. Analysis The obligating event is the communication of the committee's decision to pay the grant. A constructive obligation exists because Entity XYZ has created a valid expectation on the part of the applicant that Department M will pay the grant. Conclusion A provision is recognised for the best estimate of the grant in Entity XYZ's 30 June 2000 financial statements (see paragraphs 22 and 25–27). (b) Applicant notified after the end of the reporting period On 15 June 2000, Department M received an application for a Type B grant. After the end of the reporting period (30 June 2000) a committee approved payment of the grant and the committee's decision to pay the grant was communicated to the applicant. Analysis There has been no obligating event and so there is no obligation. Conclusion No provision is recognised (see paragraph 22). Disclosures Two examples of the disclosures required by paragraph 98 are provided below. Warranties IG19. An entity with responsibility for the prevention of workplace accidents gives warranties at the time of sale to purchasers of its safety products. Under the terms of the warranty, the entity undertakes to repair or replace items that fail to perform satisfactorily for two years from the date of sale. At the reporting date, a provision of 60,000 currency units has been recognised. The provision has not been discounted, as the effect of discounting is not material. The following information is disclosed: A provision of 60,000 currency units has been recognised for expected warranty claims on products sold during the last three financial years. It is expected that the majority of this expenditure will be incurred in the next financial year, and all will be incurred within two years of the reporting date. Decommissioning Costs IG20. In 2005, a research facility, which uses a nuclear reactor to develop radio isotopes that are used for medical purposes, recognises a provision for decommissioning costs of 300 million currency units. The provision is estimated using the assumption that decommissioning will take place in 60–70 years' time. However, there is a possibility that it will not take place until 100–110 years' time, in which case the present value of the costs will be significantly reduced. The following information is disclosed: A provision of 300 million currency units has been recognised for decommissioning costs. These costs are expected to be incurred between 2065 and 2075; however, there is a possibility that decommissioning will not take place until 2105–2115. If the costs were measured based upon the expectation that they would not be incurred until 2105–2115 the provision would be reduced to 136 million. The provision has been estimated using existing technology, at current prices, and discounted using a real discount rate of 2%. Disclosure Exemption An example is given below of the disclosures required by paragraph 109 where some of the information required is not given because it can be expected to prejudice seriously the position of the entity. IG21. A research agency is involved in a dispute with a company, which is alleging that the research agency has infringed copyright in its use of genetic material, and is seeking damages of 100 million currency units. The research agency recognises a provision for its best estimate of the obligation, but discloses none of the information required by paragraphs 97 and 98 of the Standard. The following information is disclosed: Litigation is in process against the agency relating to a dispute with a company that alleges that the agency has infringed patents, and is seeking damages of 100 million currency units. The information usually required by PBE IPSAS 19 Provisions, Contingent Liabilities and Contingent Assets is not disclosed, on the grounds that it can be expected to prejudice seriously the outcome of the litigation. The board is of the opinion that the claim can be successfully defended by the agency. Illustrative Example This example accompanies, but is not part of, PBE IPSAS 19. Present Value of a Provision The following example illustrates the journal entries made on initial recognition of the present value of a provision, and the subsequent recognition of increases in the present value of that provision. The increase in the provision is recognised as an interest expense (paragraph 70). IE1. The expected value of a provision at the end of year 5 is 2000 currency units. This expected value has not been risk-adjusted. An appropriate discount rate that takes account of the risk associated with this cash flow has been estimated at 12%. IE2. Journal entries to record the provision and changes in the value of the provision each year are as follows: End of current reporting period Comparison with IPSAS 19 PBE IPSAS 19 Provisions, Contingent Liabilities and Contingent Assets is drawn from IPSAS 19 Provisions, Contingent Liabilities and Contingent Assets. The significant differences between PBE IPSAS 19 and IPSAS 19 are: (a) PBE IPSAS 19 excludes from its scope certain obligations expressed in legislation that have characteristics similar to an executory contract. This scope exclusion is available only to the Crown. In contrast, IPSAS 19 excludes from its scope provisions and contingent liabilities arising from certain social benefits. The scope exclusion in IPSAS 19 is available to any entity that provides the types of social benefits outlined in paragraph 1(a) of that Standard; and (b) PBE IPSAS 19 contains, as integral guidance, three interpretations that formed part of NZ IFRSs. These three interpretations are: (i) NZ IFRIC 1 Changes in Existing Decommissioning, Restoration and Similar Liabilities; (ii) NZ IFRIC 5 Rights to Interests arising from Decommissioning, Restoration and Environmental Rehabilitation Funds; and (iii) NZ IFRIC 6 Liabilities arising from Participation in a Specific Market—Waste Electrical and Electronic Equipment. (c) PBE Standards require the presentation of a statement of comprehensive revenue and expense. IPSASs require the presentation of a statement of financial performance. History of Amendments PBE IPSAS 19 Provisions, Contingent Liabilities and Contingent Assets was issued in September 2014. This table lists the pronouncements establishing and substantially amending PBE IPSAS 19. The table is based on amendments issued as at 31 January 2017 other than consequential amendments resulting from early adoption of PBE IPSASs 34 to 38 which deal with interests in other entities and PBE IFRS 9 Financial Instruments. \| Pronouncements \| Date issued \| Early operative date \| \|---\|---\|---\| \| PBE IPSAS 19 Provisions, Contingent Liabilities and Contingent Assets \| Sept 2014 \| Early application is permitted for not-for-profit public benefit entities \| \| 2015 Omnibus Amendments to PBE Standards \| July 2015 \| Early application is permitted \| \| 2016 Omnibus Amendments to PBE Standards \| Jan 2017 \| – \| \| Paragraph affected \| How affected \| \|---\|---\| \| Paragraph 1(h) \| Added \| \| Paragraph 18 \| Amended \| \| Paragraph 112.2 \| Added \|
Nottingham Outer 2015 Strategic Housing Market Assessment Summary Report November 2015 Prepared by GL Hearn Limited 280 High Holborn London WC1V 7EE T +44 (0)20 7851 4900 glhearn.com Contents Section Page Nottingham Outer 2015 Strategic Housing Market Assessment 1 INTRODUCTION Purpose of this Report 1.1 This report considers the need for housing within the Nottingham Outer Housing Market Area (HMA) which includes Ashfield District Council, Mansfield District Council and Newark and Sherwood District Council. 1.2 This report seeks to draw out the main findings of the Nottingham Outer Strategic Housing Market Assessment (SHMA). The SHMA considers how many homes might be needed but does not take into account land supply, policy or other constraints to development. It then goes on to look at what mix of housing is needed, considering the need for different sizes of homes (both market and affordable) and the needs of specific groups in the population, including older people. 1.3 The Strategic Housing Market Assessment does not set policies or targets for future housing development. It provides evidence regarding the need for housing. 1.4 When Councils are developing new local plans, housing need is considered along with other factors – including land availability, Green Belt and other development constraints, local infrastructure capacity and the unmet needs of adjoining areas – in setting policies for future housing provision. The National Planning Policy Framework requires councils in developing planning policies to start out by identifying what the need for housing (and other forms of development) is, before going on to consider if this can be sustainably accommodated in their areas. Context – National Planning Policies 1.5 The National Planning Policy Framework (NPPF) sets out the Government's planning policies in England. It outlines that in planning for housing, councils must work with neighbouring authorities to prepare a Strategic Housing Market Assessment (SHMA) for their housing market area. Councils are required to work together to meet the need identified unless national policies, which include Green Belt, indicate that development should be restricted or it would be unsustainable to do so. 1.6 The SHMA has defined Nottingham Outer as the relevant housing market area, reflecting the particularly strong flows of people moving home or commuting between Ashfield, Mansfield and Newark and Sherwood. Whilst these authorities have the strongest relationships, clearly not all moves and commuting are contained within this area, and the SHMA notes links between the HMA and Nottingham City, Bassetlaw and Bolsover. 1.7 The NPPF outlines that the SHMA should provide an objective assessment of the full need for market and affordable housing within the housing market area (Para 47). The SHMA does not set housing targets, and the Government's Planning Practice Guidance clearly sets out that the SHMA itself must not apply constraints to the overall assessment of need, such as environmental constraints, green belt policies, and issues related to local infrastructure. 1.8 This does not mean that these issues are not important. They are very relevant in considering how much development can be sustainably accommodated and where new development should be located. When developing new local plans, the Councils must weigh up these factors with the housing need, and test different options regarding how much development can be accommodated. The Government continues to attach great importance to Green Belts and this is one of the factors which must be considered in determining housing targets. 1.9 In assessing the need for housing, the Government's Planning Practice Guidance sets out that the starting point should be the latest official ONS population and Government household projections. These are based on past trends. They are particularly influenced by the balance of people moving in and out of an area (migration) and by household formation rates. 1.10 As well as demographic considerations the Planning Practice Guidance sets out that the identified need may need to be adjusted to take account of the identified need for affordable housing; to improve housing affordability (taking account of market signals); or to support expected economic growth based on past trends and/ or forecasts for future economic performance. The SHMA has followed the approach in the Planning Practice Guidance. It needs to do this, as the assessment will get tested against this at local plan examinations. 2 FUTURE NEED FOR HOUSING Projecting Forward Past Population Trends 2.1 The latest official population projections are the 2012-based Sub-National Population Projections (SNPP) which were published by the Office for National Statistics in May 2014. These are the first set of population projections which take full account of the 2011 Census 1 . GL Hearn has also updated the projections to take account of 2013 Mid-Year Population Estimates issued by ONS. 2.2 The latest official household projections are the 2012-based Household Projections published by Government in February 2015. These are based on the first official population projections which take full account of the results of the 2011 Census and what this tells us about recent population trends. These projections project household growth between 2012-37. These projections estimate a housing need of 1,074 dwellings per annum across the HMA (2013-33). 2.3 The HMA's population is expected to grow by 9.6% between 2013-33 – a population increase of 32,900 persons. Ashfield's population is expected to grow by 11.3% over this period (13,713 population), Mansfield's by 6.2% (6,531 population) and Newark and Sherwood by 10.9% (12,704 population). 2.4 Household formation ('headship') rates are applied to the population to project growth in household numbers. Headship rates describe what proportion of people in different age groups are expected to be a head of a household. How the age structure of the population changes thus influences growth in households. 2.5 The SHMA used the household formation rates as set out in the 2012-based household projections. These showed a need for 398 dwellings per annum in Ashfield, 252 in Mansfield, 382 in Newark and Sherwood and 1,031 across HMA. The uplift from households to dwellings takes account of vacancy rates within the existing stock. 2.6 The 2012-based subnational population projections (SNPP) look to be a sound demographic projection. Population growth sits in-line with short-term trends but below long-term growth. These short term trends however reflect a period of market failure across the HMA which has reduced migration patterns notably against longer term trends. We therefore undertook sensitivity analysis around three further scenarios. These are as follows: - 12-year migration trends – this projection looks at the level of population and household/housing growth we might expect if migration levels in the future are the same as seen over the period since 2001. A consideration of longer-term trends is suggested as an alternative scenario in the 1 Whilst the 2011-based Interim Population Projections took account of the Census population, they were based on pre-census estimates of births, deaths and migration PAS Technical Advice Note on Housing Targets and Objectively Assessed Housing Need although we would recognise that the approach is unlikely to be as robust as the SNPP as it won't take account of changes to the age structure over time and the impact this might have on migration levels. - UPC adjustment – as noted earlier there is a notable level of Unattributable Population change in the ONS data for 2001-11 in the Nottingham Outer area. In this instance UPC is positive, this suggests that the components of change feeding into the SNPP may slightly underestimate migration and population growth. Whilst this is a useful scenario to consider (again it is one suggested in the PAS Technical Advice Note 2 ) we do not consider it to be a robust alternative to the SNPP. The main reasons for this are that it is unclear if UPC is related to migration and more importantly, due to changes in the methods used by ONS to measure migration it is most probable that any errors are focussed on earlier periods (notably 2001-6) and therefore a UPC adjustment for more recent data would not be appropriate. 2.7 We have subsequently applied to the 12-year migration trend an adjustment for UPC however we do note that there is in fact a strong link between the two. For example, where UPC is high, it is possible that this is due to migration having been under-estimated. However, it is generally considered that there are a number of factors (as well as migration) that feed into the estimates of UPC (most notably the possibility that population estimates in the 2001 Census were wrong). It is also notable that any UPC is likely to be associated with older data (particularly in the 2001-6 period – prior to ONS 'improving' migration statistics) and would therefore overlap with older data about migration. 2.8 Given this, it is considered prudent to utilise a projection which takes account of both longer-term migration trends and UPC – treating each of these equally (i.e. recognising that UPC could be related to migration and so the two will to some extent balance out). The output of this projection provides the following estimates of housing need. Table 1: Projected household growth 2013-33 – 2012-based SNPP with 12-year migration trends and UPC adjustment and 2012-based headship rates \| \| Ashfield \| Mansfield \| \| Newark & \| Nottingham \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| \| Sherwood \| Outer \| \| Households 2013 \| 51,956 \| 45,575 \| 49,728 \| \| \| \| Households 2033 \| 60,993 \| 52,401 \| 58,267 \| \| \| \| Change in households \| 9,037 \| 6,826 \| 8,539 \| \| \| \| Per annum \| 452 \| 341 \| 427 \| \| \| \| Dwellings (per annum) \| 469 \| 356 \| 446 \| \| \| 2 Planning Advisory Service – July 2015 - http://www.pas.gov.uk/documents/332612/6549918/OANupdatedadvicenote/f1bfb748-11fc-4d93-834c- a32c0d2c984d 3 HOW THE ECONOMY MIGHT INFLUENCE HOUSING NEED 3.1 Following the approach in the Planning Practice Guidance, the demographic-based assessment set out above provides a baseline for housing need. The Guidance recommends that consideration is given to whether economic growth could result in a need for additional housing. 3.2 The NPPF clearly sets out that the assessment of, and strategies in local plans for, housing and employment need to be integrated with one another 3 . The SHMA has considered the Councils' recent evidence regarding economic prospects of the HMA, as set out in emerging Nathaniel Litchfield and Partners (NLP) work examining the County's employment land needs. 3.3 The forecasts considered in the employment land needs study being carried out by NLP estimate that employment in Ashfield will grow by 9,836, in Mansfield by 7,496 and Newark & Sherwood by 8,265 between 2013-33. 3.4 Considering how economic growth may influence the need for housing is not straightforward. The relationship between jobs and homes will be influenced by changes in the age structure of the population (including for instance improving life expectancy), employment rates (which describe the proportion of people with jobs) and commuting patterns (the relationships between where people live and work). It is difficult to precisely predict how these may change, however the Planning Practice Guidance requires an assessment to be made. 3.5 The SHMA seeks to model the relationship between jobs and homes. It models increasing employment rates, linked to an expectation that people will retire later and more women will work. It assumes that commuting patterns will remain stable in proportional terms. It also takes account of evidence that people may hold down more than one job. 3.6 The modelling indicates that to support the forecast growth in employment, the following levels of housing provision would be needed: 3.7 Across the HMA (and for each local authority), the level of housing provision necessary to support economic growth is lower than the baseline demographic trend-based projections. There is therefore no need to increase housing supply above the demographic projections and that these Table 2: Initial Assessment of Annual Need for Housing based on Economic Forecasts \| Annual Growth in Jobs \| 394 \| 315 \| 372 \| \|---\|---\|---\|---\| \| Annual Housing Need \| 409 \| 328 \| 389 \| 3 CLG (2012) National Planning Policy Framework, Paragraph 158 would support the planned economic growth in the HMA. This is also based on the policy on projections created by NLP and not the baseline projections which would show an even lower housing need. 3.8 The SHMA adopts a 'policy off' approach which does not seek to change commuting patterns. Clearly however labour markets operate across local authority and indeed across the HMA boundaries. Labour markets are flexible and commuting patterns can change over time. 3.9 In the development of local plans, it is important that the Councils consider the alignment of their assumptions regarding economic growth and housing provision, taking account of the potential supply of land suitable for development, infrastructure and other constraints. 4 IMPROVING AFFORDABILITY Affordable Housing Need 4.1 The SHMA includes an assessment of the number of households each year who require some form of subsidy in meeting their housing needs. This is assessed using the Basic Needs Assessment Model and is a statutory requirement to support policies seeking affordable housing in new developments. 4.2 The model considers households who are currently living in unsuitable housing, the proportion of newly-forming households who cannot afford to buy or rent market housing without financial support, and existing households who fall into housing need. Those deemed as being in unsuitable accommodation includes homeless, overcrowded and concealed households. 4.3 These households would be classified as in need of affordable housing. The level of households needing support is compared against the current affordable housing supply, based on re-lets of existing homes. The assessment take account of a range of secondary data sources, including information from the 2011 Census, data on households' incomes, modelling of population trends, and on lettings and the future supply of affordable housing. Figure 1: Overview of Basic Needs Assessment Model Future Housing Need Estimate of Newly-Forming Households in Need& Existing Households falling into Need over plan period Affordable Housing Supply Estimate of Supply of Affordable Housing from Relets of Existing Properties over plan period Affordable Housing Supply Supply of Affordable Housing from Vacant Stock& Development Pipeline Current Housing Need (Gross) Current Households in Housing Need based on Census and other modelled data Total Net Current Need Net Housing Need Total Net Current Need Table 3: Estimated level of Affordable Housing Need per annum – by location (30% affordability threshold) \| Area \| Current need \| Newly forming households \| \| Existing \| Total Need \| Supply \| Net Need \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| households \| \| \| \| \| \| \| \| \| falling \| \| \| \| \| \| \| \| \| into need \| \| \| \| \| Ashfield \| 36 \| 423 \| 236 \| \| 695 \| 531 \| \| \| Mansfield \| 38 \| 361 \| 395 \| \| 794 \| 730 \| \| \| Newark & Sherwood \| 32 \| 367 \| 277 \| \| 676 \| 500 \| \| \| Nottingham Outer \| 106 \| 1,151 \| 909 \| \| 2,166 \| 1,761 \| \| Source: 2011 Census/CoRe/Projection Modelling and affordability analysis 4.4 The SHMA analysis indicates that 405 additional households per year will require support in meeting their housing needs across the HMA. For Ashfield, Mansfield and Newark & Sherwood it would be 164, 64 and 177 respectively. 4.5 The affordable need is around 39% of the need identified in the demographic projections for the HMA. These figures are however calculated in different ways and are not strictly comparable. Firstly, we should recognise that the affordable housing model includes supply-side factors. The net need figures derived are influenced by the current stock of affordable housing and turnover of this. This has been influenced by past policies and investment decisions (at both the national and local levels). Funding mechanisms for affordable housing have influenced past delivery, which in turn influence the need today. Secondly and perhaps more critically, it is important to recognise that the model includes needs arising from both new households and existing households. Part of the needs included are from households who might require an additional home, such as: - Newly-forming households; - Those in temporary accommodation; - Concealed households; and - Homeless households. 4.6 Some households do not generate a net need for additional homes, as by moving they would release a home for other households. In considering the overall need for housing, only those who are concealed or homeless would result in potentially an additional need for housing. Numbers of newly-forming households in the modelling are established specifically from the demographic projections. 4.7 The report identifies 528 concealed and homeless households in affordable need (when using a 30% affordability threshold). This figure can reasonably be used as a minimum uplift to the OAN as a result of affordable housing need and represents around 26 additional dwellings per annum over the 2013-33 period. Evidence from Market Signals 4.8 The NPPF 4 sets out that plans should take account of market signals, such as land prices and housing affordability. The Planning Practice Guidance clarifies this and outlines that "the housing need number suggested by household projections (the starting point) should be adjusted to reflect appropriate market signals, as well as other market indicators of the balance of the demand for and supply of dwellings. Prices or rents rising faster than the national/ local average may well indicate particular market undersupply relative to demand." Relevant market signals identified include land prices, house prices, rents, affordability ratios, levels of development compared to targets, as well as levels of overcrowded, shared or concealed households. The Government's Guidance outlines that where market signals indicate a worsening trend, a reasonable upward adjustment to planned housing numbers compares to those based on household projections should be made. 4.9 Whilst not as substantive as the national pressure the SHMA evidence indicates that affordability pressures in the Nottingham Outer HMA are evident. Nationally, the ratio of lower quartile house prices to earnings peaked in 2006. It fell modestly over the 2007-9 period. Affordability ratios have since plateaued with current affordability ratios lower than the 2007 peak. 4.10 The Nottingham Outer local authorities follow the national trend, albeit with a consistently lower affordability ratio, indicating a lesser gap between lower quartile house prices and incomes. Newark and Sherwood have the highest affordability ratio in the HMA with Ashfield the lowest. Arguably house prices in Mansfield and Ashfield are manageable compared to the National figures. 4.11 House prices are below the East Midlands average although Newark and Sherwood does have notably different house prices to Mansfield and Ashfield. Entry level house prices are around five times the typical earnings of younger households compared to a ratio of 6.4 nationally. 4.12 However, housing costs have increased in absolute terms and relative to earnings; whilst household formation and home ownership both fell. An increasing number of households have been living in rented accommodation, shared homes and with parents. 4 CLG (2012) National Planning Policy Framework, Paragraph 17 4.13 Table 4 considers relative market signals relating to the Nottingham Outer HMA: Table 4: Review of Market Signals \| \| Signal \| Commentary \| \|---\|---\|---\| \| House Prices \| \| \| \| Rents \| \| Rents in the HMA are about average compared with the wider region. Although rents \| \| \| \| have grown since 2011, this has been below inflation. And in Mansfield there was an \| \| \| \| actual decline. \| \| Affordability Ratios \| \| \| \| Rates of Development \| \| Housing delivery has fallen since 2008, as is the case across the region and \| \| \| \| nationally. The evidence points to this being a function of effective demand and \| \| \| \| market circumstances. Market conditions however improved in 2014 and we would \| \| \| \| expect completions to begin to pick-up. Sales volumes for market homes however \| \| \| \| remain notably below pre-recession levels. \| \| Overcrowding & HMOs \| \| \| 4.14 Taking account of the evidence relating to affordable housing need and market signals there is justification for considering an adjustment to the assessed housing need to address the needs of these households. We return to consider the scale of adjustment appropriate later in the report. 4.15 The evidence from market signals indicates that market housing is relatively unaffordable. This is also borne out in clear evidence of a significant number of households who cannot afford market housing without support. In such circumstances, the Planning Practice Guidance sets out that the assessment of overall housing need should be adjusted upwards – in effect seeking to improve housing affordability. 4.16 The Planning Practice Guidance sets out that the scale of adjustment should relate to the evidence of market demand and of affordability constraints. It is not specific in how this should be calculated. 4.17 GL Hearn consider that the key impacts of improving affordability would be to improve younger people's ability to form a household, reducing the numbers of younger people forced to live with parents or in shared accommodation. The impact of this has been modelled by adjusting household formation rates of those aged 25-34, increasing levels of household formation for this age group over time such that it reaches the 2001 levels (in each authority) by 2033. 4.18 Taking account of these adjusted household formation rates for younger households, the SHMA draws the following conclusions on the overall need for housing: - 480 dwellings per annum for Ashfield, - 376 dwellings per annum for Mansfield, - 454 dwellings per annum are recommended for Newark and Sherwood. 5 OBJECTIVELY ASSESSED NEED 5.1 Taking account of these adjusted household formation rates for younger households and adjustment for UPC and longer term trends, the SHMA concludes on the overall need for housing over the 2013-33 period of 1,310 homes per annum (Ashfield 480, Mansfield 376 and 454 in Newark and Sherwood). The derivation of the conclusions on housing need is shown below, in Figure 2. 5.2 In the absence of development constraints this could potentially be considered to represent the full 'objectively assessed need' (OAN) for housing. This represents in total an annual need for 1,310 homes per year across the HMA. 5.3 The National Planning Policy Framework sets out that local authorities should seek to meet housing need within their areas where it is sustainable to do so and consistent with policies within the Framework. The Framework however affords significant protection to Green Belt and other environmental constraints including land designated as Local Green Space, Area of Outstanding Natural Beauty, SSSI, SPA, SAC and RAMSAR. 6 MIX OF HOUSING NEEDED 6.1 In addition to considering the overall need for housing, the SHMA considers what types and sizes of homes – both market and affordable – will be needed. 6.2 There were just over 144,536 homes in the Nottingham Outer Housing Market Area in 2011. 69% of households owned their own home, with 13% renting privately and 16% living in social rented housing. The remaining 2% were living rent free or in shared ownership accommodation. 6.3 Within Ashfield home ownership is around 69% with 13% renting privately and 17% living in social rented housing. The remaining 1% were living rent free or in shared ownership accommodation. 6.4 In Mansfield, home ownership is slightly below the HMA averages and accounts for 67%. Around 14% is renting privately and 18% is living in social housing. 1% is living rent free or in shared accommodation. 6.5 Within Newark and Sherwood home ownership is around 71% with 13% renting privately and 14% living in social rented housing. The remaining 2% were living rent free or in shared ownership accommodation. 6.6 Each of the Local Authorities and subsequently the HMA as a whole has a percentage of detached houses consistently above the national average with the district of Newark and Sherwood falling at 38% some 15% above the national average. Conversely the percentage of flats in the HMA (8.1%) falls greatly below the National Average of 21.1% with the highest proportion of flats falling within Mansfield at nearly 9%. 6.7 Overall the HMA has a notably high percentage of 3 bedroom properties (51%) in comparison to the National figure (41%). This is driven by a high percentage in Ashfield and Mansfield. 6.8 Conversely the HMA has a low percentage of 1 and 2 bedroom properties (33%) compared to the East Midlands (35%) and National figures (40%). Newark and Sherwood in particular has a low percentage of these sizes of property (28%). 6.9 The SHMA identifies that there is a need for a mix of house sizes across the HMA, as Table 5 indicates. The conclusions drawn take account of how the structure of the population and households are expected to change over the period to 2033 and how people occupy homes. 6.10 In terms of size mix, our analysis (taking account of demographic trends and market evidence) concludes that the following represents an appropriate indicative mix of affordable and market homes at a HMA-wide level. It should however be noted that this analysis is aimed at informing policies over the plan period and there will be a range of factors which will influence demand for different sizes of homes over time, particularly demographic changes, growth in real earning/savings, housing affordability and wider economic performance. Table 5: Need for Different Sizes of Homes across the Nottingham Outer HMA \| \| 1-bed \| 2-bed \| 3-bed \| 4+ bed \| \|---\|---\|---\|---\|---\| \| Market \| 5% \| 35% \| 50% \| 10% \| \| Affordable \| 35% \| 35% \| 25% \| 5% \| \| All dwellings \| 10% \| 35% \| 45% \| 10% \| 6.11 For market housing, we recommend that the focus of new provision is on two and three-bed properties. This would serve to meet the needs of newly forming households and younger families in the District as well as demand from older households downsizing and looking to release equity in existing homes, but still retain flexibility for friends and family to come and stay. There is however likely to be a notable level of continued need for larger family properties arising from existing growing households and those migrating into the District. 6.12 Policies for what proportion of homes in new development schemes should be affordable need to take account of evidence both of housing need and of the viability of residential development. The NPPF sets out that percentage targets for affordable housing need to take account of viability evidence. 6.13 The SHMA considers the need for different types of affordable housing. It indicates that, in delivering affordable units, a HMA-wide mix target of 20% intermediate and 80% social or affordable rented homes would be appropriate. The types of intermediate housing could include products such as shared ownership or shared equity, although the cost of such products should be carefully considered to ensure they are genuinely affordable – this will need to include consideration of any deposit requirements which may be a barrier to access for a number of households as well as the current supply of such housing. 6.14 Over the period to 2033 the population of older persons in the HMA is expected to grow, with the population aged over 65 expected to increase by 53%. Many older households will remain in homes which they have lived in for many years. However some may wish to downsize, and this has been taken into account in the conclusions drawn on the mix of homes needed. 6.15 Some older households will require specialist housing or support. Others may need to adapt their homes to meet their changing needs. In particular there is projected to be a large rise in the number of people with dementia (up 86%) along with a 73% increase in the number with mobility problems. Newark & Sherwood is likely to see the most significant increases. 6.16 Some older households will require specialist housing solutions. The SHMA identifies a need for a 3,803 additional specialist units of housing for older people between 2013-33, including sheltered and extra care homes – this represents about 15% of the need shown through the conclusions on OAN. This need forms part of the OAN. 6.17 In addition, the SHMA indicates a need for 1,824 bedspaces in residential care homes (Ashfield650, Mansfield-437 and Newark and Sherwood-737). This does not form part of the household population and so is separate to the need identified for housing. It falls within a C2 use. Table 6: Need for Specialist Housing for Older Persons, 2013-33 \| \| \| 2013-33 \| \| Per annum \| \|---\|---\|---\|---\|---\| \| Ashfield \| 1,279 \| \| 64 \| \| \| Mansfield \| 1,034 \| \| 52 \| \| \| Newark & Sherwood \| 1,489 \| \| 74 \| \| \| Nottingham Outer \| 3,803 \| \| 190 \| \|
Region 4 SFIREG Report Tim Drake, Region 4 SFIREG Representative December 5, 2022 The Region 4 fall pre-SFIREG meeting was held November 8-9, 2022. The meeting was held at Unicoi State Park in Helen, GA. All states in the Region (AL, FL, GA, KY, MS, NC, SC, TN) were in attendance, and EPA regional staff were well represented at the meeting. There was a virtual component of the meeting for those who could not attend in person. This tended to cause numerous delays during the meeting, so the discontinuance of a virtual component is being discussed for future meetings unless necessitated by COVID or some other extenuating circumstance. Updates given during the meeting by our EPA Region 4 partners were: -Region 4 EPA update (Keriema Newman, Cesar Zapata, Gracie Danois) -Regional Pesticide Programs update (Donnette Sturdivant) -Regional Grants update (Richard Corbett) -C&T / WPS update (Pat Livingston, Savannah Merritt) -Regional Training update (Patricia Livingston, Rick Hayes (Georgia), Pat Jones (NC)) -Enforcement update (Kimberly Bingham, Alan Annicella, Kanoe Ho, Laurel Stanko) - Quality Assurance Refresher (Stephanie McCarthy) - Region 4 Agricultural & Rural Community Outreach Efforts (Randy Dominy) - C&T Notification Issue (Pat Livingston) Topics covered in the meeting by SLA personnel were: -AAPCO update (Pat Jones, AAPCO Past-President) -ASPCRO update (Ryan Okey, ASPCRO President) -SFIREG/POM/EQI update (Tim Drake, Amy Brown) - Update on Pollinator Video (Pat Jones) - - Lack of Supporting Models for Atrazine Mitigation Decisions (Pat Jones) Other Issues Discussed: A robust discussion facilitated by Tim Drake was held among the state and EPA officials in attendance on matters of regulatory importance to the region. Primary among these were: -C&T Plan revision process and timeline -Issues with EPA travel funding (states emphasized the importance of EPA mid-year and end-of-year visits, pre-SFIREG attendance, etc.) -Increasing costs related to holding in-person pre-SFIREG meetings -Communication issues states are having resulting from EPA reorganization and retirements both at HQ and in Regions -Licensing of applicators for the use of drones, especially in structural pesticide applications -Why online marketplace inspections must be reflected in narrative reports and cannot be reflected as Marketplace Inspections on the 5700 form (the form is outdated and needs revision in the opinion of the states). -Requirement to collect labels of every product on site during a PEI inspection (not just pesticides produced at the establishment) is problematic and states need clearer guidance on this. -States in the region were neither elated nor surprised with the response from EPA Headquarters regarding the Region 4 Issue Paper on pesticide misuse by beekeepers in managed honey bee colonies. Region 4 states had no new issues to send forward in the form of an issue paper for consideration or action by SFIREG. Some issues that individual states are having are reflected in the comments / answers to the SFIREG questions that were sent out. These can be found in the section that follows. An election was held, and Derrick Lastinger (Georgia) was elected to be the new SFIREG Representative for Region 4. Kristen Lashley (Alabama) was elected to serve as the new Vice-Chair. Their terms will begin immediately after the December 2022 Full SFIREG meeting. A motion was entered, seconded, and a vote taken to increase the withholding of Region 4 EPA funds up to $40,000.00 per year to fund two in-person pre-SFIREG meetings (up to $20,000.00 per meeting). This became necessary because of increasing food, travel, and hotel costs. This passed by a majority vote of states in attendance. Tennessee voted in opposition because of concerns about future budgets and potential declining state revenue along with the concern that states funded at a lesser level will lose more of their grant funding (proportionally) than those funded at a much higher level. Long-time EPA Region 4 Pre-SFIREG Coordinator Patricia Livingston announced her retirement from the EPA this fall, so a brief retirement celebration was held to show appreciation to her for her excellent work and for her extraordinary leadership over many years in Region 4. She will be missed by all with whom she has worked in both state and federal agencies. During this time, Tim Drake also was acknowledged for his tenure as pre-SFIREG Chair / SFIREG Representative. SFIREG Questions sent to the States The questions sent out to states for individual responses are summarized below. If a state had no issues or remarks on a particular item, responses are not recorded. 1. C&T Plan approval processes and the feedback from EPA Regions and Headquarters: Alabama: Alabama received our latest comments back from the Region/HQ. We are working through those comments now. We still plan to meet our timelines within the plan, but statutory and administrative changes are on their own time-table and we will not be able to control when those changes can go into effect. Florida: Florida is unsure of the status of our C&T plan approval at this time. We were anxiously awaiting an approval, but now that the deadline has been pushed back, it could ultimately affect our plan to go to the legislature for proposed changes in March 2023. Kentucky: Kentucky submitted its' final plan for the EPA's 2nd pass review earlier this year. HQ Comments from that submission have been returned to Region 4 and are expected soon in Kentucky as of 10/24/22. Presumably, final approval from the EPA is close. Mississippi: Mississippi's plan has been reviewed for the second time. EPA has asked for minor changes and clarifications that have been submitted. It appears that we are on track for our plan to be approved sometime before November 2023. North Carolina: NCDACS is close – just a few tweaks for the second round of reviews. We had discussions with HQ and R4 Staff a couple of weeks ago. Trying to accomplish changes in regulations and not open up the Laws for Pesticide and Structural programs. South Carolina: The corrections have been submitted and we are awaiting the second round of comments. Tennessee: Tennessee's plan is nearing final approval. 2. OP cancellation petition to EPA: Alabama: Alabama foresees significant impacts to all aspects of agriculture with the possible cancellation of this important group of chemicals. Florida: We have heard that Florida growers are concerned about revoking the tolerances for these organophosphates. They are a critical tool for numerous pests and used as part of their IPMs. Florida industry associations made comments to the docket (EPA-HQ-OPP-2022-0490) regarding the need of these pesticides and how their loss could impact Florida agriculture. Kentucky: Of this list, there are three products that are often used in Kentucky: Acephate, Diazinon, and Malathion. Our concerns are the same for all three products- If these products are cancelled, what direction does EPA plan to give to states on disposal? Acephate and Diazinon are both commonly found in KY. Malathion is widely present here and will create a great hardship for the industry if there are not clear instructions given for disposal of the cancelled products North Carolina: NCDACS has not heard of any concerns with these products. We did hear the EPA is taking a new look at ethylene oxide. This fumigant is used in our Apiary Services Section as a fumigant to treat bee hive components for American Foulbrood South Carolina: Yes, there would likely be negative impacts to SC agriculture. Tennessee: The products listed have broad uses and would very likely have an impact for the applicators in TN. 3. Chlorpyrifos: Alabama: Revoking tolerances is not a well-designed strategy for a de-facto cancellation of a product. We understand the court order, but end users and state enforcement programs are left holding the bag. Kentucky: KDA like other SLA's is still waiting for EPA's instructions on disposal or an allowance for use in non-food applications. Mississippi: Farmers face constant pressures from pests, weed resistance, weather, etc. Mississippi supports sound scientific research, registration, and EPA's stringent review process. However, we do not support establishing, modifying, or revoking the tolerances of Chlorpyrifos or any pesticide before a thorough review process is completed and using the best scientific data available. EPA's final decision regarding Chlorpyrifos and any other pesticide under review could result in additional product restrictions/cancellations therefore, asking the question, how well would alternative products affect human health and the environment? South Carolina: There have been no problems reported in the state so far with regard to disposal or illegal use of the product. Tennessee: No questions or issues as of now, we haven't received any request for disposal of the product. It's business as usual. 4. Atrazine Interim Registration Decision: Alabama: Additional workloads to state programs for the enforcement of risk mitigation measures placed on labels are a concern. Florida: We have heard that Florida growers are concerned about the implications of the "pick list" and the proposed lower LOC. The Triazine Network, which is a coalition of agricultural groups made comments to the docket (EPA-HQ-OPP-2013-0266), as well as Sugar Cane representatives. Kentucky: KDA submitted comments in support of maintaining the current Level of Concern at 15 Parts Per Billion Mississippi: Same concerns as Chlorpyrifos, including complex mitigation measures on the label. North Carolina: As far as we know, NCDACS has never been pointed to a map or web resource to look up a grower's watershed. NC has some (limited) atrazine data from the well survey and from USGS, and it may be useful to compare these to a map of predicted atrazine levels. The proposed mitigation measures are complex enough, but it is hard to know what the impact of implementation would be without seeing a refined map and having a better understanding of what resources farmers, SLAs, and extension agents will have to figure out how many picklist items are required. 5. Dicamba: Alabama: Alabama had few complaints from the use of dicamba in the last growing season. Nothing of concern at this time. Kentucky: KDA had a slight increase in Dicamba complaints this season. KDA will NOT be submitting comments on EPA's Dicamba Health Risk Assessment. Mississippi: The current dicamba label is working in Mississippi. Mississippi had 6 official dicamba complaints for 2022. South Carolina: There were no reported regulatory incidents or cases involving dicamba in the State during 2022. Tennessee: The Tennessee Department of Agriculture supports the continued use of the dicamba products and would not like to see further label restrictions. Further restrictions and/or the loss of the dicamba products would put a significant strain on growers in Tennessee trying to control broadleaf weeds that can contribute to yield loss. The Tennessee Department of Agriculture has seen a significant decrease in dicamba related complaints. Tennessee went from 55 complaints in 2018 to 22 in 2019, 22 in 2020, 24 in 2021 and 9 in 2022. We believe this is because of the extensive outreach and education the TDA and University of Tennessee Extension has provided to growers who use dicamba. The dicamba training module UT Extension has put together over the past several years has also contributed to the decrease in incidents. Growers in Tennessee understand now more than ever the consequences of improper applications of dicamba and strive to make every possible effort to keep dicamba on its intended target. With 95% of soybean and cotton growers planting Xtend technology in Tennessee, dicamba is a very important tool for these growers to combat resistant weeds such as Water hemp and Palmer amaranth. There are no other post-emerge herbicides that can adequately control these weeds in-crop like dicamba can alone or tank mixed with other herbicides. 6. Diuron: Alabama: The loss of the minor use of diuron in production catfish is a major concern for the State of Alabama. Kentucky: The industry has not reached out to our department with any concerns. Mississippi: Same concerns as chlorpyrifos, including copper sulfate does not have the same efficacy as diuron and requires more applications. Also, as previously observed during the MS Farm Bureau/Senior EPA Official Ag Tour, catfish ponds are not drained on a regular basis. Ponds may not be drained but every 5-7 years per MSU specialist Dr. Jimmy Avery. This is important when evaluating exposure to surface water. Tennessee: Not sure how this would affect the applicators is TN including making the product an RUP. 7. Methomyl Fly Bait: Alabama: All formulations of methomyl except 1% fly bait are already state RUP in Alabama. We would support RUP status for all formulations given the rampant misuse. Georgia: Georgia does not have any known incidents at this time. Kentucky: While KDA supports the changing to an RUP status, we are not overly concerned with this matter. Mississippi: For whatever reason we have seen very few animal poisoning cases in Mississippi over the last 3-4 years. That is not to say that "rampant misuse" is not occurring, MDAC just isn't hearing about it. We HAVE had methomyl misuse cases in previous years, but they have been rare. Making methomyl a RUP would most likely not have a major effect on misuse cases here, but it couldn't hurt. North Carolina: NCDACS has not received any complaints of this product being used to illegally control wildlife. South Carolina: This is not an evident problem in SC. Tennessee: Most the Methomyl products registered TN are already an RUP with the exception of one. TDA is not aware of other solutions that would be useful. 8. ESA and Pesticide evaluations, Labels, and Bulletins Live2: Alabama: Alabama is watching with great concern about the potential impacts to chemical tools from the consultation process. Kentucky: This is not a user-friendly platform, Applicators are very busy and need a much quicker method for viewing this information. Mississippi: We are beginning to get some questions about what the future holds for the pesticide industry as a whole due to recent court cases and new label language for ESA. We know it's a complicated topic because there are more agencies than just EPA involved in making decisions (USFWS, NMFS) not to mention the courts. More information on how these decisions are made (who's science do we use? how does a species become listed? etc.) will be helpful going forward. North Carolina: NCDACS is concerned about the limited amount of training that has been provided to growers and field staff on the ESA type picklists that are found on the Enlist label and other similar products. We are also concerned with the mitigation measure calculations and discussions between growers and their custom applicators. There would need to be a great deal of discussions to properly calculate the risk reduction measure successfully. 9. New and Ongoing Issues: No new issues were brought up by any state in the region for consideration or action by SFIREG.
Students' Sexual behaviour in the Context Of HIV/Aids Education in Public Secondary Schools: A Case for Kangudo Division, Kenya Prof. Gerald, N. Kimani Narok University College P.O. Box 861 Narok, Kenya Augustine, M. Kara Narok University College P.O. Box 861 Narok, Kenya Mwololo, L. Nyala Kimangao Boys Secondary school P.O. Box 354 (90400) Mwingi, Kenya Abstract The HIV/AIDS Education Sector Policy in Kenya of the year 2006 advocates for effective teaching of HIV/AIDS issues in schools. Through the infusion of HIV/AIDS messages across the curriculum, it is expected that learners will acquire responsible sexual behaviour that will reduce the spread of HIV/AIDS. In the year 2007, Kangundo division had HIV/AIDS prevalence rate of 8.4%. HIV/AIDS education therefore can benefit school going adolescents in the division. This study investigated students' sexual behavior after the introduction of HIV/AIDS education in public secondary schools in Kangundo division. The research design used was ex post facto. The target population was 19 public secondary schools in the division. The researchers randomly selected 80 teachers and 160 students from 18 public secondary schools in the division to participate in the study. Questionnaires were used to collect data from the teachers and students. The findings of the study revealed that majority of the students were engaging in irresponsible sexual behaviour and drug abuse even after the introduction of the HIV/AIDS education in schools. This made students vulnerable to HIV/AIDS infection. Students were also possible active agents of HIV/AIDS transmission. The study recommended that HIV/AIDS education in schools should be improved and sustained. There is also need to make serious appeal to the students to change their sexual behaviour through the media, community based organizations, the church and the family unit. Stakeholders in the education sector should collaborate to deal with drug and substance abuse in schools. Key terms: HIV/AIDS, Students, Sexual behaviour, Drug and substance abuse 1. Introduction AIDS stands for Acquired Immune Deficiency Syndrome. AIDS is caused by HIV virus. The virus attacks certain cells of the body's immune system. Over time, the immune system becomes weak (United Nations Educational, Scientific and Cultural Organization [UNESCO], 2002). Weak immune system makes the victims susceptible to opportunistic infections since the body is unable to defend itself from life-threatening infections and cancers (Frenay & Mahoney, 2001). According to Bankole and Mabekoje (2008), HIV/AIDS has no cure. Provision of correct information about HIV/AIDS therefore remains one of the key prevention strategies recommended against the spread of the disease. The main method of HIV/AIDS transmission is through heterosexual sex (Joint United Nations Programme on Acquired Immune Deficiency Syndrome [UNAIDS], 2002). The first case of HIV/AIDS was found in the United States of America (USA) in the early 1980's amongst homosexuals and gay persons (Law, King, Zitek & Hebl, 2007). At first, people believed that AIDS afflicted only homosexuals. Church leaders said that it was a curse from God (UNESCO, 2004). Currently, HIV/AIDS statistics are alarming. According to UNAIDS (2007), an estimated 25 million people have died of HIV/AIDS related diseases, 13 million people are orphaned and about 4.3 million people were infected in the year 2006 globally. Africa accounts for 70% of all those estimated to be living with AIDS (UNAIDS, 2007). Southern Africa is the epicenter of the AIDS pandemic. All countries in the Southern African region, except Angola, have an estimated adult HIV prevalence of over 10% (World Bank, 2005). South Africa, with HIV prevalence of 18.8% and 5.5 million people living with HIV, has the largest number of persons living with HIV/AIDS in the world (UNAIDS, 2006). The first cases of HIV infection in Kenya were noted in the late 1970s in communities around Lake Victoria (Johnstone, 2000). The Kenya Ministry of Health officially reported the first case of AIDS in 1984 (Ruto, Chege & Wawire, 2009). Since then, the prevalence of HIV/AIDS in Kenya has progressively increased from negligible levels of the late 1980s to the current alarming rates. An estimated 1.3 million people in Kenya lived with the HIV/AIDS in 2007 (Japan International Cooperation Agency [JICA], 2007). HIV has not been striking the population uniformly. Young people have been more affected (UNESCO, 2005). UNAIDS (2001) asserts that approximately sixty percent (60%) of the world's HIV infections occur in youth between the ages 15 to 24 years. This is a severe threat to the whole society. These young people may have some productive years living with HIV infection but sooner or later will develop HIV/AIDS and become dependent on care from family members. The size of the pandemic globally has put the AIDS problem a priority in the international agenda. Education for All (EFA) regional meeting held in South Africa in December 1999 recognized that to achieve EFA, it must implement educational programs and actions to combat HIV/AIDS (Nkinyangi & Ochanda, 2003). Later, the world conference on EFA in Dakar in the year 2000 made a commitment to tackling HIV/AIDS as a matter of extreme urgency. Education is the most powerful weapon that can be used to change the world. It is a basic instrument for eradicating poverty, constructing citizenship and improving people's ability to control their own lives. Accordingly, the World Bank (2002) contends that the education sector has a central role in the multisectoral response to HIV/AIDS in Africa. It is regarded as a social vaccine against the spread of HIV, especially through the empowerment of young women and girls, its ability to reach children and young people, and its contribution to knowledge, attitude, skills and behaviour. The commission of inquiry into education system (Republic of Kenya, 1998) was mandated to suggest ways and means of developing comprehensive social ethics, values and AIDS related programs. It recommended that HIV/AIDS education be integrated in the curriculum. HIV/AIDS Education Sector Policy, which was formulated in 2006, formalizes the rights and responsibilities of every person involved in the education sector with regard to HIV/AIDS (Republic of Kenya, 2006). The principles in the HIV/AIDS education sector policy include access to education, access to information, equality, privacy and confidentiality, care, treatment and support of the affected and infected people in the education sector. The policy advocates for the effective teaching of the HIV/AIDS issues in schools. Ruto et al. (2009) note that under the HIV/AIDS education sector policy, the Ministry of Education (MOE) sought to infuse/integrate HIV/AIDS education into the school curriculum as a form of social vaccine that would permeate through all schools. This was expected to accelerate the efforts to curb the spread of HIV among young people in general and children in particular. In 2004, the Kenya Institute of Education (KIE) revised the national curriculum. The HIV/AIDS curriculum was integrated in the revised curriculum for both primary and secondary schools. All teachers were expected to teach using the revised curriculum. Githinji and Changa'ch (2011) noted that the integration of HIV/AIDS messages in the curriculum aimed at increasing the levels of awareness and knowledge among the learners. According to Odu and Akanle (2008), it is expected that when one has the knowledge of HIV/AIDS, the accompanying behaviour would be logical. Having the knowledge of prevention, transmission and other facts should encourage individuals to adopt safe sexual behaviour. Possession of adequate and correct knowledge is highly correlated to preventive efforts. This has motivated most educational projects on HIV/AIDS since it is assumed that knowledge will help to overcome fear, denial and also contribute to behaviour modification. Kangundo division is in Machakos district. According to Machakos district strategic plan for the years 2005 – 2010 (Republic of Kenya, 2005), HIV/AIDS in the district is a major health problem with the prevalence averaging 15%. With regard to bed occupancy, about 50% of the hospital beds in the district are occupied by patients with HIV/AIDs related diseases. So serious is the spread of HIV/AIDS in schools in the district that in the year 2003, the then Machakos hospital superintendent reported that the infection rates among students in the district had reached alarming rates. He noted that out of every 100 pints of blood they collected from schools, 8% was HIV tainted. This was despite the fact that they were handling boys and girls aged between 12 and 17 years (Otieno, 2003). In the year 2003, it was reported that HIV/AIDS infection in Mwingi, a district neighbouring Machakos district, was rising at an alarming rate. The then area medical officer of health observed that 70% of beds at the district hospital were occupied by HIV/AIDS patients, while 4 out of 10 persons who visited the Voluntary Counselling and Testing (VCT) centers tested HIV positive. He further noted that for the students donating blood, the figures of those testing HIV positive were higher than those of adults (Otieno, 2003). This shows the gravity of HIV/AIDS in schools in the stated districts. Data obtained from Kangundo General Hospital Comprehensive Care Clinic by the researchers in the year 2008 revealed that the average number of people undergoing VCT was only 20 per month. There were 340 children on HIV care. Out of these patients, 204 (60%) were female and 136 (40%) were male. There were 2,368 adults on HIV care, of which 1,792 (75.7%) were women and 576 (24.5%) are men. This was quite a high number considering that UNESCO (2002) reported that most people do not undergo VCT and many HIV/AIDS cases go unreported. According to the Kenya Ministry of Health Survey (Ministry of Health [MOH], 2007), Kangundo division had HIV/AIDS prevalence rate of 8.4%. Since the integration of HIV/AIDs curriculum in schools, no study has been conducted in Kangundo division to examine students' sexual behaviour considering that they are highly vulnerable to new infections. 2. Objective of the study The main objective of the study was to assess students' sexual behaviour in the context of HIV/AIDS education in public secondary schools in Kangundo division. 3. Theoretical framework The study was based on the theory of optimistic bias. The theory is credited to Weisten (1984). The theory advances that individuals think they are less likely than average persons to experience health problems. In assessing their own risks, they may not realize the impact of behavioural risk factors. For instance, Johnson (2000) survey found out that eighty four percent (84%) of Kenyan adolescent boys perceive themselves to be at no risk of getting AIDS. The case of girls was a bit different, with eighty percent (80%) of them considering themselves to be at no risk or small risk of getting AIDS. In a recent study in Kenya by Ikamari and Towett (2007), 33.5% of all the sexually experienced adolescents reported that they were not at risk at all of contracting HIV/AIDS, 42.9 percent indicated small risk, 14.7 percent indicated moderate risk and only 8.9 percent of them reported being at a great risk of contracting HIV/AIDS. Majority of the sexually experienced adolescents therefore did not perceive themselves as being at a great risk of contracting HIV/AIDS despite low use of condoms reported in the study. Applied to the current study, the theory indicates that despite HIV/AIDS awareness brought about by the introduction of HIV/AIDS education in schools, students engage in risky sexual activities feeling that these would not impact negatively on their sexual lives except in the lives of their colleagues. HIV/AIDS can only affect their friends, not them. 4. Methodology The study adopted ex-post facto research design. According to Cohen and Marion (1994), ex-post facto research is a method of eliciting possible antecedents of events, which have happened and cannot, because of that fact, be manipulated by the investigator. The rationale for choosing this design lies in the fact that the events being investigated had already taken place and the researcher could not manipulate them in any way. The variables HIV/AIDS education and student behaviour have already formed in the students and therefore cannot be manipulated to establish causation. Kangundo division has 19 public secondary schools. Eighteen schools were randomly selected. Eighty teachers and 160 students participated in the study. Data was collected using questionnaires. The questionnaire items were peer reviewed by the researchers to ensure content validity. A pilot study was also conducted among 8 teachers and 16 students randomly selected in two public secondary schools neighbouring Kangundo division. The researcher chose 8 teachers and 16 students as per Mulusa (1990) who says that piloting should involve 10% of the total sample. Ambiguous questions were modified or discarded after the teachers and students in the pilot schools submitted their filled questionnaires. To establish the reliability of the questionnaires, the results of the pilot study were compiled and split half correlation calculated using Statistical Package for Social Science (SPSS) version 17. The computed reliability coefficients were 0.82 for the teachers' and 0.84 for the students' questionnaire. The questionnaires were therefore considered reliable as per Mugenda and Mugenda (2001) who assert that a coefficient of 0.80 or more implies that there is a high degree of reliability of the questionnaire items. Data were analyzed using both quantitative and qualitative statistics. 5. Results 5.1 Students' engagement in sexual intercourse This research item required the students to indicate whether or not they had ever had sex. This was mainly to familiarize the researchers with the students' sexual behaviour. The results are as shown in table 1: Table 1: Students' response on whether they had ever had sex Data presented in table 1 show that 90% of the students in the division were sexually active. Abstinence was practiced by few students (10%). Most of the students were therefore at the centre of the HIV/AIDS epidemic in terms of vulnerability and new infections. Integration of HIV/AIDS education into the school curriculum would therefore benefits this critical population through acquisition of knowledge resulting to positive behaviour change. 5.2 Last time students had sexual relationship with anyone The study investigated the last time the students had sexual relationship with anyone. It was mainly to help the researchers establish the characteristics of the students' sexual behaviour in the context of HIV/AIDS education. The data obtained from the students is presented in table 2. Table 2: The last time students had sexual relationship with any one Data presented in table 2 revealed that over half of the students (50.5%) engaged in sex raging from months to days ago. The findings suggest that the students' social environment provide opportunities for sexual activities. Evidently, the integration of HIV/AIDS messages in the curriculum was doing little to deter irresponsible sexual activities among the students. The finding concurs with Wanga (2000), Stephen (2003) and Jerusha (2006) who noted that increased awareness and knowledge on HIV/AIDS does not necessarily lead to change of behaviour. 5.3 The age of first sexual debut A question was posed to the students to indicate the age at which they first engaged in sexual intercourse. The results are as shown in table 3. Table 3: The age at which students had first sexual intercourse Table 3 shows that 45.0% of the students had first sexual debut between 11 and 15 years and this was followed by 23.7% at between the ages 6 to 10 years. Majority of the students (65.7%) therefore had the first sexual debut while in upper primary or in the early years of secondary education. The findings are in agreement with studies by Muthoni (1996) in Nairobi and Ngumzo (1996) in Makandara division who reported early initiation of children into sexual intercourse. These two studies found that by the age of 13 years, a substantial number of boys and girls were sexually active. In Kangundo division, 31.3% of the students were sexually active by the age of 10 years. This was alarming considering that this is the HIV/AIDS generation where cases of mother to child transmission are real and therefore some of the students may be infected. HIV/AIDS education right from lower primary schools was therefore a timely intervention. 5.4 Duration of time students had known their sexual partners The study analyzed the duration of time students had known their sexual partners. The item was important in order to establish whether students took time to understand their partners before engaging in sex to reduce their vulnerability to HIV/AIDS infection. The findings are as shown in table 4. Table 4: Duration of time students had known their sexual partners before engaging in sex Data presented in table 4 indicate that majority of the students (52%) did not take time to learn about their sexual partners. Some students (10.8%) did not know their sexual partners, 15.6% had only known their partners for days while 25.6% had known their partners for weeks. Incidents of casual sex were therefore high among the students. Findings on age of first sexual debut and duration of time the students had known their sexual partners may point to inherent weaknesses with HIV/AIDs education in schools in Kenya. The programme may not be meeting its objectives in terms of positive behaviour change among the students. Ruto et al. (2009) study revealed some challenges in the implementation of the programme. Their study found that most of the education practitioners had low or non-existent knowledge of the contents of the HIV/AIDS in education policy document. The consequences of teachers' low level of knowledge was reflected by learners in the study schools scoring poorly in definition, causes, symptoms, prevention and effect of HIV/AIDS. In Kangundo division, the consequence of inherent weaknesses in the implementation of HIV/AIDS education is inadequate empowerment of the students to make rational choice in terms of delayed sexual debut and control of sexual drives and pressure in casual relationships. 5.5 Students' sexual behaviour with their first/new sexual partner The students were given four statements related to possible sexual behaviour with a new/first partner. This was meant to establish whether students were practicing sexual behaviours that reduced risk of vulnerability to HIV/AIDS and other sexually transmitted infections. The results are as shown in table 5. Table 5: Students' sexual behaviour with their first/new sexual partner Data presented in table 5 show that majority of the students (78.1%) would go for VCT, 71.2% indicated that they would ask a new partner how many sexual partners he/she had before they met while 68.1% indicated they would abstain. Fifty three percent (53.1%) reported that they would insist on condom use. The data therefore suggest that majority of the students would insist on sexual behaviours that reduce the risk of contracting HIV/AIDS and other sexually transmitted diseases. Thus, HIV/AIDS education was empowering students in terms of knowledge on sexual behaviour that reduce risk of new infections. Notable among the benefits were awareness on the need for VCT before sexual intercourse, abstinence and condom use during sexual intercourse. This is in line with Johnstone (2000) who emphasizes that HIV/AIDS education programs should emphasize on abstinence, establishing HIV/AIDS sero status through VCT, and use of condoms whenever having sex or being faithful to one uninfected sexual partner. However, there was a major discrepancy between reported sexual behaviours and actual practice in the context of the study. It was evident that majority of the students engaged in casual sex (Table 4) and therefore reducing the possibility of seeking VCT services before sexual intercourse. Visiting a VCT center before sexual intercourse was therefore more of a desired than a practiced action. The same generalization was made on students' desire for abstinence since majority of the students were sexually active weeks prior to the study with some not having prior knowledge of their partners. It was also notable that while condom use was the most viable option for a student population that was highly sexually active (only 10% had abstained), a significant percent of students (45%) would not emphasize on condom use during sexual intercourse. The findings on students' sexual behaviour in the context of HIV/AIDS education in schools in Kangundo division are in line with those reported by Kelly (2000) that HIV/AIDS education does not necessarily result to positive change in sexual behaviour. However, the findings are contrasted by Johnstone (2000) who concluded that knowledge about HIV/AIDS has in many cases resulted to positive behaviour change. 5.6 Students' involvement in drug and substance abuse The study also sought to investigate whether students were involved in drug and substance abuse. Drug and substance abuse is highly related to irresponsible sexual behaviour because it impairs judgment. The data obtained from the students and teachers is summarized in table 6. Table 6: Students' involvement in drug and substance abuse Data presented in table 6 revealed that 85% of the students and 80% of the teachers were in agreement that students in the division were abusing drugs and substances. Kiragu and Zabin (1993) found that young women who used drugs were more than four times as likely to be sexually active compared to those who did not. In the same study, young men who used drugs were twice as likely to be sexually active as those who did not. Drug abuse may therefore explain the many incidents of irresponsible sexual behaviour among the students despite the implementation of HIV/AIDS education in schools. 5.6 Conclusion and recommendations The study concluded that despite the introduction of HIV/AIDS education in schools, students were engaging in the heterosexual casual sex and drug abuse. This made them vulnerable to new HIV/AIDS infection. They were also active agents to transmit HIV/AIDS. While HIV/AIDS education may be making significant gains in empowering students with knowledge on sexual behaviour practices that help in preventing the disease, students' involvement in drug and substance abuse was eroding the gains achieved by the intervention. 5.7 Recommendations The study recommended that the Ministry of Education, the National Campaign Against Drug Abuse Authority (NACADA) in collaboration with the local community should develop programmes to deal with drug abuse menace in schools. The MOE should sustain and improve on HIV/AIDS education in schools. The MOE, school administrators, teachers, community based organizations, the church, the media, the family unit and school based peer groups should make concerted efforts to appeal to students to change their sexual behaviour. Such efforts should also include exposing students to AIDS victims and using the victims as resource persons. Moreover, there is need to evaluate HIV/AIDS education in schools for continuous improvement. References Adaji, S., Warenius, L., Ong'anu, A. & Faxelid, E. (2010). The Attitudes of Kenyan In-School Adolescents toward Sexual Autonomy. African Journal of Reproductive Health, 14(1): 33 – 43. Bankole O. M & Mabekoje, O. O. (2008). Awareness and Opinions about HIV/AIDS among secondary school teachers in Ogun State, Nigeria. Scientific Research and Essay, 3 (6): 245-253. Cohen, L. & Manion, L. (1994). Research Methods in Education. London and New York: Routledge. Freney, A. C. & Mahoney, R. M. (2001). Understanding Medical Technology. Karper Boulevard: WMC Brown Publishers. Githinji, F. W. & Chang'ach, J. K. (2011). Perceptions of Primary School Teachers and Pupils on Adequacy of HIV/AIDS Life Skills Education in Nairobi and Thika Districts, Kenya. International Journal of Humanities and Social Science, 1(15): 71 – 79. Ikamari, L. D. & Towett, R. (2007). Sexual Initiation and Contraceptive Use among Female Adolescents in Kenya. African Journal of Health Sciences, 14 (1-2): 1 - 12. Jerusha, L.S. (2006). HIV/AIDS, Knowledge, Prevention and Awareness Campaigns and its Perception by Secondary School Teachers and Students in Makadara Division, Nairobi Province. Unpublished MEd Project Report. Catholic University. JICA (2007, December 1). HIV Prevention Programme of JICA, Stop AIDS Keep the Promise. Saturday Standard. p.30. Johnstone, T. (2000). The Adolescent, AIDS Epidemic in Kenya: Review and Overview. Nairobi: Population Communication Africa. Kelly, M. J. (2000). The Encounter between HIV/AIDS and Education. Lusaka: University of Zambia. Law, C. L., King, E., Zitek, M. & Hebl, M. R. (2007). Methods for Understanding the Stigma of AIDS in the United States: A Review and Future Direction. Inter - American Journal of Psychology, 41 (1): 75-86. Ministry of Health (2007). AIDS in Kenya: Trends Interventions and Impact (7 th Ed.). Nairobi: National AIDS and STI Control Programme (NASCOP). Mugenda, D. M. & Mugenda, A. G. (2001). Research Methods, Qualitative and Quantitative Approaches. Nairobi: Acts Press. Mulusa, T. (1990). Evaluation Research for Beginners: A Practical Study Guide. Bonn: Deutsche Stifling for International Eritwick. Muthoni, J. (1996). Sexual Behaviour in Relation to Awareness of HIV/AIDS Among Secondary School Girls in Nairobi. Unpublished MA Thesis, University of Nairobi. Ngunzo, F. (1996). The Socio-cultural and Economic Factors that Explain Pre-marital Sexual Behaviour among Adolescents. A Case of Makadara Division, Nairobi. Unpublished M.A Thesis, University of Nairobi. Nkinyangi, S. & Ochanda, A. (2003). HIV/AIDS and the Role of Education Service Commissions. Nairobi: UNESCO. Odu, B. K. & Akanle, F. F. (2008). Knowledge of HIV/AIDS and Sexual Behaviour among the Youths in South West Nigeria. Humanity and Social Science Journal, 3 (1): 81-88. Otieno, A. (2003, May 14). AIDS Prevalence Rate among Students High in Machakos. Daily Nation. p.24 Republic of Kenya [ROK] (2004). Education Sector Policy on HIV and AIDS. Nairobi: UNESCO. Republic of Kenya. (1998). TIQET (Koech Commission). Nairobi: Government Printer. Republic of Kenya (2005). Machakos District Strategic Plan 2005 – 2010. Nairobi: National Coordination Agency for Population and Development Republic of Kenya. (2006). Education Sector Policy on HIV and AIDS. Nairobi: Government Printer. Ruto, S. J., Chege, F. N. & Wawire, V. K. (2009). Kenya's HIV/AIDS Education Sector Policy: Implications for Orphaned and Vulnerable Children and the Teaching of HIV/AIDS Education. Journal of International Cooperation in Education, 12(1): 127-142. Stephen, L. (2003). HIV/AIDS in Africa: Notes for Press Briefing at the United Nation. http/www.unaidsorg/htmi/pub/media. Accessed 10 th May, 2012. UNAIDS (2006). Report on the global AIDS epidemic. Geneva: UNAIDS. UNAIDS (2001). The Global Strategy Framework on HIV/AIDS. Geneva: UNAIDS. UNAIDS (2002). AIDS Epidemic Update. Geneva: UNAIDS. UNAIDS (2007). AIDS Epidemic Update. Geneva: UNAIDS. UNESCO (2002). Impact of the HIV/AIDS on Education. Paris: UNESCO. UNESCO (2004). AIDS and the Sub Saharan Africa. Paris: UNESCO. UNESCO (2005). AIDS and the Sub Saharan Africa. Paris: UNESCO Wanga, S. (2000). A Cross Sectional Study of Knowledge, Attitude and Practice of Healthy Reproductive Habits and Contraceptive use among University Students in Nairobi. Unpublished Master's Thesis, Kenyatta University. Weinsten, N.D. (1984). Why it won't Happen to Me: Perceptions Of Risk Factors And Susceptibility. Health Psychology, 3: 431-457. World Bank, (2005). AIDS in the Sub Saharan Africa. New York: World Bank. World Bank. (2002). Education and HIV/AIDS: A Window of Hope. New York: World Bank.
IMPACT: International Journal of Research in ISSN (P): 2347–4564; ISSN (E): 2321–8878 Humanities, Arts and Literature (IMPACT: IJRHAL) Vol. 10, Issue 3, Mar 2022, 1–4 © Impact Journals THE SUSTAINABILITY OF AGRICULTURE PRODUCTION AND URBANISATION (c.7000BCE-1700BCE) Mohd Javed Research Scholar, Department of Ancient Indian History Culture and Archaeology, Panjab University, Chandiagrh, India Received: 28 Feb 2022 Accepted: 03 Mar 2022 Published: 04 Mar 2022 ABSTRACT Food is indispensable for man's survival. Agriculture ensures a steady production and supply of food. Food is not the only thing ensured by agriculture though. Food surplus also played a major role in urbanisation. Rural centres gave way to urban cities because of surplus food production. The rise of farming communities like that of Neolithic Mehrgarh led to the beginning of settlements and man soon realised the importance of crop sustainability. This sustainability of agricultural production led to the first period of urbanisation in third millennium BCE. Drawing a correlation between sustainability of agricultural production and urbanisation is the purpose of this present paper. KEYWORDS: Urbanisation, Crop Sustainability, Agricultural Production INTRODUCTION The necessity of food for man's survival cannot be disputed. Taittiriya Upanishad while declaring "Annam Brahma", 1 meaning that food possesses the attributes of Brahman states that 'food should be produced in abundance'. 2 While the importance of a steady supply of food was realised during the end of Mesolithic period with man taking to agriculture, the need for its surplus production was discovered in the Neolithic times. It is this surplus agrarian produced that when sustained over many centuries led to urbanisation during third millennium BCE. In India, as elsewhere in the world, man thus lived for millennia in the hunting and food-gathering stage during the Palaeolithic age. Human communities entered a new stage of development in the Neolithic age during which they became less dependent on hunting and food gathering and began to produce their own food. The emergence of early farming communities in the Neolithic age was a result of an evolution of preceding indigenous cultural traditions. 11,000 years ago, with temperatures warming after the ice age, plants and animals became more plentiful, and as a result, permanent settlements began. Agriculture set the stage for an important phase of human history allowing for larger and more complex societies to thrive. Neolithic man had become so efficient at deriving energy from domesticated food that the land area, which would have supported only a single hunter gatherer, now could support thousands. Cereals were produced in substantial quantities and stored in granaries which have been discovered in different phases. Some of the buildings during the earliest phase at Mehrgarh (7000-5500 BCE) have revealed small cell like compartments and were made of mudbricks which were used for constructing dwellings, suggesting that these might have been used for the storage 1The Taittiriya Upanishad: with the commentaries of Sankaracharya, Suresvaracharya and Sayana (Vidyaranya), Trans. by A. Mahadeva Sastri, G.T.A. Printing Works, Mysore, 1903, p. 74 2Ibid., p. 765 2 Mohd Javed of grains. 3 Two structures with six symmetrical rooms each have been unearthed in level 7. 4 In view of the absence of any domestic activity in them, these structures have been designated as the prototype of the compartmented buildings of Period II A which have been interpreted as granaries or stores. 5 The buildings of Period II (5500-4500 BCE) were set over the ruins of the earlier period and on the alluvial terraces overlying the lower half of Period I. 6 systematically constructed platforms and the retaining walls of mud bricks were provided on the edge of the slopes of the earlier mound. 7 The quadrangular buildings divided into narrow compartments, which have been found filled with fallen bricks and a huge quantity of imprints of cereals suggest that these buildings were used as granaries. 8 Their number and sizes show an enhanced efficiency in agriculture and its production. With technological advances it was possible to produce more food than the minimum required by the band of people. This surplus food had the potential of being used for a variety of exchanges. This use of the extra food gradually introduced stratification into a society where some controlled the food and used it for exchange, while others were left to produce the extra food. Sites such as Mehrgarh, show a well demarcated transition from early agriculture to the preliminaries of urbanisation. 9 With growing population and more mouths to feed, man learnt to plant seeds. A higher density of population in places where agriculture was practiced might also have brought about a more sedentary population. It is thought that gradually those practicing settled agriculture may, on occasion, have overwhelmed hunter-gatherers and shifting cultivators. Habitats might have tended to encourage a concentration of people. According to Romila Thapar, 10 this would eventually have made urbanisation possible. During the Neolithic times, crops were kings. 11 To keep track of them, our ancestors developed the first writing; to protect them, the first armies; and to administer them, the beginnings of politics. The key to having a state or a flourishing civilization is agrarian surplus. If you produce enough food, you can have a class of people who don't need to farm. They can then fulfil other duties in this increasingly numerous and complex society whether they be leaders or judges who settle disputes, bureaucrats who deal with administration and infrastructure, doctors who heal the sick, priests who make sacrifices to vengeful gods or soldiers who provide security or at least extract a portion of the agricultural surplus for the leadership through some kind of taxation. In 1950 Childe presented his famous list of ten criteria, all deducible from archaeological data, to distinguish even the earliest cities from any older or contemporary village. 12 Surprisingly, his ten traits that included dense population, different vocations, and presence of monumental public buildings, sophisticated styles of art, foreign trade, taxation and writing system as features of an urban centre require agrarian surplus as a precondition. 3V.K. Jain, Prehistory and Protohistory of India: An Appraisal, D.K. Printworld (p) ltd., New Delhi, 2006, p. 81 5Ibid., 4Rakesh Tewari, "The Beginning of Wheat, Barley and Rice Cultivation, Mehrgarh and Lahuradeva", in History of AncientIndia vol II: Protohistoric Foundations, ed. by D.K. Chakrabarti et.al. Vivekananda International Foundation in assc. With Aryan Books International, New Delhi, 2014, p. 5 6Ibid., p. 14 8Ibid., 7Ibid., 9R. Thapar, The Penguin History of Early India, Penguin Books, New Delhi, 2002, p. 76 10 11J. Oberoi, "Food Security and Governance: Exploring the Reciprocity in Ancient India" inPankhuri, Issue 1, Vol. 2, BusinessPress India, New Delhi, 2015, p. 97 Ibid., p. 75 12V.G. Childe, "The Urban Revolution", in Town Planning Review, 21, 1950, pp. 9–16 Although the Indus Valley civilization, according to available facts, is supposed to be an urban civilization, yet the agriculture was the mainstay of life and provided sound base to their economy. That the agricultural production of the Harappans catered to more than their day-to-day needs is clearly indicated by large granaries in the metropolitan cities, as in Mohenjodaro and Harappa. 13 In all probability, cereals were received as tax or tribute by the state and stored in granaries for the payment of wages as well as for use during emergencies. This can be surmised from the analogy of Mesopotamian cities where wages were paid in barley. To the west of the Great Bath in the Mohenjodaro citadel, there was the granary of which only the basal part now survives, measuring 45m east west and 22.5m north-south, consisting of twenty seven blocks of kiln fired bricks, arranged in three rows of nine each. 14 The space in between these blocks provided passage for air so that the grain stored on the wooden floor of the granary could breathe and thus be saved from humidity. 15 Among the more important structures discovered in Mound F of Harappa particular mention may be made of a massive granary. It had two blocks, one each on the east and west, with a passage in between and each block consisted of six units, each unit measuring eternally 15x6m. 16 An area in which the Harappans of Dholaviraexcelled spectacularly pertained to water harvesting with the aid of dams, drains, 16 reservoirs and storm water management, probably to boost the agricultural economy. In the Bailey at Dholavira too there was a structural complex comprising four juxtaposed, stone-lined, underground chambers and is thought to have been used for the storage of grains. 17 While these granaries may have functioned as special reserves under the control of some central authority to be used on special occasions or in emergency, even individual householders had their own arrangements for storage, for example, by the presence of a number of largesized jars in one of the rooms in a house in Lower Town at Kalibangan. 18 Thus, as is conspicuous from the evidence of Indus Valley civilization, to take the epic step from city to civilization, agrarian surplus was the key and to sustain that civilization the Harrapans had to master agrarian surplus. Urbanisation did not take place in a single day, but was a long-drawn process with many other factors. The process of urbanisation was the culmination of a gradual progressive change in the economic and social structure, begun centuries earlier, the seeds of which were sown by the sustenance of agricultural surplus. REFERENCES 1. Childe, V. G, "The Urban Revolution", in Town Planning Review, 21, 1950, pp. 9–16 2. Jain, V. K, Prehistory and Protohistory of India: An Appraisal, D.K. Printworld (p) ltd., New Delhi, 2006, p. 81 3. Lal, B. B,The First Urbanization: Bronze Age, in A Comprehensive History of India Vol 1 Part 1, ed. by M.K. Dhavalikar, Manohar, New Delhi, 2013, p. 301 4. Lal, B. B,How Deep are the Roots of Indian Civilization? Archaeology Answers, Aryan Books International, New Delhi, 2009, p. 56 13B.B. Lal, The First Urbanization: Bronze Age, in A Comprehensive History of India Vol 1 Part 1, ed. by M.K. Dhavalikar,Manohar, New Delhi, 2013, p. 301 Ibid., p. 57 14B.B. Lal, How Deep are the Roots of Indian Civilization? Archaeology Answers, Aryan Books International, New Delhi, 2009,p. 56 15 16Ibid., pp. 54-55 18Ibid., p. 70 17Ibid., p. 61 4 Mohd Javed 5. Oberoi, J, "Food Security and Governance: Exploring the Reciprocity in Ancient India" in Pankhuri, Issue 1, Vol. 2, Business Press India, New Delhi, 2015, p. 97 6. Sastri, A.Mahadeva, The Taittiriya Upanishad: with the commentaries of Sankaracharya, Suresvaracharya and Sayana (Vidyaranya), G.T.A. Printing Works, Mysore, 1903, p. 74 7. Tewari,Rakesh, "The Beginning of Wheat, Barley and Rice Cultivation, Mehrgarh and Lahuradeva", in History of Ancient India vol II: Protohistoric Foundations, ed. by D.K. Chakrabarti et.al. Vivekananda International Foundation in assc. WithAryan Books International, New Delhi, 2014, p. 5 8. Thapar, R, The Penguin History of Early India, Penguin Books, New Delhi, 2002, p. 76
Section IV. Emergency Response Disaster Templates 1. Emergency Management Codes ____________________________________ ( facility name ) has designated the following codes to be utilized to notify the employees of the various crises or disaster situations that may impact the facility. “ Lessons learned from recent disasters shows that the resources and talent of our healthcare system may have to be shared, and could potentially be sent to other communities and regions of the Commonwealth or nation. On a more local basis, some facilities are already sharing staff from PRN agencies and physician groups. As these people move from facility to facility it appears logical that the codes which trigger emergency protective and response steps should be standardized to help insure quick action. From a Risk Management standpoint, this makes sense!” (Kentucky Hospital Association: Frequently Asked Questions, 2007). All employees, volunteers, the Kentucky Long Term Care Ombudsman, and others deemed appropriate by the facility, will be trained to the following color designations that have been adapted from the KY Hospital Association standardized codes for Kentucky hospitals: [x] Code Black: Bomb Threat/ Suspicious Package [x] Plain Speech/Text Earthquake: Severe Weather (Watch or Warning) [x] Code Yellow: Epidemic/Pandemic Episode [x] Code Red: Fire Emergency [x] Plain Speech/Text Flood/Flash Flood/Dam Failure: Severe Weather [x] Code Orange: Hazardous Material/ Spill/Release [x] Plain Speech/ Text Landslide: Severe Weather [x] Code Blue: Medical Emergencies [x] Code Yellow: Missing Resident [x] Code Orange: Nuclear Power: Hazardous material/Spill/Release [x] Plain Speech/Text Severe Heat [x] Plain Speech/Text Shelter-in-Place (With Instructions) [x] Plain Speech/Text Snow Emergency Plan [x] Code Yellow: Terrorist Attack [x] Plain Speech/Text Tornado (Watch or Warning) [x] Code Yellow: Utility Outage [x] Code Yellow: Workplace Violence or Threat of Violence Guideline/Plan Activation Any staff member of _____________________________ (facility name) aware of a crisis or disaster situation should notify the Administrator and/or his or her immediate supervisor. In the event of a crisis or disaster situation (or notification of the potential for one), the most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. __________________________________ (facility name) will ensure staff members are trained to the Incident Command System and designate individuals throughout the facility. The Incident Commander, in conjunction with the Administrator if the Administrator does not function as the Incident Commander, should have the responsibility to declare a situation a disaster and to activate the All Hazards Emergency Plan. 1. The proper Code will be paged to bring leadership staff to the pre-designated Incident Command Post and alert the facility of a disaster status. All other staff should remain in their assigned areas to begin implementation of related emergency procedures, and then report to the Incident Command Post as called. If staff members are called in from home to respond to the emergency, they should do so after rendering their families safe and reporting to the facility in a safe manner. 2. Activate the appropriate parts of the plan, based on the type of disaster that has occurred. 3. Notify the following as needed: a. Emergency Management Services i. Fire ii. Police iii. Ambulance b. Executive Director, Administrator, Assistant Administrator, Director of Nursing __________________________________________________________________________ c. Director of Maintenance/Environmental Services __________________________________________________________________________ d. Other key individuals within the organization, Ownership, and Corporate __________________________________________________________________________ f. Insurance Agent, if applicable __________________________________________________________________________ 4. Guidance provided in the plan for the specific crisis or disaster situation should be followed. 2. National Incident Management System (NIMS) & Incident Command System (ICS) ____________________________________ (facility name) should utilize elements of the National Incident Management System (NIMS) and Incident Command System (ICS) in crisis and disaster situations to help manage the events in an organized and efficient manner. While long term care facilities are not required to implement this approach, ____________________________________ (facility name) has made the decision to utilize elements of the Incident Command System to handle emergencies. National Incident Management System & Incident Command System In Homeland Security Presidential Directive-5 (HSPD-5), the President of the United States ordered the Department of Homeland Security to institute a national incident management system to provide a comprehensive and nationwide approach for federal, state, tribal, and local governments "to align command, control, organization structure, terminology, communication protocols, resources, and resource-typing for synchronization of response efforts at all echelons of government." This has been accomplished. While it is required for federal, state, tribal, and local governments to use the Incident Command System (ICS) in a nationally declared emergency, there is a great benefit of ensuring more rapid external response and consistency when all agencies, including healthcare facilities, incorporate and support this system. Incident Command System (ICS) is: [x] A proven management system based on successful business practices [x] The result of decades of lessons learned in the organization and management of emergency incidents This system represents organizational "best practices," and as a component of the National Incident Management System (NIMS), has become the standard for incident management across the country. NIMS Components: Each facility should have a basic understanding of NIMS including the following key components: Command and Management: NIMS standard incident command structures are based on three key organizational systems: [x] The Incident Command System (ICS) [x] Multi-Agency Coordination System (MACS) [x] Public Information Systems Preparedness: The range of deliberate, critical tasks and activities necessary to build, sustain, and improve the operational capability to prevent, protect against, respond to, and recover from domestic incidents. Preparedness is a continuous process. Preparedness involves efforts at all levels of government and between government and private sector and nongovernmental organizations to identify threats, determine vulnerabilities, and identify required resources. Within the NIMS, preparedness is operationally focused on establishing guidelines, protocols, and standards for planning, training and exercises, personnel qualification and certification, equipment certification, and publication management. Resource Management: Efficient incident management requires a system for identifying available resources at all jurisdictional levels to enable timely and unimpeded access to resources needed to prepare for, respond to, or recover from an incident. Resource management under the NIMS includes mutual-aid agreements; the use of special federal, state, local, and tribal teams; and resource mobilization protocols. Communications and Information Management: NIMS requires incident management organizations to ensure that effective interoperable communications and information management processes, procedures, and systems exist to support a wide variety of incident management activities across agencies and jurisdictions. Incident: An incident is an occurrence, either caused by humans or natural phenomena that require response actions to prevent or minimize loss of life or damage to property and/or the environment. ICS is interdisciplinary and organizationally flexible to meet the following management challenges: [x] Meet the needs of incidents of any kind or size [x] Allow personnel from a variety of agencies to meld rapidly into a common management structure [x] Provide logistical and administrative support to operational staff [x] Be cost effective by avoiding duplication of efforts ICS consists of procedures for controlling personnel, facilities, equipment, and communications. It is a system designed to be used or applied from the time an incident occurs until the requirement for management and operations no longer exists. The ICS structure is unique but easy to understand. There is no correlation between the ICS structure and the administrative structure of any single facility or organization. This is deliberate, because confusion over different position titles and organizational structures has been a significant stumbling block to effective incident management in the past. For example, someone who serves as a Department Head every day may not hold that level or area of responsibility when deployed under an ICS structure. The ICS is a management system used to organize emergency response to a crisis or disaster situation within the facility as well as a system used by emergency responders across the county. ICS offers a scalable response to an emergency (incident) of any magnitude, and provides a common framework within which people can work together. These people (resources) may be drawn from multiple agencies that do not routinely work together. The system is designed to grow and shrink along with the incident, allowing more resources to be smoothly added into the system when needed and released when no longer needed. This is achieved because, in essence, ICS is a special case of "role playing." Authorities and responsibilities are inherent in roles (positions); individuals are assigned more or less temporarily to those roles, and can be reassigned, replaced, or released as needed. This key aspect of ICS helps to reduce or eliminate the "who's in charge" problem. There are five major management functions that are the foundation upon which the ICS organization develops. These functions apply whether you are handling a routine emergency, organizing for a major non-emergency event, or managing a response to a major disaster. [x] Incident Command [x] Finance/Administration [x] Logistics [x] Operations [x] Planning The major management positions always apply and are always filled, no matter the size of the incident, and represent five sections of staff: Command, plus Finance/Administration, Logistics, Operations, and Planning. (These four are sometimes remembered as FLOP.) Three other Incident Command positions are Information Officer, Safety Officer, and Liaison Officer. The staff positions can be performed by the same person or by multiple people. Command — The facility's Incident Commander is the single person in charge of the incident at the facility and initially fills all five command staff positions. As the incident grows the tasks covered by other sections can be delegated, and those new positions take the title of Section Leader. The Incident Commander is responsible for all activity on the incident as well as creating the overall incident objectives. Finance/Administration — The facility's Finance Leader is tasked with tracking incident related costs, personnel records, requisitions, and administrating procurement contracts required by Logistics, including: [x] Contract negotiation and monitoring [x] Timekeeping [x] Cost analysis [x] Compensation for injury or damage to property Logistics — The facility's Logistics Leader is tasked with providing all resources, services, and support required by the incident, including: [x] Ordering, obtaining, and maintaining essential personnel, equipment, and supplies [x] Providing communication planning and resources [x] Setting up food services [x] Setting up and maintaining incident facilities [x] Providing transportation [x] Providing medical services to incident personnel Operations — The facility's Operations Leader is tasked with directing all actions to meet the incident objectives. Planning — The facility's Planning Leader is tasked with the collection and display of incident information, primarily consisting of the status of all resources and overall status of the incident, including: [x] Collecting, evaluating, and displaying intelligence and information about the incident [x] Preparing and documenting Incident Action Plans [x] Conducting long-range and/or contingency planning [x] Developing plans for demobilization [x] Maintaining incident documentation [x] Tracking resources assigned to the incident Public Information Officer serves as the conduit for information to internal and external stakeholders, including the media or other organizations seeking information directly from the incident or event. Safety Officer monitors safety conditions and develops measures for assuring the safety of all assigned personnel. Liaison Officer serves as the primary contact for supporting agencies assisting at an incident. In accordance with available staff at the time of the crisis or disaster situation, it is essential to establish an incident commander and designate tasks in accordance with this model or as specific needs dictate. Expansion of an incident may require the delegation of authority for the performance of the other management functions. As an incident grows, the Incident Commander may delegate authority for performance of certain activities to the Command Staff and the General Staff. The Incident Commander will add positions only as needed. Chain of Command: The "Chain of Command" is an essential part of controlling incidents, regardless of size and magnitude. Every person participating in the incident has a designated supervisor. There is a clear line of authority within the incident command organization, and all lower levels connect to higher levels, eventually leading solely back to the Incident Commander. The principles clarify reporting relationships and eliminate the confusion caused by multiple, conflicting directives. Incident managers at all levels must be able to control the actions of all personnel under their supervision. These principles do not apply to the exchange of information. Although orders must flow through the chain of command, members of the organization may directly communicate with each other to ask for or share information. The command function may be carried out in two ways: [x] As a Single Command in which the Incident Commander will have complete responsibility for incident management. A Single Command may be simple, involving an Incident Commander and single resources, or it may be a complex organizational structure with an Incident Management Team. [x] As a Unified Command in which responding agencies and/or jurisdictions with responsibility for the incident share incident management. A Unified Command may be needed for incidents involving: [x] Multiple jurisdictions [x] A single jurisdiction with multiple agencies sharing responsibility [x] Multiple jurisdictions with multi-agency involvement During a large-scale crisis or disaster situation, a representative of the facility would likely be involved in a Unified Command structure. The Chain of Command follows an established organizational structure that adds layers of command as needed. The basic outline of command layers follows: [x] Command [x] Sections [x] Branches [x] Divisions/Groups [x] Units [x] Resources A role of responsibility can be transferred during an incident for several reasons: As the incident grows, a more qualified person is required to take over as Incident Commander to handle the ever-growing needs of the incident, or in reverse when an incident reduces in size, command can be passed down to a less qualified person (but still qualified to run the now-smaller incident) to free up highly qualified resources for other tasks or incidents. Other reasons to transfer command include jurisdictional change if the incident moves locations or area of responsibility, or normal turnover of personnel due to extended incidents. The transfer of command process always includes a transfer of command briefing, which may be oral, written, or a combination of both. Flexibility: The ICS is an extremely flexible organizational system that ideally reflects only what is required to fill the planned incident objectives. The efficient use of all resources on an incident is a high priority, reducing incident clutter and costs. A single person may be in charge of more than one unit if the span of control for that single person has not yet been exceeded, but in all cases an element of the incident must have a person in charge of that element. Elements of the system that have been expanded but are no longer needed are contracted and the resources released from the incident. ICS Key Management Concepts: Many agencies and organizations modify ICS to fit their needs, yet it is absolutely critical to realize that without the application of the ICS management concepts, ICS becomes ineffective. While the picture of the response organizational tree may look like the ICS, without applying the management concept and principles, the organizational charts and models will resemble the original ICS model in title alone. Furthermore, problems and conflicts experienced during some incidents will indicate that fundamental ICS management concepts either are missing or are not functioning as designed. Therefore, to avoid such difficulties, agencies/organizations using an ICS design should incorporate the following basic management concepts: Span of Control: Span-of-control is the most fundamentally important management principle of ICS. It applies to the management of individual responsibilities and response resources. The objective is to limit the number of responsibilities being handled by, and the number of resources reporting directly to, an individual. ICS considers that any single person's span of control should be between three and seven individuals, with five being ideal. In other words, one manager should have no more than seven people working under him/her at any given time. When span-of-control problems arise around an individual's ability to address responsibilities, they can be addressed by expanding the organization in a modular fashion. This can be accomplished in a variety of ways. An Incident Commander can delegate responsibilities to a deputy and/or activate members of the Command Staff. Members of the Command Staff can delegate responsibilities to Assistants, etc. There may be exceptions, usually in lower-risk assignments or where resources work in close proximity to each other. Incident Action Plans: "Consolidated Incident Action Plans" means that for the specific event, the response is coordinated and managed through one plan of action. The consolidated Incident Action Plan (IAP) can be verbal or written (except for hazardous material incidents, where it has to be written), and is prepared by the Planning Section. The consolidated IAP means that everyone is working in concert toward the same goals set for that operational time period. The purpose of this plan is to provide all incident supervisory personnel with direction for actions to be implemented during the operational period identified in the plan. Incident Action Plans include the measurable strategic operations to be achieved and are prepared around a time frame called an Operational Period. Incident Action Plans provide a coherent means of communicating the overall incident objectives in the context of both operational and support activities. The consolidated IAP is a very important component of the ICS that reduces freelancing and ensures a coordinated response. At the simplest level, all Incident Action Plans must have four elements: [x] What do we want to do? [x] Who is responsible for doing it? [x] How do we communicate with each other? [x] What is the procedure if someone is injured? Unity of Command: Unity of Command means that each individual participating in the operation reports to only one supervisor. This eliminates the potential for individuals to receive conflicting orders from a variety of supervisors, thus increasing accountability, preventing freelancing, improving the flow of information, helping with the coordination of operational efforts, and enhancing operational safety. Unity of Command also means that that all personnel are managed and accounted for. Accountability: Effective accountability during incident operations is required at all levels within the facility. The following guidelines are adhered to: [x] Check-In: All employees and responders must report in to receive an assignment in accordance with the procedures established by the Incident Commander. [x] Incident Action Plan: Response operations must be directed and coordinated as outlined in the IAP. [x] Unity of Command: Each individual involved in incident operations will be assigned to only one supervisor. [x] Span of Control: Supervisors must be able to adequately supervise and control their subordinates, as well as communicate with and manage all resources under their supervision. [x] Resource Tracking: Supervisors must record and report resource status changes as they occur. Incident Commander The most qualified staff member (in regard to the Incident Command System) on duty at the time of the emergency will assume the Incident Commander position until the Administrator or his/her designee arrives at the facility. The Administrator or his/her designee can then assume the role of Incident Commander, if he/she is more or equally qualified. ____________________________________ (facility name) should educate leadership to the ICS, so that in the event of an emergency of significant magnitude, other Incident Command positions can be designated as needed. It may not be practical for all positions to be filled due to lack of positions at any given time, so some sections may be covered by the same individual. (Facility should consider purchasing an Incident Command Vest to wear during an emergency situation. Visit www.safetygearonline.com for further information.) ____________________________________ (facility name) should utilize an Incident Management Sheet to document the incident and pertinent details surrounding the disaster. The Incident Management Sheet also lists the employees who assume the ICS functions during the incident. See Appendix 10 for Incident Management Sheet. Transfer of Command Transfer of Command is the process of turning over responsibility from one Incident Commander to another. There are five steps in effectively assuming command of an incident in progress: a. The incoming Incident Commander should, if at all possible, personally perform an assessment of the situation with the existing Incident Commander. b. The incoming Incident Commander must be adequately briefed by the existing Incident Commander face-to-face if at all possible. The briefing should include the following: [x] What has happened thus far [x] Priorities and objectives [x] Current plan [x] Resource assignments [x] Incident organization [x] Resources ordered/needed [x] Facilities established [x] Status of communications [x] Any constraints or limitations [x] Incident potential [x] Delegation of authority c. The incoming Incident Commander should determine a time for transfer of command after the incident briefing. d. At the appropriate time, notice of a change in Incident Commander should be made. e. The incoming Incident Commander may give the previous Incident Commander another assignment, as he/she retains first-hand knowledge of the incident, and would be able to observe the progress of the incident and to gain experience. THE FOLLOWING DETAILED PROCEDURES TEMPLATES ARE IN ALPHABETICAL ORDER BY EMERGENCY/DISASTER: Code Black: Bomb Threat/Suspicious Package _________________________ (facility name) Emergency Procedure BOMB THREAT Treat all bomb threats as serious dangers, even though many prove to be false. All staff should receive training on the Bomb Threat Procedure. The following procedure should be utilized when ________________________________ (facility name) receives a bomb threat. A. Staff members should utilize the Bomb Threat Telephone Procedure (see attachment), if telephone threats or warnings about bombs in the facility are received. Individuals should try to keep the caller on the phone as long as possible by asking the questions outlined in the Telephone Procedure. Staff are responsible for immediately notifying: 1. Administrator and/or the highest-ranking staff member on duty (incident commander), will activate the Recall Roster 2. Police Department or local law enforcement (call 911) B. If staff member(s) receive written threats or warnings about bombs in the facility, they are responsible for immediately notifying: 1. Administrator and/or the highest-ranking staff member on duty 2. Police Department or local law enforcement (call 911) C. Facility management staff should report to the Incident Command Post for a briefing and instruction. D. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of incident warrants, then appoint other positions of ICS structure. E. Administrator or Incident Commander should instruct staff members to discreetly and quietly conduct a thorough search of their respective areas and departments. 1. Staff members should look for any unusual or extraneous items, such as boxes, packages, bags, etc. 2. If any unusual item is found, staff members are not to disturb it. F. Staff members should not approach or touch a suspicious package/device and should immediately evacuate everyone away from such discoveries and immediately report all findings to the Administrator or Incident Commander, so additional actions may be implemented, including consideration of complete facility evacuation. G. It will be essential to coordinate all actions with law enforcement officials. WHEN POLICE ARRIVE: [x] Keys made available to inspect all rooms, employees lockers searched, padlocks cut. [x] Administrator or designee shall remain with Search Commander during the entire search to provide assistance and counsel during search [x] If a suspected bomb is located within the building, the responsibility for investigation will be that of the law enforcement officials having jurisdiction over such matters. H. If a suspected bomb is located within the building, the responsibility for investigation will be that of the law enforcement officials having jurisdiction over such matters. Telephone Procedures: All staff members who normally receive telephone calls from the general public should be instructed on the Bomb Threat Telephone Procedure, as well as the following: [x] Keep the caller on the line as long as possible [x] Ask the caller to repeat the message [x] Record every word spoken by the person making the call [x] Record time the call was received and terminated [x] Ask the caller his/her name [x] See following table for recording information [x] If the caller does not indicate the location of the bomb or possible detonation time, the person receiving the call should ask the caller to provide this information [x] It may be advisable to inform the caller that the building is occupied and that the detonation of a bomb could result in death or serious injury to many innocent people Bomb Threat Telephone Procedure Form LISTEN - Keep on the phone for as long as possible DO NOT interrupt caller except to ask questions below Call 911 - as soon as possible while person is on the line, or immediately after. DO NOT CALL the BOMB SQUAD Notification of Administrator/IC- Time: ________am/pm By: ____________________ Notification of Police Dept. - Time: ________am/pm By: ____________________ Person receiving call: _______________________ Phone # call was received: (____) __________ Date: _________________Time Call Received: __________am/pm End of Call: __________am/pm EXACT WORDING OF THREAT: _____________________________________________________ ________________________________________________________________________________ Ask the caller to repeat the message: __________________________________________________ 1. When will the bomb go off?________________________________________________________ 2. Time remaining?________________________________________________________________ 3. Where is the bomb located right now?________________________________________________ 4. What kind of bomb is it? __________________________________________________________ 5. What does the bomb look like? _____________________________________________________ 6. What will cause it to explode? ______________________________________________________ 7. Is there more than one bomb? How many? ___________________________________________ 8. Did you place the bomb? _________Why? ___________________________________________ 9. Where are you calling from? _______________________________________________________ 10. What is your name? _____________________________________________________________ 11. What is your address?____________________________________________________________ 12. ______________________________________________________________________________ 13. ______________________________________________________________________________ CALLER'S IDENTITY/CHARACTERISTICS Sex: MaleFemale Approximate Age: _____________________ Is the voice familiar? _______________________________________________________________ Voice Characteristics Loud Soft High pitch Deep Raspy Pleasant Intoxicated Distinct Nasal Foul Fast Excellent Slow Good Diction: Stutter Fair Slurred Poor Good Nasal Lisp Origin of Call Local Long distance Caller ID shown Internal (from within building) Accent Local Not Local Regional Foreign Country Racial Angry Calm Rational Irrational Coherent Incoherent Emotional Laughing Deliberate Righteous Other (Please specify:) _______ __________ ______________________________________ ______________________________________ ______________________________________ Background Sounds Quiet Voices Music Animals Mixed Party Airplanes Trains PA Radio/TV Office machines Factory machines Street traffic Cafe Glassware Bedlam Household appliances Weather: Rain/Thunder Other (Please specify:) _________________ ______________________________________ ______________________________________ ______________________________________ [x] Does caller seem familiar with building by description of bomb location? Much Some None [x] Describe: ____________________________________________________ [x] Was the caller familiar with the general location/area? Much Some None [x] Describe: ____________________________________________ [x] County Health Dept. notified Time: _________am/pm By: __________________________ Time this form completed: ____________am/pm By: _____________________________ Emergency Job Tasks Bomb Threat Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Contact Law Enforcement. b. Activate Recall Roster and alert management staff to report to the Incident Command Post. c. Instruct all staff members to search respective areas/departments to look for any unusual or extraneous items, such as boxes, packages, bags, etc. d. Upon arrival of Law Enforcement, establish contact with the officer in charge and relay all relevant information regarding the situation. e. Should be responsible for making the decision regarding evacuation, which would be activated via Evacuation Emergency Procedures. f. Ensure staff members and residents are accounted for and safe. g. Visitors should be requested to leave the premises h. Conduct your search efficiently but do not create any more activity than absolutely necessary 2. Management Staff of All Departments a. Report to the Incident Command Post. b. DO NOT [x] Do NOT turn on/off lights or other electrical equipment – use flashlights if necessary [x] Do NOT use 2-way radios, cell phones, or other cellular/transmitting equipment. [x] Do NOT TOUCH OR MOVE anything unusual or suspicious. If anything suspicious or unusual is discovered, staff are to contact the Incident Command Center and clear the area immediately of all residents, staff, and wait for instructions. c. Instruct staff members to search respective areas discreetly and thoroughly looking for any unusual or extraneous items, such as boxes, packages, bags, etc. [x] Residents should NOT be involved in the search and staff should remain calm to not upset the residents. [x] LOOK for anything you cannot IMMEDIATELY identify or that appears to be unusual or out of place. The device may/may not be labeled "bomb" or "danger". d. If caller mentions a location for the device, staff will be instructed to search that location first. i. I If the bomb threat is for a specific area/floor, supervisor (insert job/IC title) will designate (insert highest ranking personnel) on that area/floor so that the search can begin immediately in that specific area/floor. ii. If the bomb threat is not for a specific area or floor, the (insert job/IC title) in each area of the facility shall assign personnel to begin the search of the entire facility. Designated search personnel are to search their usual areas of work assignment, as they are more likely to identify anything out-of-place or unusual. iii. If the bomb threat occurs during a time when personnel on duty are limited, the facility Incident Commander will assign which staff to search which areas. Suspicious Packages Be wary of suspicious packages and letters. They can contain explosives or chemical or biological agents. Be particularly cautious in the mail handling area and refrain from eating or drinking in that area. Some typical characteristics postal inspectors have detected over the years, which ought to trigger suspicion, include parcels that: [x] Are unexpected or from someone unfamiliar to you [x] Have no return address, or have one that can't be verified as legitimate [x] Have protruding wires or aluminum foil, strange odors, or stains [x] Show a city or state in the postmark that doesn't match the return address [x] Are of unusual weight given their size, or are lopsided or oddly shaped [x] Are marked with threatening language [x] Have inappropriate or unusual labeling [x] Have excessive postage or packaging material, such as masking tape and string [x] Have misspellings of common words [x] Are addressed to someone no longer with your organization or otherwise outdated [x] Have incorrect titles or titles without a name [x] Are not addressed to a specific person [x] Have hand-written or poorly typed addresses f. Assign a staff member to meet the responding agency at (location, example: front entrance) and direct/escort to facility Incident Command Center. g. Be prepared to activate Evacuation Procedures. 3. Staff Members of All Departments a. Search respective areas discreetly and thoroughly looking for any unusual or extraneous items, such as boxes, packages, bags, etc. b. Remain calm to not upset the residents. c. Be prepared to activate Evacuation Procedures. All Clear: The responding agency will provide direction to the facility Incident Command Center Officer dependent upon the scenario: - A bomb has not been found, but the threat remains credible. - A bomb has been found. - The threat is declared to be unfounded. Only the responding agency can declare an "All Clear". Based on directives from the responding agency, the facility Incident Command Center will then communicate the appropriate message(s) to staff. It is recommended that a report be made to OIG, local Emergency management, local Public Health Department, KCHFS Adult Services Division, KY Association of Health Care Facilities and/or KY Association of Homes and Services for the Aging and other agencies as directed by facility policy. Although this template checklist and policy has been developed and reviewed by topic experts, this template is not intended to provide legal advice. The information contained in this checklist and policy is information only to assist the facility in developing emergency response polices and plans based on the uniqueness of each facility. It is recommended that the facility define specifically the time-frame for words such as "immediately,""periodically," etc. The time-frame for these words may differ with each policy. For example, in one policy instead of using "periodically," the facility may use "quarterly;" in another policy, instead of using "periodically," the facility may use "monthly." Plain Speech/Text: Earthquake _________________________ (facility name) Emergency Procedure EARTHQUAKE Preparing for an Earthquake 1. Evaluate the facility for potential dangers and fix the problems. Examples: Remove potential fire hazards - - Store large and/or heavy items low to the ground - Secure furniture or equipment/appliances to the wall (may fall and cause injuries) - Repair any deep cracks in walls, ceilings or foundation of building - Affix pictures and/or mirrors securely - Bolt and strap the water heater to the wall and ground - Brace overhead light fixtures 2. Train and exercise on "Drop, Cover and Hold". During an Earthquake 1. Drop, Cover and Hold 2. Inspect the facility for safety. Evacuate if building is not safe using RACE system. R: RESCUE – Rescue residents in immediate danger. A: ALARM – Sound nearest alarm if not already activated. C: CONFINE – Close doors behind you to confine the fire. Crawl low if the exit route is blocked by smoke. E: EXTINGUISH – Utilize fire extinguisher as situation permits or EVACUATE– Follow evacuation procedures. 3. Put out small fires quickly. If not handled by one extinguisher, or it is larger than a wastepaper basket, evacuate the building. 4. Check on residents, staff and visitors. Check restrooms or vacant rooms for visitors or stranded residents. 5. Take care of injured or trapped persons. Provide medical treatment as appropriate. Call 9-1-1 only for lifethreatening emergencies. 6. Turn off gas only if you smell gas or think it may be leaking. (Natural gas line cannot be turned on again except by the gas company.) Alert the local Fire Department. 7. Be prepared for after-shocks and re-evaluate building safety after additional seismic activities WHAT TO DO AFTER AN EARTHQUAKE * Expect aftershocks. These secondary shockwaves are usually less violent than the main quake but can be strong enough to do additional damage to weakened structures and can occur in the first hours, days, weeks, or months after the quake. * Help injured or trapped persons until emergency assistance arrives. Give first aid where appropriate. Do not move seriously injured persons unless they are in immediate danger of further injury. Call for help. * Listen to a battery-operated radio or television for latest emergency information. * Use the telephone only for emergency calls. * Stay away from damaged areas Unless police, fire, or relief organizations have specifically requested your assistance, stay away from damaged areas. Return to the facility only when authorities say it is safe. * Open cabinets cautiously. Beware of objects that can fall off shelves. * Clean up spilled medicines, bleaches, gasoline or other flammable liquids immediately. Leave the area if you smell gas or fumes from other chemicals. * Inspect utilities o Check for gas leaks. If you smell gas or hear blowing or hissing noise, start evacuation procedures quickly. Turn off the gas at the outside main valve if you can. o Look for electrical system damage. If you see sparks, broken or frayed wires, or smell hot insulation, turn off the electricity at the main fuse box or circuit breaker. Begin evaluation procedures. o Check for sewage and water lines damage. If you suspect sewage lines are damaged, avoid using the toilets and call a plumber. If water pipes are damaged, contact the water company and avoid using water from the tap. * Inspect the entire length of chimneys for damage. Code Yellow: Epidemic/Pandemic Episodes _________________________ (facility name) Emergency Procedure EPIDEMIC/PANDEMIC EPISODES The facility has established a multi-disciplinary planning committee/team named the ____________________________ to plan for pandemic influenza. The pandemic influenza response coordinator's name and title are _________________ _____________________________________ and the members of the planning committee include the following: Contacts have been made with others in the community who are planning for pandemic influenza and plans have been shared to assure that a community-wide approach is being implemented. See Appendix 4 of this plan for contact information on emergency management responders at local and state health departments, Emergency Management, KY Long Term Care Associations, local/regional pandemic influenza planning groups, Ombudsman Program and local hospitals. The relevant sections of the HHS Pandemic Influenza Plan have been reviewed and additional references are available in Appendix 18. The facility administrator or his/her designated other is authorized to implement the facility's Pandemic Influenza Plan and to determine the organizational structure that will be used. In this facility,___________________________________________ (name, title and contact information) is responsible for monitoring federal and state public health advisories, and updating the facility's Pandemic Response Coordinator and members of the facility's pandemic influenza planning committee when pandemic influenza has been reported in the United States and is nearing the geographic area. In this facility,___________________________________________ (name, title and contact information) is responsible for communicating with the public health authorities during a pandemic influenza episode. In this facility,___________________________________________ (name, title and contact information) is responsible for communicating with the staff, residents, and their families regarding the status and impact of pandemic influenza in the facility. A written protocol which is located __________________________________________has been developed for weekly or daily monitoring of seasonal influenza-like illness in residents and staff that provides for the evaluation and diagnosis of residents and/or staff with symptoms of pandemic influenza. Assessment for seasonal influenza is included in the evaluation of incoming residents. There is an admission policy or protocol to determine the appropriate placement and isolation of patients with an influenza-like illness. The following system is in place to monitor and internally review transmission of influenza among patients and staff in the facility in order to implement prevention interventions: ___________________________________________________________________________________ ___________________________________________________________________________________ ___________________________________________________________________________________ The facility’s Communication Plan is described in Section II.4 and identifies the process for communications with the public, the residents and their families during an emergency. Communication strategies are further outlined in Section III.5 and in Appendix 3 . Contact information for families and guardians of residents are regularly updated for the Resident Emergency Packets (see Section III.11 and Appendix 7 ). Agreements with other health care facilities are in Appendix 2 and Contacts are listed in Appendix 4 . In order to expand qualified staffing during a pandemic influenza, the facility will pre-certify its volunteers, and collaborate with organizations such as the Public Health Department’s Medical Reserve Corps , the KY Community Crisis Response Board, the American Red Cross and local government Community Emergency Response Teams (CERT) to secure other trained non-facility staff for a pandemic emergency. See Section III.13 and Appendix 4. In this facility, ______________________________________________________(name, title and contact information) is responsible for coordinating training, identifying and publicizing training opportunities, tracking training on pandemic influenza, and securing/making available appropriate infection control and other educational materials to staff, residents and their families. Education and training to ensure that all personnel, residents, and family members of residents understand the implications and basic prevention and control measures for pandemic influenza are addressed in Section III.17 for Training/Education and Section III.18 for Exercises and Drills; Appendix 13 for Mental Health/ Psychological First Aid; and Appendix 17 for Training and Education. Health literacy training for staff is included (see Section III.17 and Appendix 18: Resources). An Infection Control Plan is in place that includes managing residents and visitors with pandemic influenza. The plan includes provisions for direct care staff to use Standard and Droplet Precautions with symptomatic residents; use of Respiratory Hygiene/Cough Etiquette throughout the facility; and strategies for grouping symptomatic residents or groups by 1) confining symptomatic residents and their exposed roommates to their room, 2) placing symptomatic residents together in one area of the facility, or 3) closing units where symptomatic and asymptomatic residents reside; and recommendations that where possible, staff who are assigned to work on affected units will not work on other units. Criteria and protocols for closing units or the entire facility to new admissions and for enforcing visitor limitations are in place when pandemic influenza is in the facility. Section III.16 and Appendix 6 include provisions for continuity of operations. In addition, a sick leave policy is in place that addresses the needs of symptomatic personnel and facility staffing and considers such criteria as the handling of personnel developing symptoms while at work; returning to work after having pandemic influenza; working when symptomatic, but well enough to work; provisions for personnel who need to care for family members who become ill; and education for staff to self-assess and report symptoms of pandemic influenza before reporting for duty. Also in place are plans for accessing mental health and faith-based resources to provide counseling to personnel during a pandemic and strategies for managing personnel who are at increased risk for influenza complications. A vaccine and antiviral use plan is in place for personnel and residents utilizing federal, state and local guidance that includes expediting delivery of influenza vaccine or antiviral prophylaxis to residents and staff as recommended by the state health department. A system for monitoring influenza vaccination of personnel is in place. A contingency staffing plan has been developed that identifies the minimum staffing needs and prioritizes critical and non-essential services based on residents' health status, functional limitations, disabilities, and essential facility operations. In this facility __________ __________________________ (name, job title) has been assigned responsibility for conducting a daily assessment of staffing status and needs during an influenza pandemic. The Facility Administrator or his/her designate is responsible for the decision to declare a facility "staffing crisis" and to initiate appropriate emergency staffing alternatives consistent with state law. The facility will collaborate with organizations such as the Public Health Department's Medical Reserve Corps, the KY Community Crisis Response Board, the American Red Cross and local government Community Emergency Response Teams (CERT) to secure trained non-facility staff for a pandemic emergency (Section III.11) and will coordinate staffing needs with local and regional planning and response groups to address widespread healthcare staffing shortages during a crisis. Estimates have been made of the quantities of essential materials and personal protective equipment that would be needed during a six-week pandemic. Procedures are in place to address likely supply shortages, including strategies for using normal and alternative channels for procuring needed resources. See Section II.1 and II.2 of this plan. Agreements with alternative care sites are in place for facility residents who need acute care services when hospital beds become unavailable. Signed agreements have been established with area hospitals for admission to the long-term care facility of non-influenza patients to facilitate utilization of acute care resources for more seriously ill patients. See Appendix 2 of this plan. Surge facility space has been identified that could be adapted for use as expanded inpatient beds and information provided to local and regional planning contacts (Section III.13). A contingency plan is in place for managing an increased need for post mortem care and for deceased residents, and an area in the facility that could be used as a temporary morgue has been identified (See Section III.15 for Capacity for Deceased Residents). Local plans for expanding morgue capacity have been discussed with local and regional planning contacts including the local health department and office of Emergency Management. Code Red: Fire Emergency \| \| R \| Rescue \| Rescue/Evacuate persons in immediate danger. \| \|---\|---\|---\|---\| \| A \| \| Alarm \| Pull nearest “pull station.” Announce “CODE RED” and fire location over loud speaker. Repeat the announcement. \| \| \| C \| Confine \| Confine the fire by closing doors to isolate the fire and smoke. \| \| E \| \| Extinguish \| Attempt to extinguish the fire only if the first three parts of the R.A.C.E. Procedure have been completed and the fire appears to be manageable. \| Fire/Explosion A. ____________________________________ (facility name) employees should be trained to utilize the R.A.CE. Procedure and notify the Fire Department of the exact circumstances of the situation. B. All staff should receive training in the proper use of fire extinguishers. Fire extinguishers are located in every corridor of the facility. The extinguishers, type A, B, or C, can be utilized in any type of fire. C. Responding to a Fire/Explosion, the following are essential tasks that must be completed during all emergency operations: DO NOT USE THE ELEVATORS ONCE THE FIRE ALARM HAS SOUNDED! [x] Stay calm and reassure residents—do not mention fire [x] Evacuation in this plan means moving to a safe Area of Refuge in a fire emergency. This does not necessarily mean emptying the building unless each wing/section is expected to be evacuated beyond fire doors or to the nearest exit [x] Keep all smoke/fire doors closed. Limit passage through smoke partitions as much as possible [x] Keep all doors closed in resident rooms and functional rooms (storage, pantry, linen, etc.) [x] Keep all stairwell doors closed [x] Close all windows [x] Understand that the sprinkler system (if present) will likely control the fire [x] Shut off oxygen or other medical gasses that could contribute to the spread of the fire [x] Connect O2 concentrators to all residents requiring oxygen [x] Assist the Fire Department in any way possible [x] Understand that even thought the alarms stop ringing, emergency procedures will not be stopped until an "All Clear" is called _________________________ (facility name) Emergency Procedure FIRE The following procedure should be utilized in the event of an actual fire, smoke condition, or smell of smoke in the facility. NOTE: Floor plans with extinguishers, exits, smoke detectors, pull down alarms, sprinklers, etc. A. The staff member who discovers a fire or potential fire situation within the building should immediately utilize the R.A.C.E. Procedure: DO NOT PANIC RESCUE: Everyone in immediate danger and move them to a safe location away from the fire. ALARM: Activate the building's fire alarm system by pulling the nearest manual pull station. Announce "CODE RED" and the fire location over the loudspeaker—repeat. CONFINE: Make every attempt to confine the fire to its room of origin by closing all appropriate doors. EXTINGUISH: Attempt to extinguish the fire ONLY if the above steps have been taken and the size of the fire has not exceeded the capacity of the fire extinguisher. It is ALL staff members' responsibility to know the locations of fire extinguishers. B. "CODE RED" should be announced overhead with the location of the fire. The word "fire" should be avoided in order to maintain a calm environment for the residents. C. 911 should be notified to alert the emergency response system that an actual emergency situation is in progress. The caller should provide the 911 dispatcher with as much relevant information as possible. D. Administrator and Director of Nursing and ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated. E. Activate the ICS to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of fire warrants, then appoint other positions of the ICS structure. F. Staff will begin evacuation according to the size of the fire and the amount of smoke production. The Incident Commander will give guidance on evacuation type. See evacuation types below: 1. Phase I: Evacuate the rooms on either side and directly across from the room that is on fire. Move residents to an area away from the fire. This type of evacuation should be used during the initial stages of a small fire. 2. Phase II: Evacuate all residents from the smoke compartment where the fire has occurred to the opposite smoke compartment (through the smoke doors). This type of evacuation should be used when moderate smoke conditions are present or the welfare of the residents is in jeopardy based on the situation. 3. Phase III: FIRE DEPARTMENT ORDERED EVACUATION. Evacuate all residents from the building by whatever means possible. This type of evacuation should only be used during a major fire or severe smoke conditions within the building as ordered by the Fire Department. G. The order of evacuation is: 1. Ambulatory residents 2. Residents with assistive devices 3. Residents in wheelchairs 4. Bedridden residents H. A staff member(s) should be assigned to stay with the group(s) to prevent panic and to begin re-entry to dangerous areas. I. It is essential that all internal emergency operations be coordinated with the Fire Department. The Fire Department will be able to quickly assist in controlling the situation provided that a good line of communication is established between the Incident Commander and the Fire Officer in charge. J. The situation should be deemed "under control" only after the Fire Department has concluded its emergency operations and the Incident Commander has declared the situation "safe." K. An "All Clear" will be paged only after the situation is declared safe by the Fire Department. L. Account for all staff members and residents. Emergency Job Tasks Fire Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Report to the fire alarm panel and determine the location of the activation. b. Report to the area of activation and assess the situation. c. Supervise emergency operations (evacuation, fire control, chart removal, etc.). d. Upon arrival of the Fire Department, establish contact with the officer in charge and relay all relevant information regarding the situation or designate someone to do so. e. Coordinate all emergency operations with the Fire Department. f. Ensure all staff members and residents are accounted for and safe. 2. Nursing Staff a. Report to the area of fire alarm activation. b. Quickly assess the magnitude of the situation. c. Initiate Evacuation Procedures. d. Close all doors and windows, as residents are evacuated. e. Connect O2 concentrators to all residents requiring oxygen. f. Shut off oxygen or other medical gasses that could contribute to the spread of the fire. g. Secure medical records. h. Perform a complete head count to ensure that all residents are accounted for. i. Be prepared to assist where needed at the direction of the Incident Commander and/or Fire Department. 3. Certified Nursing Assistants a. Initiate Evacuation Procedures and close all doors and windows of resident rooms. b. Be prepared to assist where needed at the direction of the Incident Commander. 4. Director of Nursing a. Report to the fire alarm panel and determine the location of the activation. b. Report to the area of activation and provide instruction to staff members regarding the location to remove residents, starting with the residents who are closest to the area of the fire. c. Ensure that all windows and doors are closed. d. Coordinate operations with the Incident Commander to determine the type of evacuation that will be necessary for the situation. e. Instruct Certified Nursing Assistants to remain with residents in an attempt to keep them calm and prevent them from returning to the fire area. Perform a complete head count to ensure that all residents are accounted for. 5. Office Staff/Medical Records a. Secure all records by storing them in the appropriate metal cabinets. b. Close all doors and windows in your work area. c. Be prepared to assist where needed at the direction of the Incident Commander. 6. Activity Staff a. Report to the area of fire alarm activation, providing that staff are not in the middle of a supervised activity. b. If conducting an activity during alarm activation, stay with residents and remain calm. c. Relocate all residents from immediate danger. d. If available, assist with other emergency operations at the direction of the Incident Commander. 7. Maintenance Personnel a. Report to the fire alarm panel and determine the location of the activation. b. Immediately respond to the area of activation. c. While in route, retrieve a fire extinguisher that is in the path of response in order to provide additional fire extinguishing capacity at the fire scene. d. Ensure that the appropriate Evacuation Procedures are in progress and attempt to control the fire if required. e. Once the fire is under control, attempt to de-power the fire area by shutting down circuit breakers for the fire area. f. Assist the Fire Department in whatever way required. g. NEVER shut down the fire sprinkler system during a fire. The shutting down of the fire sprinkler system must be ordered by the Fire Department. 8. All Other Employees (housekeeping, laundry, dietary, etc.) a. Report to the area of fire alarm activation after securing your individual work area and assist with emergency operations per the direction of the Incident Commander. b. Secure your individual work area by quickly shutting down all machinery (kitchen equipment, laundry equipment, computers, etc.) and storing all vital papers or currency in a metal container (desk, cabinet, etc.). c. When leaving your individual work area, ALWAYS close all doors and windows to help reduce the effects of potential smoke damage. d. Do not return to your work area until the situation is under control. _________________________ (facility name Emergency Procedure FIRE WATCH ) PURPOSE: A plan of action should the fire alarm/smoke detectors/sprinkler/power system fail to work properly to provide continuous facility-wide fire detection and alarm capabilities. A fire alarm system could include but is not limited to: fire alarm panel, smoke or heat detection system, sprinkler system, and fire department notification system. Fire alarm system outages can occur during construction, renovation, electrical storms, or other unplanned events that eliminate part or all of the fire alarm system. 1. Contact the Administrator, Director of Nursing, and Maintenance Director and ____________________________ (facility to fill in appropriate titles/positions) when any problems are encountered with the fire alarm system. 2. Contact the fire alarm company if the Maintenance Director (______________________ other responsible position) is unable to correct the problem. 3. Notify the _______________________________________ (Fire Department) at ______________ (phone number) and Division of Health Service Regulation at ______________ (phone number) that the fire alarm system is not working correctly, and that procedures are in place until the system is restored. 4. Facility management staff should report to the Incident Command Post for instruction. Activate the ICS to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. 5. Fire watch tours will be initiated throughout the facility. Fire watch tours should occur at one-half hour intervals, 24 hours a day. 6. A fire watch tour is a periodic walking tour of the entire facility by one or more assigned and trained staff. The tour monitors the facility through direct observation of all rooms, including resident rooms, mechanical and electrical rooms, kitchen, laundry, etc. for possible signs of fire. 7. Fire watch tours will be documented with findings noting date, time, and staff initials. 8. Fire watch tours should be performed by personnel solely dedicated to the fire watch with no other facility-related activities or events. 9. Maintenance staff should be available on site or on call for equipment emergency shutdown situations. 10. Additional fire extinguishers should be distributed facility-wide and staff should be informed of locations. 11. The Fire Watch should not be terminated until all fire protection equipment has been restored to normal operating condition and upon the authority of the Administrator or designee. Emergency Job Tasks Fire Watch Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Determine the problem with the system. b. Establish contact with the fire alarm company. c. Contact Division of Health Service Regulation to notify of the situation and what actions are being taken to rectify. d. Notify the Fire Department. e. Determine personnel to conduct fire watch tours and supervise. f. Ensure construction or renovation work areas are monitored. g. Supervise emergency operations if necessary (evacuation, fire control, chart removal, etc.). 2. Nursing Staff a. Remove smoking materials and extension cords from resident rooms. b. Ensure ALL SMOKING IS TO OCCUR OUTSIDE with a staff member present. c. Ensure all exits are unobstructed. d. Ensure fire doors remain closed. e. Ensure windows remain closed. f. Be prepared to assist where needed at the direction of the Incident Commander. 3. Certified Nursing Assistants a. Remove smoking materials and extension cords from resident rooms. b. Ensure ALL SMOKING IS TO OCCUR OUTSIDE with a staff member present. c. Ensure all exits are unobstructed. d. Ensure fire doors remain closed. e. Ensure all windows are closed. f. Be prepared to assist where needed at the direction of the Incident Commander. 4. Office Staff/Medical Records a. Secure all records by storing them in the appropriate metal cabinets. b. Close all doors and windows in your work area. c. Be prepared to assist where needed at the direction of the Incident Commander. 5. Activity Staff a. Remove smoking materials and extension cords from resident rooms. b. Ensure ALL SMOKING IS TO OCCUR OUTSIDE with a staff member present. c. Ensure all exits are unobstructed. d. Ensure fire doors remain closed. e. Ensure all windows are closed. f. Be prepared to assist where needed at the direction of the Incident Commander. 6. Director of Nursing a. Ensure ALL SMOKING IS TO OCCUR OUTSIDE with a staff member present. b. Ensure all exits are unobstructed. c. Ensure fire doors remain closed. d. Ensure all windows are closed. e. Be prepared to assist where needed at the direction of the Incident Commander. 7. Maintenance Personnel a. Ensure all combustible/flammable items are stored properly and removed from mechanical and electrical rooms. b. Ensure dryer vents are clean. c. Ensure Fire Department/EMS access to the facility is clear from snow, ice, etc. d. Ensure Fire Department access to hydrants, sprinkler connections, standpipes, and fire extinguishers. e. Ensure exits are unobstructed. f. Ensure fire doors remain closed. g. Ensure unnecessary machinery that runs continuously is turned off. h. Ensure sprinkler valves are open and sealed, gauges indicate normal pressure, and sprinkler heads are unobstructed. i. Monitor construction or renovation work areas. j. Be prepared to shut down equipment as necessary. k. Be prepared to assist where needed at the direction of the Incident Commander. 8. All Other Employees (housekeeping, laundry, dietary, etc.) a. Laundry is to remove lint from dryers. b. When leaving the individual work area, ALWAYS close all doors and windows. c. Ensure exits are unobstructed. d. Ensure fire doors remain closed. e. Be prepared to assist where needed at the direction of the Incident Commander. Plain Speech/Text: Flooding Floods are the most common and widespread of all natural disasters. Most communities in the United States can experience some degree of flooding after spring rains, heavy thunderstorms, or winter snow thaws. Most floods develop slowly over a period of days. Flash floods, however, are like walls of water that develop in a matter of minutes. Flash floods can be caused by intense storms or dam failure. [x] Consult with _______________________________ (county name) Emergency Management officials if facility is located in a flood plain and to review the history of flooding in the area [x] Purchase a National Oceanic and Atmospheric Administration (NOAA) Weather Radio with a warning alarm tone and battery backup. Listen for flood watches and warnings [x] Review the community's emergency plan. Learn the community's evacuation routes. Know where to find higher ground in case of a flood [x] Inspect areas that may be subject to flooding. Identify records and equipment that can be moved to a higher location. Make plans to move records and equipment in case of flood Ensure insurance policy provides coverage for flooding. Evaluate the feasibility of flood proofing your facility. _________________________ (facility name) Emergency Procedure FLOODING The following procedure should be utilized in the event of flooding, flash floods, dam break near ____________________ (facility name). The following procedure should be utilized when a flood watch or warning has been issued. A watch indicates that flooding is likely. A warning indicates flooding is occurring in the area. A. When a flood/flash flood watch or warning has been issued for this area effective until ________ (time watch ends). A flood watch means that current weather conditions may produce flooding. A flood warning indicates that flooding is occurring in the area. Please await further instructions." B. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if needed. C. Facility management staff should report to the Incident Command Post for a briefing and instruction. D. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. E. Evaluate the need to shut off electricity/utilities/water main/collect fresh water F. Incident Commander must decide whether to flood proof (see attached flood proofing methods) or evacuate based on geographical location and history of flooding of the facility. If evacuation is necessary, Evacuation Emergency Procedures will be followed. G. It is essential that all internal emergency operations are coordinated with the local authorities. They will be able to quickly assist in controlling the situation provided that a good line of communication is established between them and the Incident Commander. H. The situation should only be deemed "under control" after the local authorities have concluded emergency operations and the Incident Commander has declared the situation "safe." I. Account for all staff members and residents. Emergency Job Tasks Flooding Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Activate Recall Roster and alert management staff to report to the Incident Command Post. b. Should be responsible for deciding to flood proof the facility or evacuate. a. If decision is to evacuate, Evacuation Emergency Procedures would be activated. b. Ensure staff members and residents are accounted for and safe. 2. Management Staff of All Departments a. Report to the Incident Command Post. b. Assist with flood proofing the facility if necessary. c. Collect water by filling clean bathtubs, large pans, buckets, etc. with fresh water and store in case water services are interrupted/contaminated d. Fill and use sandbags e. Pack refrigerators/lockers with dry ice f. Remain calm to not upset the residents. g. Be prepared to activate Evacuation Procedures. 3. Maintenance a. Report to the Incident Command Post. b. Turn off building electricity c. Shut off water main to prevent contamination d. Flood proof the facility if necessary. e. Remain calm to not upset the residents. f. Be prepared to activate Evacuation Procedures. 4. Staff Members of All Departments a. Assist with flood proofing if necessary. b. Remain calm to not upset the residents. c. Be prepared to activate Evacuation Procedures. Permanent flood proofing measures are to be taken before a flood occurs and require no human intervention when floodwaters rise. They include: [x] Filling windows, doors, or other openings with water-resistant materials such as concrete blocks or bricks. This approach assumes the structure is strong enough to withstand floodwaters [x] Installing check valves to prevent water from entering where utility and sewer lines enter the facility [x] Have sand and sand bags on hand and train on sandbagging techniques [x] Reinforcing walls to resist water pressure and sealing walls to prevent or reduce seepage [x] Building watertight walls around equipment or work areas within the facility that are particularly susceptible to flood damage [x] Constructing floodwalls or levees outside the facility to keep flood waters away [x] Elevating the facility on walls, columns, or compacted fill. This approach is most applicable to new construction, though many types of buildings can be elevated Emergency flood proofing measures are generally less expensive than those listed above, though they require substantial advance warning and do not satisfy the minimum requirements for watertight flood proofing as set forth by the National Flood Insurance Program (NFIP). They include: [x] Building walls with sandbags [x] Constructing a double row of walls with boards and posts to create a "crib," then filling the crib with soil [x] Constructing a single wall by stacking small beams or planks on top of each other [x] Evaluate the need for backup systems, such as: o Portable pumps to remove flood water o Alternate power sources such as generators or gasoline-powered pumps o Battery-powered emergency lighting o Participation in community flood control projects Contingent flood proofing measures are also taken before a flood but require some additional action when flooding occurs. These measures include: [x] Installing watertight barriers, called flood shields, to prevent the passage of water through doors, windows, ventilation shafts, or other openings [x] Installing permanent watertight doors [x] Constructing movable floodwalls [x] Installing permanent pumps to remove flood waters Checklist for reopening healthcare facilities closed due to extensive water and wind damage Prior to opening a healthcare facility that has undergone extensive water and wind damage; inspections need to be conducted to determine if the building is salvageable. If the decision is made to proceed with recovery and remediation, building and life safety inspections must be completed before any restoration work is done to the facility. Section V provides guidance for infection control review of facilities to be performed before reopening. Prior to opening any portion of a facility, adequate support services need to be available to provide quality care in a safe environment. Contracting with outside services could be considered. Certification for occupancy must be obtained prior to reopening the facility. Regulations regarding healthcare facility certification and licensing differ from state to state. Refer to specific state and local government resources for more information. Before and while entering the facility Be cautious around electrical lines, downed lines, outlets and appliances. Do Not assume that the electricity has been turned off. Avoid floodwaters – water may be contaminated by oil, gas, raw sewage. Water may also be electrically charged from underground or downed power lines. Note where floodwaters have receded. Roads may have weakened and could collapse under the weight of a car Boil drinking water before using. Wells should be pumped out and the water tested for purity before drinking. Call your local public health authority or listen for reports on community's water supply safety. Watch for animals. Small animals like rats and snakes that have been flooded out of their homes may seek shelter in yours. Use a pole or stick to poke and turn items over and scare away small animals. Look before you step. After a flood, the ground and floors are covered with debris including broken bottles and nails. Floors and stairs that have been covered with mud can be very slippery. Wear face mask and gloves. 1. Safety Evaluation The following should be evaluated by facilities experts: [x] Structural integrity and missing structural items [x] Assessment of hidden moisture [x] Electrical system damage, including high voltage, insulation, and power integrity [x] Water distribution system damage [x] Sewer system damage [x] Fire emergency systems damage [x] Air handling system damage [x] Medical waste and sharps disposal system 2. Water Removal Water should be removed as soon as possible once the safety of the structure has been verified. [x] Pump out standing water [x] Wet vacuum residual wetness from floors, carpets, and hard surfaces [x] Clean wet vacuums after use and allow to dry 3. Water Damage Assessment and Mold Remediation [x] Open the windows in the damaged areas of the building during remediation [x] Remove porous items that have been submerged or have visible mold growth or damage [x] Minimize dispersion of mold spores by covering the removed items and materials with plastic sheeting (dust-tight chutes leading to dumpsters outside the building may be helpful). Dispose these items as construction waste [x] Seal off the ventilation ducts to and from the remediation area and isolate the work area from occupied spaces, if the building is partially occupied [x] Scrub and clean hard surfaces with detergents to remove evidence of mold growth (if a biocide is used, follow manufacturer's instructions for use and ventilate the area. Do not mix chlorine-containing biocides with detergents or biocides containing ammonia) Cleaning [x] Get rid of mud as soon as possible. [x] Clean everything that got wet. [x] Don't risk contamination. "If in doubt, throw it out." [x] A solution of one part household bleach and four parts water will kill surface mildew and, if used as part of a regular maintenance program, will prevent mildew from returning. [x] Dry the area and remaining items and surfaces [x] Evaluate the success of drying and look for residual moisture in structural materials (Moisture-detection devices [e.g., moisture meters] or borescopes could be used in this evaluation.) [x] Remove and replace structural materials if they cannot be dried out within 48 hours 4. Inspect, Repair, Disinfect where Appropriate, or Replace Facility Infrastructure. Include: [x] HVAC system (motors, duct work, filters, insulation) [x] Water system (cold and hot water, sewer drainage, steam delivery, chillers, boilers) [x] Steam sources (if piped in from other places, e.g., utility companies, it will impact autoclaves) [x] Electrical system (wiring, lighting, paging and patient call systems, emergency generators, fire alarms) [x] Electronic communication systems (telephones, paging and resident call systems, computers) [x] Medical gas system [x] Hazardous chemicals/radioactive storage 5. General Inventory of Areas with Water and Wind Damage [x] What furniture can be salvaged? Discard wet porous furniture that cannot be dried and disinfected (including particle board furniture). Disinfect furniture with non-porous surfaces and salvage. Discard upholstered furniture, drapery, and mattresses if they have been under water or have mold growth or odor. Discard all items with questionable integrity or mold damage [x] What supplies can be salvaged? Salvage linens and curtains following adequate laundering. Salvage pre-packaged supplies in paper wraps that are not damaged or exposed to water or extreme moisture, or in a molded environment. Discard items if there is any question about integrity or mold exposure. Dry essential paper files and records (professional conservators may be contacted for assistance) [x] Electrical medical equipment. Check motors, wiring, and insulation for damage. Inspect equipment for moisture damage. Clean and disinfect equipment following manufacturer's instructions. Do not connect wet electronic equipment to electricity [x] Structures. Inspect, repair, or replace wallboard, ceiling tiles, and flooring. Repair, replace, and clean damaged structures 6. After the event: [x] Dispose of all foods and canned goods that came in contact with flood waters. [x] Do not dispose of hazardous chemicals and materials (those marked "danger, caution, poison, warning, flammable, toxic, keep out of reach of children and hazardous") in the trash, down the drain or into standing water as they can contaminate groundwater and sewer lines. Take these items to the hazardous materials waste site in Everett. 7. Review Issues for Reopening Facilities [x] Requirements needed prior to opening a facility: potable water, adequate sewage disposal, adequate waste and medical waste management [x] Have all areas to be opened been thoroughly dried out, repaired, and cleaned? [x] Does the number of air exchanges in areas of the facility meet recommended standards? [x] Are negative-pressure rooms functioning properly? 8. Post-Reoccupation Surveillance [x] Focused microbial sampling may be indicated to determine if: o The water in the facility's water distribution system meets the microbial standards of the Safe Drinking Water Act (see: http://www.epa.gov/safewater/sdwa/index.html); o Mold remediation efforts were effective in reducing microbial contamination in the affected areas of the hospital (see: http://www.epa.gov/mold/mold_remediation.html); o Residents who are receiving care in the reopened facility acquire infections that are potentially healthcare associated and that may be attributed to Aspergillus spp. or other fungi, non-tubercular mycobacterium, Legionella, or other waterborne microorganisms above expected levels Code Orange: Hazardous Materials Incident Hazardous materials are substances that are flammable or combustible, explosive, toxic, noxious, corrosive, oxidizable, an irritant, or radioactive. A hazardous material spill or release can pose a risk to life, health, or property. " A warning of a hazardous accident or incident is usually received from the Fire and/or Police Departments or from Emergency Management officials. An overturned tanker, truck, or train, a crashed airplane, a broken fuel line, or an accident in a chemical plant are all potential hazards." There are a number of federal laws that regulate hazardous materials, including: the Superfund Amendments and Reauthorization Act of 1986 (SARA), the Resource Conservation and Recovery Act of 1976 (RCRA), the Hazardous Materials Transportation Act (HMTA), the Occupational Safety and Health Act (OSHA), the Toxic Substances Control Act (TSCA), and the Clean Air Act. Title III of SARA regulates the packaging, labeling, handling, storage, and transportation of hazardous materials. The law requires facilities to furnish information about the quantities and health effects of materials used at the facility, and to promptly notify local and state officials whenever a significant release of hazardous materials occurs. Insert list of materials located on facility property. Planning considerations regarding hazardous materials: 1. Identify and label all hazardous materials stored, handled, produced, and disposed of by your facility. Follow government regulations that apply to your facility. Obtain material safety data sheets (MSDS) for all hazardous materials at your location. 2. Train employees to recognize and report hazardous material spills and releases. Train employees in proper handling and storage. 3. Identify any hazardous materials used in facility processes and in the construction of the physical plant. a. Identify other facilities in your area that use hazardous materials. Determine whether an incident could affect your facility. 4. Identify potential for an off-site incident affecting operation. a. Identify highways, railroads, and waterways near the facility used for the transportation of hazardous materials. Determine how a transportation accident near the facility could affect your operations. Detailed definitions as well as lists of hazardous materials can be obtained from the Environmental Protection Agency (EPA) see http://www.fema.gov/business/guide/section3b.shtm and the Occupational Safety and Health Administration (OSHA) see http://www.hrhero.com/topics/osha.html?ELP . _________________________ (facility name) Emergency Procedure HAZARDOUS MATERIALS INCIDENT The following procedure should be utilized in the event of a hazardous materials incident in or near ______________________________________ (facility name). A. "CODE ORANGE" should be announced overhead with the location of the incident, if it occurs within the facility premises. 911 should be notified to alert the emergency response system that a hazardous materials incident is in progress. The caller should provide the 911 dispatcher with as much relevant information as possible. B. Local authorities and the Emergency Management Office will typically warn the facility of such an accident occurring within the community. Some communities may utilize a county siren or scanner to notify the community of a hazardous spill. Tune into Emergency broadcasts on the radio/TV or weather radio for additional information and guidance. C. Administrator and Director of Nursing, Safety Officers/Maintenance Director will be notified if not on the premises. The Recall Roster activated, if warranted. D. Facility management staff should report to the Incident Command Post for a briefing and instruction. E. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of incident warrants, then appoint other positions of ICS structure. F. Determine if a hazardous chemical or gas leak might endanger the residents. G. Based on the magnitude of the incident/accident, evacuation may be necessary. Fire Department, Police, and Emergency Management will assist in determining if evacuation is necessary. H. If evacuation is necessary, Evacuation Emergency Procedures will be followed. I. It is essential that all internal emergency operations are coordinated with the local authorities. They will be able to quickly assist in controlling the situation provided that a good line of communication is established with the Incident Commander. J. The situation should only be deemed "under control" after the local authorities have concluded emergency operations and the Incident Commander has declared the situation "safe." At that point an "All Clear" can be announced. K. Account for all staff members and residents. Emergency Job Tasks: Hazardous Materials Incident Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Contact 911 and Emergency Management Director. b. Activate Recall Roster and alert management staff to report to the Incident Command Post. c. Instruct all staff members. d. Upon arrival of authorities, establish contact with the officer in charge and relay all relevant information regarding the situation. c. Should be responsible for making the decision regarding evacuation, which would be activated via Evacuation Emergency Procedures. d. Ensure all staff members are accounted for and safe. 2. Management Staff of All Departments a. Report to the Incident Command Post. b. Instruct staff members to keep windows and doors closed. c. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. Again, keep doors CLOSED. d. Remain calm to not upset the residents. e. Be prepared to activate Evacuation Procedures. 3. Maintenance – a. Report to the Incident Command Post. b. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. c. Shut down outside intake ventilation/air conditioners. d. Close all doors to the outside and close and lock all windows. e. Maintenance staff should set all ventilation systems to 100% recirculation so that no outside air is drawn into the building. When this is not possible, ventilation systems should be turned off. This is accomplished by pulling the fire alarm. f. Turn off all heating systems. g. Turn off all air conditioners and switch inlets to the "closed" position. Seal any gaps around window type air conditioners with tape and plastic sheeting, wax paper or aluminum wrap. h. Turn off all exhaust fans in kitchens and bathrooms. i. Close as many internal doors as possible in the building. j. Use tape and plastic food wrapping, wax paper or aluminum wrap to cover and seal bathroom exhaust fan grills, range vents, dryer vents, and other openings to the outside. k. If the gas or vapor is soluble or partially soluble in water, hold a wet cloth over your nose and mouth if gases start to bother you. For a higher degree of protection, go into the bathroom, close the door and turn on the shower in a strong spray to wash the air. l. If an explosion is possible outdoors, close drapes, curtains or shades over windows. Stay away form external windows to prevent injury from flying glass. m. Tune into the Emergency Broadcasting System on the radio or television for further information and guidance. n. Remain calm to not upset the residents. o. Be prepared to evacuate - Emergency Management/law enforcement agencies will make a determination regarding evacuation of residents. 4. Staff Members of All Departments a. Shut windows and doors. b. Ensure residents and visitors remain in the facility until further notice from the local authorities. Again, keep doors CLOSED. c. Remain calm to not upset the residents. d. Be prepared to activate Evacuation Procedures. Plain Speech/Text: Landslide _________________________ (facility name) Emergency Procedure LANDSLIDE Pre-event Steps to be completed ahead of time (in addition to All-Hazards Preparation): 1. Evaluate the facility for landslide hazard(s). Landslide may be triggered by earthquakes or floods. 2. Plant slopes with ground cover. 3. Learn to recognize landslide warning signs. 4. Landslide is often covered by flood insurance policies. Check on the status of your policy. During the event: 1. If inside, take cover under desk, table, or other heavy piece of furniture. 2. If outdoors, get out of the path of the mudflow. Try to get to high ground. If escape is not possible, curl into a ball and protect your head. After a landslide or debris flow * Stay away from the slide area. There may be danger of additional slides. * Look for trapped persons near – but do not go into – the slide area. Direct emergency response personnel to possible victims. * Listen to local radio or television stations for the latest emergency information. * Watch for flooding, which may occur after a landslide or debris flow. Floods sometimes follow landslides and debris flows because they may both be started by the same event. * Look for and report broken utility lines and damaged roadways and railways to appropriate authorities. Reporting potential hazards will get the utilities turned off as quickly as possible, preventing further hazard and injury. * Check the building foundation, chimney, and surrounding land for damage. Damage to foundations, chimneys, or surrounding land may help you assess the safety of the area. * Replant damaged ground as soon as possible since erosion caused by loss of ground cover can lead to flash flooding and additional landslides in the near future. Code Blue: Medical Emergencies Place Copy of Your Facility Medical Emergency Procedures Here. Code Yellow: Missing Resident _________________________ (facility name) Emergency Procedure MISSING RESIDENT Pre-admission Prevention 1. Obtain info during pre-admission/ admission conferences with family regarding history of, or potential for, wandering. 2. Plan of care implemented with specific approaches and goals for wanderers. 3. Resident name, picture, physical description added to wander book located at nurses' station. 4. All staff responsible for knowing all residents on the list and are able to intervene as necessary. This info added to employee orientation for each new employee. 5. Routine checking of door alarms. The following procedure should be utilized when a resident is determined to be missing. A. "CODE YELLOW" will be announced with the resident's unit B. Note the time that the resident was discovered to be missing. C. The staff members assigned to the resident's unit will report to nursing station to verify that resident not signed out. D. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. Activate Recall Roster if necessary. E. Facility management staff should report to the Incident Command Post for a briefing and instruction. F. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. G. A thorough search should be initiated by staff members to locate the resident. If the resident is not located, proceed with the following: 1. Staff members will search the entire facility and grounds. 2. All areas of the facility, grounds, and neighboring streets are to be systemically searched. 3. The Administrator/Incident Commander will assign each staff member a section when searching to minimize overlapping or overlooking of an area. 4. When conducting a search, it is important to look under beds and furniture, in walk-in refrigerators/freezers, in closets, under desks, behind doors, as well as in storage rooms, behind boxes, in boxes, and on shelves. A resident who has eloped may be frightened and may be hiding. Being thorough is extremely important. 5. When finished searching a section, staff members should report back to the Administrator/Incident Commander. H. If the resident has not been found after a period of ________ minutes of the search, the Administrator/Incident Commander will call the police to report the resident missing. I. When the police arrive the Administrator/Incident Commander will provide the officer with a picture and provide pertinent information such as: 1. What the resident was wearing. 2. How the resident was ambulating, i.e., with a cane, walker, etc. 3. The resident's cognitive status, i.e., confused, alert. 4. Information as to where the resident may be going, if known. 5. Resident's previous address and family's address. J. The family/responsible party and attending physician will be notified if the resident is not found in the facility or the grounds. K. When the resident has been found: 1. The Administrator/Incident Commander should notify all staff members that the resident has been found. 2. The resident should be examined for injuries. 3. The attending physician should be notified of the resident's status. 4. The family/responsible person will be contacted and informed of his/her status (ensure all the above steps are documented in the nursing notes). 5. The care plan should be updated. a. Consider implementing additional measures such as the addition of a wander bracelet if not in current use and 15-minute safety checks, and document in resident record. L. Complete an incident report and follow the facility's incident reporting process. M. Ensure the incident and events are documented objectively in the resident record, including: [x] Circumstances and precipitating factors [x] Interventions utilized to return the resident to the unit [x] Resident's response to the interventions [x] Results of reassessment upon the resident's return and the condition of the resident [x] Care rendered [x] Notification of police, family, and physician [x] Physician orders following notification [x] Additional prevention strategies implemented N. Administrator should report the incident to the KY Office of the Inspector General, see http://chfs.ky.gov/oig/ local Ombudsman's Office, see http://chfs.ky.gov/dail/ltcoDistricts/ local law enforcement office for a Golden Alert, see http://www.m2c3.com/AARP/Advocacy_Temp/KY_Golden_Alert_2007GA.pdf KY CHFS Adult Protective Services Branch , see http://chfs.ky.gov/dcbs/dpp/facs.htm O. Report elopement in Quality Assurance/Risk/Safety committee. Emergency Job Tasks Missing Resident Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Assign each staff member a section to search the facility to minimize overlapping or overlooking of an area. b. Contact the police to report the resident missing. c. Provide the police with a picture and provide pertinent information such as: [x] What the resident was wearing [x] How the resident was ambulating, i.e., with a cane, walker, etc. [x] The resident's cognitive status, i.e., confused, alert [x] Information as to where the resident may be going, if known [x] Resident's previous address and family's address d. Ensure the attending physician is notified of the resident's status. e. Ensure the family/responsible person is contacted and informed of his/her status (ensure all the above steps are documented in the nursing notes). f. Ensure care plan is updated. g. Report the incident to Division of Health Service Regulation. h. Report elopement in Quality Assurance/Risk/Safety committee 2. Director of Nursing a. Report to the named nursing station. b. Assist with resident search and follow-up actions as directed by Incident Commander. c. Ensure the resident is examined for injuries. d. Ensure the attending physician is notified of the resident's status. e. Ensure the family/responsible person is contacted and informed of his/her status (ensure all the above steps are documented in the nursing notes). f. Ensure care plan is updated. 3. Nursing Staff a. Report to the named nursing station. b. Assist with resident search and follow-up actions as directed by Incident Commander. c. Examine the resident for injuries. d. Notify the attending physician of the resident's status. e. Notify the family/responsible person and inform him of his/her status (ensure all the above steps are documented in the nursing notes). f. Update the care plan. g. Evaluate implementing additional measures such as the addition of a wander bracelet if not in current use and 15minute safety checks, and document in resident record. h. Complete an incident report and follow facility's incident reporting process. i. Ensure the incident and events are documented objectively in the resident record, including: [x] Circumstances and precipitating factors [x] Interventions utilized to return resident to the unit [x] The resident's response to the interventions [x] Results of reassessment upon the resident's return and the condition of the resident [x] Care rendered [x] Notification of police, family, and physician [x] Physician orders following notification [x] Additional prevention strategies implemented 4. Staff Members of All Departments a. Report to the named nursing station. e. Assist with resident search and follow-up actions as directed by Incident Commander. Code Orange: Nuclear Power Plant Emergency Nuclear power plants use the heat generated from nuclear fission in a contained environment to convert water to steam, which powers generators to produce electricity. Nuclear power plants operate in most states in the country and produce about 20 percent of the nation's power. Nearly three million Americans live within ten miles of an operating nuclear power plant. Although the construction and operation of these facilities are closely monitored and regulated by the Nuclear Regulatory Commission (NRC), accidents are possible. An accident could result in dangerous levels of radiation that could affect the health and safety of the public living near the nuclear power plant. Local and state governments, federal agencies, and the electric utilities have emergency response plans in the event of a nuclear power plant incident. The plans define two "emergency planning zones." One zone covers an area within a tenmile radius of the plant, where it is possible that people could be harmed by direct radiation exposure. The second zone covers a broader area, usually up to a 50-mile radius from the plant, where radioactive materials could contaminate water supplies, food crops, and livestock. The potential danger from an accident at a nuclear power plant is exposure to radiation. This exposure could come from the release of radioactive material from the plant into the environment, usually characterized by a plume (cloud-like formation) of radioactive gases and particles. The major hazards to people in the vicinity of the plume are radiation exposure to the body from the cloud and particles deposited on the ground, inhalation of radioactive materials, and ingestion of radioactive materials. Radioactive materials are composed of atoms that are unstable. An unstable atom gives off its excess energy until it becomes stable. The energy emitted is radiation. Each of us is exposed to radiation daily from natural sources, including the Sun and the Earth. Small traces of radiation are present in food and water. Radiation is also released from man-made sources such as X-ray machines, television sets, and microwave ovens. Radiation has a cumulative effect. The longer a person is exposed to radiation, the greater the effect. A high exposure to radiation can cause serious illness or death. Although the risk of a chemical accident is slight, knowing how to handle these products and how to react during an emergency can reduce the risk of injury. Facility staff members should be familiar with these terms to help identify a nuclear power plant emergency: Notification of Unusual Event: A small problem has occurred at the plant. No radiation leak is expected. No action at the facility will be necessary. Alert: A small problem has occurred, and small amounts of radiation could leak inside the plant. This will not affect the facility and no action is required. Site Area Emergency: Area sirens may be sounded. Listen to your radio or television for safety information. General Emergency: Radiation could leak outside the plant and off the plant site. The sirens will sound. Tune to local radio or television station for reports. Be prepared to follow instructions promptly. Planning Considerations for a Nuclear Plant Emergency: 1. Obtain public emergency information materials from the power company that operates your local nuclear power plant or your local emergency services office. If you live within 10 miles of the power plant, you should receive these materials annually from the power company or your state or local government. 2. Minimize Exposure to Radiation by the following: a. Distance—The more distance between you and the source of the radiation, the better. This could be evacuation or remaining indoors to minimize exposure. b. Shielding—The more heavy, dense material between you and the source of the radiation, the better. c. Time—Most radioactivity loses its strength fairly quickly. _________________________ (facility name) Emergency Procedure NUCLEAR POWER PLANT INCIDENT The following procedure should be utilized in the event of a Nuclear Power Plant Incident near _____________________________________________ (facility name). A. “CODE ORANGE” should be announced overhead. Sirens will be sounding in the community. Radio announcements will give specific instructions regarding the need to evacuate. B. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if warranted. C. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. D. Facility management staff should report to the Incident Command Post for a briefing and instruction. E. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. F. Turn off the air conditioner, ventilation fans, furnace, and other air intakes. G. Close and lock doors and windows. H. Listen to battery-operated radio for information regarding the incident and specific instructions. I. If evacuation is instructed, initiate Evacuation Procedures in conjunction with Emergency Management Services. J. During evacuation, ensure that windows and vents of the transportation are closed; utilize re-circulating air. K. If facility is instructed to remain indoors, institute Shelter in Place Procedures. L. Keep food in covered containers or in the refrigerator. Food not previously covered should be washed before being put into containers. M. Staff members and residents exposed to nuclear radiation should: 1. Change clothes and shoes 2. Put exposed clothing in a plastic bag 3. Seal the bag and place it out of the way 4. Take a thorough shower N. Continue to monitor radio announcements for further instruction. The situation should only be deemed “under control” and safe by local and state authorities. At that point, the Incident Commander can declare the situation “safe” for re-entry and/or normal operations. O. Account for all staff members and residents. Emergency Job Tasks Nuclear Power Plant Incident Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Listen to battery-operated radio for information regarding the incident and for specific instructions. b. Establish contact with Emergency Management Office if necessary. c. Activate Recall Roster and alert management staff to report to the Incident Command Post. d. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. e. Should be responsible for activating the Evacuation Emergency Procedures, if evacuation is ordered by local and state officials. f. Should be responsible for activating the Shelter-in-Place Procedures, if facility is instructed to remain indoors. g. Account for all staff members and residents. 2. Management Staff of All Departments a. Report to the Incident Command Post. b. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. c. Instruct staff members to lock doors and windows. d. Remain calm to not upset the residents. e. Ensure food items are kept in covered containers or in the refrigerator. Uncovered food items should be washed before being put into containers. f. Be prepared to activate Evacuation or Shelter-in-Place Procedures. 3. Maintenance a. Report to the Incident Command Post. b. Turn off the air conditioner, ventilation fans, furnace, and other air intakes. c. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. d. Remain calm to not upset the residents. e. Be prepared to activate Evacuation Procedures or Shelter-in-Place Procedures. f. During evacuation, ensure that windows and vents are closed; utilize re-circulating air. 4. Staff Members of All Departments a. Shut windows and doors. b. Ensure residents and visitors remain in the facility until further notice from the local authorities. Again, KEEP DOORS CLOSED. c. Remain calm to not upset the residents. d. Ensure food items are kept in covered containers or in the refrigerator. Uncovered items should be washed before being put into containers. e. Be prepared to activate Evacuation or Shelter-in-Place Procedures. f. During Evacuation, ensure that windows and vents are closed; utilize re-circulating air. Plain Speech Text: Severe Heat _________________________ (facility name) Emergency Procedure SEVERE HEAT The following procedures will be followed if there is a loss of cooling functions during hot weather to prevent hyperpyrexia: When the facility temperature reaches 85 degrees Fahrenheit and remains so for four hours: [x] Move residents to another air conditioned part of the facility, if available [x] Encourage residents to take in more fluids and keep the residents hydrated. Force fluids if necessary and record fluid intake [x] Make sure an adequate supply of ice is available [x] Provide cold wash cloths as needed [x] Open windows to let cooler outside air in and utilize fans to move air – keep air circulating [x] Draw all shades, blinds, curtains in rooms/areas exposed to direct sunlight [x] Remove residents from areas of direct sunlight [x] Keep outdoor activities to a minimum [x] Check to see that residents are appropriately dressed [x] Monitor body temperatures of the residents and notify attending physicians if necessary, edema, shortness of breath, skin hot or dry, etc. [x] Notify 911 if a resident/staff member appears to be in danger of heat-related stress [x] Evacuate residents if necessary [x] Monitor environmental thermometers on 24 hour basis [x] Notify Medical Director Plain Speech/ Text: Shelter in Place Refer to section III.13 of the plan. Plain Speech/ Text: Snow Emergency Plan _________________________ (facility name) Emergency Procedure SNOW EMERGENCY The purpose of these winter storm safety precautions is to inform staff of measures that should be taken during severe winter weather. The following winter storm safety precautions have been established for all personnel to follow during blizzards, heavy snow, freezing rain, ice storms, or sleet. In Advance: 1. Purchase portable/weather radio with extra batteries. 2. See Shelter in Place procedures and supplies 3. Make sure emergency power supply is operable 4. Check emergency generator – Fueled? What does it run, what is not included? 5. Make sure all emergency a. equipment and supplies are on hand, or can be readily obtained b. food supplies and equipment are on hand. c. supply of water is available. d. Extra blankets 6. Plug critical equipment into surge protectors. 7. Evaluate facility for potential dangers & complete needed adjustments 8. Look for potential fire hazards 9. Remove dead trees/limbs 10. Equip vehicles with chains/snow tires Immediately prior and during storm: 1. Keep posted on all area weather bulletins and relay to others. 2. Be prepared for isolation at the community. 3. Re-check heating system/emergency generator 4. Check emergency and alternate utility sources 5. Conserve utilities – maintain low temperatures consistent with health needs 6. Secure facility against frozen pipes 7. Retrieve extra blankets and keep residents as warm as possible. 8. Make sure adequate staff is available. 9. Keep flashlights handy, and extra batteries available. 10. Close drapes on cloudy days and at night. 11. Travel only when necessary, and only during daylight hours. Never travel alone. Travel only assigned routes. 12. Be prepared to evacuate residents if necessary. 13. Do not make any unnecessary trips outside. If you must venture outside, make sure you are properly dressed, and fully covered. 14. Avoid overexertion by doing only what is necessary. Cold weather strains the heart. 15. Do not panic; remain calm. Severe Cold Weather Procedures The following procedures will be followed if there is a loss of heating function during cold weather to prevent hypo pyrexia: When the facility temperature reaches 65 degrees Fahrenheit and remains so for four hours: [x] Ensure residents are dressed warmly and have enough blankets/coverings [x] Cover the heads of the residents and protect other extremities [x] Force fluids [x] Monitor body temperatures [x] Monitor environmental thermometers [x] Evacuate residents if temperatures remain low and residents' safety and welfare is jeopardized [x] Notify Medical Director Code Yellow: Terrorism Throughout human history, there have been many threats to the security of nations. These threats have brought about large-scale losses of life, the destruction of property, widespread illness and injury, the displacement of large numbers of people, and devastating economic loss. Recent technological advances and ongoing international political unrest are components of the increased risk to national security. The following are types of terrorist threats and procedures to take if they were to occur: Explosions Terrorists have frequently used explosive devices as one of their most common weapons. Terrorists do not have to look far to find out how to make explosive devices; the information is readily available in books and other information sources. The materials needed for an explosive device can be found in many places including variety, hardware, and auto supply stores. Explosive devices are highly portable using vehicles and humans as a means of transport. They are easily detonated from remote locations or by suicide bombers. Conventional bombs have been used to damage and destroy financial, political, social, and religious institutions. Attacks have occurred in public places and on city streets where thousands of people around the world have been injured and killed. _________________________ (facility name) Emergency Procedure TERRORISM–EXPLOSION The following procedure should be utilized when an explosion occurs in or near __________________ (facility name). A. "CODE YELLOW" should be announced overhead. "Attention all staff members, there has been an explosion in the area. Please Take Cover. Please initiate the Take Cover Procedure." B. Instruct staff and residents to get under or next to a sturdy table or desk if things are falling. When items stop falling, warn them to watch for weakened floors and stairways. C. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if warranted. IMPORTANT NOTE: If residents, visitors, and staff are directed to Take Cover in a hallway that has a door or window at the end of the corridor, all persons must be kept at a distance of at least thirty feet (30') away from the door or window and attempt to stay near the center of the building. D. Facility management staff should report to the Incident Command Post for a briefing and instruction. E. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of incident warrants, then appoint other positions of ICS structure. F. All staff members should avoid all areas where there are large ceiling spans. Small rooms or interior hallways away from windows and doors are suitable for "taking cover" in a situation where an immediate threat is present. G. Upon relocating all residents to a safe refuge, staff members should stay in close proximity of the residents while "taking cover" as well. Every attempt should be made to maintain calm and to reassure the residents during the emergency. H. Maintenance staff should be prepared to activate Shutdown Procedures if warranted by the situation I. All other staff members should immediately secure their work areas by securing records, closing drawers and cabinets, shutting down electronic appliances, etc., and reporting to the nearest Area of Refuge away from all windows and doors. J. Staff members working in an area near the residents should assist with relocating the residents and reassuring them about the situation. K. Stairwells must be recognized as safe areas and used to relocate residents and visitors whenever possible. L. If someone is trapped in debris, encourage them to: [x] Use a flashlight to signal location [x] Avoid unnecessary movement, so to not kick up dust [x] Cover nose and mouth with anything you have on hand and breathe through material. Dense-weave cotton material can act as a good filter [x] Tap on a pipe or wall so rescuers can hear location [x] If possible, use a whistle to signal rescuers [x] Shout only as a last resort. Shouting can cause a person to inhale dangerous amounts of dust M. All residents, staff, and visitors should remain in their refuge area until the danger has passed. This determination should be made by the Incident Commander. N. Upon issuance of the "All Clear" announcement, residents should be taken back to their rooms. O. Account for all staff members and residents. P. If the explosion occurs in or adjacent to the facility, the Incident Commander may decide to activate Emergency Activation Procedures. Q. If evacuation occurs, staff members, residents, and visitors must be mindful of falling debris and not utilize elevators. They must not stand in front of windows, glass doors, or other potentially hazardous areas. Emergency Job Tasks Terrorism–Explosion Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Initiate Take Cover Procedures. b. Be prepared to activate the Incident Command System (ICS). c. Direct staff as needed. d. All visitors should be directed to Take Cover with the residents. e. Be prepared to contact authorities if injuries and damages occur. d. Be prepared to activate Evacuation Procedures if necessary. e. Ensure staff members and residents are accounted for and safe. 2. Nursing Staff a. Connect O2 concentrators to all residents requiring oxygen. b. Relocate the residents to safe refuge. All visitors should be directed to Take Cover with the residents. c. Direct staff as needed. d. Take first aid supplies/medical supplies to designated Area of Refuge, time permitting. e. Remain calm to not upset the residents. f. Be prepared to activate Evacuation Procedures. 3. Certified Nursing Assistants a. Relocate the residents to safe refuge and stay in close proximity of the residents while taking cover as well. b. Remain calm to not upset the residents. 4. Management Staff of All Departments a. Secure work area by securing records, closing drawers, cabinets, shutting down electronic appliances, etc. and reporting to the nearest Area of Refuge away from all windows and doors. b. Direct staff as needed. c. Assist in relocating residents to safe refuge if possible. d. All visitors should be directed to Take Cover with the residents. e. Remain calm to not upset the residents. f. Assist Incident Commander as needed. g. Be prepared to activate Evacuation Procedures. 5. Maintenance a. Be prepared to activate Shutdown Procedures if warranted by the situation. b. Assist in relocating residents to safe refuge if possible. c. Remain calm to not upset the residents. d. Assist Incident Commander as needed. e. Be prepared to activate Evacuation Procedures. 6. Other Staff Members a. Secure work area by securing records, closing drawers, cabinets, shutting down electronic appliances, etc. and reporting to the nearest Area of Refuge away from all windows and doors. b. Assist in relocating residents to safe refuge if possible. c. Remain calm to not upset the residents. d. Be prepared to activate Evacuation Procedures. Nuclear Blasts A nuclear blast is an explosion with intense light and heat, a damaging pressure wave, and widespread radioactive material that can contaminate the air, water, and ground surfaces for miles around. A nuclear device can range from a weapon carried by an intercontinental missile launched by a hostile nation or terrorist organization, to a small portable nuclear devise transported by an individual. All nuclear devices cause deadly effects when exploded, including blinding light, intense heat (thermal radiation), initial nuclear radiation, blast, fires started by the heat pulse, and secondary fires caused by the destruction. Hazards of Nuclear Devices The extent, nature, and arrival time of these hazards are difficult to predict. The geographical dispersion of hazard effects will be defined by the following: [x] Size of the device – A more powerful bomb will produce more distant effects [x] Height above the ground the device was detonated – This will determine the extent of blast effects [x] Nature of the surface beneath the explosion – Some materials are more likely to become radioactive and airborne than others. Flat areas are more susceptible to blast effects [x] Existing meteorological conditions – Wind speed and direction will affect arrival time of fallout; precipitation may wash fallout from the atmosphere Radioactive Fallout Even if individuals are not close enough to the nuclear blast to be affected by the direct impacts, they may be affected by radioactive fallout. Any nuclear blast results in some fallout. Blasts that occur near the earth's surface create much greater amounts of fallout than blasts that occur at higher altitudes. This is because the tremendous heat produced from a nuclear blast causes an updraft of air that forms the familiar mushroom cloud. When a blast occurs near the earth's surface, millions of vaporized dirt particles also are drawn into the cloud. As the heat diminishes, radioactive materials that have vaporized condense on the particles and fall back to Earth. The phenomenon is called radioactive fallout. This fallout material decays over a long period of time, and is the main source of residual nuclear radiation. Fallout from a nuclear explosion may be carried by wind currents for hundreds of miles if the right conditions exist. Effects from even a small portable device exploded at ground level can be potentially deadly. Nuclear radiation cannot be seen, smelled, or otherwise detected by normal senses. Radiation can only be detected by radiation monitoring devices. This makes radiological emergencies different from other types of emergencies, such as floods or hurricanes. Monitoring can project the fallout arrival times, which will be announced through official warning channels. However, any increase in surface build-up of gritty dust and dirt should be a warning for taking protective measures. Electromagnetic Pulse (EMP) In addition to other effects, a nuclear weapon detonated in or above the earth's atmosphere can create an electromagnetic pulse (EMP), a high-density electrical field. An EMP acts like a stroke of lightning but is stronger, faster, and shorter. An EMP can seriously damage electronic devices connected to power sources or antennas. This includes communication systems, computers, electrical appliances, and automobile or aircraft ignition systems. The damage could range from a minor interruption to actual burnout of components. Most electronic equipment within 1,000 miles of a high-altitude nuclear detonation could be affected. Battery-powered radios with short antennas generally would not be affected. Although an EMP is unlikely to harm most people, it could harm those with pacemakers or other implanted electronic devices. Protection from a Nuclear Blast The danger of a massive strategic nuclear attack on the United States is predicted by experts to be less likely today. However, terrorism, by nature, is unpredictable. If there were threat of an attack, people living near potential targets could be advised to evacuate or they could decide on their own to evacuate to an area not considered a likely target. Protection from radioactive fallout would require taking shelter in an underground area or in the middle of a large building. In general, potential targets include: [x] Strategic missile sites and military bases [x] Centers of government such as Washington, DC, and state capitals [x] Important transportation and communication centers [x] Manufacturing, industrial, technology, and financial centers [x] Petroleum refineries, electrical power plants, and chemical plants [x] Major ports and airfields The three factors for protecting oneself from radiation and fallout are distance, shielding, and time. Distance – The more distance between you and the fallout particles, the better. An underground area such as a home or office building basement offers more protection than the first floor of a building. A floor near the middle of a highrise building may be better, depending on what is nearby at that level on which significant fallout particles would collect. Flat roofs collect fallout particles, so the top floor is not a good choice, nor is a floor adjacent to a neighboring flat roof Shielding – The heavier and denser the materials—thick walls, concrete, bricks, books, and earth—between you and the fallout particles, the better. Time – Fallout radiation loses its intensity fairly rapidly. In time, you will be able to leave the fallout shelter. Radioactive fallout poses the greatest threat to people during the first two weeks, by which time it has declined to about one percent of its initial radiation level. Remember that any protection, however temporary, is better than none at all, and the more shielding, distance, and time you can take advantage of, the better. Before a Nuclear Blast The following should be considered in advance of a nuclear blast: [x] Find out from officials if any public buildings in your community have been designated as fallout shelters. If none have been designated, make your own list of potential shelters near your home, workplace, and school. These places would include basements or the windowless center area of middle floors in high-rise buildings, as well as subways and tunnels. [x] During periods of increased threat, ensure disaster supplies are adequate. If you are caught outside and are unable to get inside immediately: [x] Do not look at the flash or fireball—it can blind you. [x] Take cover behind anything that might offer protection. [x] Lie flat on the ground and cover your head. If the explosion is some distance away, it could take 30 seconds or more for the blast wave to hit. [x] Take shelter as soon as you can—even if you are many miles from ground zero where the attack occurred, radioactive fallout can be carried by the winds for hundreds of miles. Remember the three protective factors: distance, shielding, and time. After a Nuclear Blast Decay rates of the radioactive fallout are the same for any sized nuclear device. However, the amount of fallout will vary based on the size of the device and its proximity to the ground. Therefore, it might be necessary for those in the areas with highest radiation levels to shelter for up to a month. The heaviest fallout would be limited to the area at or downwind from the explosion, and 80 percent of the fallout would occur during the first 24 hours. People in most of the areas that would be affected could be allowed to come out of shelter within a few days and, if necessary, evacuate to unaffected areas. Remember the following information: [x] Keep listening to the radio and television for news about what to do, where to go, and places to avoid [x] Stay away from damaged areas. Stay away from areas marked "Radiation Hazard" or "HAZMAT." Remember that radiation cannot be seen, smelled, or otherwise detected by human senses. _________________________ (facility name) Emergency Procedure TERRORISM–NUCLEAR BLAST ATTACK The following procedure should be utilized in the event of a Nuclear Blast near ___________________ (facility name). A. "CODE YELLOW" a nuclear blast has occurred," should be announced overhead. "Attention all staff members, residents, and visitors please remain in the facility until further notice." Local radio announcements will give specific instructions whether an attack warning is issued or an incident has occurred. B. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if warranted. C. Facility management staff should report to the Incident Command Post for a briefing and instruction. D. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of incident warrants, then appoint other positions of ICS structure. E. Residents, visitors, and staff should close blinds and drapes and move away from windows and doors. Close and lock doors and windows. Initiate Shelter-in-Place Procedures. F. If a threat warning is issued in advance, the facility should ensure disaster supplies are adequate for Sheltering in Place. G. Instruct staff, residents, and visitors to remain in the facility until further notice from the local authorities. H. Listen to battery-operated radio for information regarding the incident and specific instructions. I. If staff members, residents, and visitors are caught outside and are unable to get inside immediately, instruct them to the following: [x] Do not look at the flash or fireball—it can blind you [x] Take cover behind anything that might offer protection [x] Lie flat on the ground and cover your head. If the explosion is some distance away, it could take 30 seconds or more for the blast wave to hit [x] Take shelter as soon as you can—even if you are many miles from ground zero where the attack occurred, radioactive fallout can be carried by the winds for hundreds of miles. Remember the three protective factors: distance, shielding, and time J. Continue to monitor radio announcements for further instruction. The situation should only be deemed "under control" and safe by local and state authorities. At that point, the Incident Commander can declare the situation "safe" and back to normal operations. K. Account for all staff members and residents. Emergency Job Tasks Terrorism–Nuclear Blast Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Listen to battery-operated radio for information regarding the incident and for specific instructions. b. Activate Recall Roster and alert management staff to report to the Incident Command Post. c. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. b. Should be responsible for activating the Shelter-in-Place Procedures until further notice from local and state authorities. c. Ensure staff members and residents are accounted for and safe. 2. Management Staff of All Departments a. Report to the Incident Command Post. b. Instruct staff members, residents, and visitors to remain in the facility. c. Close blinds and drapes and move away from windows. Close and lock doors and windows. d. Initiate Shelter-in-Place Procedures until further notice from the local authorities. e. Remain calm to not upset the residents. 3. Maintenance a. Report to the Incident Command Post. b. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. c. Instruct staff members to close blinds and drapes and move away from windows. Close and lock doors and windows. d. Initiate Shelter-in-Place Procedures until further notice from the local authorities. e. Remain calm to not upset the residents. 4. Staff Members of All Departments a. Close blinds and drapes and move residents away from windows. Close and lock doors and windows. b. Initiate Shelter-in-Place Procedures. c. Remain calm to not upset the residents. Radiological Dispersion Device (RDD) Terrorist use of an RDD—often called "dirty nuke" or "dirty bomb"—is considered far more likely than use of a nuclear explosive device. An RDD combines a conventional explosive device—such as a bomb—with radioactive material. It is designed to scatter dangerous and sub-lethal amounts of radioactive material over a general area. RDDs appeal to terrorists because they require limited technical knowledge to build and deploy compared to a nuclear device. Also, the radioactive materials in RDDs are widely used in medicine, agriculture, industry, and research, and are easier to obtain than weapons grade uranium or plutonium. The primary purpose of terrorist use of an RDD is to cause psychological fear and economic disruption. Some devices could cause fatalities from exposure to radioactive materials. Depending on the speed at which the area of the RDD detonation was evacuated or how successful people were at sheltering-in-place, the number of deaths and injuries from an RDD might not be substantially greater than from a conventional bomb explosion. The size of the affected area and the level of destruction caused by an RDD would depend on the sophistication and size of the conventional bomb, the type of radioactive material used, the quality and quantity of the radioactive material, and the local meteorological conditions—primarily wind and precipitation. The area affected could be placed off-limits to the public for several months during cleanup efforts. Before a Radiological Dispersion Device The following should be considered in advance of an RDD: There is no way of knowing how much warning time there will be before an attack by terrorists using an RDD, so being prepared in advance and knowing what to do and when is important. To prepare for an RDD event, you should do the following: [x] Find out from officials if any public buildings in your community have been designated as fallout shelters. If none have been designated, make your own list of potential shelters near your home, workplace, and school. These places would include basements or the windowless center area of middle floors in high-rise buildings, as well as subways and tunnels. [x] If you live in an apartment building or high-rise, talk to the manager about the safest place in the building for sheltering and about providing for building occupants until it is safe to go out. [x] During periods of increased threat increase your disaster supplies to be adequate for up to two weeks. Taking shelter during an RDD event is absolutely necessary. There are two kinds of shelters—blast and fallout. The following describes the two kinds of shelters: [x] Blast shelters are specifically constructed to offer some protection against blast pressure, initial radiation, heat, and fire. But even a blast shelter cannot withstand a direct hit from a nuclear explosion. [x] Fallout shelters do not need to be specially constructed for protecting against fallout. They can be any protected space, provided that the walls and roof are thick and dense enough to absorb the radiation given off by fallout particles. During an RDD While the explosive blast will be immediately obvious, the presence of radiation will not be known until trained personnel with specialized equipment are on the scene. Whether you are indoors or outdoors, at home or at work, be extra cautious. It would be safer to assume radiological contamination has occurred—particularly in an urban setting or near other likely terrorist targets—and take the proper precautions. As with any radiation, you want to avoid or limit exposure. This is particularly true of inhaling radioactive dust that results from the explosion. As you seek shelter from any location (indoors or outdoors) and there is visual dust or other contaminants in the air, breathe though the cloth of your shirt or coat to limit your exposure. If you manage to avoid breathing radioactive dust, your proximity to the radioactive particles may still result in some radiation exposure. If the explosion or radiological release occurs inside, get out immediately and seek safe shelter. Otherwise, if you are: \| \| Outdoors \| Indoors \| \|---\|---\|---\| \| Seek shelter indoors immediately in the nearest undamaged building. If appropriate shelter is not available, move as rapidly as is safe upwind and away from the location of the explosive blast. Then, seek appropriate shelter as soon as possible. Listen for official instructions and follow directions. \| \| \| After an RDD After finding safe shelter, those who may have been exposed to radioactive material should decontaminate themselves. To do this, remove and bag your clothing (isolating the bag away from you and others), and shower thoroughly with soap and water. Seek medical attention after officials indicate it is safe to leave shelter. Contamination from an RDD event could affect a wide area, depending on the amount of conventional explosives used, the quantity and type of radioactive material released, and meteorological conditions. Thus, radiation dissipation rates vary, but radiation from an RDD will likely take longer to dissipate due to a potentially larger localized concentration of radioactive material. Follow these additional guidelines after an RDD event: [x] Continue listening to your radio or watch the television for instructions from local officials, whether you have evacuated or sheltered-in-place. [x] Do not return to or visit an RDD incident location for any reason. _________________________ (facility name) Emergency Procedure TERRORISM–RADIOLOGICAL DISPERSION DEVICE (RDD) The following procedure should be utilized in the event of a RRD near ________________________ (facility name). A. "CODE YELLOW" should be announced overhead. "Attention all staff members, residents, and visitors please remain in the facility until further notice." Sirens will be sounding in the community and/or local authorities will notify the facility. Radio announcements will give specific instructions regarding the need to evacuate. B. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if warranted. C. Facility management staff should report to the Incident Command Post for a briefing and instruction. D. Activate the ICS to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of fire warrants, then appoint other positions of the ICS structure. E. Residents, visitors, and staff members should close blinds and drapes and move away from windows and doors. Close and lock doors and windows. F. Initiate Shelter-in-Place Procedures. G. Turn off air conditioner, ventilation fans, furnace, and other air intakes as soon as possible. H. Seal windows and external doors that do not fit snugly with duct tape to reduce infiltration of radioactive particles. I. If a threat warning is issued in advance, facility should ensure disaster supplies are adequate for Sheltering-in-Place. J. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. K. Facility management staff should report to the Incident Command Post for a briefing and instruction. L. Listen to battery-operated radio for information regarding the incident and specific instructions. M. If staff members, residents, and visitors are outside, they should be instructed to breathe though the cloth of their shirts or coats to limit exposure. They must then seek shelter. If they manage to avoid breathing radioactive dust, the proximity to the radioactive particles may still result in some radiation exposure. N. If staff members, residents, and visitors have been exposed to radioactive material, they must decontaminate themselves by: [x] Removing clothing and bagging it, isolating the bag away from others. [x] Showering thoroughly with soap and water. [x] Seeking medical attention after officials indicate it is safe to leave shelter. O. Continue to monitor radio announcements for further instruction. The situation should only be deemed "under control" and safe by local and state authorities. At that point, the Incident Commander can declare the situation "safe" for re-entry and/or normal operations. P. Account for all staff members and residents. Emergency Job Tasks Terrorism–Radiological Dispersion Device (RDD) Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Listen to radio and/or television for information regarding the incident and for specific instructions. b. Establish contact with Emergency Management Office if necessary. c. Activate Recall Roster and alert management staff to report to the Incident Command Post. d. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. e. Instruct staff to close blinds and drapes and move residents away from windows and doors. Close and lock doors and windows. d. Should be responsible for activating the Shelter-in-Place Procedures. e. Ensure staff members and residents are accounted for and safe. 2. Management Staff of All Departments a. Report to the Incident Command Post. b. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. c. Close blinds and drapes and move residents away from windows and doors. Close and lock doors and windows. d. Seal windows and external doors that do not fit snugly with duct tape to reduce infiltration of radioactive particles. e. Remain calm to not upset the residents. f. Activate Shelter-in-Place Procedures. 3. Maintenance a. Report to the Incident Command Post. b. Turn off the air conditioner, ventilation fans, furnace, and other air intakes. c. Seal windows, external doors that do not fit snugly with duct tape to reduce infiltration of radioactive particles. d. Instruct staff , residents, and visitors to remain in the facility until further notice from the local authorities. e. Remain calm to not upset the residents. f. Activate Shelter-in-Place Procedures. 4. Staff Members of All Departments a. Close blinds and drapes and move residents away from windows and doors. Close and lock doors and windows. b. Ensure residents and visitors remain in the facility until further notice from the local authorities. c. Remain calm to not upset the residents. d. Activate Shelter-in-Place Procedures. Biological Threat Biological agents are organisms or toxins that can kill or incapacitate people, livestock, and crops. The three basic groups of biological agents that would likely be used as weapons are bacteria, viruses, and toxins. Most biological agents are difficult to grow and maintain. Many break down quickly when exposed to sunlight and other environmental factors, while others, such as anthrax spores, are very long lived. Biological agents can be dispersed by spraying them into the air, by infecting animals that carry the disease to humans, and by contaminating food and water. Delivery methods include: [x] Aerosols—Biological agents are dispersed into the air, forming a fine mist that may drift for miles. Inhaling the agent may cause disease in people or animals [x] Animals—Some diseases are spread by insects and animals, such as fleas, mice, flies, mosquitoes, and livestock [x] Food and water contamination—Some pathogenic organisms and toxins may persist in food and water supplies. Most microbes can be killed, and toxins deactivated, by cooking food and boiling water. Most microbes are killed by boiling water for one minute, but some require longer. Follow official instructions [x] Person-to-person spread of a few infectious agents is also possible—Humans have been the source of infection for smallpox, plague, and the Lassa viruses Children and older adults are particularly vulnerable to biological agents. Before a Biological Attack Consider installing a high efficiency particulate air (HEPA) filter in your furnace return duct. These filters remove particles in the 0.3 to 10 micron range and will filter out most biological agents that may enter the facility. If you do not have a central heating or cooling system, a stand-alone portable HEPA filter can be used. Filtration in Buildings Determine the type and level of filtration in the facility and the level of protection it provides against biological agents. The National Institute of Occupational Safety and Health (NIOSH) provides technical guidance on this topic in their publication Guidance for Filtration and Air-Cleaning Systems to Protect Building Environments from Airborne Chemical, Biological, or Radiological Attacks. To obtain a copy, call 1 (800) 35NIOSH or visit the National Institute for Occupational Safety and Health Web site and request or download NIOSH Publication 2003-136. Using HEPA Filters HEPA filters are useful in biological attacks. If you have a central heating and cooling system with a HEPA filter, leave it on if it is running or turn the fan on if it is not running. Moving the air in the facility through the filter will help remove the agents from the air. If you have a portable HEPA filter, take it with you to the internal room where you are seeking shelter and turn it on. If you are in a facility that has a modern, central heating and cooling system, the system's filtration should provide a relatively safe level of protection from outside biological contaminants. HEPA filters will not filter chemical agents. After a Biological Attack In some situations, such as the case of the anthrax letters sent in 2001, people may be alerted to potential exposure. If this is the case, pay close attention to all official warnings and instructions on how to proceed. The delivery of medical services for a biological event may be handled differently to respond to increased demand. The basic public health procedures and medical protocols for handling exposure to biological agents are the same as for any infectious disease. It is important for you to pay attention to official instructions via radio, television, and emergency alert systems. _________________________ (facility name Emergency Procedure TERRORISM–BIOLOGICAL ATTACK The following procedure should be utilized in the event of a Biological Attack. The basic public health procedures and medical protocols for handling exposure to biological agents are the same as for any infectious disease. A. "CODE YELLOW", a Biological Attack has occurred," should be announced overhead. "Attention all staff members, residents, and visitors please remain in the facility until further notice." C. Individuals who find or become aware of an unusual and suspicious substance or package (please see the following information on Suspicious Packages) should notify the Administrator or highest ranking individual in the facility. D. Facility management staff should report to the Incident Command Post for a briefing and instruction. E. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of incident warrants, then appoint other positions of ICS structure. F. In the event of a biological attack, public health officials may not immediately be able to provide information on what you should do. It will take time to determine what the illness is, how it should be treated, and who is in danger. Watch television, listen to the radio, or check the Internet for official news and information including signs and symptoms of the disease, areas in danger, if medications or vaccinations are being distributed, and where you should seek medical attention if needed. G. The first evidence of an attack may be when symptoms of the disease caused by exposure to an agent are noticed. Be suspicious of any symptoms you notice, but do not assume that any illness is a result of the attack. Use common sense and practice good hygiene. H. With suspicious envelopes and packages other than those that might contain explosives, take these additional steps against possible biological and chemical agents: 1. Contact 911 and Emergency Services immediately. Do not disturb the package. 2. Leave the room and close the door, or section off the area to prevent others from entering. 3. Wash your hands with soap and water. 4. List all people who were in the room or area when this suspicious letter or package was recognized. Give a copy of this list to both the local public health authorities and law enforcement officials for follow-up investigations and advice. I. If exposure occurs with a biological agent: 1. Remove and bag your clothes and personal items. Follow official instructions for disposal of contaminated items. 2. Wash yourself with soap and water and put on clean clothes. 3. Seek medical assistance as soon as possible when it is announced by the local authorities where to go to receive medical care. You may be advised to stay away from others or even be quarantined. J. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. K. Continue to listen for official instructions via radio, television, and emergency alert systems for further instructions. L. Account for all staff members and residents. B. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if a biological attack has occurred, if they are not aware or on the premises. The Recall Roster should be activated if warranted. Suspicious Packages Be wary of suspicious packages and letters. They can contain explosives or chemical or biological agents. Be particularly cautious in the mail handling area and refrain from eating or drinking in that area. Some typical characteristics postal inspectors have detected over the years, which ought to trigger suspicion, include parcels that: [x] Are unexpected or from someone unfamiliar to you [x] Have no return address, or have one that can't be verified as legitimate [x] Have protruding wires or aluminum foil, strange odors, or stains ) [x] Show a city or state in the postmark that doesn't match the return address [x] Are of unusual weight given their size, or are lopsided or oddly shaped [x] Are marked with threatening language [x] Have inappropriate or unusual labeling [x] Have excessive postage or packaging material, such as masking tape and string [x] Have misspellings of common words [x] Are addressed to someone no longer with your organization or otherwise outdated [x] Have incorrect titles or titles without a name [x] Are not addressed to a specific person [x] Have hand-written or poorly typed addresses Emergency Job Tasks Terrorism–Biological Attack Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Contact 911 and Emergency Management Services if necessary. Upon arrival of authorities, establish contact with the officer in charge and relay all relevant information regarding the situation. b. Activate the Recall Roster and alert management staff to report to the Incident Command Post. c. Instruct all staff members to remain in the facility. d. Listen for official instructions via radio, television, and emergency alert systems for further instructions. e. Ensure staff members and residents are accounted for and safe. 2. Management Staff of All Departments a. Report to the Incident Command Post. b. Instruct staff members to remain in the facility with windows and doors closed. c. Follow instructions if exposure occurs. d. Listen for official instructions via radio, television, and emergency alert systems for further instructions. e. Remain calm to not upset the residents. f. Assist Incident Commander as needed. 3. Maintenance a. Report to the Incident Command Post. b. Instruct staff members to keep windows and doors closed. c. Follow instructions if exposure occurs. d. Listen for official instructions via radio, television, and emergency alert systems for further instructions. e. Remain calm to not upset the residents. f. Assist Incident Commander as needed. 4. Staff Members of All Departments a. Keep windows and doors shut. b. Ensure residents and visitors remain in the facility until further notice from the local authorities. c. Follow procedures if exposure occurs. d. Remain calm to not upset the residents. e. Assist Incident Commander as needed. Chemical Attack Chemical agents are poisonous vapors, aerosols, liquids, and solids that have toxic effects on people, animals, or plants. They can be released by bombs or sprayed from aircraft, boats, and vehicles. They can be used as a liquid to create a hazard to people and the environment. Some chemical agents may be odorless and tasteless. They can have an immediate effect (a few seconds to a few minutes) or a delayed effect (two to 48 hours). While potentially lethal, chemical agents are difficult to deliver in lethal concentrations. Outdoors, the agents often dissipate rapidly. Chemical agents also are difficult to produce. A chemical attack could come without warning. Signs of a chemical release include people having difficulty breathing; experiencing eye irritation; losing coordination; becoming nauseated; or having a burning sensation in the nose, throat, and lungs. Also, the presence of many dead insects or birds may indicate a chemical agent release. If staff members and residents are caught in or near a contaminated area, they should be instructed to: [x] Move away immediately in a direction upwind of the source. [x] Find shelter as quickly as possible. After a Chemical Attack Decontamination is needed within minutes of exposure to minimize health consequences. Do not leave the safety of a shelter to go outdoors to help others until authorities announce it is safe to do so. A person affected by a chemical agent requires immediate medical attention from a professional. If medical help is not immediately available, decontaminate yourself and assist in decontaminating others. Decontamination guidelines are as follows: [x] Use extreme caution when helping others who have been exposed to chemical agents [x] Remove all clothing and other items in contact with the body. Contaminated clothing normally removed over the head should be cut off to avoid contact with the eyes, nose, and mouth. Put contaminated clothing and items into a plastic bag and seal it. Decontaminate hands using soap and water. Remove eyeglasses or contact lenses. Put glasses in a pan of household bleach to decontaminate them, and then rinse and dry [x] Flush eyes with water [x] Gently wash face and hair with soap and water before thoroughly rinsing with water [x] Decontaminate other body areas likely to have been contaminated. Blot (do not swab or scrape) with a cloth soaked in soapy water and rinse with clear water [x] Change into uncontaminated clothes. Clothing stored in drawers or closets is likely to be uncontaminated [x] Proceed to a medical facility for screening and professional treatment _________________________ (facility name Emergency Procedure TERRORISM–CHEMICAL ATTACK The following procedure should be utilized in the event of a Chemical Attack. A. "CODE YELLOW", a Chemical Attack has occurred," should be announced overhead. "Attention all staff members, residents, and visitors please remain in the facility until further notice." B. Administrator and Director of Nursing _____________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if warranted. C. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. D. Facility management staff should report to the Incident Command Post for a briefing and instruction. E. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of incident warrants, then appoint other positions of ICS structure. F. Residents, visitors, and staff members should close blinds and drapes and move away from windows and doors. Close doors and windows. G. Initiate Shelter-in-Place Procedures. Ensure disaster supplies are adequate. H. Turn off air conditioner, ventilation fans, furnace, and other air intakes. I. Seal windows and external doors that do not fit snugly with duct tape and plastic sheeting. J. Listen to radio for information regarding the incident and specific instructions. K. If staff members, residents, and visitors have been exposed to chemical agents, decontamination is needed within minutes of exposure to minimize health consequences. Decontamination guidelines are as follows: 1. Use extreme caution when helping others who have been exposed to chemical agents. 2. Remove all clothing and other items in contact with the body. Contaminated clothing normally removed over the head should be cut off to avoid contact with the eyes, nose, and mouth. Put contaminated clothing and items into a ) plastic bag and seal it. Decontaminate hands using soap and water. Remove eyeglasses or contact lenses. Put glasses in a pan of household bleach to decontaminate them, and then rinse and dry. 3. Flush eyes with water. 4. Gently wash face and hair with soap and water before thoroughly rinsing with water. 5. Decontaminate other body areas likely to have been contaminated. Blot (do not swab or scrape) with a cloth soaked in soapy water and rinse with clear water. 6. Change into uncontaminated clothes. Clothing stored in drawers or closets is likely to be uncontaminated. 7. Seek medical assistance as soon as possible for screening and professional treatment. L. Continue to monitor radio announcements for further instruction. The situation should only be deemed "under control" and safe by local and state authorities. M. Account for all staff members and residents. Emergency Job Tasks Terrorism–Chemical Attack Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Listen to radio and/or television for information regarding the incident and for specific instructions. b. Establish contact with Emergency Management Office if necessary. c. Activate the Recall Roster and alert management staff to report to the Incident Command Post. d. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. e. Instruct staff to close blinds and drapes and move residents away from windows and doors. Close doors and windows. Activate Decontamination Procedures if necessary. f. Should be responsible for activating the Shelter-in-Place Procedures. g. Ensure staff members and residents are accounted for and safe. 2. Management Staff of All Departments a. Report to the Incident Command Post. b. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. c. Close blinds and drapes and move residents away from windows and doors. Close and lock doors and windows. d. Seal windows and external doors that do not fit snugly with duct tape and plastic sheeting. e. Activate Decontamination Procedures if necessary. f. Remain calm to not upset the residents. g. Activate Shelter-in-Place Procedures. 3. Maintenance a. Report to the Incident Command Post. b. Turn off the air conditioner, ventilation fans, furnace, and other air intakes. c. Seal windows and external doors that do not fit snugly with duct tape to reduce infiltration of radioactive particles. d. Instruct staff members, residents, and visitors to remain in the facility until further notice from the local authorities. Activate Decontamination Procedures if necessary. e. Remain calm to not upset the residents. f. Activate Shelter-in-Place Procedures. 4. Staff Members of All Departments a. Close blinds and drapes and move residents away from windows and doors. Close and lock doors and windows. b. Ensure residents and visitors remain in the facility until further notice from the local authorities. c. Activate Decontamination Procedures if necessary. d. Remain calm to not upset the residents. e. Activate Shelter-in-Place Procedures. Plain Speech/Text: Tornado (Watch or Warning) _________________________ (facility name) Emergency Procedure TORNADO WATCH The following procedure should be utilized when a tornado watch has been issued. A watch indicates that tornadoes may potentially develop as reported by the National Weather Service or through other reports (television, radio, community warning sirens, etc.). This procedure should work in tandem with the Take Cover procedure during an emergency situation that requires the relocation of residents, staff, and visitors to a Safe Refuge. A. Announce that a tornado watch has been issued for this area effective until _________ ( time watch ends ). A tornado watch means that current weather conditions may produce a tornado. Please close all draperies and blinds throughout the facility and await further instructions. Please continue with your regular activities.” B. The above message should be repeated again after five (5) minutes and then hourly until the watch has terminated. C. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if needed. D. Facility management staff should report to the Incident Command Post for instruction to be prepared for Take Cover Procedures. E. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. F. Monitor weather alert radio and television for changing conditions. G. All window drapes and blinds are to be closed. H. Distribute flashlights, towels, and blankets to staff and residents. I. Ensure first aid and medical supplies are secured and taken to central area for refuge. J. Secure all outside furniture, trash cans, etc. K. Once the Tornado Watch has been cancelled and the Incident Commander has determined the dangerous situation has passed, “All Clear, Repeat, All Clear” should be paged. L. Account for all staff members and residents. _________________________ (facility name) Emergency Procedure TORNADO WARNING The following procedure should be utilized when a tornado "warning" has been issued. A warning indicates that a tornado has been sighted in the immediate area as reported by the National Weather Service or through other reports (television, radio, community warning sirens, etc.). This procedure should work in tandem with the Take Cover Procedure during an emergency situation that requires the relocation of residents, staff, and visitors to a Safe Refuge. A. A tornado warning has been issued for our area. Immediately implement the Take Cover Procedure. Repeating—a tornado warning has been issued for our area. Immediately implement the Take Cover Procedure." B. The above message should be repeated again after five (5) minutes and then hourly until the watch has terminated. C. Administrator and Director of Nursing ______________________________________ (facility to fill in appropriate titles/positions) will be notified if not on the premises. The Recall Roster should be activated if needed. D. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. E. Upon hearing this announcement, all personnel should refer to the Take Cover Procedure and follow it in its entirety to help ensure the safety of the residents, visitors, and themselves. F. Once the Tornado warning is over and the Incident Commander has determined the dangerous situation has passed, "All Clear, Repeat, All Clear" should be paged to signal the Take Cover situation has ended. G. Upon issuance of the All Clear announcement, residents should be taken back to their rooms. H. Account for all staff members and residents. Code Yellow: Utility Outage Electrical/Gas/Water/Phone/Technology Technological emergencies include any interruption or loss of a utility service, power source, information system, or equipment needed to keep the residents and employees safe, as well as maintaining ____________________________ (facility name) operations. Advance Planning Considerations for Utility Outages: See emergency utility blueprints, contact info and shutdown procedures in Facility Operations Appendix 8. - Identify security and alarm systems, fire, elevators, lighting, life support systems, heating, ventilation and air conditioning systems, electrical distribution system, emergency generators, medical gas delivery systems, and other critical systems. o Breaker Panel Card copied and attached to emergency plan on (date) ____________________________ - Determine need for backup systems - Identify communication systems, both data and voice computer networks. - Create/keep an accurate blueprint of all utility lines and pipes associated with the facility and grounds. - Evaluate backup generator needs. Disseminate info to all facility staff regarding what can be run on backup generators, consider power needs for critical safety and medical equipment, refrigeration, temp control, etc. - List all day and evening phone numbers of emergency reporting and repair services of all serving utility companies and maintenance personnel for day and evening notification. - Arrange for private contract to serve as an added backup source for generator, gas and diesel. - Ensure that key safety and maintenance personnel are thoroughly familiar with all building systems. - Establish procedures for restoring systems. - Establish preventive maintenance schedules for all systems and equipment. - Train Staff on course of action to follow on elevator safety and use when stuck between floors/power outage. - Request that maintenance staff inspect all personal electrical appliances prior to use in the facility. - Conduct a facility-wide drill whereby the main electric source is shut down for 6 hours and the generator system is used to help staff learn first-hand what works/does not work on generator power and practice dealing with the issues and concerns prior to the next electrical failure. - Arrange for walk through of facility by Emergency Management, Fire, Police and emergency transport services o Master Keys Control:____________________________________________________________ o Master Key Holders: ____________________________________________________________ o Location of Emergency Keys: _____________________________________________________ o Procedure for Use: ______________________________________________________________ o Establish that the facility administrator/DON is the Incident Commander for the facility and is responsible for making the final decisions regarding the order of evacuation/relocation of residents, loading of residents into transport, etc. o Determine location/s where each group will park/place their emergency equipment/assist residents o Share facility design and plans for moving residents from one wing to another in facility in emergency o Share evacuation route within the facility and determine which doors will be used for residents, Emergency management, Fire and Police to avoid evacuation over/around equipment and workers For More Tips Appendix 18: Resources. Emergency Procedure UTILITY OUTAGE A. “CODE YELLOW” should be announced overhead, unless electrical power source is out. B. Call Utility Company: _____________________________ spoke to : _______________________________ Who called: ___________________ Time: __________am/pm Response: ______________________________________________________________________________ C. Administrator and Director of Nursing , Maintenance Director & Staff, and _____________ will be notified if not on the premises. The Recall Roster should be activated if warranted. D. Immediately determine if the loss of a utility (electric, gas, propane, water, etc.) is due to an incident occurring at the facility like a rupture, leak, fire, collision (vehicle striking meter, etc.). E. Check Fire system for operational status F. Determine the impact of service disruption and projected duration. G. Notify appropriate utility company(s) of the outage and contact 911 if there is an emergency situation. H. Facility management staff should report to the Incident Command Post for a briefing and instruction. I. Activate the Incident Command System (ICS) to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of incident warrants, then appoint other positions of ICS structure. J. Ensure back-up systems (emergency generators, emergency lighting, additional blankets, flashlights, emergency water, emergency food supply, etc.) are available and operating as designed in accordance with requirements. K. Monitor residents to ensure they are safe. See SEVERE COLD and HOT WEATHER PROCEDURES to prevent HYPOPYREXIA during loss of heating functions and procedures to prevent HYPERPYREXIA during loss of cooling functions. L. Continuously monitor equipment that may be adversely impacted by the failure due to the failure itself (electrical grounding, failure of other systems, etc.) as well as negative circumstances that may occur upon sudden resumption of utility (over-pressurization, power surge, etc.). M. Initiate proactive and preventative measures to safeguard and isolate resources to help preserve said resources (keep doors to refrigerators and freezers closed, keep outside doors closed to maintain air conditioning, etc.). N. If outage is long-term and threatens resident safety and welfare, initiate Evacuation Emergency Procedures. O. Establish and maintain contact with local emergency responders to advise them of the situation and keep them informed of potential needs as the situation worsens. P. The situation should only be deemed "under control" after the outage has been restored and the Incident Commander has declared the situation "safe." At that point an "All Clear" can be announced or "Re-Entry" if evacuation had occurred. Q. Account for staff members and residents. Emergency Job Tasks Utility Outage Specific tasks should be assigned to staff members during an emergency based on the following criteria: 1. Administrator/Incident Commander a. Immediately determine if the loss of a utility (electric, gas, propane, water, etc.) is due to an incident occurring at the facility like a rupture, leak, fire, collision (vehicle striking meter, etc.). b. Determine the impact of service disruption and projected duration. c. Notify appropriate utility company(s) of the outage and contact 911 if there is an emergency situation. Emergency Agency contacted: _________________ Contact person: ___________________ When: ___________am/pm d. Consider activating the Incident Command System (ICS) to manage the situation. e. Activate the ICS to manage the incident. The most qualified staff member (in regard to the Incident Command System) on duty at the time will assume the Incident Commander position. If severity of fire warrants, then appoint other positions of the ICS structure. f. If severity of incident warrants, then appoint other positions of ICS structure. g. Initiate Severe Cold and Hot Weather Procedures if necessary. h. Initiate Evacuation Emergency Procedures, if outage is long-term and threatens resident safety and welfare. i. Ensure staff members and residents are accounted for and safe. 2. Director of Nursing a. Ensure back-up systems (emergency generators, emergency lighting, additional blankets, flashlights, emergency water, etc.) are available and operating as designed in accordance with requirements. b. Monitor safety of the residents and staff members during severe cold and hot weather during a power outage. - Check and Monitor oxygen & other medical equipment – create policy as needed - Activate Severe Weather Procedures. c. Be prepared to activate Evacuation Procedures. d. Be prepared to assist where needed at the direction of the Incident Commander. 3. Nursing Staff a. Initiate proactive and preventative measures to safeguard and isolate resources to help preserve said resources (keep doors to refrigerators and freezers closed, keep outside doors closed to maintain air conditioning, etc.). b. Monitor resident safety. Initiate Severe Weather Procedures if necessary. c. Be prepared to activate Evacuation Procedures. d. Be prepared to assist where needed at the direction of the Incident Commander. 4. Certified Nursing Assistants a. Monitor resident safety. Initiate Severe Weather Procedures if necessary. b. Be prepared to activate Evacuation Procedures. c. Be prepared to assist where needed at the direction of the Incident Commander. 5. Office Staff/Medical Records a. Initiate proactive and preventative measures to safeguard and isolate resources to help preserve said resources (keep doors to refrigerators and freezers closed, keep outside doors closed to maintain air conditioning, etc.). b. Be prepared to activate Evacuation Procedures. 6. Activity Staff a. Assist with Severe Weather Procedures if necessary b. Be prepared to activate Evacuation Procedures. c. If available, assist with other emergency operations at the direction of the Incident Commander. 7. Maintenance Personnel a. Immediately determine if the loss of a utility (electric, gas, propane, water, etc.) is due to an incident occurring at the facility like a rupture, leak, fire, collision (vehicle striking meter, etc.). b. Contact utility c. Fire alarm & response system operational? d. Determine the impact of service disruption and projected duration. e. Turn off power at main control point if short is suspected f. Ensure back-up systems (emergency generators, emergency lighting, additional blankets, flashlights, emergency water, etc.) are available and operating as designed in accordance with requirements. g. Assist with Severe Weather Procedures if necessary h. Be prepared to activate Evacuation Procedures i. Be prepared to assist where needed at the direction of the Incident Commander. 8. All Other Employees (housekeeping, laundry, dietary, etc.) a. Ensure back-up systems (emergency generators, emergency lighting, additional blankets, flashlights, emergency water, emergency food, etc.) are available and operating as designed in accordance with requirements. b. Initiate Severe Weather Procedures if necessary. c. Keep refrigerator storage units for food and medicines closed to retard spoilage c. Be prepared to activate Evacuation Procedures. d. Be prepared to assist where needed at the direction of the Incident Commander. For generator information see Appendix 8: Facility Operations. Gas Line Break 1. Evacuate the building immediately. Follow evacuation procedures. 2. Notify maintenance staff, Administrator, local public utility department, gas company and police and fire departments. List all numbers here. 3. Shut off the main valve. 4. Open windows. 5. Re-enter building only at the discretion of utility officials. Water 1. If water main break – shut off valve at primary point 2. Notify the Administrator or Administrator's designee and the Maintenance personnel. 3. Call Water Company, document who spoke with, time, response, employee calling 4. All attempts will be made to determine the cause for water disruption and the probable length of shutdown. 5. Elevate articles that may be damaged by water. 6. Dietary department will give out juices and other fluids that are on hand for consumption by residents. 7. Disposable dishes and utensils may be used during emergencies. 8. If necessary, water will be brought in and dispensed as needed. This will be initiated through emergency government. 9. If it becomes apparent that a water shortage will last for an undetermined length of time, the Administrator will order emergency measures taken to ensure proper care for ill residents and for those whose treatment has been disrupted by lack of water supply. Code Yellow: Workplace Violence or Threat of Violence Workplace violence is defined as "violent acts (including physical assaults and threats of assaults) directed toward persons at work or on duty." (National Institute for Occupational Safety and Health (NIOSH) Actions or words that endanger or harm employees or that result in others having a reasonable belief that they are in danger include: [x] Verbal or physical harassment [x] Verbal or physical threats [x] Assaults or other violence made directly or indirectly by words, gestures, or symbols [x] Any other behavior that causes others to feel unsafe (e.g. bullying, sexual harassment) [x] Use or possession of a weapon on the company's premises Workplace violence incidents can be categorized by the relationship of the assailant and the worker/workplace. They are as follows: [x] Violence by strangers—persons who have no connection to the workplace [x] Violence by customers, clients, residents, etc. [x] Violence by co-workers—former or current employment relationship. Incidents that occur outside the workplace, but which resulted or arose from the employment relationship are counted in this category. [x] Violence by personal relations—incidents committed by someone who has a personal relationship with the worker, such as a current or former spouse or partner, relative or friend.
Welcome to the Medicare Enrollment and STRS Ohio webinar. All STRS Ohio medical plan participants are required to enroll in Medicare at age 65 or when eligible. Medicare is a federal health insurance program for people age 65 and older, some people with disabilities under age 65 and people with end-stage renal disease. During this presentation, we will explain the parts of Medicare as well as the steps you need to take to become enrolled. www.strsoh.org 1 Today's Agenda * Four easy steps for Medicare enrollment 1. Sign up 2. Provide proof 3. Pay Medicare 4. Select STRS Ohio medical plan * Common questions Today we are going to cover the four main steps for Medicare enrollment: * Sign up. * Provide STRS Ohio proof of enrollment. * Pay Medicare. * Select an STRS Ohio medical plan. After we've reviewed these simple steps in more detail, we will address some questions commonly asked by new Medicare enrollees. www.strsoh.org 2 Sign Up 1 * STRS Ohio will notify you three months before you turn age 65 * Seven-month window – Three months before you turn age 65 – Month you turn age 65 – Three months after the month of your birthday * Enroll before 65th birthday to avoid delay in coverage – Social Security office – Social Security: 800-772-1213 – www.ssa.gov Step 1: Sign up. STRS Ohio will mail you a Medicare information packet three months before you turn age 65. You have a seven-month window surrounding your birthday month to enroll. This period begins three months before you turn age 65, includes the month you turn age 65 and ends three months after the month of your birthday. To avoid a delay in the start of your Medicare coverage, we recommend you start the enrollment process before your 65 th birthday. It may take more than one month for the entire application process to be completed. You can enroll at your local Social Security office or by calling Social Security. Call the number shown here to locate the nearest office and to find out what documents to take with you. You may also have the option to enroll online at www.ssa.gov. www.strsoh.org 3 Enrollment and STRS Ohio Requirements * STRS Ohio requires enrollment in Medicare Parts A & B or Part B-only – Not eligible for STRS Ohio medical plan without Medicare coverage – Enroll in Part A if coverage is premium-free; if eligible later, must enroll then – Enroll in Part B and pay a monthly premium to Medicare * Do not need to qualify for Social Security to be eligible for Medicare If you decline Medicare coverage, you will not be eligible for an STRS Ohio medical plan. You must enroll in Medicare Part A if it is available at no cost to you. If you do not qualify for premium-free Part A, but become eligible at a later date, you must enroll then. You must enroll in Part B and pay a monthly premium to Medicare. Keep in mind, you do not need to qualify for Social Security retirement benefits to be eligible for Medicare. www.strsoh.org 4 State Teachers Retirement System of Ohio Medicare Enrollment and STRS Ohio Medicare Part A — Hospital Insurance * Free based on your work history if you: – Paid Medicare taxes for 10 years – Receive/eligible to receive Social Security or Railroad benefits * Free based on your current/former spouse's work history if: – Currently married for at least one year and your spouse is age 62 or older – Divorced, currently single and were married for at least 10 years – Widowed, currently single and were married for at least nine months before spouse died Now, let's talk about the parts of Medicare. Medicare Part A is hospital insurance. Most U.S. citizens or permanent residents age 65 or older qualify for premiumfree Part A based on their own employment history or their current or former spouse's employment history. You are eligible if you paid Medicare taxes for at least 10 years while working in a federal, state or local government job (including public education). This applies to most STRS Ohio members. You also qualify if you receive Social Security or Railroad Retirement benefits or you are eligible to receive these benefits but haven't filed for them yet. If you do not qualify for premium-free Medicare Part A based on your employment history, you may qualify based on your current or former spouse's if you are: * Currently married for at least one year and your spouse is age 62 or older. * Divorced and currently single, and you were married for at least 10 years. * Widowed and currently single, and you were married for at least nine months before your spouse died. Your spouse does not need to apply for Social Security benefits for you to be eligible for premium-free Part A based on his or her employment history. It may be helpful to inform Social Security that you are applying for Part A based on a current or former spouse's work record. If you do not qualify for Part A at no cost — you do not need to enroll. Your STRS Ohio medical plan will cover your hospitalization. www.strsoh.org 5 Medicare Part B — Medical Insurance * Enroll and pay premium * Almost every U.S. citizen or legal resident age 65 or older can enroll * Those already receiving a Social Security benefit will automatically be enrolled Medicare Part B is medical insurance and enrollment is mandatory when you are eligible. Everyone pays a premium for it. Almost every U.S. citizen, or legal resident in the United States for at least five years, who is age 65 or older can enroll. Social Security knows your Medicare status and if you are already receiving a Social Security benefit, you will automatically be enrolled in Medicare. If you do not currently receive a Social Security benefit, you will need to go online, call or visit a Social Security office to sign up for Part B. Remember, you do not need to be eligible for Social Security to sign up for Medicare. www.strsoh.org 6 Medicare Part C and Part D Defined * Part C — Medicare Advantage Plans – STRS Ohio: Aetna Medicare Plan, AultCare PrimeTime Health Plan and Paramount Elite HMO * Part D — Prescription Drug Plan – Included in STRS Ohio medical plans – Not permitted to enroll in more than one – Enrollment in any other plan will cancel STRS Ohio medical and prescription drug coverage What about Medicare Parts C and D? Part C is a type of health insurance plan approved by Medicare and administered by private companies. You may be more familiar with the term Medicare Advantage Plan. STRS Ohio offers three Medicare Advantage Plans — the Aetna Medicare Plan, AultCare PrimeTime Health Plan and the Paramount Elite HMO. Do not enroll in any other Medicare Advantage plan if you want to keep your coverage under STRS Ohio. Part D is the prescription drug plan. As a Medicare enrollee, the prescription drug plan included in your STRS Ohio medical plan is a Part D plan. Do not enroll in any other Part D plan, as that will cancel your STRS Ohio medical and prescription drug coverage. www.strsoh.org 7 Provide Proof 2 * If you do not submit proof, you will not be eligible for STRS Ohio health care coverage * Submit proof of Medicare enrollment through your Online Personal Account at www.strsoh.org – Log in to your online account – Click "Health Care" – Click "Submit Medicare Information" under Useful Links * If you need to register for an online account, click on "REGISTER" at the top of the STRS Ohio website If you do not submit proof of your Medicare enrollment to STRS Ohio, you will not be eligible for STRS Ohio health care coverage. Provide proof of Medicare enrollment to STRS Ohio by submitting your Medicare information through your Online Personal Account. (Your Medicare information can be found on your Medicare card.) To submit your information: * Log in to your Online Personal Account. * Click "Health Care." * Click "Submit Medicare Information" under Useful Links. If you need to register for an online account, click on "Register" at the top of the STRS Ohio website. www.strsoh.org 8 Pay Medicare 3 * Medicare Part B is $164.90 per month (2023 standard rate) – Paid to Medicare (not STRS Ohio) * Premium payment: – Social Security payment (if applicable) – Savings/checking (if enrolled in Medicare Easy Pay) – Billed quarterly by Medicare The Part B standard rate for 2023 is $164.90 per month and is paid to Medicare, not STRS Ohio. This premium must be paid to maintain coverage. If you lose Part B coverage, you will not be eligible for an STRS Ohio medical plan. Medicare will deduct the payment from your Social Security check, if you receive one, or you may have the payment deducted from your savings or checking if you enroll in the Medicare Easy Pay. Otherwise, Medicare will bill you quarterly. Some Medicare enrollees with a high annual income will be required to pay a surcharge. We will address this later in the presentation. www.strsoh.org 9 Select STRS Ohio Medical Plan 4 * Your plan enrollment after Medicare enrollment is confirmed, will be as follows: – Basic Plan enrollees will be enrolled in the Aetna Medicare Plan – AultCare enrollees will be enrolled in the AultCare PrimeTime Health Plan – Paramount Health Care enrollees will be enrolled in Paramount Elite * This will be your plan unless you select a different plan As a Medicare enrollee, after your Medicare enrollment is confirmed, your plan enrollment will be as follows: * Basic Plan enrollees will be enrolled in the Aetna Medicare Plan. * AultCare enrollees will be enrolled in the AultCare PrimeTime Health Plan. * Paramount Health Care enrollees will be enrolled in Paramount Elite. This will be your plan unless you select a different plan. If you do not want to be enrolled in the plan indicated here, you must submit your request for another plan when you submit proof of your Medicare enrollment to STRS Ohio. AultCare and Paramount are regional plans that are only available to individuals residing in specific regions of the state. www.strsoh.org 10 State Teachers Retirement System of Ohio Medicare Enrollment and STRS Ohio * Family accounts with Medicare and non-Medicare enrollees – If all Medicare enrollees choose Aetna Medicare Plan, non-Medicare family members can select Basic Plan – If Aetna Medicare Plan is not selected, all enrollees must enroll in same plan (Basic Plan or regional plan if available) What about Basic Plan family accounts with Medicare and non-Medicare enrollees? STRS Ohio allows families with Medicare and non-Medicare enrollees to select separate plans. All family members with Medicare may enroll in the Aetna Medicare Plan while non-Medicare family members remain in the Basic Plan. If the Aetna Medicare Plan is not selected, enrollment in separate plans is not permitted. In this case, all family members would need to choose either the Basic Plan or a regional plan if available. Be aware, coverage features under the same plan could differ based on Medicare status. Be sure to review the plan features for Medicare and non-Medicare enrollees. www.strsoh.org 11 State Teachers Retirement System of Ohio Medicare Enrollment and STRS Ohio * Family accounts with Medicare and non-Medicare enrollees — regional plans – Families must choose plan offered by same plan administrator (AultCare or Paramount) * AultCare * Paramount – Non-Medicare: – Non-Medicare: AultCare PPO – Medicare: AultCare PrimeTime Health Plan Paramount Health Care – Medicare: Paramount Elite Under the regional plans – AultCare and Paramount – family accounts with Medicare and nonMedicare enrollees must choose a plan offered by the same plan administrator. For AultCare, non-Medicare enrollees would be enrolled in the AultCare PPO for non-Medicare enrollees while Medicare enrollees would be enrolled in AultCare PrimeTime Health Plan. For Paramount, non-Medicare enrollees would be enrolled in Paramount Health Care while Medicare enrollees would be enrolled in Paramount Elite. www.strsoh.org 12 Monthly Premiums — Medicare Enrollees \| \| 2023 Monthly Premiums \| \| \|---\|---\|---\| \| \| Benefit Recipient With Maximum Premium Subsidy \| Spouse \| \| Aetna Medicare Plan (Medicare Advantage PPO) \| $31 \| $180 \| \| Medical Mutual Basic (Indemnity or PPO) \| $128 \| $318 \| \| AultCare PrimeTime Health Plan (Medicare Advantage HMO-POS) \| $96 \| $286 \| Once you provide proof of Medicare enrollment and it has been confirmed, your monthly medical plan premium will decrease. This table shows the 2023 monthly premium for a benefit recipient receiving the maximum premium subsidy and the rate for a spouse. It's worth mentioning, the Aetna Medicare Plan premiums are significantly lower than the other STRS Ohio plan options. We will speak more about this point on the next slide. Remember, to remain eligible for a medical plan available to Medicare enrollees, you must maintain and pay your Medicare Part B premiums, as well as enroll in Part A if it is at no cost to you. These premiums reflect a Medicare Part B premium credit which we will explain later in this presentation. A complete table of 2023 premiums is available on the STRS Ohio website. www.strsoh.org 13 2023 Plan Overview: With Medicare \| Major Hospital/Medical Plan Features \| Aetna Medicare Plan (Medicare Advantage PPO) In-Network or Extended Service Area \| Medical Mutual Basic (Indemnity or PPO) In-Network and Indemnity \| AultCare PrimeTime Health Plan (Medicare Advantage HMO-POS) In-Network \| Paramount Elite (Medicare Advantage HMO) \| \|---\|---\|---\|---\|---\| \| Annual Deductible per Enrollee \| $150 \| $2,500 \| $150 \| $150 \| \| Out-of-Pocket Maximum \| $1,500 per enrollee \| $6,500 per enrollee \| $1,500 per enrollee \| $1,500 per enrollee \| \| Primary Care Physician Office Visit (Includes in-person, phone and video visits.) \| Enrollee pays $15; no deductible \| Enrollee pays $20; no deductible \| Enrollee pays $15; no deductible \| Enrollee pays $15; no deductible \| Here is an overview of the STRS Ohio medical plans available to individuals with Medicare. While most will decide between the Aetna Medicare Plan and Medical Mutual Basic, some may reside in an area that will also include the regional plan options of the AultCare PrimeTime Health Plan or Paramount Elite. When we compare key plan features such as the deductible, out-of-pocket maximum, copayment and coinsurance — the Aetna Medicare Plan, AultCare PrimeTime Health Plan and Paramount Elite are identical. For a Medical Mutual Basic enrollee; however, the costs associated with those key plan features are significantly higher. If we consider the potential total out-of-pocket cost, including the monthly premium, the Aetna Medicare Plan offers the greatest cost savings without compromising coverage. For additional plan details, visit the Health Care section of the STRS Ohio website at www.strsoh.org. Remember, all STRS Ohio medical plans for individuals with Medicare include prescription drug coverage. www.strsoh.org 14 State Teachers Retirement System of Ohio Medicare Enrollment and STRS Ohio Common Questions Let's take a look at some of the more common questions about Medicare enrollment. www.strsoh.org 15 What Happens if I Don't Sign Up? * Part B late enrollment penalty – 10% of premium added to monthly premium for each year of delay in enrollment * Part D late enrollment penalty – 63-day lapse in coverage – Could increase with additional lapse in coverage * Penalties will be paid for duration of Medicare enrollment What happens if I don't sign up for Medicare? If you do not sign up at the appropriate time, Medicare will charge you a penalty. For Part B, there is a 10% late enrollment penalty added to your monthly premium for each year you delay enrollment. If you go 63 days or more without Part D or creditable prescription drug coverage and later enroll in a plan, there is a penalty for letting your drug coverage lapse. If you have one of the STRS Ohio health care plans, you have a creditable Part D plan. (Creditable coverage means prescription drug coverage that is as good or better than the standard Medicare Part D prescription drug coverage.) Late enrollment penalties would be charged for as long as you have Medicare coverage. www.strsoh.org 16 State Teachers Retirement System of Ohio Medicare Enrollment and STRS Ohio What if I Am Still Employed at Age 65? * Sign up for Part B after employer health coverage or employment ends, whichever comes first * Eight-month special enrollment period after the employer health coverage/employment ends * If you miss special enrollment period: – General enrollment: Jan. 1 through March 31 – July 1 effective date What if I am still employed at age 65? While you are working and receiving health care coverage through your employer, you do not need to sign up for Part B. Sign up within eight months of employer health coverage or employment ending, whichever comes first. You will not be subject to a Part B late enrollment penalty if you sign up during this special enrollment period. If you miss that special enrollment period, general enrollment guidelines will apply as will the late enrollment penalty. General enrollment is January 1 through March 31 and your coverage would not begin until July 1 of that year. www.strsoh.org 17 What Are Surcharges? * Medicare surcharge for Part B and Part D enrollees with higher income (levels set by Medicare) – $97,000+, individuals; $194,000+, married couples – If you are subject to a Part B surcharge, you will also pay a Part D surcharge * Those impacted receive letter referencing income-related monthly adjustment amount (IRMAA) * Further information: www.ssa.gov or www.medicare.gov What are surcharges? Part B and Part D enrollees with higher annual incomes are subject to monthly Medicare surcharges. The 2023 amount is based on 2021 income. Surcharges vary by income levels set by Medicare (currently $97,000 or more for individuals and $194,000 or more for married couples). If you are subject to the Part B surcharge, you will also pay a surcharge for Part D. Individuals subject to Medicare surcharges will receive a letter from Social Security referencing the income-related monthly adjustment amount, also known as "IRMAA." Your drug plan with STRS Ohio is a Part D plan that is bundled with your medical coverage. You do not pay a separate amount for drug coverage as some people do. Nonetheless, Medicare assesses this surcharge to you anyway since you do have a Part D plan. For more information, including surcharge amounts, go to www.ssa.gov or medicare.gov. www.strsoh.org 18 What if I Am Not Eligible for Part A? * All STRS Ohio medical plans cover hospitalization * Do not enroll in Part A if you must pay a premium * Still same coverage and rates as other STRS Ohio Health Care Program enrollees * Not eligible for premium-free Part A now, but become eligible later, you must apply at that time What if I am not eligible for premium-free Part A? We touched on this earlier, but it is something that bears repeating. All STRS Ohio medical plans cover hospitalization. Do not enroll in Part A if you will be required to pay a premium. Without Part A, you still have the same coverage and rates as other STRS Ohio Health Care Program enrollees. If you do not initially qualify for premium-free Part A, but become eligible at a later date, you must apply at that time. www.strsoh.org 19 What Is the Part B Premium Credit? * Benefit recipients enrolled in an STRS Ohio Medicare plan receive a $30 premium credit – Partial Part B premium reimbursement on the standard Part B monthly premium * Premiums shown for Medicare enrollee plans reflect this credit What is the Part B premium credit? Benefit recipients enrolled in an STRS Ohio Medicare plan receive a $30 premium credit for paying their monthly Part B premium to Medicare. The 2023 STRS Ohio medical plan monthly premiums shown for enrollees with Medicare reflect this credit. www.strsoh.org 20 Are There Alternatives to STRS Ohio Coverage? * Medicare Advantage Plan (general marketplace) – You must have Parts A & B – May be more cost effective for spouses and benefit recipients receiving limited/no premium subsidies – May provide better options but limited network – Many offer extra benefits (dental care, eyeglasses) – Not all include prescription drug coverage (Part D required) Are there alternatives to STRS Ohio coverage? Yes. There are a number of individual Medicare Advantage plan options offered in the general marketplace. Medicare Advantage plans in the general marketplace require that you be enrolled in Medicare Parts A & B. These plans may be more cost effective for spouses and STRS Ohio benefit recipients receiving limited or no premium subsidies. They may offer better options if you are agreeable to a limited network. Many offer extra benefits such as dental care and eyeglasses, but not all of them include prescription drug coverage. Medicare requires all eligible recipients to enroll in a Part D prescription drug plan. www.strsoh.org 21 State Teachers Retirement System of Ohio Medicare Enrollment and STRS Ohio * Medicare Supplement Insurance (Medigap) policy – You must have Parts A & B – Pays health care costs after Original Medicare – All policies offer same basic benefits – Enrollment may be limited or costly after age 65 There are also Medicare Supplement Insurance policies — also referred to as Medigap. These require that you be enrolled in Medicare Parts A & B and the plan pays for health care costs remaining after Original Medicare pays. All of these types of policies offer the same basic benefits. Enrollment may be limited or could be more costly if you enroll after age 65. www.strsoh.org 22 How Should I Evaluate Health Care Coverage Options? * Premium * Deductible * Out-of-pocket maximum * Provider network * Prescription drug coverage * Anticipated health care needs and projected costs How should I evaluate health care coverage options? It is important to understand the differences in medical plan costs and features. For instance, the monthly premium the plan charges may be low, but the deductible and outof-pocket maximum may be high. What does the out-of-pocket maximum amount include? Some plans may include the deductible in that maximum while other plans may not. Are your favorite doctors and medical facilities within the provider network? What is the prescription drug coverage offered by the plan? And, what are your anticipated health care needs for the coming year and the projected costs for those services? Knowing this information puts you in a better position to make an apples to apples comparison of health care plans and hopefully prevents any surprises when medical bills arrive. www.strsoh.org 23 What About Dental and Vision Coverage? * Delta Dental and Vision Service Plan (VSP) – Current enrollees must remain enrolled for duration of contract period – Jan. 1, 2023, through Dec. 31, 2024 * Medicare enrollment is a qualifying event for adding coverage – STRS Ohio must receive enrollment application within 31 days of initial eligibility for and enrollment in Parts A & B or Part B-only – Coverage effective first of the month Medicare coverage begins What if you are enrolled in dental or vision coverage through STRS Ohio? If you are currently enrolled in Delta Dental and/or Vision Service Plan (VSP), you must remain enrolled for the duration of the current two-year contract period regardless of your Medicare status. If you are not enrolled, Medicare enrollment is a qualifying event for adding dental and/or vision coverage outside of the open enrollment for these plans held every other year. If you plan to enroll during this qualifying event, STRS Ohio must receive your enrollment application within 31 days of initial eligibility for and enrollment in Medicare Parts A & B or Part B-only. Coverage will be effective the first of the month Medicare coverage begins. www.strsoh.org 24 Recap * Four easy steps for Medicare enrollment 1. Sign up 2. Provide proof 3. Pay Medicare 4. Select STRS Ohio medical plan We conclude our agenda here with a recap of the four easy steps for Medicare enrollment. * Sign up. * Provide STRS Ohio proof of enrollment. * Pay Medicare. * Select an STRS Ohio medical plan. www.strsoh.org 25 Further Information * STRS Ohio – www.strsoh.org (Medicare information available in Health Care section) – Select "Contact" on website – 888-227-7877 (toll-free) * Medicare – www.medicare.gov – 800-633-4227 (toll-free) * Ohio Senior Health Insurance Information Program – www.insurance.ohio.gov – 800-686-1578 (toll-free) STRS Ohio offers Medicare Enrollment information in the Health Care section of our website, where other information pertaining to the STRS Ohio Health Care Program is also available. If you have questions, select "Contact" on our website (top of screen) or call our toll-free number for assistance. For Medicare information, go to www.medicare.gov or www.insurance.ohio.gov or call the numbers shown here. www.strsoh.org 26 This presentation is intended for educational purposes only. Statements of fact and opinions expressed are those of the participants individually, and unless expressly stated to the contrary, do not necessarily reflect the views of STRS Ohio, the State Teachers Retirement Board or the retirement system’s staff. This presentation is not intended to be a substitute for federal or state law, including the Ohio Revised Code, the Ohio Administrative Code, or the Internal Revenue Code, nor will this presentation’s interpretation prevail should a conflict arise between it and any state or federal law. The laws, statutes, rules and other regulations governing the retirement system are subject to change periodically. Thank you for yo u r attention. We hope this webinar has been helpful in understanding the Medicare enrollment process. Thank you for your attention. www.strsoh.org 27
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Heath 2013-08-20 When initially published in 2005, the two-volume Encyclopedia of Public Relations was the first and most authoritative compilation of the subject. It remains the sole reference source for any library serving patrons in business, communication, and journalism as it explores the evolution of the field with examples describing the events, changing practices, and key figures who developed and expanded the profession. Reader's Guide topics include Crisis Communications & Management, Cyberspace, Ethics, Global Public Relations, Groups, History, Jargon, Management, Media, News, Organizations, Relations, Reports, Research, and Theories & Models. Led by renowned editor Robert L. Heath, with advisory editors and contributors from around the world, the set is designed to reach a wide array of student readers who will go on to serve as opinion leaders for improving the image and ethics of the practice. The Second Edition continues to explore key challenges facing the profession, such as earning the trust and respect of critics and the general public. Much greater emphasis and space will be placed on a theme that was just emerging when the First Edition appeared: the Internet and social media as public relations tools. International coverage and representation has been greatly expanded, as well. Finally, biographies (which are now widely available on the Web) have been deleted to give room to areas of enhanced coverage, and biographical material are included where appropriate within the context of topical entries. However, a long entry on women pioneers in public relations has been included as an appendix. How Strategic Communication Shapes Value and Innovation in Society - Betteke van Ruler 2017-11-03 Let's Talk Society – and the society we ́re talking about is in transition to a green and sustainable society, an inclusive society, and an innovative and reflective society. What is our role as communication professionals in all of this? How can we foster public debate? This book addresses these challenges and offers some answers. Ethics in Public Relations - Patricia J Parsons 2008-11-03 Ethical practice in any professional discipline is guided by age-old philosophical perspectives, but its modern parameters are continually evolving. Ongoing developments in technology, social media and social contexts mean that public relations and its practices in particular are constantly changing, and so are the ethical questions faced by practitioners in the field. Ethical questions and dilemmas are inherent to public relations, and ensuring that practitioners operate ethically is fundamental to both the professionalism and credibility of the field. 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Public Relations in Britain Jacquie L'Etang 2004-07-22 In this book the author asks a big question: how did public relations develop in Britain and why? The question is answered through a broad ranging narrative which links the evolution of British public relations in the early twentieth century to key political, economic, social, and technological developments. Drawing on oral history interviews and extensive archival research the book highlights some of the sociological issues relevant to a study of public relations and foregrounds the professionalisation of the occupation in the second part of the twentieth century. Model Rules of Professional Conduct - American Bar Association. House of Delegates 2007 The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, blackletter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts. Public Relations: The Basics - Ron Smith 2013-08-15 Public Relations: The Basics is a highly readable introduction to one of the most exciting and fast-paced media industries. Both the practice and profession of public relations are explored and the focus is on those issues which will be most relevant to those new to the field: The four key phases of public relations campaigns: research, strategy, tactics and evaluation. History and evolution of public relations. Basic concepts of the profession: ethics, professionalism and theoretical underpinnings. Contemporary international case studies are woven throughout the text ensuring that the book is relevant to a global audience. It also features a glossary and an appendix on first steps towards a career in public relations making this the book the ideal starting point for anyone new to the study of public relations. New Media and Public Relations - Sandra C. Duhé 2007 From Web sites to wikis, from podcasts to blogs, Internetbased communication technologies are changing the way today's public relations campaigns are conceived and carried out. New Media and Public Relations charts this exciting new territory with real-life case studies that explore some of the ways new media practices challenge and expand conventional thinking in public relations. This comprehensive new volume charts the leading edge of public relations research, drawing on insights from both scholars and practitioners to question outdated models, discuss emerging trends, and provide numerous examples of how organizations navigate the uncertainties of building mediated relationships. Global in scope and exploratory in nature, New Media and Public Relations is an indispensable reference for contemporary research and practice in the field, and essential reading for undergraduate and graduate students in public relations and mediated communication. The Public Relations Strategic Toolkit - Alison Theaker 2012-08-21 The Public Relations Strategic Toolkit provides a structured approach to understanding public relations and corporate communications. The focus is on professional skills development as well as approaches that are widely recognised as 'best practice'. Original methods are considered alongside well established procedures to ensure the changing requirements of contemporary practice are reflected. Split into four parts covering the public relations profession, campaign planning, corporate communication and stakeholder engagement, this textbook covers everything involved in the critical practice of public relations in an accessible manner. Features include: definitions of key terms contemporary case studies insight from practitioners handy checklists practical activities and assignments Covering the practicalities of using traditional and social media as well as international considerations, ethics, and PR within contexts from politics to charities, this guide gives you all the critical and practical skills you need to introduce you to a career in public relations. Public Relations Writing Worktext - Joseph M. Zappala 2010 A writing and planning resource that is suitable for public relations students and practitioners Public Relations - Chiara Valentini 2021-02-08 What is public relations? What do public relations professionals do? And what are the theoretical underpinnings that drive the discipline? This handbook provides an up-todate overview of one of the most contested communication professions. The volume is structured to take readers on a journey to explore both the profession and the discipline of public relations. It introduces key concepts, models, and theories, as well as new theorizing efforts undertaken in recent years. Bringing together scholars from various parts of the world and from very different theoretical and disciplinary traditions, this handbook presents readers with a great diversity of perspectives in the field. Rhetorical and Critical Approaches to Public Relations II - Dr Robert L Heath 2013-11-05 This volume is the first to illustrate the application of rhetorical theory and critical perspectives to explain public relations practices. It provides a systematic and coherent statement of the critical guidelines and philosophical underpinnings of public relations and as such should guide pedagogy and practice. It also supplies pedagogic and critical standards with which to meet the needs of an increasingly sophisticated society that tends to reject all of public relations as propaganda. With the enormous amount of money spent on product publicity and public policy debates, this book gives practitioners a sense of whether their public relations campaigns make a contribution to the organizational bottom line by means of achieving the timeless standards of the art of rhetoric. Public Relations - Otis W. Baskin 1988-01-01 Provide your students with a thorough understanding of public relations practice with a text that incorporates the experiences of practitioners with the theoretical perspectives of scholars. The fourth edition features increased coverage of technological change, diversity and expanding global markets, and their impact on the profession. New co-author Dan Lattimore, APR, brings a wealth of professional experience, and years of public relations teaching to this edition. Handbook of Public Relations Robert L. Heath 2001 This is a comprehensive and detailed examination of the field, which reviews current scholarly literature. This contributed volume stresses the role PR plays in building relationships between organizations, markets, audiences and the public. The Management Game of Communication - Peggy Simcic Brønn 2016-09-05 The book provides insight into the expanding field of corporate communication by exploring the benefits of research and education which merge insights from the disciplines of business and communication. The book provides a uniquely European view and stimulates discussions in a continuing area of interest among academics and practitioners alike. Public Relations - Jacquie L′Etang 2007-11-21 "An excellent text for encouraging students to think critically about key public relations issues. Not only does it help students to develop a deeper appreciation of public relations, it also helps them to develop valuable learning skills." - Amanda Coady, The Hague University "A typically excellent piece of work from Jacquie L′Etang. Critical of every basic concept and provocative to all students. Ideal for second and final year undergraduates, plus MA students." - Chris Rushton, Sunderland University "Extending beyond the usual bounds of insularity, this text is designed to encourage critical thought in students and improve practice in workplaces. A refreshing read that is consistently inventive enough to attain both aims." David McKie, Waikato Management School "At long last fills a void in the landscape of text books on public relations theory and practice... it develops critical thinking skills while exposing interdisciplinary approaches and providing a very solid foundation for lively debate and further study - Julia Jahansoozi, University of Central Lancashire This book introduces students to the key concepts in Public Relations, with 12 chapters providing clear and careful explanations of concepts such as: Reputation Risk Impression management Celebrity Ethics Persuasion and propaganda Emotional and spiritual dimensions of management Promotional culture and globalization Drawing on a wide range of interdisciplinary sources, Jacquie L′Etang also encourages students to think critically about public relations as an occupation. Student exercises, ′critical reflections′, vignettes and ′discipline boxes′ help students to widen their intellectual perspective on the subject, and to really engage the thinking that has shaped both the discipline and practice of public relations. The Practice of Public Relations - Fraser P. Seitel 1984 Long admired as the "practitioners" Public Relations text, Seitel's The Practice of Public Relations continues its tradition as the most visual, upto-date and straightforward principles text available. For the aspiring student of public relations to the veteran professional seeking a refresher, Seitel's text leads the reader thru the evolution of the practice, the preparation and process necessary to reach a variety of "publics" and most importantly how to implement actual PR practice. Drawing on his own vast professional experience, his role as a PR commentator on major U.S television networks such as CNN, ABC and FOX, and his network of industry leaders, Public Relations faculty and generations of PR professionals, Seitel presents the industry with dynamism and relevancy.&& Public Relations and the Public Interest - Jane Johnston 2016-02-12 In this book, Johnston seeks to put the public interest onto the public relations 'radar', arguing the need for its clear articulation into mainstream public relations discourse. This book examines literature from a range of fields and disciplines to develop a clearer understanding of the concept, and then considers this within the theory and practice of public relations. The book's themes include the role of language and discourse in establishing successful public interest PR and in perpetuating power imbalances; intersections between CSR, governance, law and the public interest; and how activism and social media have invigorated community control of the public interest. Chapters explore the role of the public interest, including crosscultural and multicultural challenges, community and internal consultation, communication choices and listening to minorities and subaltern publics. The Global Public Relations Handbook - Krishnamurthy Sriramesh 2003-06-20 This handbook represents the state of the public relations profession throughout the world, with contributions from the Americas, Europe, Asia, and Africa. A resource for scholars and advanced students in public relations & international business. Excellent Public Relations and Effective Organizations - James E. Grunig 2003-01-30 This book is the final product of the "excellence project"--a comprehensive research effort commissioned by the International Association of Business Communicators (IABC) Research Foundation. Going well beyond any of the previously published reports on the Excellence study, this book contains many new statistical analyses of the survey data and more details from the case studies. Discussing theory and data related to several ongoing discussions in the communication profession, this book answers the following questions: How can we show the value of public relations? What is the value of relationships? How do relationships affect reputation? What does it mean to practice communication strategically? How can we measure and evaluate the effects of public relations programs? Should communication programs be integrated? *How does the new female majority in the profession affect communication Excellence? This book, as well as the research it reports, is the product of symmetrical communication and collaboration. As such, it is intended for scholars, applied researchers, students, and informed professionals who understand the value of research in developing a profession, such as public relations. Knowledge of quantitative and qualitative research methods will make it easier to understand the book; however, the results are interpreted in a way that makes the analyses understandable even to those with little or no knowledge of statistics and research methods. Public Relations, Cooperation, and Justice - Charles Marsh 2017-04-21 Modern approaches to public relations cluster into three camps along a continuum: conflict-oriented egoism, e.g. forms of contingency theory that focus almost exclusively on the wellbeing of an entity; redressed egoism, e.g. subsidies to redress PR's egoistic nature; and forms of self-interested cooperation, e.g. fully functioning society theory. Public Relations, Cooperation, and Justice draws upon interdisciplinary research from evolutionary biology, philosophy, and rhetoric to establish that relationships built on cooperation and justice are more productive than those built on conflict and egoistic competition. Just as important, this innovative book shuns normative, utopian appeals, offering instead only empirical, materialistic evidence for its conclusions. This is a powerful, multidisciplinary, and welldocumented analysis, including specific strategies for the enactment of PR as a quest for cooperation and justice, which aligns the discipline of public relations with basic human nature. It will be of interest to scholars and advanced students of public relations and communication ethics. The Business of Persuasion - Harold Burson 2017-10-03 "A wonderfully personal account of the thoughts behind a lifelong focus on the reputation of corporations around the world. Candid and straightforward."—Huffington Post Harold Burson, described by PRWeek as "the [20th] century's most influential PR figure," is perhaps the most recognized name in the industry today. The founder of PR giant Burson-Marsteller had an incredible 70-year career, in which he built a global enterprise from a one-man consulting firm. In this illuminating and engaging business memoir, Burson traces his career from studying at Ole Miss to serving in World War II, reporting on the Nuremburg trials, and joining with Bill Marsteller. Together, he and Marsteller made history in a new venture that would grow to be one of the biggest public relations companies in the world, with over 60 offices on six continents. By way of personal and professional examples, Burson shows readers what public relations really entails—its challenges, methodologies, and impacts. His anecdotes on PR challenges like the "Tylenol crisis," the removal of confederate flags from Ole Miss, and the introduction of "New Coke" illustrate Burson's time-tested tenets of great PR and crisis management. He interweaves iconic moments from the history of public relations into his story, making this "a must-read for any PR professional" (Jack Welch, executive chairman, Jack Welch Management Institute). "Every detail of Harold's professional life is brought alive through an interesting narrative of the highs and lows . . . There is loads of inspiration hidden in every page for everyone. Be it a reader with no interest in Public Relations or a veteran who wants to understand more about the profession."—Reputation Today Stealth Communications -Sue Curry Jansen 2016-12-20 Public relations is, by design, the least visible of the persuasive industries. It operates behind the scenes, encouraging us to consume, vote, believe and behave in ways that keep economies moving and citizens from storming the citadels of power. In this important new book, Sue Curry Jansen explores the ways in which globalization and the digital revolution have substantially elevated PR's role in management, marketing, governance and international affairs. Since the best PR is invisible PR, it violates the norms of liberal democracy, which require transparency and accountability. Even when it serves benign purposes, she argues, PR is a commercial enterprise that divorces communication from conviction and turns it into a mercenary venture. As a primary source of what now passes as news, PR influences much of what we know and how we know it. Stealth Communications will be an indispensable guide for students of media studies and public relations, as well as anyone interested in the radical transformation of PR and the democratization of public communication. The Practice of Public Relations - Fraser P. Seitel 2013-05-16 Pairing Fraser Seitel's unique, humorous voice with the most up-to-date case studies, interviews, news photos, and other techniques, thePractice of Public Relations is truly an "in-your-face" Public Relations textbook. The 12th edition continues the theme of giving readers the knowledge and skills they need to know to be successful in today's world of public relations —including heavy emphasis on social media and ethics. The Public Relations Handbook - Alison Theaker 2004-08-02 In this updated edition of the successful Public Relations Handbook, a detailed introduction to the theories and practices of the public relations industry is given. Broad in scope, it; traces the history and development of public relations, explores ethical issues which affect the industry, examines its relationships with politics, lobbying organisations and journalism, assesses its professionalism and regulation, and advises on training and entry into the profession. It includes: interviews with press officers and PR agents about their working practices case studies, examples, press releases and illustrations from a range of campaigns including Railtrack, Marks and Spencer, Guinness and the Metropolitan Police specialist chapters on financial public relations, global PR, business ethics, online promotion and the challenges of new technology over twenty illustrations from recent PR campaigns. In this revised and updated practical text, Alison Theaker successfully combines theoretical and organisational frameworks for studying public relations with examples of how the industry works in practice. Public Relations Ethics and Professionalism - Johanna Fawkes 2014-08-01 Do professions really place duty to society above clients' or their own interests? If not, how can they be trusted? While some public relations (PR) scholars claim that PR serves society and enhances the democratic process, others suggest that it is little more than propaganda, serving the interests of global corporations. This is not an argument about definitions, but about ethics - yet this topic is barely explored in texts and theories that seek to explain PR and its function in society. This book places PR ethics in the wider context of professional ethics and the sociology of professions. By bringing together literature from fields beyond public relations sociology, professional and philosophical ethics, and Jungian psychology - it integrates a new body of ideas into the debate. The unprecedented introduction of Jungian psychology to public relations scholarship shifts the debate beyond a traditional Western 'Good/Bad' ethical dichotomy towards a new holistic approach, with dynamic implications for theory and practice. This thoughtprovoking book will be essential reading for students, academics and professionals with an interest in public relations, ethics and professionalism. Today's Public Relations - Robert L. Heath 2006 'Today's Public Relations' works to redefine the teaching of public relations by discussing it's connection to mass communication, but also linking it to it's rhetorical heritage. Managing Public Relations - James E. Grunig 1984-01-01 Unifies social science research and management theory with public relations techniques to provide a solid theoretical foundation. Covers the management as well as the techniques of public relations, emphasising decision-making and evaluation. Women in Public Relations - Larissa A. Grunig 2013-09-13 The past 20 years have seen an influx of women into the practice of public relations, yet gender-based disparities in pay and advancement remain a troubling reality. As the field becomes feminized, moreover, female and male practitioners alike confront the prospect of dwindling salaries and prestige. This landmark book presents a comprehensive examination of the status of women in public relations and proposes concrete ways to achieve greater parity in education and practice. The authors integrate the theoretical literature of public relations and gender with results of a major longitudinal study of women in the field, along with illuminating focus group and interview data. Topics covered include factors contributing to sex discrimination; how public relations stacks up against other professions on genderrelated issues; the challenges facing female managers and entrepreneurs; the experiences of ethnic minority professionals; the salary gap; the glass ceiling; and how to foster solutions on individual, organizational, and societal levels. This volume is an essential read for both educators and practitioners in public relations. It can be used as a course text in graduate research seminars, and also as a supplemental text in courses addressing gender issues in PR. It serves as a useful guide for young practitioners entering the profession, and provides critical insights for public relations managers. Public Relations - Carolyn Mae Kim 2019-02-18 The industry of public relations is rapidly evolving, requiring practitioners to have greater specialization than ever before. Hand in hand with the growth of the industry, educational programs have developed to address the growing need for quality preparation for future practitioners. Public Relations: Competencies and Practice focuses on the required competencies expected and applications of public relations into specific sectors of practice. Based on competencies identified by organizations such as the Commission on Public Relations Education and the Public Relations Society of America, Public Relations provides a robust examination of areas such as diversity, leadership, and ethics. The second part of the text focuses on these unique requirements for undergraduate and graduate students focused on entering sectors such as entertainment public relations, nonprofit public relations, or investor relations. The book also features online resources for instructors: Sample course syllabus Discussion questions Suggested midterm and final project Public Relations offers students competency- and practice-focused content from top PR experts and incorporates interviews from professionals in the field to show students how to apply competencies in specific practice sectors. Public Relations in Practice- Anne Gregory 2004 The role of the public relations practitioner is becoming ever more demanding. Even those entering the profession are expected to already possess sophisticated skills. Public Relations in Practice helps develop these skills by looking at the key functional areas of public relations from the practitioner's point of view. The Global Public Relations Handbook, Revised and Expanded Edition - Krishnamurthy Sriramesh 2009-01-13 Expanding on the theoretical framework for studying and practicing public relations around the world, The Global Public Relations Handbook, Revised and Expanded Edition extends the discussion in the first volume on the history, development, and current status of the public relations industry from a global perspective. This revised edition offers twenty new chapters in addition to the original contents. It includes fourteen additional country- or regionally-focused chapters exploring public relations practice in Africa, Asia, Europe, and the Americas. Contributors use a theoretical framework to present information on the public relations industry in their countries and regions. They also focus on such factors as the status of public relations education in their respective countries and professionalism and ethics. Each countryspecific chapter includes a case study typifying public relations practice in that country. Additional new chapters discuss political economy, activism, international public relations, and United Nations public affairs. Public Relations History - Cayce Myers 2020 This book presents a unique overview of public relations history, tracing the development of the profession and its practices in a variety of sectors, ranging from politics, education, social movements, corporate communication, and entertainment. Author Cayce Myers examines the institutional pressures, including financial, legal, and ethical considerations, that have shaped public relations and have led to the parameters in which the practice is executed today, exploring the role underrepresented groups and sectors (both in the U.S. and internationally) played in its formation. The book presents the diversity and nuance of public relations practice while also providing a cohesive narrative that engages readers in the complex development of this influential profession. Public Relations History is an excellent resource for upper level undergraduate and graduate courses covering public relations theory, management, and administration; mass communication history; and media history. Public Relations- Jacquie L'Etang 2006 This important volume will stimulate debate about the boundaries, definitions, functions, and effects of public relations. The editors are Lecturers in Public Relations at the Stirling Media Research Institute, University of Stirling, Scotland. Public Relations Leaders as Sensemakers - Bruce K. Berger 2014-05-23 Public Relations Leaders as Sensemakers presents foundational research on the public relations profession, providing a current and compelling picture of expanding global practice. Utilizing data from one of the largest studies ever conducted in the field, and representing the perspectives of 4,500 practitioners, private and staterun companies, communication agencies, government agencies, and nonprofits, this work advances a theory of integrated leadership in public relations and highlights future research needs and educational implications. This volume is appropriate for graduate and advanced undergraduate students in international public relations and communication management, as well as scholars in global public relations, communication management, and business. It is also intended to supplement courses in public relations theory, strategic communication, business management, and leadership development. Pathways to Public - Burton St. John III Relations 2014-04-24 Over the centuries, scholars have studied how individuals, institutions and groups have used various rhetorical stances to persuade others to pay attention to, believe in, and adopt a course of action. The emergence of public relations as an identifiable and discrete occupation in the early 20th century led scholars to describe this new iteration of persuasion as a unique, more systematized, and technical form of wielding influence, resulting in an overemphasis on practice, frequently couched within an American historical context. This volume responds to such approaches by expanding the framework for understanding public relations history, investigating broad, conceptual questions concerning the ways in which public relations rose as a practice and a field within different cultures and countries at different times in history. With its unique cultural and contextual emphasis, Pathways to Public Relations shifts the paradigm of public relations history away from traditional methodologies and assumptions, and provides a new and unique entry point into this complicated arena. Global Public Relations - Alan R. Freitag 2009-01-13 This text provides a structured and practical framework for understanding the complexities of contemporary public relations. It is an instructional book that guides the reader through the challenges of communication and problem solving across a range of organizations and crosscultural settings. Written in a straightforward, lively style, the book covers: foundational theories, and factors that shape the discipline communication across cultures trends affecting the public relations profession throughout the world. Incorporating case studies and commentary to illustrate key principles and stimulate discussion, this book also highlights the different approaches professionals must consider in different contexts, from communicating with employees to liaising with external bodies, such as government agencies or the media. Offering a truly global perspective on the subject, Global Public Relations is essential reading for any student or practitioner interested in public relations excellence in a global setting. A companion website provides additional material for lecturers and students alike: www.routledge.com/textbooks/ 9780415448154/ Public Relations - Edward L. Bernays 2013-07-29 Public relations as described in this volume is, among other things, society's solution to problems of maladjustment that plague an overcomplex world. All of us, individuals or organizations, depend for survival and growth on adjustment to our publics. Publicist Edward L. Bernays offers here the kind of advice individuals and a variety of organizations sought from him on a professional basis during more than four decades. With such knowledge, every intelligent person can carry on his or her activities more effectively. This book provides know-why as well know-how. Bernays explains the underlying philosophy of public relations and the PR methods and practices to be applied in specific cases. He presents broad approaches and solutions as they were successfully carried out in his long professional career. Public relations is not publicity, press agentry, promotion, advertising, or a bag of tricks, but a continuing process of social integration. It is a field of adjusting private and public interest. Everyone engaged in any public activity, and every student of human behavior and society, will find in this book a challenge and opportunity to further both the public interest and their own interest. Public Relations - Jane Johnston 2020-07-16 'This has always been the definitive text for PR in Australia. Public Relations: Theory and Practice is the complete companion for new and not-so-new practitioners. I'll be keeping a copy on my bookshelf.' - Tracy Jones, FPRIA former president, Public Relations Institute of Australia Public relations is a dynamic and rapidly growing field which offers a variety of career paths. Whether you're building the public image of an organisation, developing news and social media strategies, or managing issues for a company or political party, you need strong communication skills and a sound understanding of public relations processes. In this widely used introduction to professional practice, leading academics and practitioners outline the core principles of public relations in business, government and the third sectors. They show how to develop effective public relations strategies and explain how to research, run and evaluate a successful public relations campaign. Drawing on a range of communication and public relations theories, they discuss how to work with key publics, using all forms of media for maximum impact. It is richly illustrated with examples and case studies from Australia, New Zealand, Asia and other countries. Public Relations has been substantially revised and includes newly written chapters on social media, tactics, integrated marketing communication, risk and crisis communication, public relations history, corporate and investor public relations, and law, as well as a new glossary of theoretical terms.
Soft Tissue Facial Profile Changes Associated with Incisors Retraction Ayman Salman Al-Shakhs and Hayder Abdallah Hashim ABSTRACT Background: The general tendency of facial soft tissue response toward incisors retraction could be expected in various malocclusions. However, different initial malocclusion no doubt leads to differences in this response. Material and method: This retrospective study consisted of thirty-seven pre- and posttreatment lateral cephalographs belongs to adolescent female with mean age of 15.03 years. The twenty-four landmarks (skeletal, dental, soft tissue) were located, and horizontal and vertical reference planes were used. Sixteen linear and six angular measurements were evaluated statistically. The pretreatment and posttreatment lateral cephalograms were superimposed on best fit cribriform plate of the ethmoid to analyze soft tissue facial profile changes after orthodontic treatment. Results: The three methods of error indicated that measurements were valid and reliable. The Labrale superius retraction exhibited the best predictability among upper lip components (Sn, Ss), whereas the lower lip showed better predictability and correlation than the upper lip. The upper and the lower lips revealed relatively similar mean retraction value (2.92 mm) and (2.6 mm) although the upper incisors retracted more (5.25 mm) than the lower incisors (2.86 mm). Conclusion: The upper incisors to Labrale superius ratio (1.99:1, UIP:Ls) exhibited the highest correlation (r=0.55) among the other established ratios. The lower incisors to Labrale inferius ratio was (1.13:1, LIP: Is) with significant correlation (r=0.44), whereas no significant correlation was observed with Labrale superius (r=0.27). Published Online: June 30, 2020 ISSN: 2736-54 DOI: 10.24018/ejclinicmed.2021.2.3.24 Dr. Ayman Salman Al-Shakhs BDS. MSc., Post graduate candidate, King Saud University, Dental College, Kingdom of Saudi Arabia. Professor Hayder Abdallah Hashim* BDS, MSc, Hamad medical corporation, Rumaila Hospital, Hamad Dental Centre, Orthodontic División, Qatar. (e-mail: hahashim78 yahoo.com) @ Corresponding Author Professor Hayder Abdallah Hashim Hamad medical corporation, Rumaila hospital, Hamad dental centre, Orthodontic División, Qatar Keywords: Soft tissue profile, upper and lower lip, incisors retaction. for taking cephalograms and for treatment planning. I. INTRODUCTION AND REVIEW OF THE LITERATURE Few studies were found in the orthodontic literature prior to the 1950's in which an attempt has been made to relate orthodontic treatment to the soft-tissue profile [1]. In one of the first investigations of the soft-tissue profile response to orthodontic treatment, Riedel [2] (1950) studied facial profiles of thirty persons by means of lateral cephalograms. He reported that the relation of the maxillary and mandibular apical bases, the degree of convexity of the skeletal pattern, and the relation of the anterior teeth to their respective apical bases have a marked influence on the softtissue profile. Facial profile often altered through mechanotherapy, but predictability is poor [3]. Burstone [4] presented a method to analyze the soft-tissue profile by means of angular and linear measurements. He described the average morphology and the variation of acceptable profiles and reported that desirable and undesirable changes in the facial contour could be influenced by the underlying dentoskeletal framework. In a later study, Burstone [5] described in detail the lip posture and its role in orthodontics and proposed the use of the relaxed lip position DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 Ricketts [6] advocated a line which he named the ''esthetic plane'' to describe the relationship of the lips to the soft tissues of the chin and nose. In Caucasian adults, he observed that lips should be contained within this line. The line is drawn from the chin to the tip of the nose. He also noticed that the upper lip thickened 1 mm with 3 mm of retraction of the upper incisors, whereas the lower lip curled backward with no thickening. In 1961, Subtelny [7] demonstrated the effect of orthodontic treatment on the lip position. He presented five patients who showed a change in lip position due to treatment and growth and concluded that lip posture was closely correlated with the posture of the underlying dental and alveolar structures. In a study of adolescent boys and girls, Bloom [8] found high correlation between maxillary central incisor changes and the superior sulcus, upper and lower lips. He also found strong relationship of the lower incisor to the inferior sulcus and the lower lip and concluded it was possible to predict the perioral soft-tissue profile changes in relation to the expected amount of anterior tooth movement. In a similar study, Rudee [9] studied soft tissue changes in eighty-five treated orthodontic patients. He reported that the average ratio of upper incisor retraction to upper lip and lower lip retraction was 2.9:1 and 1:1, respectively. Similarly, the lower incisor to lower lip retraction ratio was 0.59:1. However, his sample was selected regardless of age and sex, and no attempt was made to separate the growth effect from changes due to treatment. Hershey [10] investigated the effect of incisor retraction on soft-tissue profile changes in thirty-six post adolescent female patients. He concluded that neither the simple nor the multiple correlation coefficients obtained were clinically useful in predicting soft-tissue response from incisor retraction. The same findings were observed by Wisth [11] who studied lip morphology and treatment changes in two groups of boys. He found that the variability of the results was great and concluded that prediction of soft tissue changes in an individual case is impossible, particularly if the overjet is great. Huggins and McBride [12] did a study on thirty-three randomly selected Class II Division1 patients with overjet ranging from 3.0 to 12.0 mm without mentioning whether lips were relaxed or closed during radiographic exposure. Their analysis showed that subnasale, labrale superius, and labrale inferius moved nearer to the facial plane as a result of the hard tissue remodeling due to orthodontic treatment. Female patients showed a relationship between the upper incisor retraction and the reduction in prominence of the upper and lower lips. The male patients revealed no correlation between the upper incisor and the lip position. They attributed this to the continued mandibular growth in males. However, many studies have described a relationship between incisors and lip retraction, but the strength of this relationship varies greatly. It is generally concluded that the relationship between the hard and the soft tissue change is subjected to large individual variations [13]. In attempt to determine the effects of incisor retraction on the profile, several studies were conducted to quantify and to predict the relationship between incisor retraction and lip retraction. Except for one study [7] that found a predictable amount of soft tissue changes in response to incisor retraction, the majority of the studies on both growing and nongrowing subjects concluded that large individual variations preclude accurate prediction in any given person [5], [10]. On the other hand, lip structure seems to have an influence on lip response to incisor retraction. Oliver [14] found that patients with thin lips or high lip strain displayed a significant correlation between incisor retraction and lip retraction, whereas those with thick lips or low lip strain displayed no such correlation. On the other hand, Wisth [11] noted that lip response, as a proportion of incisor retraction, decreased as the amount of incisor retraction increased. This seems to indicate that the lips have some inherent support. Further, it was observed that upper vermillion height was negatively correlated with the upper lip retraction [15]. However, these changes in the upper vermillion height did not significantly correlate with the magnitude of incisor retraction. In one study, 95% of patients had decreased lip protrusion due to the extraction of four premolars, whereas the nasolabial angle increased by 5.2°, the upper lip retracted 3.4 DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 mm to the E-line, and the lower lip retracted 3.6 mm to the Eline [16]. It was also found that maxillary incisor retraction led to upper lip retraction, increased lower lip length, and increased the nasolabial angle [17], whereas the mandibular incisor position determined lower lip position and shape [18]. In African Americans study carried out by Caplan and Shivapuja [19] a ratio of 1.2:1 was attained between maxillary incisors retraction and upper lip change, whereas; (1.75:1) was found between mandibular incisor retraction and retraction of the lower lip (r=0.70, P<0.05). On the other hand, a weak relationship was found between upper lip retraction and retraction of the maxillary incisors (r=0.42, P<0.05). They concluded that the mandibular incisor was the only hard tissue variable that could be used as a predictor in a regression model to explain lip response to orthodontic therapy. Further, Conley and Jernigan [20] did study among Caucasians. They reported 2.68:1 ratio of maxillary incisors retraction to upper lip change, which is considerably mild. Furthermore, Lo and Hunter [21] concluded that upper incisors retraction has strong correlation with nasolabial angle (mean ratio of 1.6 ْ to 1 mm) which if not predicted properly might lead to obtuse nasolabial angle in patients with Class II division 1 malocclusion ending with unpleasing facial profile. Using maxillary metallic implant superimposition to reduce confounding factors of facial growth, similar ratio of upper lip retraction has been found in both pretreatment lip competent and non-competent groups (0.75:1 & 0.70:1, respectively). The non-competent group showed more retraction at upper stomium. Nasolabial angle also tends to open after incisor retraction but with less predictability [22]. Orthodontic research dealing with facial structure has shown that hard and soft tissue changes either coincide with each other [2], [10] or not directly related [23], [18]. However, in several studies' horizontal changes in dentoskeletal structure and soft-tissue profile were assessed using a reference line through sella perpendicular to the line Sella-Nasion minus 7° to approximate the true horizontal [24], [17], [1]. Similarity in the methodology facilitates comparison between these studies. However, it was reported that care must be considered to preserve the nasolabial angle within 10° of 100°, where several studies in layperson preferences found that an overly obtuse or acute nasolabial angle is not considered to be aesthetic [25], [26]. Very recently, Hodgkinson [27] stated "Incisor retraction may result in lip retraction, interlabial gap closure and increase of the nasolabial angle but a clear consensus on the effect of incisor retraction on facial aesthetics has not yet been achieved. Despite current evidence being weak, it seems to indicate that in a well-managed orthodontic case, with or without extractions, the soft-tissue and facial aesthetic changes are generally favorable or clinically insignificant". II. AIM OF THE STUDY To determine the soft tissue facial profile changes associated with upper and lower incisors retraction. III. RESEARCH HYPOTHESIS Null Hypothesis (H0): There are no changes in the soft tissue facial profile after incisors retraction. Alternative Hypothesis (Ha): There are changes in the soft tissue facial profile after incisors retraction. IV. MATERIALS AND METHOD A. The Sample The sample of the present study consisted of pretreatment and posttreatment lateral cephalographs taken for thirtyseven orthodontically treated females with a mean age of 15.03 years. They were selected according to the following criteria: 1. Patients with age ranged from 13 to 20 years old. 2. Having pretreatment Class II division 1 malocclusion (skeletal and dental) with: - ANB ≥ 5° and/or Wits > +2 mm; - At least cusp to cusp molar and canine relationships; - Overjet ≥ 5 mm. 3. All subjects were treated by one orthodontist with fixed edgewise mechanotherapy with extraction of upper first premolars and lower second premolars. 4. Availability of good quality pre- and posttreatment lateral cephalographs taken by same Cephalostat with the teeth in occlusion and lips in a relaxed position. 5. None of the cases had congenital anomalies, jaw trauma, fractures and significant facial asymmetry. The average time between pretreatment and posttreatment radiographs was two years and ten months. \| \| N \| Minimum \| Maximum \| Mean \| SD \| \|---\|---\|---\|---\|---\|---\| \| age \| 37 \| 13 \| 20 \| 15.03 \| 2.13 \| B. Cephalometric Analysis The retrospective lateral cephalographs used in the present study were taken using Broadbent [28] standardized cephalometric technique. All cephalographs were taken by the same operator and the same cephalostat. Patients were positioned following Burstone's guidelines [5]: 1. Patient's sagittal plane at right angle to the path of x-ray 2. Teeth in maximum intercuspation. 3. Relaxed lips posture. C. Cephalometric Analysis Steps Manual tracing for each of the 37 pretreatment (T1) and posttreatment (T2) lateral cephalographs was done by one operator in a darkened room on a fluorescent tracing screen. An acetate papers with 0.003-inch thickness have been used with 0.5 mm mechanical black and blue lead pencils for pretreatment and posttreatment tracing respectively at the same time to minimize tracing error. As shown in Fig. 1, the following fifteen hard tissue and nine soft tissue landmarks were identified according to the classic definitions found in the literature [29], [30]: - Hard tissue landmarks 1. (S) Sella, center of the contour of sella turcica. 2. (N). Nasion, Is the most anterior point of the nasofrontal DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 suture in the midsagittal plane. 3. (ANS) Anterior nasal spine, the tip of the median, sharp bony process of the maxilla at the lower margin of the anterior nasal opening. 4. (PNS) Posterior nasal spine, the most posterior point at the sagittal plane on the bony hard palate. 5. (Sp ٰ) Spina marked, the intersection points of N-Me line and ANS-PNS line. 6. (A) Subspinale, the deepest point in the midsagittal plane between the anterior nasal spine and the alveolar crest. 7. (UIP) Upper incisor point, the most anterior point on the crown of upper incisor. 8. (Is) Incision superius, upper incisor incisal edge. 9. (Isa) Apex of upper central incisor. 10. (Ii) Incision inferius, lower incisor incisal edge. 11. (LIP) Lower incisor point, the most anterior point on the crown of lower incisor. 12. (Iia) Apex of lower central incisor. 13. (B) Supramentale, the deepest point in the midsagittal plane between the alveolar crest and pogonion. 14. (Me) Menton, the most inferior point on the symphyseal outline. 15. (Go) Gonion, the midpoint at the angle of the mandible. - Soft tissue landmarks 1. (Cm) Columella, the most anterior soft tissue points on the columella (nasal septum) of the nose. 2. (Sn) Subnasale, the point of convergence of the nose and the upper lip. 3.(Ss) Sulcus superius, the point of greatest concavity in the midline between the upper lip (Ls) and subnasale (Sn). 4. (Ls) Labrale superius, the most anterior point on the convexity of the upper lip. 5. (Stms) Stomion superius, the lowermost point of the upper lip. 6. (Stmi) Stomium inferius, the uppermost point on the vermilion border of the lower lip. 7. (Li). Labrale inferius, the most anterior point on the convexity of the lower lip. 8. (Si). Sulcus inferius, Is the point of greatest concavity in the midline between the lower lip and soft tissue pogonion. 9. (Pg.') Soft-tissue pogonion, the most anterior point of the soft-tissue chin. Horizontal and vertical positional changes of these landmarks were measured in relation to the reference lines drawn on the pretreatment cephalographs (Fig. 2) namely: a. Constructed Frankfort Horizontal line (CFH) drawn from Sella, at 7° below Sella-Nasion line. b. Vertical reference line (VRL) drawn by dropping a perpendicular line to CFH through S-point. Superimposition of pre- and posttreatment cephalograph on the best fit cranial base structures (anterior wall of the Sella turcica, the contours of the cribriform plate, frontoethmoidal crests) as seen in Fig. 3. Black tracing: pretreatment, Red tracing: posttreatment. These landmarks used to produce 24 angular and linear measurements, then classified into skeletal, dental, and soft tissue measurements. Vertical and horizontal displacements of these landmarks were measured; increase in a variable was recorded as a positive and a decrease as a negative. In other words, forward change was recorded as positive and backward change as negative. Linear measurements were calculated to the nearest 0.5 mm and to 0.5° for the angular one. The mean magnification factor (0.8) produced by the Cephalostat was corrected for the linear measurements. DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 D. Statistical Analysis Four skeletal, eight dental and eleven soft tissue cephalometric variables were used to assess treatment changes. The previous measurements were evaluated statistically using Statistical Package Software System, version 12 (SPSS 12). Various analyses have been carried out including descriptive statistics and Student t-test were used for data analysis. Additionally, strength and significance of the relationship between measurements was estimated by Pearson's correlation coefficient (r). E. Error of the Method Prior to the actual recording of the measurements, error due to tracing was assessed. Ten cephalographs were randomly selected and traced twice and retraced after two weeks from the first analysis by the same investigator to determine the intra-examiner error. Error of the method was tested using three methods, Dahlberg's method (SEM is ≤1.2), Paired ttest (>0.05) and Correlation coefficient (r) (r=0.80) which showed negligible errors. V. RESULTS Table II revealing negligible error as followings: 1. Dahlberg's method of error showed that the calculated SEM has a maximum value of 0.74 indicating insignificant standard error of the method (less than1.2). 2. Paired t test has a minimum value of 0.096 indicating also insignificant difference (greater than 0.05) between first and second readings. 3. The first and second tracing measurements were highly correlated where the minimum r- value was 0.85 (greater than 0.80). Table III presented the treatment mean changes of the facial soft tissues were and indicated that nasolabial angle (NLA) increased significantly, whereas upper lip angle decreased significantly in relation to CFH reference line (i.e., both angulations' changes led to significant backward movement of the upper lip). The change in NLA and upper lip angle showed large standard deviation value and even more for mentolabial angle (MLA). Upper lip length, on the other hand, did not changed significantly, while thickness reveals significant mean change. Lower lip, on the other hand, displayed different changes; length has increased significantly while thickness did not show significant changes. On the other hand, the uncurling of lower lip increases the mentolabial angle significantly. Moreover, retraction of one or both upper and lower lips resulted in significant reduction of interlabial gap. Nevertheless, all soft tissue variables have shown significant and strong correlation between pre- and posttreatment measurements except lower lip thickness. Table IV shows the significance of the mean differences between pre- and posttreatment for lower facial height and mandibular inclination in relation to SN line. There was a statistically highly significant mean changes took place in the lower facial height and mandible to SN inclination. Further, the correlations between pre- and posttreatment measurements were very strong and highly significant. Hence, the results indicate that increase in the lower facial height was due to backward rotation of the mandible. Table V is expressing very high significant dental changes between T1 and T2. The upper and lower incisors were retroclined significantly in relation to the Constructed Frankfort horizontal and mandibular plane respectively. Additionally, there were significant and strong correlations between pre- and posttreatment measurements. The overjet was reduced significantly as well as the overbite. Nevertheless, pre- and posttreatment for both were weakly correlated. TABLE III: SOFT TISSUE CHANGES \| No. \| \| Paired variables \| \| \| Dahlberg’s \| Paired t- test (P) \| \| Correlation (r) \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| method of \| \| \| \| \| \| \| \| \| \| \| error (SEM) \| \| \| \| \| \| \| 1 \| \| ANB \| \| 0.5 \| \| 0.193 \| \| 0.938 \| \| \| 2 \| \| Wits \| \| 0.33 \| \| 0.096 \| \| 0.949 \| \| \| 3 \| \| Lower facial height \| \| 0.44 \| \| 0.343 \| \| 0.985 \| \| 4 \| \| \| Mandibular plane \| 0.31 \| \| 0.168 \| \| 0.999 \| \| \| \| \| \| inclination \| \| \| \| \| \| \| \| \| 5 \| \| Nasolabial angle \| \| 0.63 \| \| 1.000 \| \| 0.997 \| \| \| 6 \| \| Upper lip angle \| \| 0.63 \| \| 0.509 \| \| 0.997 \| \| \| 7 \| \| Subnasale retraction \| \| 0.22 \| \| 0.343 \| \| 0.895 \| \| 8 \| \| \| Sulcus superius \| 0.2 \| \| 0.591 \| \| 0.926 \| \| \| \| \| \| retraction \| \| \| \| \| \| \| \| \| 9 \| \| Upper lip length \| \| 0.24 \| \| 0.193 \| \| 0.976 \| \| \| 10 \| \| Upper lip thickness \| \| 0.3 \| \| 0.726 \| \| 0.905 \| \| \| 11 \| \| Upper lip retraction \| \| 0.43 \| \| 0.811 \| \| 0.914 \| \| \| 12 \| \| Lower lip length \| \| 0.22 \| \| 0.343 \| \| 0.989 \| \| \| 13 \| \| Lower lip thickness \| \| 0.28 \| \| 0.443 \| \| 0.990 \| \| \| 14 \| \| Lower lip retraction \| \| 0.36 \| \| 0.555 \| \| 0.929 \| \| \| 15 \| \| Mentolabial angle \| \| 0.74 \| \| 0.780 \| \| 0.996 \| \| \| 16 \| \| Interlabial angle \| \| 0.3 \| \| 0.279 \| \| 0.889 \| \| \| 17 \| \| Overjet \| \| 0.24 \| \| 0.678 \| \| 0.855 \| \| \| 18 \| \| Overbite \| \| 0.22 \| \| 0.343 \| \| 0.995 \| \| 19 \| \| \| Upper incisors \| 0.44 \| \| 0.343 \| \| 0.998 \| \| \| \| \| \| inclination \| \| \| \| \| \| \| \| 20 \| \| \| Upper incisors \| 0.1 \| \| 0.343 \| \| 0.995 \| \| \| \| \| \| retraction \| \| \| \| \| \| \| \| 21 \| \| \| Lower incisors \| 0.22 \| \| 0.343 \| \| 0.999 \| \| \| \| \| \| inclination \| \| \| \| \| \| \| \| 22 \| \| \| Lower incisors \| 0.36 \| \| 1.000 \| \| 0.958 \| \| \| \| \| \| retraction \| \| \| \| \| \| \| \| 23 \| \| \| Upper incisors \| 0.33 \| \| 0.343 \| \| 0.961 \| \| \| \| \| \| intrusion \| \| \| \| \| \| \| \| 24 \| \| \| Lower incisors \| 0.28 \| \| 0.443 \| \| 0.985 \| \| \| \| \| \| intrusion \| \| \| \| \| \| \| NS = Not significant, () P < 0.05 level. () P < 0.01 level. () P < 0.001 level. TABLE IV: SKELETAL CHANGES NS = Not significant, () P < 0.05 level. () P < 0.01, () P < 0.001 TABLE V: DENTAL CHANGES NS = Not significant, () P < 0.05 level. () P < 0.01, () P < 0.001. DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 TABLE II: THE RESULTS OF THE THREE ERROR OF THE METHOD TESTS Table VI representing the different ratios exhibited by the upper and lower lip variables (retraction at subnasale, sulcus superius, labrale superius and labrale inferius) to the upper incisor retraction. The following ratios have been shown: a) Upper incisor to Subnasale retraction ratio was 5.34:1 which mean that 1mm retraction at Subnasale will be resulted from 5.34 mm retraction of upper incisor. This ratio, on the other hand was statistically at border line (P=0.05) and weakly correlated (r=0.32). b) Whereas for 1mm sulcus superius retraction, require 2.71mm upper incisor retraction and the ratio expressed as 2.71:1 (upper incisor to sulcus superius retraction ratio). This ratio was statistically significant at 5% level. c) At 1% level, upper lip retraction at labrale superius by 1 mm was statistically highly significant and strongly correlated with 1.99 mm retraction of upper incisor. Hence, upper incisor to labrale superius retraction ratio was 1.99:1. d) Finally, lower lip retraction at labrale inferius of 1 mm showed significant correlation with 2.16 mm upper incisor retraction at 5% level. Thus, giving a ratio of 2.16:1 (upper incisor to labrale inferius ratio). Table VII exhibiting the ratios of mandibular incisor retraction to upper lip (at labrale superius) and lower lip (at labrale inferius) retraction. For 1.10 mm labrale superius retraction, 1mm lower incisor retraction would be needed. This ratio of (1.10:1) lower incisor to labrale superius retraction was statistically insignificant and weakly correlated. On the other hand, statistically high significant and strong correlation was found for the lower incisor to labrale inferius retraction ratio (1.13:1). Thus, 1.13 mm lower incisor retraction would result in 1mm labrale inferius retraction. TABLE VI: RATIO OF MAXILLARY INCISOR RETRACTION TO UPPER AND LOWER LIPS RETRACTION NS = Not significant, () P < 0.05 level. () P < 0.01, () P < 0.001. TABLE 7: RATIO OF MANDIBULAR INCISOR RETRACTION TO UPPER AND LOWER LIPS RETRACTION. NS = Not significant, () P < 0.05. () P < 0.01, () P < 0.001. VI. DISCUSSION The present investigation is a retrospective study designed to evaluate the incisor to lip retraction ratio and the various factor that influence the extent of lips retraction value. The sample consisted of thirty-seven adolescent subjects undergone comprehensive orthodontic treatment. Since most of the soft tissue facial growth changes suggest sexual dimorphism, single gender included only. Females were chosen as they get matured earlier than males (about 15 years) which minimize the confounding growth effect. Further, a minimum overjet of 5 mm was selected and at least cusp to cusp molar and canine relationships checked from dental casts. Furthermore, ANB angle should be equal to or greater than 5 degrees and/or Wits appraisal greater than +2 mm. Unfortunately, due to these rigid criteria, many cases were excluded. Pretreatment and posttreatment lateral cephalographs have been taken using standardized technique and equipment's as recommended by Battagel 31 and, Isaacson and Thorm [32]. Therefore, all radiographs were of high quality. The high-speed film has been used at fixed distance to the midsagittal plane with restricted head movement. The different methods of analyses available for evaluating soft tissue profile and the lack of standardization in research methods make it difficult to draw comparisons between results reported by various researchers. DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 Constructed Frankfort Horizontal (CFH) and vertical reference planes were used to calculate sagittal and vertical changes because of their increased reliability and convenience. Superimposition of pre- and posttreatment cephalographs was applied to minimize growth effect so that discernible treatment changes could be measured. Structural superimposition has been used as advocated by Björk [33] and Björk and Skieller [34] by superimposing the longitudinal radiographs on stable anatomical landmarks, so they fit together in the best way possible. Several studies report that there is a correlation between incisor retraction and lip retraction, which has been supported by meta-analysis [17], [35], [36]. The Upper and lower incisor point (UIP), the most labial point of the incisor crown, has been used in this study to measure the amount of incisors retraction achieved. Incisal edge (Is) has been the most common landmark selected, but this point has minimal predictive value for lip movement [9],[17]. Additionally, higher determination (64%) was reported when UIP used [10]. Despite desirable bodily movement during incisors retraction, it is a difficult achievable goal. Frequently, there is a degree of tipping movement (retroclination) accompanying bodily incisors retraction. The mean retraction of upper incisors (5.25 mm) ends with 14.05° up-righting relative to CFH plane. Lower incisors inclination, in Class II division 1 malocclusion, frequently attempts compromised position. Therefore, some proclination would be acceptable, and the lesser amount of retraction occurred (2.86 mm) were concurrent with lower incisors alignment and intrusion. Intrusion was more in lower incisors (1.42 mm) than upper incisors (0.23 mm). This intrusion is needed as good number of cases (nine) in the study was in traumatic deep bite (5-6 mm). In response to incisors retraction, variables of upper lip showed differential changes (Sn=1.04 mm, Ss=2.06 mm, Ls=2.92 mm) with subsequent lip uncurling resulted. These different values were due to different factors, not all of them are well known. Among these the individual response, anatomical complexity and mechanotherapy applied were contributing to these variations. Furthermore, after incisors retraction, the lower lip was retracted by a mean of 2.60 mm which is close to upper lip retraction (2.92 mm) although different degree of upper and lower incisors retraction performed. This might be due to initial everted lower lip posture where it is trapped behind upper incisors. Rains and Nanda 1 found that the lower lip had more variable than the upper lip to the differences in upper incisors retraction. In contrast, position of the lower lip remains almost unchanged in Talass's et al study [17]. This might be due to mixed extraction and non-extraction therapy applied in his sample. Several factors influence lower lip retraction, namely upper and lower incisors retraction, lower incisors intrusion and initial lower lip thickness. This is not in line with Rains and Nanda 1 findings where significant correlation was observed only with mandibular rotation. In the present study, the lower incisors retraction showed greater correlation (r=0.44) with the lower lip retraction than the upper incisors (r=0.37). Indeed, the lower incisors retraction by one millimeter would result in 0.43 mm retraction of lower lip. This result is less than the finding reported by Hodges et al. [37]-[39]. They reported that for every millimeter of lower incisor retraction, lower lip retraction ranges from 0.8 mm to 1.3 mm. This value is close to the lower incisors intrusion, where (1.00 mm) millimeter incisors intrusion resulted in (0.3 mm) retraction of lower lip, which again confirms the strong correlation between incisors intrusion and retraction. The result of the present study revealed that the initial lower lip thickness had an important role with lower lip retraction at Labrale inferius. When the upper and lower incisors being retracted; both upper and lower lips will followed in different ratios. This is due to different method of calculating upper incisors retraction used among different studies. Upper incisor point (UIP) was used in the present study and by Rains and Nanda [1], whereas the Incision superius (Is) was used by Talass et al [17] and Conley and Jernigan [20]. Therefore, comparison between these studies is difficult for the reasons mentioned above. Significant ratio was obtained (2.71:1) where 2. 71 mm upper incisors retraction will be required to obtain 1mm retraction of Sulcus superius. Lew [40] found almost similar ratio (2.1:1) although lingual orthodontic approach was performed instead of labial orthodontic used in the present study. Further, less ratio (0.14:1) was found by Lo and Hunter [21] in a mixed sample of males and females which might affect the result. Upper incisors (UIP) to Labrale superius (Ls) retraction DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 ratio: (UIP:Ls) showed the most significant and highest correlation found among other ratios in the present study, Labrale superius undergoes a mean retraction ratio of 1.99:1. This seems very interesting since Labrale superius being the free end of the upper lip, expected to reveal the greatest response to incisors retraction. On the other hand, Rains and Nanda 1 gave a mean ratio of (1.6:1, Ls: UIP) which is closer to the present study even though fewer upper incisors retraction applied (3.1mm). In contrast, Lo and Hunter [21] reported a mean ratio of (2.5:1, Ls: Is), and greater (r=0.76) correlation coefficient than in the present study. Waldman [41] reported greater mean ratio (3.8:1) where different reference planes were used. Talass et. al. [17], however, went to the extreme and reported the highest mean ratio 5:1. The upper incisors (UIP) to Labrale inferius (Li) retraction ratio: (UIP: Li) indicated that as upper incisors retraction mainly affects upper lip, the lower lip, on the other hand, could be influenced too. This is true in cases with moderate to severe Class II division 1 malocclusion especially with deep bite as observed in the present study. Everted lower lip often entrapped behind upper incisors. Upon upper incisors retraction, unfolding of lower lip would result with subsequent improvement of lips competency. Consequently, a ratio of (2.16:1) represents this mutual relationship between upper incisors and lower lip. This agreed with Bloom [8], Rudee [9], Roos [18] and Kusnoto and Kusnoto [42] and disagreed with Hasstedt [43], Ricketts [6] and Lo and Hunter [21]. On the other hand, insignificant correlation was found with Labrale inferius (Li). One reason of this conflicting result might be due to lower lip advancement after lower incisors proclination during treatment. Further, when investigating the lower incisors to Labrale inferius (Li) retraction ratio, the result of the present study revealed that the lower incisors were retracted 2.86 mm on average. The ratio obtained (1.13:1) was highly significant at 1% level. This agreed with Kusnoto and Kusnoto [42] where similar correlation and significance level were reported. Rains and Nanda [1], however, did not establish significant correlation. Despite the wide variation of facial soft tissue response to the change in underlying hard tissues especially incisors, general tendency of soft tissue following orthodontic treatment are valuable tool clinically for better estimating the expected changes in the soft tissue facial profile. Further, changes in the soft tissue facial profile caused by tooth movement have distinct characteristics which cannot be calculated easily by ratio or formula. Wide variability was shown, nevertheless, a prediction of posttreatment profile change may be still possible. Pretreatment facial soft tissue profile should be evaluated individually. It is important to study the relaxed lip posture due to its accuracy in determining posttreatment posture as Burstone [5] described. Collectively, the above-mentioned soft tissue facial changes could be used to predict the posttreatment facial profile. The amounts of planned incisors retraction must be estimated and drawn on the pretreatment cephalometric tracing then redraw the expected soft tissue movement considering both the direction and amount. From the above findings, the stated null hypothesis "There are no changes in the soft tissue facial profile after incisors retraction" was rejected and accept the alternative hypothesis "There are changes in the soft tissue facial profile after incisors retraction" VII. CONCLUSIONS The Alternative Hypothesis (Ha) that there are changes in the soft tissue facial profile after incisors retraction; was accepted The following conclusions were drawn: 1. Nasolabial angle significantly increased. However, it is poorly predictable. 2. The mentolabial angle showed weak predictability. 3. The changes in the interlabial gap have the highest predictability and correlation, making it a more useful clinical tool. 4. The changes in the lower lip thickness have the greatest predictability whereas the change in the length was the least. 5. The upper and the lower lips revealed relatively similar mean retraction value (2.92 mm) and (2.60 mm) respectively although the upper incisors retracted more (5.25 mm) than the lower incisors (2.86 mm). 6. The upper incisors to Labrale superius ratio was (1.99:1, UIP: Ls) exhibited the highest correlation (r=0.55) among the other established ratios. 7. The lower incisors to Labrale inferius ratio was (1.13:1, LIP: Is) with significant correlation (r=0.44), whereas no significant correlation was observed with Labrale superius (r = 0.27). REFERENCES [1] Rains MD, Nanda R. Soft tissue changes associated with maxillary incisor retraction. Am J Orthod 1982; 81:481-8. [2] Riedel R. Esthetics and its relation to orthodontic therapy, Angle Orthod. 1950; 20: 168- [3] O'Reilly WC. 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The influence of the upper incisor position on soft tissue facial profile. Br. J. Orthod. 1975; 2: 141-146. [13] Zierhut EC, Joondeph DR, Artun J, Little RM. Long-term changes associated with successfully treated extraction and nonextraction Class II Division1 Malocclusions. Angle Orthod. 2000 Jun; 70(3):208-19. [14] Oliver BM. The influence of lip thickness and strain on upper lip response to incisor retraction. Am J Orthod 1982; 82:141-8. [15] Perkins RA, Staley RN. Change in lip vermillion height during orthodontic treatment. [Thesis] Iowa City: University of Iowa, 1987. [16] Drobocky OB, Smith RJ. Changes in facial profile during orthodontic treatment with extraction of four first premolars. Am J Orthod. 1989; 95:220-30. DOI: http://dx.doi.org/10.24018/ejclinicmed.2021.2.3.24 [17] Talaas MF, Talaas L, Baker RC. Soft-tissue changes resulting from retraction of maxillary incisors. Am J Orthod. 1987; 91:385-94. [18] Roos N. Soft tissue profile changes in class II treatment. 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Plastic and Reconstructive Surgery 129: 759–764. [26] Sinno HH, Markarian MK, Ibrahim AM, et al. (2014) The ideal nasolabial angle in rhinoplasty: a preference analysis of the general population. Plastic and Reconstructive Surgery 134: 201–210. [27] Danielle Hodgkinson, Fiona A Firth and Mauro Farella. Effect of incisor retraction on facial aesthetics. Journal of Orthodontics; 2019; 1 –5. [28] Broadbent BH. A new x-ray technique and its application to orthodontia. Angle Orthod 1931; 1:45-66. [29] Meredith HW, Chadha JM. A roentgenographic study of change in head height during childhood and adolescence. Hum. Biol 1962; 34:299-319. [30] Riolo ML, Moyers RE, McNamara JA, Hunter WS. An atlas of craniofacial growth: cephalometric standards from the university school growth study. Ann Arbor: University of Michigan, 1974. [31] Battagel JM. A comparative assessment of cephalometric errors. Eur J Orthod 1993b; 53:305-314. [32] Isaacson KG, Thom AR. Orthodontics radiographs guidelines. Brt Orthod Soc, 2001. [33] Björk A. Sutural growth of the upper face studied by the implant method. Acta Odonto. Scand 1966; 24: 109-127. [34] Björk A, Skieller V. Normal and abnormal growth of the mandible. A synthesis of longitudinal cephalometric implant studies over a period of 25 years. Eur J Orthod 1983; 5:1-46. [35] Konstantonis D, Vasileiou D, Papageorgiou SN, et al. (2018) Soft tissue changes following extraction vs. nonextraction orthodontic fixed appliance treatment: a systematic review and meta-analysis. European Journal of Oral Sciences 126: 167–179. [36] Kuhn M, Markic G, Doulis I, et al. Effect of different incisor movements on the soft tissue profile measured in reference to a roughsurfaced palatal implant. American Journal of Orthodontics and Dentofacial Orthopedics. 2016; 149: 349–357. [37] Hodges A, Rossouw PE, Campbell PM, et al. Prediction of lip response to four first premolar extractions in white female adolescentsand adults. Angle Orthodontist 2009; 79: 413–421. [38] Kasai K, Soft tissue adaptability to hard tissues in facial profiles. American Journal of Orthodontics and Dentofacial Orthopedics 1998, 113: 674–684. [39] Solem RC, Marasco R, Guiterrez-Pulido L, et al. Three dimensional soft-tissue and hard-tissue changes in the treatment of bimaxillary protrusion. American Journal of Orthodontics and Dentofacial Orthopedics. 2013; 144: 218–228. [40] Lew K. Profile changes following orthodontic treatment of bimaxillary protrusion in adults with Beg appliance. Eur J Orthod 1989; 11:375-81. [41] Waldman BH. Change in lip contour with maxillary incisor retraction. Angle Orthod. 1982; 52:129-34. [42] Kusnoto J, Kusnoto H. The effect of anterior tooth retraction on lip position of orthodontically treated adult Indonesians. Am J Orthod 2001; 120:304-7. [43] Hasstedt, CW. 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www.elsevier.com/locate/procedia ScienceDirect Energy Procedia 158 (2019) 2800–2805 10 th International Conference on Applied Energy (ICAE2018), 22-25 August 2018, Hong Kong, China Thermal Dynamic Modelling and Temperature Controller Design for a House Hector Bastida a , Carlos E. Ugalde-Loo a , Muditha Abeysekera a , Meysam Qadrdan a , Jianzhong Wu a a Cardiff School of Engineering, Cardiff University, Queen's Buildings, The Parade, Cardiff CF24 3AA, Wales, UK Abstract Heat consumption management and effective temperature control strategies to meet heat demand in residential and office buildings have become an important aspect within energy management. A thermal dynamic model of a building is not only necessary to estimate the energy consumption under different operating conditions but also to design effective controllers. This paper presents a classical control approach for the indoor temperature regulation of buildings. State-space and transfer function models of house thermal behaviour are developed. These are obtained from first principles of heat transfer and their analogy with electrical systems. To capture a realistic behaviour of heat transfer, the proposed models consider parametric uncertainties. A frequency response-based approach is used to obtain a reduced order system that facilitates control system design. The models have been implemented in MATLAB/Simulink and a PI controller has been designed to maintain a comfortable indoor temperature in the building. Simulation results show that the controller effectively regulates temperature despite system disturbances. An energy saving of around 8% comparing the proposed controller to a traditional on/off controller is achieved. © 2019 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/) Peer-review under responsibility of the scientific committee of ICAE2018 – The 10th International Conference on Applied Energy. Keywords: Building thermal control; building dynamic model; control system design; frequency response; heat transfer coefficient 1. Introduction Efficient management of energy flows in buildings has an important economic impact in terms of energy savings. Building indoor temperature control not only requires effective control strategies, but also suitable building models. Inefficiency in heating operation could represent significant energy losses. Although a conventional on/off controller Corresponding author. Tel.: +44-7397952255.E-mail address: firstname.lastname@example.org 1876-6102©2019 The Authors. Published by Elsevier Ltd. Peer-review under responsibility of the scientific committee of ICAE2018 – The 10th International Conference on Applied Energy. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/ 10.1016/j.egypro.2019.02.041 ) which does not consider the building's thermal dynamics could simplify the implementation of a temperature control system, a significant part of the energy supplied by the heating systems may be wasted. To prevent this shortcoming, it is necessary to both use accurate building models and more suitable control alternatives. The most common approach to model the thermal behaviour of a building is based on equivalent thermal parameters, where equivalent resistive and capacitive (RC) networks are employed to model the heat flow through a solid surface, such as a wall [1]. These elements are denoted as layers. Some references follow this approach for control system design [2-4]; however, the more building layers there are, the more complex the system becomes. It is thus important to obtain a reduced order model that simplifies the control system design process. Using an RC networks approach, it is possible to reduce the order of the building model by analysing the influence of the resistance of each layer over the heat flow injected in each capacitor. This way, a dominant layer is obtained [5]. Another approach is to obtain the thermal conductivity average of a multi-layered element [6]. In terms of model description, the state-space model is the most popular representation. Nevertheless, it requires the measurement or estimation of every state variable in the system, which implies a higher implementation cost. Alternatively, the calculation of fundamental parameters, such as heat transfer coefficients, has been adopted [7]. Following this line, a single-input single-output (SISO) model of the dynamic thermal behaviour of a house is developed in this paper. This is based on equivalent RC networks and makes use of the calculation of heat transfer coefficients. A frequency response method borrowed from control engineering is applied to reduce the order of the model with sufficient accuracy. The method uses Bode diagrams, enabling control design in the frequency domain. A PI controller is then designed. The full control system is implemented in MATLAB/Simulink, with results demonstrating a good performance under system disturbances in addition to a better energy consumption than that of a traditional on-off controller. 2. Dynamic thermal model of a house A state-space dynamic thermal model of a building is developed using electro-thermal analogies. The calculation of convection and conduction heat transfer coefficients is described. Since the variables involved in the convection phenomenon depend on weather conditions, uncertainty ranges are established to capture different ambient conditions within the model during a specific year season. 2.1. Heat transfer coefficients The indoor temperature of a building is determined by its heat transfer processes; i.e. convection, conduction, and radiation [8]. However, the thermal behaviour is mainly influenced by convection and conduction, with radiation being considered as a disturbance. Convection and conduction can be described, respectively, by Using an electric circuit analogy, the heat flow can be modelled as a current, the temperature as a voltage source, and the thermal storage as a capacitance. According to (1) and (2), the convection and conduction resistances can be defined as Rcv=1/UvA and Rcd=L/kA=1/UdA, respectively. To illustrate this concept, Fig. 1 shows the electric circuit representation of a simple wall and an insulated one. The convection heat transfer coefficient U depends on the mean velocity of the air. It is described by hydrodynamic and thermodynamic characteristics of the air and its value changes with temperature and speed. Although the accurate calculation of U is complicated, it is possible to compute an average value suitable for practical applications. In the work reported in this paper, U is obtained from the following equations: U=Nuk/L, Re=υL/v and Nu=0.664Re 1/2 Pr 1/3 [8]. 2.2. Case study The house geometry and the properties of the building materials are used to calculate the thermal storage capacity. The thermal capacitance is calculated as C=mcp. The house dimensions are shown in Fig. 2. The energy balance equation for each house element can be obtained by applying Kirchhoff's laws over each grid node. The energy stored by the door is neglected. To exemplify the modelling approach, two different thermal models for the house shown in Fig. 2 are developed: with insulation and without an insulator. The insulator used is cellulose and it covers the roof and walls. The wall material is lightweight concrete and the roof is made with asbestos tiles. The electric circuit representations are shown in Figs. 2(c) and 2(d). The models include the energy loss (QL), energy inputs due to solar radiation and occupancy rate (QR), and heat input (Qu). Fig. 2. (a) House dimensions. (b) Insulated wall by cellulose [9]. Electric circuit analogy of thermal model: (c) without and (d) with insulator. The dashed lines in Figs. 2(c) and 2(d) separate the house elements schematically. Each energy storage element (capacitor) receives the heat transferred (current) by its surrounding elements. The total energy exchange depends on the element temperatures, which change dynamically. Table 1 shows the equations for both models. The calculation of U will be affected by the thermodynamic air properties, which in turn are determined by air temperature. These properties are provided in Table 2. Table 3 shows the values required to calculate the resistances and thermal capacitances, which are given in Table 4. These parameters are obtained with the equations provided in Section 2.1 and using C=mcp, respectively. These values reflect the thermal dynamics of the system. Table 1. Energy balance equations for both configuration models. Table 2. Air hydro and thermodynamic properties. * Value ranges between −10°C to 30°C [10] Table 3. House materials, areas and interior air properties Table 4. House with insulator resistance values [W/°C] and thermal capacitances [J/°C]. Notice that the resistance values shown in Table 4 are given in ranges depending on the variations to the air hydro and thermodynamic properties (see Table 2). To simplify the model notation and the control design process, the equivalent resistances have been renamed. Using the information provided by Tables 1-4, a state-space representation of the form has been obtained, where the system states are the element temperatures, the system input is the heat supplied by an actuator (such an HVAC or a radiator set Qu), and the output is the house interior temperature (TH). The ambient temperature (Ta), solar radiation, people transit and energy losses due to leaks are considered as disturbances. Using the equations to calculate U and the notation in Table 4, the insulated house state-space model is given by: Notice that the effect of Ta is explicitly shown as a disturbance. Under this consideration, it can be noticed that the system represented by (3)-(5) would be linear for each operating point. Fig. 3(a) shows the response of TH for both house models given a cold ambient temperature Ta. As expected, TH for a house with cellulose coverage is less affected by Ta than a non-insulated one. Additionally, TH decreases more slowly in an insulated house. 3. Model reduction and controller design The state-space model in Section 2 offers information on the dynamic thermal behaviour of the house. However, its direct use requires the measurement/estimation of all state variables of the system. Instead of using a state feedback controller, a SISO model representation in the frequency domain is employed for control system design. 3.1. Model reduction A transfer function relating the heat input (Qu) and the temperature (TH) can be established with Given that ambient conditions will affect the coefficients of system matrix A, obtaining an analytic representation for G(s) becomes a complex and tedious process. Instead, a set of transfer functions is computed for all possible combinations of coefficient values. For instance, the wall convection coefficient U considering a maximum value of air speed and the air properties for temperatures −10°C and 30°C are calculated as U-10°C=1.36 and U30°C=1.6, which in turn can be used to define value ranges for R1v. In general, the transfer function set is defined by: where X-y stands for X×10 y . It can be noticed that (7) is a 6 th order transfer function, which may not be suitable for control system design. A frequency response method for system identification [11] is adopted to reduce the system order. It considers two steps: (i) plotting the Bode diagrams for each transfer function of the set described by (7), and (ii) proposing a system ga(s) that resembles G(s) as much as possible. The last step is done firstly by establishing a 2 nd order transfer function with a specific natural frequency ωn and damping ratio ζ. This is given by A suitable zero is included to (8) to improve the approximation. This way, the model is approximated by a 2 nd order system with ωn= 0.9×10 − 4 , ζ=1.5, and a zero located in z=8.33×10 − 5 : 3.2. PI controller design The closed-loop system for temperature regulation is shown in Fig. 3(b). It includes an actuator with a regulated output, which could be an air conditioner or a radiator supplying heat to the house. The modelling of such an actuator is out of the scope of this work. Instead, a simple transfer function representing an HVAC is adopted [12]: where TH is the heater temperature [°C], ma is the mass flow rate [kg/s] and cp the specific heat of the air. Fig. 4(a) shows the open loop frequency responses for the set of plants G(s). As it can be seen, the approximation given by ga(s) properly fits to G(s), allowing a control design over a more tractable system. The desired closed-loop performance requirements are defined as a settling time of 3600 s and a maximum overshoot of 10%. These specifications are translated to the frequency domain as a damping ratio ζ=0.59, a phase margin of at least 58° and a minimum bandwidth ωbw=0.007 rad/s. To meet these requirements, a PI controller is designed as follows: Controller (11) was obtained using Bode shaping techniques to achieve a phase margin of 90°. To avoid a large energy demand, a new bandwidth ωbw=0.003 rad/s was adopted. The frequency responses of the controlled system are shown in Fig. 4(b). As it can be observed, a good performance for all plants G(s) has been achieved. 4. Results A closed-loop simulation is performed in MATLAB/Simulink using the designed PI and conventional on/off controllers. Disturbances are applied as shown in Fig. 3(b). The heat injected to the house by solar radiation depends on the position of the windows with respect to the North and this is calculated by R ws s Q A I = . The direction of Is with respect to the windows determines the amount of radiation supplied. In this paper, this is considered as the maximum possible value for all windows to assess the worst disturbance to the system. For this condition, α = 0.2, Aws =1 m 2 and Is = 800 W/m 2 . Additional disturbances due to appliances, house occupants and heat losses are included, as shown in Fig. 5(a). Fig. 5(b) shows the closed-loop responses during a cold day with an outdoor wind speed of 3.5 m/s and an internal wind speed of 0.1 m/s. A constant temperature reference is maintained throughout the day. As it can be observed, the use of the designed PI controller drastically improves system performance in terms of temperature regulation and energy consumption. Considering the outputs of the actuators, an energy consumption of 173.5 kWh is obtained when the on/off controller is used and 159.8 kWh with a PI controller. This represents a saving of 7.9% of energy when the proposed control scheme is adopted. (a) (b) 5. Conclusions In this paper, a dynamic thermal model of a building was developed using electric circuit analogies. Heat transfer coefficients were computed based on energy transfer principles. An approach for building modelling which considers uncertainties in the calculation of the heat transfer coefficients was adopted. A state-space model was developed, which was used to obtain a transfer function equivalent. A frequency response approach was employed to define a reduced order model suitable for control system design. A PI controller was designed using Bode shaping techniques. The results show that the house temperature regulation was improved when the designed controller was adopted instead of a conventional on/off strategy. It is important to emphasise that the modelling approach adopted in this work can be applied for more complex buildings. Since the systems are described by 1 st order ODEs, the computation cost to simulate these models is low. The methodology presented in this work may be expanded to the modelling of thermal loads for more comprehensive integrated energy systems. Acknowledgements The work presented in this paper was funded by the National Council for Science and Technology and the Energy Ministry of Mexico (CONACyT-SENER). This work was also supported by FLEXIS – a project part-funded by the European Regional Development Fund (ERDF) through the Welsh Government. References [1] Taylor ZT, Gowri K, Katipamula S. GridLAB-D Technical Support Document: Residential End-Use Module Version 1.0. Pacific Northwest National Lab. (PNNL), Richland, WA (United States); 2008. Report No.: PNNL-17694. Available from: https://www.osti.gov/biblio/939875 [3] Behravan A, Obermaisser R, Nasari A. Thermal dynamic modeling and simulation of a heating system for a multi-zone office building equipped with demand controlled ventilation using MATLAB/Simulink. In: 2017 International Conference on Circuits, System and Simulation (ICCSS). 2017. p. 103–8. [2] Du B, Verbic G, Fletcher J. Thermal modelling for demand response of residential buildings. In: 2017 Australasian Universities Power Engineering Conference (AUPEC). 2017. p. 1–6. [4] Mai W, Chung CY. Model predictive control based on thermal dynamic building model in the demand-side management. In: 2016 IEEE Power and Energy Society General Meeting (PESGM). 2016. p. 1–5. [6] Rodríguez Jara EÁ, Sánchez de la Flor FJ, Álvarez Domínguez S, Molina Félix JL, Salmerón Lissén JM. A new analytical approach for simplified thermal modelling of buildings: Self-Adjusting RC-network model. Energy and Buildings. 2016 Oct 15;130:85–97. [5] Ramallo-González AP, Eames ME, Coley DA. Lumped parameter models for building thermal modelling: An analytic approach to simplifying complex multi-layered constructions. Energy and Buildings. 2013 May 1;60:174–84. [7] Montazeri H, Blocken B. New generalized expressions for forced convective heat transfer coefficients at building facades and roofs. Building and Environment. 2017 Jul 1;119:153–68. [9] Solid Ground, LLC. [Internet]. getsolidground. [cited 2018 Apr 15]. Available from: http://www.getsolidground.com/specialties/ [8] Incropera FP, DeWitt DP, Bergman TL, Lavine AS. Principles of Heat and Mass Transfer. 7th Edition International Student Version edition. Singapore: John Wiley & Sons; 2012. 1072 p. [10] Dry Air Properties [Internet]. [cited 2018 Apr 12]. Available from: https://www.engineeringtoolbox.com/dry-air-properties-d_973.html [12] Thermal Model of a House - MATLAB & Simulink - MathWorks United Kingdom [Internet]. [cited 2018 Apr 15]. Available from: https://uk.mathworks.com/help/simulink/examples/thermal-model-of-a-house.html [11] Ogata K. Modern Control Engineering. 5th edition. Boston: Pearson; 2009. 912 p.
BURY CHURCH OF ENGLAND HIGH SCHOOL THE HEADTEACHER'S BEHAVIOUR AND DISCIPLINE POLICY CHRISTIAN VALUES As Christ said "be perfect therefore, as your heavenly Father is perfect." Matt 5:48 and this should always be our goal. This is encouraged through the use of rewards, reflecting God's approach to people who serve. "Serve wholeheartedly, as if you were serving the Lord, not people, because you know that the Lord will reward each one for whatever good they do. Eph 6:7-8 However, the Christian faith is clear that whilst we aim high, we are frail and mess up. Our code of conduct provides the framework by which we create a good community for all, and this is used to judge peoples' behaviour in harmony with Christian teaching. "Speak and act as those who are going to be judged by the law that gives freedom" James 2:12 The scriptures tells us, "If we claim to be without sin, we deceive ourselves and the truth is not in us. If we confess our sins, he is faithful and just and will forgive us our sins and purify us from all unrighteousness." 1 John 1:8-9. Yet once forgiveness has been given and received, relationships need to be restored through reconciliation. "All this is from God, who reconciled us to himself through Christ and gave us the ministry of reconciliation: that God was reconciling the world to himself in Christ, not counting people's sins against them. And he has committed to us the message of reconciliation." 2Cor 5:19 GENERAL PRINCIPLES In developing this behaviour and discipline policy, the Head has applied the Governors expectations as outlined in their behaviour and discipline policy, namely: - that the best kind of discipline is self-discipline; - that rewards are always preferable to sanctions; - that where self-discipline is insufficient or ineffective the Head is to enforce and impose acceptable standards; - that where sanctions are required they be applied consistently and fairly; - that parents should be informed of any serious misdemeanours; - that due regard should be given to the circumstances of the pupil when a punishment is being considered (e.g. detaining young children after school); - that staff and children should be aware of the standards of conduct required by the Head, in particular that violence (including any form of bullying) is totally unacceptable and will always be met with a severe response; - that reasonable force may be used in extreme circumstances. - that the day-to-day responsibility for ensuring good conduct and acting to remedy poor conduct should lie with every member of the school staff and others designated to do so; REWARDS TO ENCOURAGE GOOD CONDUCT AND ACKNOWLEDGE THE POSITIVE CONTRIBUTION MADE TO SCHOOL LIFE We aim to recognise and reward positive behaviour and achievement because praise and encouragement are powerful motivators. Rewards can be part of the formal structure of the school or they can be informal such as a 'well done' or a 'that's fantastic' comment made by a member of staff. The staff are encouraged to always seek to spot when pupils are behaving in a commendable fashion and to use rewards to acknowledge this. Informal rewards might include praising pupils for: - entering the classroom quietly - being smartly dressed in their Uniform - arriving to class on time - being particularly helpful and polite whilst journeying to or from school - returning permission slips and/or school forms on time - co-operating while the teacher takes the attendance - transitioning between activities - saying "please" and "thank you" appropriately - following directions - conducting themselves commendably on a school trip - helping a classmate positively - listening attentively - bringing the necessary materials to class - - handing in homework being a polite audience at an assembly - asking questions when unsure - beginning work right away - good behaviour during a test - walking appropriately around school - participating in class discussions - working co-operatively with a partner - cleaning up - participating well in a presentation, play or concert - making a good effort in an assignment - sharing school experiences with parents - assisting a new pupil - making up missed assignments - good effort in a long term project - making a new friend - sharing - appropriately using school property - being sensitive to others feelings - returning borrowed books and materials - being responsible for a class room job - showing enthusiasm - offering help without being asked - staying on task - not wasting paper or supplies - telling the truth - behaving well when a guest is present - accepting a new challenge - reading at home - demonstrating a positive attitude - participating in school functions - giving one's best effort - participating in a group activity - participating in a community improvement project - remaining calm during a problem situation - learning independently when work is finished - showing creativity - taking turns - working co-operatively with an Aide or Volunteer More formal rewards might include: - constructive and supportive marking of work - achievement, progress, and effort rewarded by merit marks, stickers, certificates and lapel badges - displays of pupils work - good attendance acknowledged by merit marks, stickers, certificates and lapel badges - celebrations of rewards in public forums such as assembly, prize giving, church service or other external venue - prizes and trophies awarded - commendations on notice boards - media coverage - school newsletters or press coverage - letters of congratulation, for example from the Head or Chair of Governors - letters to parents - personal meetings with senior staff, Governor or other education officer for example the Diocesan Director of Education - privileges such as early lunch pass or an extra experience such as a trip, breakfast or meeting These lists are not intended to be exhaustive as the nature of a reward will always be, in part, personal to the recipient and therefore as unique as the person concerned. The opportunity to spend an hour in the library may be a reward to one pupil but not to another, who may feel rewarded by that same hour being out on the sports field playing their favourite sport. They are, however, intended to give a flavour of the importance the school places on acknowledging positive behaviour and good conduct in line with its Christian ethos. HOW TO APPLY SANCTIONS TO ADDRESS AND CORRECT CONDUCT THAT IS NOT CONSISTENT WITH THE SCHOOL'S CHRISTIAN ETHOS AND VALUES Whenever a sanction is applied, it is important that it is explained to the pupil the reason for the sanction. A sanction must be reasonable. In determining whether a punishment is reasonable, Section 91 of the Education and Inspections Act 2006 says the penalty must be proportionate in the circumstances and that account must be taken of the pupil's age, any special educational needs or disability they may have, and any religious requirements affecting them, with an escalation in severity if the offence is part of a pattern of previous offences which demonstrate a continuation of ill-discipline or defiance. The imposition of any sanction should be carried out making it clear this is a consequence of the inappropriate behaviour, distinguishing between the offence and the offender. In other words, it is the offence that is bad, not the person. The imposition of sanctions should be reflective of the schools Christian ethos which recognises the need for justice. The manner in which these are then implemented, and the manner in which the pupil is restored to the wider school community, should reflect the Christian ethos which recognises the need for mercy and forgiveness. There should always be consistency in the way sanctions are imposed but this consistency can never be mechanistic nor without thought to the circumstances of the offence and the personality of the pupil. The decision to impose a sanction on a pupil must be made by a paid member of school staff or a member of staff authorised by the Headteacher. The decision to impose a sanction on the pupil and the sanction itself must be made on the school premises or while the pupil is under the charge of the member of staff. 3 It must not breach any other legislation (for example in respect of disability, special educational needs, race and other equalities and human rights) and it must be reasonable in all the circumstances. The Headteacher authorises all paid staff to act to maintain the good order and discipline of the school by Teachers having statutory authority to discipline pupils whose behaviour is unacceptable, who break the school rules or who fail to follow a reasonable instruction (Section 91 of the Education and Inspections Act 2006). Authorisation is also given for Teachers to use reasonable force to prevent pupils from committing a crime, causing injury or damage or causing disruption. Such force must always be used in the context of restraint and should, wherever possible, be preceded by a warning that restraint will be applied if the inappropriate behaviour does not cease immediately. These powers also apply to all paid staff with responsibility for pupils, such as Associate staff and Facilitating staff. Staff can discipline pupils at any time the pupil is in school or elsewhere under the charge of a member of staff, including on school visits. Teachers can also discipline pupils for misbehaviour outside school. Teachers have a specific legal power to impose detention outside school hours. Staff can confiscate pupils' property. REASONS FOR IMPOSING SANCTIONS Staff may discipline a pupil for: any misbehaviour when the child is: - taking part in any school-organised or school-related activity or - wearing school uniform or - travelling to or from school or - in some other way, able to be identified as a pupil at the school or misbehaviour at any time, whether or not the conditions above apply, that: - could have repercussions for the orderly running of the school or - could adversely affect the reputation of the school. - poses a threat to another pupil or member of the public or STAFF AUTHORISED TO IMPOSE PARTICULAR SANCTIONS It is the purpose of the school to provide and enable effective learning to take place, and so the school takes the view that curricular or extra-curricular work should never be set as a sanction. The imposition of extra time in which outstanding work can be completed is regarded as acceptable but the completion of curricular or extra-curricular work as a punishment is not acceptable. All paid staff are authorised to: - use verbal reprimands - demote, in order to receive a reward or service (eg sending to the back of the lunch queue) - use specific seating arrangements - require a letter of apology - set a written imposition - require any pupil to reveal information stored on any device (eg mobile phone, tablet, music player, computer) and to allow this to be copied for the purposes of investigation as necessary - confiscate inappropriate items in accordance with school procedures - require attendance at a break or lunchtime detention - remove privileges - apply remedial methods to address the infringement (e.g. the removal of make-up or the sorting out of soiled/dishevelled/untidy clothing) - require pupils to wear replacement items of clothing where they have failed to comply with the school's uniform expectations - carry out searches of pupils if they suspect a pupil to be concealing a prohibited item. The general power to discipline (as described in the bullets within the Department for Education Document February 2014 - Behaviour and discipline in schools – Advice for Headteachers and school staff on page 6), enables a member of staff to confiscate, retain or dispose of a pupil's property as a punishment and protects them from liability for damage to, or loss of, any confiscated items. Staff are authorised to use the power to search without consent for prohibited items including: - alcohol - knives and weapons - illegal drugs - tobacco and cigarette papers - stolen items - fireworks (including caps or similar items) - any article that has been or is likely to be used to commit an offence, cause personal injury or damage to property - pornographic images - any item banned by the school rules which has been identified in the rules as an item which may be searched for. Staff are authorised to use reasonable force in extreme circumstances to prevent a pupil from committing a crime, causing injury, causing damage or causing disruption. Situations that require the use of restraint may include a pupil attacking another pupil, a pupil committing deliberate damage, a pupil causing injury or a pupil about to act in a way that endangers others by, for example, lighting a turned on gas tap in a Science laboratory. Wherever possible, a warning that restraint will be applied if the inappropriate behaviour does not cease immediately should be given but it is recognised that in these extreme situations, this may not always be possible. Staff should consider carefully whether they should apply a physical restraint and, if they judge that they would be unable to do so due to the strength or size or number of offenders, they should try to remove any other pupils who might be at risk and summon help from colleagues. Once restraint is applied, it should be maintained for the shortest possible time. As soon as it is possible to remove the restraint safely, this should be done, even if the pupil's behaviour continues to be inappropriate (e.g. they continue to use offensive language). The need to use reasonable force is an exceptional measure and would always indicate that an incident was serious. In addition to the above, Teachers and Teaching Assistants are authorised to: - remove a pupil from class temporarily for a period no longer than a lesson. The pupil must be issued a red card and go to the relevant pastoral base if removal is longer than a few minutes - impose after school detentions of up to 15 minutes without prior notification to parents (Parental permission is not required and notification to parents is not usually required) In using detention as a sanction, Teachers and Teaching Assistants should take into account the following: * whether the pupil has known caring responsibilities which mean that the detention is unreasonable * whether the parents ought to be informed of the detention. In a few cases it may be necessary to do so, but this will depend on the circumstances * whether suitable travel arrangements can be made by the parent for the pupil. It does not matter if making these arrangements is inconvenient for the parent. In addition to the above, Heads of Department or their Deputy may: - impose or authorise a Teacher to impose after school detentions of between 15 minutes and an hour having sent notification to parents. (parental permission is not required but parental notification should always be made). - place pupils in different teaching groups - remove a pupil from a class for periods that are longer than a single lesson - place a pupil on subject report - withdraw the right to attend school extra-curricular activities whether these have been paid for or not, without the requirement to refund any monies paid. In using detention as a sanction, Heads of Department or their Deputies should take into account the following: - whether the pupil has known caring responsibilities which mean that the detention is unreasonable. - whether suitable travel arrangements can be made by the parent for the pupil. It does not matter if making these arrangements is inconvenient for the parent. - whether the parents ought to be informed of the detention. In many cases it will be necessary to do so, but this will depend on the circumstances. For instance, notice may not be necessary for a short after school detention where the pupil can get home safely. In addition to the above, Heads of Year may: - place a pupil on year group report - impose after school detentions that extend over several sessions or are longer than an hour - isolate a pupil from the rest of the pupil community in school - impose detentions on training days - arrange an interview with an outside agency to reinforce the potential consequences of the inappropriate behaviour such as the fire service, police service, social services or a charity worker - impose restitution activities that are designed to help the pupil to understand the consequences of their actions or make amends for that action such as litter picking where littering the school is the offence or cleaning desks or walls where graffiti was the initial offence (appropriate training must be given to pupil's prior to them undertaking any activity) - decide whether a confiscated item should be permanently denied to a pupil (weapons and knives and extreme or child pornography must always be handed over to the police, otherwise it is for the Head of Year to decide if and when to return a confiscated item.) In addition to the above, any member of the Senior Leadership Team may: - impose a week-end detention (these can't be imposed on week-ends that are part of a school holiday) - impose a programme of study to address inappropriate behaviour which isolates a pupil from the wider pupil community. - arrange for sanctions to be served during a school holiday with the permission of parents In addition to the above, the Head, or in his absence his Deputy may: - impose a temporary exclusion from school and require attendance from the 6th day onwards at a venue determined by the school so that the pupil's education may continue - impose a permanent exclusion from school Normally when being found in possession of: * knives and weapons * fire ignition products (e.g. lighters, matches) * alcohol or Novel Psychoactive Substances * illegal drugs * stolen items * fireworks * pornographic images * any article that has been or is likely to be used to commit an offence, cause personal injury or damage to property * Any item or materials which may cause concern, alarm or distress and serious mis-use of any item or activity banned by the school rules e.g. sexual misconduct and sexual harassment* bullying, gambling, stealing, filming a person without their knowledge or permission and posting or sharing such images in a manner that will adversely affect the reputation of the school or the person filmed will normally result in a temporary exclusion from school for a first offence. Subsequent offences will normally lead to a permanent exclusion from school. Actions which, in the judgement of the Headteacher, have caused concern, alarm or distress. Misuse of school IT systems such as hacking, impersonating a member of staff or altering information without permission will normally result in a temporary exclusion from school. The misuse of the school's security or evacuation systems will also normally result in a temporary exclusion from school. Temporary exclusion from school will normally result when inappropriate behaviour continues and other sanctions have proved ineffective at modifying that behaviour for the better. This will be the case for any pupils who persistently associate with smoking in school, bring smoking related products such as electronic cigarettes, vaping or lighters or bring tobacco and/or cigarette papers onto the school site or who smoke on the school site. Persistent refusal to follow school rules, a one off act of violence or threat of violence, and significant disruption to the good order and discipline of the school including the misuse of the internet or other communication media that brings the school or members of its community into disrepute will also normally result in a temporary exclusion from school. Permanent exclusion from school will normally result if a pupil is found to be using or selling/passing on: * illegal drugs * fireworks * pornographic images * alcohol or Novel Psychoactive substances * any article that has been or is likely to be used to commit an offence, cause personal injury or damage to property * knives and weapons * any item or materials which may cause concern, alarm or distress Permanent exclusion will normally result from a serious one off, or repeated act of violence or threats of violence, a one off or repeated act of violence or threats of violence towards a member of staff, serious or sustained bullying (e.g. racial, homophobic, sexual, religious or gender), serious defiance of a member of staff, serious misuse of the internet or other communication media that brings the school or members of its community into disrepute, breaking the terms of a behaviour contract, serious or persistent gambling, harassment, serious sexual misconduct and sexual harassment, persistent refusal to comply with the school rules or reasonable instructions from a member of staff for example having repeatedly been warned 7 not to smoke or associate with smoking at school. Actions which, in the judgement of the Head Teacher, have caused serious or repeated concern, alarm or distress. Serious or repeated misuse of school IT systems such as hacking, impersonating a member of staff or altering information without permission will normally result in a permanent exclusion from school. Malicious misuse of the school's security or evacuation systems will normally result in a permanent exclusion from school. From time to time, the actions of a pupil may come to the attention of the police. If the school is ever approached by the police, the school will fully co-operate with their enquiries. This includes acting in locoparentis (in the place of the parent/guardian) should police wish to speak with a pupil. Under GDPR legitimate interest exemption, we will release a pupil's contact details (address and phone number) if the police request these from the school. Advice from the DfE 'Sexual violence and sexual harassment between children in schools and colleges, information issued December 2017 Policy established: July 2013 Reviewed: May 2017 Reviewed: January 2018 Reviewed: July 2018 Reviewed December 2018 Reviewed July 2019
Elections and Democracy in Africa since 2000: An Update on the Pertinent Issues Maame Adwoa A. Gyekye-Jandoh, PhD University of Ghana Department of Political Science P.O. Box 64, Legon Accra, Ghana Abstract This paper first addresses elections and their importance for democracy. It then gives an overview of elections in Sub-Saharan Africa since the 1990s, a decade that marked the end of the Cold War and ushered in what has been termed the "third wave of democracy" (Huntington 1991). Third, it hones in on elections in Africa since 2000, and highlights five major challenges for African elections in the present. Fourth, Ghana is used as an example of credible election management, with a focus on key requisites for free and fair elections that are acceptable to masses and elites. It nevertheless highlights some recent election management problems in Ghana. Finally, it shows the way forward to meaningful elections in Africa with eight recommendations. Keywords: Elections; Democracy; Election Management; Africa; Ghana 1. Introduction: Elections and Their Importance for Democracy Elections, particularly, free and fair elections, are a key criterion of the democratic system, alongside the freedom and independence of the media and the protection of civil rights and liberties. Elections emphasize two key elements of democracy – participation and competition. While elections are not the be all and end all of a democracy, they provide a major blueprint for the existence of democracy (Bratton 1999). In fact, elections may coexist with systematic abuse of human rights and the disenfranchisement of some of the electorate; nonetheless, holding formal competitive elections is a key necessary condition for a political system to be a representative democracy (Lindberg 2006: 8). Elections also help ensure democratic peace and reduce the likelihood of a democratic reversal. Third, elections allow for competition among elites, and provide for participation of the public in the selection of leaders (O'Neil 2006). The crucial importance of elections for democracy is highlighted in the standard minimal definition of democracy itself. Here, democracy involves a political system with "meaningful and extensive competition among individuals and organized groups (especially political parties), either directly or indirectly, for the major positions of government power; a 'highly inclusive' level of political participation in the selection of leaders and policies, and at least through regular and fair elections, such that no major (adult) social group is excluded; and a level of civil and political liberties – freedom of expression, freedom of the press, freedom to form and join organizations – sufficient to ensure the integrity of political competition and participation" (Diamond 1988: 4; Linz and Stepan 1978: 5; Dahl 1971: 3-20; Lipset 1960: 27; Schumpeter 1950). Elections thus provide a link between the government and the governed (Ayee 2008; Chazan 1987). Elections in the African context are replete with diverse meanings and functions, as Hayward (1987) rightly highlights. Elections are about power, where winners gain access to power and voters exercise power in making choices; elections facilitate in practical terms the idea of the consent of the governed, which legitimizes the elected; elections are sometimes used by candidates and parties to express positions and demonstrate support, without necessarily expecting to win (for example, Botswana and Senegal both with dominant parties) (Hayward 1987: 13-15). Finally, elections facilitate resource redistribution as they are marked by substantial candidate expenditures and allocation of government funds to particular areas (Hayward 1987: 16-17; Ayee 2008). It is emphasized that elections are also a causal variable in democratization itself. An overview of elections in Africa since the Cold War ended is warranted to highlight the frequency and quality of elections. 2. Overview of Elections in Africa since the End of the Cold War The end of the Cold War in 1991 marked the beginning of Africa's "second liberation" (Diamond 1992, 1993). This second liberation holds out more promise for democratization and stable democracy, because it is tinged with, and shaped by, past experiences of the pitfalls and in-competencies of military and authoritarian civilian rule (Gyekye-Jandoh 2006). It began with Benin's historical multiparty elections in 1991, where Matthieu Kerekou, the incumbent president, lost to Nicephore Soglo. Multiparty elections in 1991 in Malawi and Zambia also saw the defeat of incumbent presidents (Banda in Malawi and Kaunda in Zambia). While Ghana experienced increased political liberalization and democratization, its 1992 multiparty elections were fraught with irregularities, but by 2005, Ghana had held four successive multiparty elections that were increasingly free and fair. Significantly, by the end of 2000, multiparty elections had been held in all but five of the forty-eight states in Africa (that is, Comoros, Congo-Kinshasa, Equatorial Guinea, Rwanda, Somalia) (Barkan 2002). As of 2003, 33 African countries had held not only first but second elections, 20 had held third elections, and seven countries had held at least four successive elections (Lindberg 2006: 16). A positive development since 1991 has been that the quality of multiparty elections, in the sense of being free and fair, has improved in some African countries, with Kenya and Zimbabwe the most recent exceptions. The first sign of this is that harassment by incumbent governments has waned, and opposition candidates, parties, and supporters have greater freedom to campaign and prepare for elections. Second, both foreign and domestic observers are now regarded as essential components of the electoral process (Barkan 2002). Third, voter turnout at elections has been fairly high at almost two-thirds of registered voters (Bratton 1998), and in some cases even higher. Finally, and perhaps most important, there has been systematic popular support across Africa for elections and democracy, and a consensus that military rule should be a thing of the past. Public opinion surveys in twelve African countries between 1999 and 2001 have revealed that on average, 69 percent of respondents regarded democracy as "preferable to any other kind of government," while only 12 percent felt that "in certain situations, a non-democratic government can be preferable" (Afrobarometer 2001; Barkan 2002). Despite the above-noted positives, recent scholarship on the status of African democratization and elections has tended to be less optimistic (Udogu 1997; Ottaway 1997; Gros 1998; Herbst 2001; Levitsky and Way 2001; 2002). Jeffrey Herbst (2001: 363), for instance, developed a four-fold typology of African democratization based on the number of electoral turnovers or transfers of power – multiparty democracies with two transfers of power via elections, one transfer of power via elections, no transfer of power, and regimes with no elections. Most African countries (twenty-two of the forty-eight) fell into Herbst's category of "multiparty elections but no transfer of power." By 2005, only Benin, Madagascar, Mali, and Mauritius had had two transfers of power (where incumbents lost) via multiparty elections (Gyekye-Jandoh 2006). Countries like Uganda, Eritrea, and Somalia had not held multiparty elections (Herbst 2001: 366). Comoros, for instance, backslid after one consequential election and a coup in April 1999 (Herbst 2001: 364), and so did Ivory Coast after the 1999 coup by Robert Guei. In Liberia, voters elected Charles Taylor president in 1997 for fear that he would plunge the country into civil war if he lost (Herbst 2001: 364), but largely free and fair elections to elect Ellen Johnson-Sirleaf president in November 2005 have raised cautious optimism for elections as embodying the "democratic hope" (Ayee 2008) for Liberia and African countries in general. Burkina Faso, Cameroon, and Togo faced protracted transitions in the 1990s, while the Central African Republic has continued to face instability. The disputed Kenyan elections in December 2007, and the Zimbabwean debacle beginning with the March 29, 2008 general elections have given some credence to the pessimistic assessments of competitive multiparty elections in Africa as voting without choosing, resulting in "choice-less democracies" (Mkandawire 1999), resurgent "illiberalism" (Zakaria 1997; Gyimah-Boadi 2001), or "liberalized autocracies" (Joseph 1998). Yet some African countries (Botswana, Ghana, Benin, for example) continue to provide the empirical proof of free and fair competitive elections as the democratic hope for the continent. The Kenyan and Zimbabwean cases are discussed below to highlight five major challenges for African elections in 'the present'. This paper operationalizes 'the present' as involving African elections that took place from 2000 to 2012. 3. African Elections Since 2000 The above overview of African elections in the post-Cold War era provides support to the observation made by Hayward (1987) of the resilience of the electoral process in Africa. 186 Hayward rightly notes that: …..much of it rests in the commitment of Africans to some level of participation and choice in the governmental process. It is clear that elections in Africa are not just the stuff of politicians, that the masses in many African states, sometimes much more than the elites, have a preference for electoral forms and processes (Hayward 1987: 18). Elections in Africa in the 21 st century, from all indications, seem to have a resilience that is here to stay. Even those countries, such as the Democratic Republic of Congo, that have been autocratic or in turmoil, view elections as the threshold to cross in order to legitimize their governments, embark on different policies, and prevent public unrest. General elections in Africa in 2008, for example, depicted the wide incidence of elections and included: indirect presidential elections held in Mauritius, Rwandan parliamentary elections held from 15 to 18 September 2008, parliamentary elections in Swaziland in October 2008, and Ghana's presidential and parliamentary elections held on December 7, 2008. In addition, parliamentary elections were held in Angola on 5 and 6 September, 2008 after a ten year postponement due to organizational and logistical problems, and in Guinea-Bissau on 16 November, 2008 (Africa Press Agency, 26 March, 2008). Parliamentary elections were held in Djibouti and Equatorial Guinea on 8 February, 2008 and 4 May, 2008 respectively. In all, by the end of 2008, major elections had been held in at least 10 African countries counting Ivorian presidential elections held on 30 November, 2008 and Guinean legislative elections held in the latter part of 2008 (en.wilkipedia.org/wiki/Guinean_legislative_election). Of these, Ivorian and Guinean leaders made clear their dependence on government and international funding for the elections. The number of elections held matter, as it shows the recognition of democratic and non-democratic leaders alike of the legitimacy elections confer, although the quality of these elections would ultimately play a role in advancing democracy in African countries or reversing it. Kenya's elections on December 27, 2007 and the ensuing violence also provide some food for thought. Mwai Kibaki's re-election prospects were not on solid ground as he faced strong competition from his former allies; the most important opposition candidate was Raila Odinga of the Orange Democratic Movement (ODM). Kibaki's 46.4% of the vote and Odinga's 44.1% were the focus of the disputed elections. It was charged by Odinga that about 300,000 votes were falsely attributed to Kibaki in most remote constituencies and that the Western, Coast, Upper Eastern and North Eastern provinces saw vote rigging that was responsible for Kibaki's victory (Debrah 2008: 4). The flawed elections were also confirmed by international observers. Odinga refused to concede defeat and called for a recount or a re-run of the elections. The Electoral Commission of Kenya (ECK) failed to establish the credibility of the tallying process and failed to convince all the parties and candidates, raising serious questions about the effectiveness of the election process (Debrah 2008: 5). The EC Chairman's admission on January 2, 2008 that he was pressured to declare Kibaki winner depicts the lack of independence and impartiality of the ECK, which is very important for the integrity of an electoral process. As there was a lack of faith in the justice system for redress, the opposition continued to accept the ethnic-related violence that ensued between Odinga's Luo and Kibaki's Kikuyu (Debrah 2008: 5), resulting in about 800-1,500 lives lost and about 180,000 people displaced (Al Jazeera, February 24, 2008). Luckily, in Kenya, the AU's Chairman, President Kuffuor, and former UN Secretary-General Kofi Annan were able to collaborate with others and with the two sides (Odinga's and Kibaki's) to clinch a peace deal through constitutional engineering and compromise that created an office of a prime minister to be occupied by Odinga and a coalition government. Thus, on February 28, 2008, Kibaki and Odinga signed a power-sharing agreement called the National Accord and Reconciliation Act. The Cabinet headed by Odinga was named on April 13, 2008 and sworn in on April 17, 2008 (Al Jazeera, April 17, 2008). Not so in Zimbabwe. On March 29, 2008, presidential and parliamentary elections were held in Zimbabwe. The two main contenders were incumbent President Robert Mugabe of the Zimbabwe African National Union-Patriotic Front (ZANU-PF) and Morgan Tsvangirai of the opposition Movement for Democratic Change (MDC). While allegations of vote buying and election-day irregularities were made by the opposition, official results were not announced for more than a month (five weeks) after the elections, raising allegations of Zimbabwe Electoral Commission (ZEC) cooption by the ZANU-PF government. After a recount and verification of results, the ZEC, on May 2, 2008, announced that Tsvangirai won 47.9% and Mugabe 43.2% of the vote, with Tsvangirai's percentage not enough to avoid a run-off. The period following the first round of elections was marked by serious political violence, including farm invasions and arrests and intimidation of teachers who were electoral officials during the first round and who were accused of supporting the MDC (Daily Graphic, May 2008). Some 66 supporters of the MDC were killed, 3000 MDC supporters injured, and more than 25,000 displaced (Daily Graphic, June 14, 2008, p.5). Western governments and organizations blamed ZANU-PF for the violence. The June 6, 2008 arrest of Morgan Tsvangirai by police ahead of the June 27, 2008 run-off elections in Zimbabwe, and the police ban on several future rallies, citing fears of MDC members' safety (Daily Graphic, June 7, 2008) raise serious questions about state sovereignty and the extent to which democratic rules can be flouted and civil liberties trampled upon without any external intervention by continental organizations such as the African Union (AU). To be fair, the AU Commission Chairman, Jean Ping, on May 4, 2008, arrived in Harare with the AU's Political Affairs Commissioner Julia Dolly Joiner, and its Peace and Security Commissioner, Ramtane Lamamra. Ping had "very constructive" talks with Mugabe and a working meeting with another official where they "reviewed the entire political process from the start" and "looked at all the scenarios for the coming weeks" (Africa Press Agency (AFP), May 5, 2008). It is hard to tell if these talks made a difference since political violence and intimidation continued. In Zimbabwe, the uneven and illiberal electoral atmosphere and violence went hand in hand with additional civil liberties abuse: a campaign against press freedom. On June 1, 2008, for example, Oliver Mutambara, the president of a faction of the MDC, was arrested for an article he wrote in "The Standard" newspaper in April 2008, while the editor of the same newspaper had been arrested in May 2008 (SAPA-AFP, June 1, 2008). These two cases, in addition to problems encountered in Djibouti's and Equatorial Guinea's 2008 legislative elections underscore several challenges for African elections in 'the present'. First is the lack of consensus on the democratic rules of the political game that still exists among some African political elites, where democracy is not seen as the "only game in town" and competitive elections are regarded as more of a hindrance to incumbents' agenda to retain power. A second challenge is the seeping illiberalism associated with the electoral process in some countries, which has resulted in near non-competitive election contests. For example, in Djibouti, where all 65 legislative seats were won by members of the ruling Union for the Presidential Majority (UMP) coalition, none of the democratic rules were respected, the opposition boycotted the parliamentary elections and a presidential decree gave only two weeks for campaigning (from 25 January to 6 February, 2008). Another important challenge is the lack of transparent, independent, and effective electoral bodies to oversee free and fair elections, as seen in the cases of Kenya and Zimbabwe. This can lead to arbitrary procedures in polling stations, as well as election result manufacturing to favor incumbents. A fourth challenge is the real need for funding and logistics to conduct elections. Most African governments are not able, by themselves, to fund elections and appeal to the international community to help. Finally, the flexibility of leaders, particularly the incumbents, to negotiate and compromise after disputed elections in order to avoid national disaster, is lacking in some cases. This makes a big difference between those countries that degenerate into post-election violence and conflict and those that are able to stabilize and go on to peace even after disputed elections. 4. The Ghanaian Example Ghana held its fifth successive multiparty presidential and parliamentary elections on December 7, 2008. It passed the crucial electoral turnover test (Huntington 1991) in 2000, and has conducted largely credible elections since 1996. It has therefore been held as an example of credible election management in Africa 1 , which is a necessary, if not sufficient factor, for free and fair, legitimate elections acceptable to all, and for the furtherance of democracy. The satisfactory conduct and administration of elections in 1996, 2000, and 2004 can be attributed to several factors, which are also requisites for free and fair elections. First, the Electoral Commission (EC) became more professional, reliable, and independent of the government of the day, and benefited from the support of the donor community. 1 Despite the outcome of the 2012 presidential electoral dispute (which exonerated the president and the EC of the charges of election rigging), which was heard at the Supreme Court of Ghana (from April 16 to August 29, 2013), in which Ghana's EC was one of the respondents accused of presiding over election malpractices and irregularities during the December 7, 2012 general elections, this view of credible election management in Ghana has been called into question. Second, the phenomenon of domestic observers in the form of the Network of Domestic Election Observers (NEDEO) and the Coalition of Domestic Election Observers (CODEO) imbued the election process with legitimacy and the public with confidence as it added a local touch and prevented widespread fraud and cheating (Gyekye-Jandoh 2006). Third, no opposition groups were banned in any of the elections. Fourth, some electoral reforms, made in collaboration with political parties and donors, were also put in place that technically allowed things to function more smoothly: a new voter's register was put into place by 1996; photo identity cards were introduced; the Inter-Party Advisory Committee (IPAC) was created at the instance of the EC, and political party agents were trained by the EC, with emphasis on the rules and procedures at polling stations for counting and verification of results. The collation of results at each constituency even before they were sent to the EC served to hinder fraud and enhance political parties' and the public's confidence and trust in the electoral process. Fifth, there is also the significant phenomenon of consensus among political party elite on the rules of the democratic game to a large extent in Ghana, and this bodes well for democratic consolidation. For example, in meetings with political party leaders of the NPP, CPP, and NDC, prior to the 2004 general elections, all the leaders expressed a strong desire for peaceful, non-violent, and well-run elections, and promised that if they lost the elections they would accept defeat or seek redress only through legal means (Gyekye-Jandoh 2006). In 2008, mechanisms were put in place to ensure that free and fair elections acceptable to all occurred in December. Thus, prominent civil society organizations, such as the Institute of Economic Affairs (IEA), after meeting to review the Political Parties Code of Conduct, collaborated with the National Commission on Civic Education (NCCE), the Electoral Commission (EC), the National Peace Council (NPC), and political parties to set up a National Enforcement Body that monitored the pre-election, election-day, and post-election activities on the ground in all ten regions for an eight month period that began in July. This body consisted of members of civil society, the NCCE, and political party agents that were trained as monitors to note the instances of abuse of incumbency and any violent activities that would be detrimental to peaceful and fair elections (IEA Administrator, June 10, 2008). At an earlier workshop organized by the IEA and at which the NCCE, NPC, EC, and NETRIGHT (Network for Women's Rights) also participated, eight political parties (NPP, NDC, CPP, PNC, EGLE, URP (United Reform Party), GNP (Ghana National Party), and ULP (United Love Party)) issued a communique that called on the IEA and other civil society organizations (CSOs) to establish a Centre for Monitoring Election Violence that would document all incidents of inter and intra-party violence and alert political parties and relevant security agencies to those incidents (Daily Graphic, June 3, 2008: 3). In addition, between March 14 and 23, 2008, the EC trained more than 5000 agents of the Commission to replace lost or destroyed voter identification cards (Daily Graphic, March 8, 2008: 1). Very important also was the recognition by political parties, the EC, civil society organizations (CSOs), and the donor community of the importance of the 2008 elections that were to mark the end of two terms of office of both major parties – the NPP and NDC. Hence the call was made by major political parties (especially the National Democratic Congress (NDC) and the New Patriotic Party (NPP)) for international observers, and for the EC's publication of a Framework for Domestic Election Observation in December 2007 which was launched on April 10, 2008. This Framework was created by the EC to "ensure that the way domestic election observers go about their work is consistent with internationally acceptable standards of election observation" and to strengthen the democratization process by, among other things, calming particularly the nerves of the public and opposition politicians distrustful of the government (EC Framework 2007: 7) The Framework thus sought to educate local observers and the public on what election observation entailed, what they were to observe, how observers were to act, gather facts, and interpret facts through report writing. Most importantly, the EC put a premium on accreditation of all observers, which had the effect of ensuring that no dubious or extremely partisan persons (including political party activists) engaged in election observation (EC Framework 2007: 15-16). In the June 3, 2008 issue of the Daily Graphic, the importance of election observation was underscored by Prof. Andrea de Guttry, who emphasized that election observation reinforces respect for human rights and prevents conflict. Notably, presidential candidates of the major parties in 2008 generally had faith in the EC's independence and capability of overseeing another peaceful election (in spite of the bloated register). For example, the presidential candidate of the CPP, Dr. Paa Kwesi Nduom, asserted that the EC was capable of steering the country away from the kind of election debacle that engulfed Kenya recently, and that "I have dealt with the EC in three elections and they are very independent" (Ghanaian Times, June 11, 2008: 13). Such confidence in the EC is a significant affirmation of the improvements made in the electoral process by the EC and Ghanaian civil society as a whole. Such diligence by electoral bodies and stakeholder consensus is hard to come by, the lack of which accounts for disputed and flawed elections in some African countries. The 2012 general elections in Ghana, however, flag problems and give additional food for thought regarding disputed elections and electoral bodies in Africa. 4.1. Update: The 2012 General Elections in Ghana The 2012 general elections in Ghana, held in December 2012, have raised questions about the hitherto relatively clear record of independence and competence of Ghana's Electoral Commission. Ghana's general elections were held on Friday, 7 December, 2012 to elect a president and members of parliament in 275 electoral constituencies. Due to the breakdown of some biometric verification machines, some voters could not vote, and voting was extended to Saturday, 8 December 2012. The main candidates for the presidency were incumbent president John Dramani Mahama of the National Democratic Congress (NDC), his main challenger Nana Addo Dankwa AkufoAddo of the New Patriotic Party (NPP) (a former foreign minister of the 2001-2008 Kuffuor-NPP government), and six other candidates. An important point of note is that John Mahama was elected after less than five months in office as president after succeeding President Prof. John Evans Atta Mills who died suddenly in office on 24th July, 2012. Though the system for the presidential vote is basically a two-round system where a second round or run-off is legal if necessary, that is when no candidate is able to win 50% plus one of the vote, president John Mahama was declared winner of the election with 50.7% of the vote, negating the need for a run-off election. Nana AkufoAddo received 47.74% of the vote, according to the EC's declaration of the results on the 9th of December, 2012. The opposition New Patriotic Party (NPP) alleged that the EC had tampered with results and that there were myriad irregularities and malpractices, and filed a petition at the Supreme Court to review the election results. The election petition, with the NPP presidential candidate and his party taking the Electoral Commission and the NDC presidential candidate to the highest court of the land, was decided on 29th August, 2013. The verdict went in favor of the incumbent president, John Dramani Mahama of the NDC. The petitioners, led by Lawyer Philip Addison, requested that 3,931,339 of votes be annulled because there were violations and malpractices at 10,119 polling stations in the country. However, President Mahama's lawyer, Tony Lithur, insisted that the NDC presidential candidate won the presidential elections and that it was free and transparent, and there were no violations, irregularities or malpractices. There were three possible scenarios: the Supreme Court could either declare Nana Akufo-Addo the winner of the polls or order a re-run of the election at affected polling stations or state that even if those 'invalid' votes (if any) were to be annulled they were not enough to affect the outcome of the presidential polls, and therefore uphold the EC's declaration of President Mahama as the winner of the December 2012 presidential election (www.modernghana.com, August 29, 2013).. In the end the third scenario played out, as Justice William Atuguba, the president of the Bench, in his reading of the decision, concluded that the overall effect of the individual decisions of the nine justices was that the president was validly elected and that the 2012 election petition was dismissed. The nine justices unanimously dismissed the petitioners' claims relating to duplicate serial numbers, duplicate polling station codes, and unknown polling stations. Five justices dismissed the claims of over voting and claims relating to the absence of presiding officers' signatures, and six justices dismissed the claims relating to voting without biometric verification. While three other justices consistently upheld the petitioners' claims, this was not enough to overturn the election results. In the course of the petition proceedings at the Supreme Court, the NPP produced more than 11,000 so-called "pink sheets" to the judges who compared them to similar papers from the EC, NDC and other parties. These pink sheets stated the results as counted in single polling stations, before aggregating them to any higher level municipality, district and region. The NPP claimed that there were differences between the results as stated immediately after their counting in polling stations, and those which were used in aggregations, and that this could be proven by the pink sheets. In addition, the EC was challenged to prove that 14,000 expatriate Ghanaians had indeed voted abroad. The EC failed to produce any registered voters in foreign countries due to the fatal work of a virus in its computer, according to EC officials. The election petition at the Supreme Court was deliberated upon by nine judges based on the evidence provided by the petitioners (NPP) and respondents (EC and President Mahama/NDC) (en.wikipedia.org/wiki; retrieved 2th July, 2013). For the first time ever, the EC held a biometric system of voter registration for the Ghanaian electorate from 24th March, 2012 to 5th May, 2012. The aim was to prevent double registration and to eliminate ghost names in the old register. In a controversial move, 45 additional constituencies were added to the 230 constituencies of the 2008 general elections a few months before the elections. Voting therefore took place in a total of 275 constituencies and 26,002 polling stations. As has been its practice since 2000, the Coalition of Domestic Election Observers (CODEO) trained election observers and deployed 4,000 of them to monitor the elections nationwide. Observers from the ECOWAS Observer Mission led by former Nigerian president, General Olusegun Obasanjo, also monitored the elections. The ECOWAS Observer Mission noted the technical problems caused by faulty biometric machines but added that this did not undermine the fairness and transparency of the election. The outcome of the December 2012 elections petition was significant in that it was the first time in the country's history that the Supreme Court had delivered a verdict on the fairness and legitimacy of contested general elections. The rule of law was taken very seriously by Ghanaians who patiently followed the law and allowed the procedure to play out in court per the 1992 constitution, rather than resort to violence and mayhem in the streets and towns and villages in Ghana. An important consequence of the 2013 election petition in Ghana must be noted: although the verdict seemed to exonerate the EC of deliberately rigging the elections for the incumbent party's candidate, its hard-won reputation of credibility and competence was seriously called into question, since there was still a sizeable section of the Ghanaian public that believed that the verdict was partial and sought to maintain the status quo of political power at all cost. The EC itself, contrary to the previous perceptions of it as a competent electoral body, seemed quite incompetent this time around due to the delays in voting, irregularities, and especially the breakdown of some biometric verification machines and inefficient operations of other biometric verification machines. An important development since the verdict is the increase in calls from the general public, especially from the major opposition NPP, its supporters and other opposition parties, for a re-organization of the EC in terms of leadership structure, the organization of elections, stricter oversight of elections equipment and of election officials. This should be taken seriously by the EC and the government in order to bring back the public's perception of the EC as a credible, transparent, and efficient electoral management body. 5. Conclusion This article concludes with eight key recommendations. First, the need is underscored for the African Union (AU) to play a major negotiator role early (in the pre-electoral period, not after the elections alone) in situations of gross human rights abuse and clearly uneven electoral playing fields, and if need be, an interventionist role to serve as a deterrent to other African governments that may be tempted to go the Zimbabwe route. Second, elections in postconflict countries such as Ivory Coast are especially challenging. Ideally, for such countries, disarmament and reintegration have to take place before elections. Such post-conflict countries are also challenged in terms of organization and funding for elections. Continued financial and logistical support of elections by the international community is therefore needed. The successful conclusion of November 2005 Liberian elections, although imperfect, can offer a blueprint for other post-conflict countries seeking to democratize. Third, there is need for revamping of the electoral process itself in several African countries. The electoral environment itself must be open and peaceful to allow free campaigning by competing parties, with sharp crackdowns on political opposition and state-sponsored limitations on the competitive process becoming things of the past. Fourth, election management bodies must be independent of governments of the day and must be seen to be neutral, objective, and effective. Electoral commissions can consult and cooperate with political parties and commit to an open tallying process and rapid announcement of election outcomes that leave minimal room for doubt. The judiciaries in African countries also need to be professional and independent of executive branches, and must be strengthened in their capacity to enforce the rule of law through adequate funding and logistics. Sixth, some state funding of political parties is warranted in order to even out the playing field to offset the incumbency advantage enjoyed by ruling parties. African countries should at least have policies in place that give political parties the option to obtain or refuse state funding which could come independently from a Consolidated or Public Fund. 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Gyekye-Jandoh, M.A.A. (2006). Explaining Democratization in Africa: The Case of Ghana. Doctoral Dissertation, Temple University. Gyimah-Boadi, E. (2001). "Democratizing Africa: Halting Progress, OutstandingProblems and Serious Dilemmas." Inter-Faculty Lecture. Accra: Ghana Universities Press. Hayward, F. M. (1987). (ed). Elections in Independent Africa. Boulder: Westview Press. Herbst, J. (2001). "Political Liberalization in Africa after Ten Years," Comparative Politics 33.3: 357-375. Huntington, S. (1991). The Third Wave: Democratization In The Late Twentieth Century. Norman: University of Oklahoma Press. Joseph, R. (1998). "Africa, 1990-1997: From Abertura to Closure", Journal of Democracy 9.2 (April) 3-18. Levitsky, S. and Way L.A. (2001). "Competitive Authoritarianism: Hybrid Regimes Change in Peru and Ukraine in Comparative Perspective." Paper Prepared for the Annual Meeting of the American Political Science Association, San Francisco, CA, September 1-2, 2001. Levitsky, S. and Way, L.A. (2002). "The Rise of Competitive Authoritarianism", Journal of Democracy 13 (April). Lindberg, S. (2006). Democracy and Elections in Africa. Baltimore: Johns Hopkins University Press. Lipset, S. M. (1960). Political Man: The Social Basis of Politics. New York: Doubleday. Linz, J. and Stepan, A. (1978). The Breakdown of Democratic Regimes: Crisis, Breakdown and Reequilibration. Baltimore: Johns Hopkins University Press. Mkandawire, T. (1999). "Crisis Management and the Making of Choice-less Democracies" in Joseph, R. (ed). State, Conflict and Democracy in Africa. Boulder, Colorado: Lynne Rienner Publishers. O'Neil, P. (2007). Essentials of Comparative Politics. New York: Norton. Ottaway, M. (1997). "African Democratization and the Leninist Option", Journal of Modern African Studies, 35. March 1-15. Schumpeter, J. A. (1950). Capitalism, Socialism, and Democracy. New York: Harper. Udogu, I. E. (1997). Democracy and Democratization in Africa: Toward the 21 st Century. Leiden: E.J. Brill. Zakaria, F. (1997). "The Rise of Illiberal Democracy", Foreign Affairs, 76.6 (November-December): 22-43. en.wilkipedia.org/wiki/Guinean_legislative_election
Preparedness Level 1 Alaska Interagency Coordination Center Situation Report Saturday - 08/05/2006 \| \| YTD Fires YTD Acres \| \|---\|---\| \| Alaska Fire Service (AFS) 0 0 8 0 \| 40 94,143.6 \| \| \| 8 53,315.5 17 135.9 3 742.8 12 39,949.4 \| \| State of Alaska (DOF) 0 2 11 0 \| 235 175,450.8 \| \| \| 11 2.4 16 382.8 56 148,918.6 29 80.9 78 601.1 38 9,558.2 7 15,906.8 \| \| Forest Service (USFS) 0 0 0 0 \| 2 0.2 \| \| \| 2 0.2 \| \| Statewide Totals 0 2 19 0 \| 277 269,594.6 \| Ytd Fires Ytd Acres New Active Acres on 8/4 611307 Teklanika Name: Legal: Lon: Lat: 64:22:00 149:26:00 006S 009W 25 F Start Date: Acres: Cause: Out Date: Status: S/U 179.0 7/5/06 Lightning Owner: Admin: Area: Option: FULL FAS STA PARK 307 # Personnel: 19 Narrative: Low RH recovery and winds pushed the fire through the tundra early on. Helicopter 973 with a bucket, retardant, and more personnel were ordered. The fire made a significant run to the north from a spot fire. It was very active in the tundra and burned through the retardant lines. 4 foot flame lengths hindered direct attack. 814EH was ordered from Tok, and both helicopters used buckets and supplied logistics support into the evening. Tussocks abound making work on the ground difficult. Numerous structures to the north along, the Tetlanika River, remain threatened. The fire grew 130 acres. Two crews have been ordered for arrival during the next operational period. The plan is to contain the fire at creeks to the north, preventing it from reaching the Tetlanika River. Unstaffed - AFS The fire was not monitored. Narrative: CY8N Blair Lakes Name: Legal: Lon: Lat: 64:20:01 147:19:39 7S 2E 3 F Start Date: Acres: Cause: Out Date: Status: U/U 10.0 7/17/06 Lightning - WFU Owner: Admin: Area: Option: LIMITED MIL MIL ARMY 278 # Narrative: The fire was not flown, and remains in monitor status. Narrative: Zone Detection in N9VS reported the fire was 5% active with smoldering and some intermittent crowning mostly in the interior. The handline was holding, and the fire had not jumped the Grass River. Winds were 3-5 mph. under 95% overcast skies. CW25 PDCW25 Five Day Slough Name: Legal: Lon: Lat: 62:09:51 162:02:51 24N 70W 14 S Start Date: Acres: Cause: Out Date: Status: U/U 480.0 7/7/06 Lightning Owner: Admin: Area: Option: LIMITED GAD FWS YDR 248 # Narrative: The fire was not monitored. Narrative: The fire was not monitored. Page 3 Sat - 08/05/2006 Generated at: 6:54 CWL4 PDCWL4 # 225 CRN1 # 208 CRN0 # 207 Unstaffed - DOF C2NP 604309 # 309 601308 # 308 C1YJ 603297 # 297 613281 # 281 CX66 604264 # 264 Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: 63:35:24 157:45:17 225 6E 17 K Acres: Start Date: Out Date: Option: LIMITED Area: GAD Owner: FWS Innoko River Cause: Lightning - WFU Admin: INR This lightning caused WFU incident is being managed to accomplish resource objectives. The fire was not monitored. 66:38:49 146:59:26 21N 3E 13 F Acres: Start Date: Out Date: Option: MODIFIED Area: UYD Owner: FWS Hadweenzic #2 Cause: Lightning Admin: YFR Zone Detection in N9VS reported seeing no open flame and 10% of the perimeter was smoldering. 66:39:30 Acres: Status: U/U 30.0 Option: LIMITED 146:56:50 21N 3E 17 F Start Date: Out Date: Area: UYD Owner: FWS Hadweenzic #1 Cause: Lightning - WFU Admin: YFR Zone Detection reported the fire was 10% active, smoldering and backing to the southeast with 2-3 ft. flames. 61:20:00 164:34:00 14N 80W 02 S Acres: Start Date: Out Date: Manokinak Cause: The fire was not flown, and remains in monitor status. 61:34:00 Acres: Status: U/C 148:58:00 17N 3E 18 S Start Date: Out Date: Burnt Butte Cause: The fire was not checked, but is still in monitor status. 60:26:00 Acres: Status: U/C 150:31:00 4N 7W 16 S King County Jr. The fire will remain in monitor status. 63:35:00 Status: U/U 142:46:00 21N 14E 18 C Start Date: Out Date: Cause: Acres: Start Date: Out Date: West Fork Cause: The fire was not flown, and remains in monitor status. 62:47:00 Acres: Status: U/U 155:02:00 31N 31W 11 S Start Date: Out Date: Blackwater Cause: Lightning 909AK reported visible smokes, and the fire remains in monitor status. Page 4 Sat - 08/05/2006 Status: U/U 0.1 8/3/06 Human 0.3 8/3/06 Human 0.1 7/28/06 Lightning 321.5 7/18/06 Lightning 301.7 7/11/06 Option: LIMITED Area: SWS Owner: Admin: FWS YDR Option: CRITICAL Area: MSS Owner: Admin: STA L&W Option: FULL Area: KKS Owner: Admin: FWS KNR Option: LIMITED Area: TAS Owner: Admin: STA L&W Option: MODIFIED Area: SWS Owner: BLM Admin: AND Generated at: 6/22/06 Status: U/U 13.0 6/22/06 Status: U/U 230.0 7/6/06 6:54 613257 Fairplay Name: Legal: Lon: Lat: 63:42:00 142:16:00 22N 16E 03 C Start Date: Acres: Cause: Out Date: Status: U/U 2,095.0 7/11/06 Lightning Owner: Admin: Area: Option: LIMITED TAS STA L&W 257 # Narrative: The fire was not flown, and remains in monitor status. CW0C 604227 # 227 CQ8R 613203 # 203 CN5N 611163 PNCN5N # 163 611049 # 049 Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: Lat: Lon: Legal: Name: Narrative: 61:53:00 Acres: Status: U/U 158:22:00 21N 50W 25 S Start Date: Out Date: North Horn Cause: The fire was not flown, and remians in monitor status. 63:42:00 Acres: Status: U/U 141:21:00 22N 21E 09 C Start Date: Out Date: Dennison Cause: The fire was not flown, and remians in mmonitor status. 64:22:00 Acres: Status: U/U 149:02:00 006S 007W 25 F Start Date: Out Date: Parks Hwy Cause: The fire was not flown, and remains in monitor status. 64:07:00 Acres: Status: U/U 146:48:00 009S 005E 20 F Start Date: Out Date: Little Delta River Cause: The fire was not flown, and remains in monitor status. Out - DOF 601306 Nelson #2 Name: Legal: Lon: Lat: 61:32:00 149:18:00 17N 1E 20 S Start Date: Acres: Cause: Out Date: Status: Out 8/4/06 0.1 8/3/06 Human Owner: Admin: Area: Option: CRITICAL MSS PRI 306 # Narrative: The Prevention officer gridded this fire. No heat or smoke was found, and it was called out at 1411. 603304 Birch Rim Name: Legal: Lon: Lat: 60:31:00 151:09:00 5N 11W 23 S Start Date: Acres: Cause: Out Date: Status: Out 8/4/06 0.1 8/2/06 Human Owner: Admin: Area: Option: CRITICAL KKS PRI 304 # Narrative: The fire was checked, the IC called it out, and it was turned back over to the landowner. Page 5 Sat - 08/05/2006 Generated at: 6:54 2,730.2 7/6/06 Lightning 13,200.0 6/18/06 Lightning 134,462.0 6/7/06 Human 14,200.0 5/15/06 Lightning Option: MODIFIED Area: SWS Owner: Admin: BLM AND Option: LIMITED Area: TAS Owner: Admin: STA L&W Option: MODIFIED Area: FAS Owner: Admin: STA L&W Option: LIMITED Area: FAS Owner: Admin: STA L&W
ACQUISITION AND SUSTAINMENT OFFICE OF THE UNDER SECRETARY OF DEFENSE 3000 DEFENSE PENTAGON WASHINGTON, DC 20301-3000 In reply refer to DARS Tracking Number: 2020-O0022 MEMORANDUM FOR COMMANDER, UNITED STATED CYBER COMMAND (ATTN: ACQUISITION EXECUTIVE) COMMANDER, UNITED STATES SPECIAL OPERATIONS COMMAND (ATTN: ACQUISITION EXECUTIVE) COMMANDER, UNITED STATES TRANSPORTATION COMMAND (ATTN: ACQUISITION EXECUTIVE) INSPECTOR GENERAL OF THE DEPARTMENT OF DEFENSE DEPUTY ASSISTANT SECRETARY OF THE ARMY (PROCUREMENT) DEPUTY ASSISTANT SECRETARY OF THE NAVY (ACQUISITION & PROCUREMENT) DEPUTY ASSISTANT SECRETARY OF THE AIR FORCE (CONTRACTING) DIRECTORS, DEFENSE AGENCIES DIRECTORS, DEFENSE FIELD ACTIVITIES SUBJECT: Prohibition on Providing Funds to the Enemy and Authorization of Additional Access to Records Effective immediately, this class deviation rescinds and supersedes Class Deviation 2020-O0001. Contracting officers shall include the clauses provided in Attachments 1 and 2 of this deviation in solicitations and contracts, including solicitations and contracts using FAR part 12 procedures for the acquisition of commercial items, with an estimated value in excess of $50,000 that will be performed outside the United States and its outlying areas in support of a contingency operation in which members of the Armed Forces are actively engaged in hostilities. This class deviation implements sections 841 of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2015 (Pub. L. 113-291), as amended by section 822 of the NDAA for FY 2020 (Pub. L. 116-92), and section 842 of the NDAA for FY 2015. Section 841 grants the authority to terminate or void contracts and to restrict future awards directly or indirectly to any person or entity that is actively opposing United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities. Section 842 grants the authority for additional access to contractor and subcontractor records to the extent necessary to ensure that funds available under covered contracts are not provided directly or indirectly to any person or entity. Heads of contracting activities shall follow the procedures in Attachment 3 when exercising the authorities provided by this class deviation, which may be exercised only upon Attachments: As stated Class Deviation 2020-00022 Authorization of Additional Access to Records Prohibition on Providing Funds to the Enemy and wrtten notification from a combatant commander identifying persons or entities within the combatant commander's area of responsibility that are believed to have— * Provided funds, including goods and services, received under a covered contract, grant, or cooperative agreement of an executive agency directly or indirectly to any person or entity that is actively opposing United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities; or * Failed to exercise due diligence to ensure that none of the funds, including goods and services, received under a covered contract, grant, or cooperative agreement of an executive agency are provided directly or indirectly to any person or entity that is actively opposing United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities. This class deviation remains in effect until December 31, 2023, or otherwise rescinded. My point of contact is Lt Col Karen Landale who may be reached at (703) 697-0895, or at firstname.lastname@example.org. HERRINGTON.K IM.1507719313 Digitally signed by HERRINGTON.KIM.1507719313 Date: 2020.08.28 15:50:32 -04'00' Kim Herrington Acting Principal Director, Defense Pricing and Contracting 252.225-7993 Prohibition on Providing Funds to the Enemy. (DEVIATION 2020-O0022) Use this clause in solicitations and contracts, including solicitations and contracts using FAR part 12 procedures for the acquisition of commercial items, with an estimated value in excess of $50,000 that will be performed outside the United States and its outlying areas in support of a contingency operation in which members of the Armed Forces are actively engaged in hostilities. PROHIBITION ON PROVIDING FUNDS TO THE ENEMY (DEVIATION 2020-O0022) (AUG 2020) (a) The Contractor shall— (1) Exercise due diligence to ensure that none of the funds, including supplies and services, received under this contract are provided directly or indirectly (including through subcontracts) to a person or entity who is actively opposing United States or Coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities; (2) Check the list of prohibited/restricted sources in the System for Award Management (SAM) at www.sam.gov— (i) Prior to subcontract award; and (ii) At least on a monthly basis; and (3) Terminate or void in whole or in part any subcontract with a person or entity listed in SAM as a prohibited or restricted source pursuant to section 841 of the National Defense Authorization Act for Fiscal Year 2015 (Pub. L. 113-291), as amended, unless the Contracting Officer provides to the Contractor written approval of the head of the contracting activity to continue the subcontract. (b) The Head of the Contracting Activity has the authority to— (2)(i) Void this contract, in whole or in part, if the Head of the Contracting Activity determines in writing that any funds received under this contract have been provided directly or indirectly to a person or entity who is actively opposing United States or Coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities. (1) Terminate this contract for default, in whole or in part, if the Head of the Contracting Activity determines in writing that the contractor failed to exercise due diligence, as required by paragraph (a) of this clause; or Attachment 1 Prohibition on Providing Funds to the Enemy and Class Deviation 2020-O0022 Authorization of Additional Access to Records (ii) When voided in whole or in part, a contract is unenforceable as contrary to public policy, either in its entirety or with regard to a segregable task or effort under the contract, respectively. (c) The Contractor shall include the substance of this clause, including this paragraph (c), in subcontracts, including subcontracts for commercial items, under this contract that have an estimated value over $50,000 and will be performed outside the United States and its outlying areas. (End of clause) Prohibition on Providing Funds to the Enemy and Authorization of Additional Access to Records 252.225-7975 Additional Access to Contractor and Subcontractor Records. (DEVIATION 2020-O0022) Use this clause in all solicitations and contracts, including solicitations and contracts using FAR part 12 procedures for the acquisition of commercial items, with an estimated value in excess of $50,000 that will be performed outside the United States and its outlying areas in support of a contingency operation in which members of the Armed Forces are actively engaged in hostilities. ADDITIONAL ACCESS TO CONTRACTOR AND SUBCONTRACTOR RECORDS (DEVIATION 2020-O0022) (AUG 2020) (a) In addition to any other existing examination-of-records authority, the Government is authorized to examine any records of the Contractor and its subcontractors to the extent necessary to ensure that funds, including supplies and services, available under this contract are not provided, directly or indirectly, to a person or entity that is actively opposing United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities. (b) The substance of this clause, including this paragraph (b), is required to be included in subcontracts, including subcontracts for commercial items, under this contract that have an estimated value over $50,000 and will be performed outside the United States and its outlying areas. (End of clause) Procedures—Prohibition on Providing Funds to the Enemy and Authorization of Additional Access to Records 1. United States Africa Command (USAFRICOM), United States Central Command (USCENTCOM), United States European Command (USEUCOM), United States IndoPacific Command (USINDOPACOM), United States Southern Command (USSOUTHCOM), and United States Transportation Command (USTRANSCOM) Commanders will identify persons and entities within the area of responsibility of such command that— * Provide funds, including goods and services, received under a covered contract, grant, or cooperative agreement of an executive agency directly or indirectly to a person or entity that is actively opposing United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities; or * Fail to exercise due diligence to ensure that none of the funds, including goods and services, received under a covered contract, grant, or cooperative agreement of an executive agency are provided directly or indirectly to a person or entity that is actively opposing United States or coalition forces involved in a contingency operation in which members of the Armed Forces are actively engaged in hostilities. 2. Upon the identification of a person or entity as described above, the combatant commanders will, in consultation with the Under Secretary of Defense for Policy, the Under Secretary of Defense for Acquisition and Sustainment (USD(A&S)), and the appropriate Chief of Missions, notify in writing the appropriate heads of contracting activities (HCA) of such identification of the person or entity. 3. Upon receipt of such notification, the HCA, without power of redelegation, will exercise this authority to determine in writing, whether to— * Prohibit, limit, or otherwise place restrictions on the award of any DoD contracts to such identified persons or entities; * Terminate for default any DoD contracts when the HCA determined that the contractor failed to exercise due diligence to ensure that none of the funds received under the contract are provided directly or indirectly to such identified person or entity; or * Void, in whole or in part, any DoD contract that provided funds to such identified person or entity. 4. The HCA taking an action under paragraph 3. of these procedures to restrict, terminate, or void a contract shall, in writing, notify the affected contractor of the action. The notice Class Deviation 2020-O0022 Authorization for Additional Access to Records Prohibition on Providing Funds to the Enemy and to the contractor shall inform the contractor of the right to request, within 30 days, an administrative review of the action. 5. Classified information relied upon to make a decision in accordance with paragraph 3. of these procedures may not be disclosed to a contractor with respect to which an action is taken pursuant to the authority provided in paragraph 3. of these procedures, or to their representatives, in the absence of a protective order issued by a court of competent jurisdiction established under Article I or Article III of the Constitution of the United States that specifically addresses the conditions upon which such classified information may be so disclosed. 6. Upon determination by the HCA to restrict the future award of contracts or subcontracts to a person or entity, the contracting activity shall notify USD(A&S), Defense Pricing and Contracting/Contract Policy and request entry of the required data on the ineligible person or entity in the System for Award Management (SAM) Exclusions as follows (see FAR 9.404): Classification = Special Entity Designation Agency = DoD Exclusion Status = Active Exclusion Type = Prohibition/Restriction Comments: Pursuant to Subtitle E, Title VIII of the NDAA for FY 2015 7. Upon termination or voiding of a contract, the contracting officer shall treat such action as a default for purposes of reporting in the Federal Awardee Performance and Integrity Information System (FAPIIS) (see FAR 42.1503(h)(1)). 8. For contracts awarded on or before December 31, 2023, to be performed outside the United States and its outlying areas, the contracting officer shall check the current list of prohibited or restricted persons or entities in SAM Exclusions prior to awarding the contract. 9. Contracting officers with contracts being performed outside the United States and its outlying areas in support of covered contingency operations shall also check SAM, at a minimum, on a monthly basis to ensure none of the existing contracts being performed in the covered combatant commands are associated with prohibited or restricted persons or entities. 10. The authority to examine records pursuant to 252.225-7975 (Attachment 2) may be exercised only upon a written determination by the contracting officer, upon a finding by the commanding officer of USAFRICOM, USCENTCOM, USEUCOM, USINDOPACOM, USSOUTHCOM, or USTRANSCOM that there is reason to believe Class Deviation 2020-O0022 Authorization for Additional Access to Records Prohibition on Providing Funds to the Enemy and that funds available under the contract may have been provided directly or indirectly to persons or entities that are actively opposing United States or coalition forces in a contingency operation in which members of the Armed Forces are actively engaged in hostilities. 11. Each HCA shall enforce inclusion of the attached clauses 252.225-7993 (Attachment 1) and 252.225-7975 (Attachment 2) as prescribed. 12. Reports on Prohibition on Providing Funds to the Enemy. a. The HCA that receives a notice pursuant to paragraph 2. of these procedures shall submit to email@example.com and the commander of the combatant command concerned a report on the action, if any, taken by the HCA pursuant to paragraph 3. of these procedures, including a determination not to terminate, void, or restrict the contract as otherwise authorized. Include the following: * The contracting activity taking such action. * An explanation of the basis for the action taken or not taken. * If applicable, the value of the contract voided or terminated and the value of all contracts of the contracting activity in force with the person or entity concerned at the time the contract was terminated or voided. b. Reports may be submitted in unclassified form, but with a classified annex; or in classified form, as appropriate.
Women Objectification In Electronic Media Dr Pir Suhail Ahmed Sarhandi, Moomal Seelro, Firdous Bugti, Muhammad Memon Abstract: the primary goal of this research study is to determine that how a female in the Pakistani television industry is objectified and body-shamed through electronic media advertising, which idealizes the female body as a thin, soft, cunning materialistic object. Women's objectification in western culture has been studied extensively, and a new field of feminist scholars has arisen [3] (See Basow et al., 2007). In Pakistan, however women's objectification in television advertisements has earned little recognition [2] (See Baldissarri et al., 2020). Nevertheless, it is very essential to analyze that how a woman is portrayed in the Pakistani television advertisements, according to the perception of Pakistani television industry a woman's success is determined by her physical attractiveness (her white complexion, flawless skin, long and bouncing hair and the outfits that are skin tight) [13] (See Karsay, 2020); To pinpoint how chauvinist media produced objective representations of feminine appearance, we apply qualitative methodology (critical discourse analysis). We assert that the portal of a consummate woman (as presented in the electronic media) downgrades women to a mere object, leisure, sex appealing thing rather than a human being and living creator with emotions and feelings [4] (See Briñol et al., 2017). We argue in the study that increasing the physical exposure of famine beauty is harmful to women in particular and society in general because it allows them to pursue acceptance in males' fantasized world. Index Terms: Critical Discourse analysis, women objectification, chauvinism, body-shaming. ———————————————————— 1 INTRODUCTION Women objectification in the electronic media (in television advertisements) has a long history, dating back to [6] Betty Friedan's (1963) early work on women objectification, which drew feminist attention, she argued that the feminine mystique and representation of women are areas of interest [12] (See Johnston‐Robledo & Fred, 2008). According to [1] Anderson et al., (2018) Feminists have studied advertisements and have been harshly critical of advertising, textualisms, and other specific imagery concerning the theme of body shaming and idealizing women's body attributes. Feminists have also stated that advertising in the media is used to normalize women's objectification and sexualization [1] (See Anderson et al., 2018). Television commercials use women's physical appearance as a selling pitch to market their products to the viewers [2] (See Baldissarri et al., 2020). Female characters and pictures are most frequently used in advertisements to sell a variety of products, however, according to feminists, television commercials promote sexual desires by objectifying women and turning them into an object rather than taking them as human beings with feelings [5] (See Chevallereau et al., n.d). Women are treated as objects of longing and sex [17] (See Mitchell & Mazzeo, 2009). Moreover, feminists claim that hidden objectifying messages in commercials express that using body lotion, night cream, or day cream increases a woman's worth and her chances of becoming engaged with a good-looking and well-to-do man [10],[34] (See Holland et al., 2017; Wilde et al., 2020). Beauty products are ornamented by portraying women as submissive, beautiful, and attractive in television commercials, they follow a chauvinistic approach to market their beauty products [1],[12] (See Anderson et al., 2018; Johnston‐Robledo & Fred, 2008). If we explore different philosophical points of view, a deeper analysis of women's representation in television advertisements is required. [17] Mitchell and Mazzeo (2009) assert that the media is a tool for understanding culture and shaping our behavioral ideas. Television advertisements are found to play a significant role in the formation of stereotypical gender identities, as well as in the establishment of a sexist culture in society [14] (See Kozee & Tylka, 2006). The objectification of women lends strength to patriarchy, which treats women as objects whose bodies are used to please and attract men in particular [34] (See Wilde et al., 2020). When young girls come across to market the products, it is thought that they are more concerned with attracting and desirable body attributes than with selling the product. Self-surveillance and self-objectification are used in the advertisements that lead women to psychological illness. According to several studies women face psychological disorders, anxiety low self-esteem, and severe depression [34],[5],[27],[31] (See Chevallereau et al., n.d.; Teng et al., 2015; Vandenbosch & Eggermont, 2012). It could be argued that the television advertisements have the authority to shape people's identities in society. With the help of advertising and textualizations (texts between the lines), they are often used to put learned behavior patterns into action, they create the appealing scripts, schemas of beliefs, behaviors, and relationships [37] (See Leent & Mills, 2018). The current research study investigates the objectification of women in a social-cultural context where women's coverage and pictures are regarded as personal matters. According to a large number of research studies conducted in the domain of media and gender, a study analyzing objectification of women in media advertising is unworthy and unnecessary, [17] (Mitchell & Mazzeo, 2009). Furthermore, it is identified that most of the studies on the objectification of women are in the domain of Western media that have been conducted by Western academics. Therefore, our research study highlights the objectification of women in Pakistani television commercials. This findings of this study would fill a gap in the current literature, and it raises concerns about how Pakistani television advertisements follow the trend of popular Western media. 2 LITERATURE REVIEW Pakistan is the world's second-most populous Muslim-majority country, with Muslims accounting for 97 percent of the population [31] (See Vandenbosch & Eggermont, 2012). Islam and deeply rooted traditions are allowed to regulate public and private matters affecting the general public. Television and radio broadcasts have long been important elements of communication in the country. The broadcasting of Pakistan television began on November 26, 1999 [27] (See Teng et al., 2015). General Ziaul Haqq regime in Pakistan strictly regulated Broadcasting Corporation and it was closely monitored and supervised by the government during 1980s. Women were allowed to appear in the media in very restricted positions during the Ziaul Haqq era, but they had to be clothed in a conventional manner, which included wearing Dupatta. However, the only government television channel of Pakistan was Pakistan Television (PTV) that was closely regulated by the government. PTV was a completely controlled channel until two private television channels, Shalimar Television Network (STN) and Network Television Marketing (NTM) were established in 1990. PTV remained the dominant channel until the twenty-first century. Moreover, when General Pervez Musharraf's military government came to power in 2004, he granted freedom to the media in general and to television in particular. During Musharraf regime, the media in Pakistan gained the ability to lead 87 of the new leading private channels which were authorized and handed licenses by Pakistani Electronic Media Regulatory Authority (PEMRA). Apart from the Pakistani television channels, other media channels that belonged to other countries were made available for the Pakistani people via cable networks and satellite television. To facilitate media (PEMRA) was established in 2010. PERMA has jurisdiction over 87 private and public television channels in Pakistan now. As per PEMRA that advertisements on Pakistani television should not contain vulgarity, obscenity, or other offensive materials that target morals. Additionally, advertisements that offend Islamic values are also forbidden. There are other organizations, in addition to PEMRA, that are established by journalists and are responsible for running and distributing media services in Pakistan. PEMRA has the power to condition ethics, which means that if the transmission violates morals, the license can be revoked (See Wilde et al., 2020). It should be noted that morality in Pakistan is derived from religion and deeply rooted traditions rather than philosophy. Women's objectification is widely discussed in the Western media, and women are not given credit for their accomplishments, agencies, and intellectual and intelligence abilities, rather for their physical attractiveness. Women objectification and nasty depictions in Pakistani advertisements have become common place in society; they have become a common symbol for a girl, as they are influenced by the Western advertising media industry for the objectification of women in commercials. We turn to Frederickson's theory of objectification, and the critical works of black feminists. This research study debate takes place in a socio-cultural context and asserts that it is significant and vital in filling the gap in the literature that have not been addressed critically by the Pakistani research scholars. 2.1 Copyright Form An IJSTR copyright form must accompany your final submission. You can get a .doc version at http://www.ijstr.org/Copyright-Agreement.doc. Authors are responsible for obtaining any security clearances. For any questions about initial or final submission requirements, please contact one of our staff members. Contact information can be found at: http://www.ijstr.org. 3 THEORETICAL FRAMEWORK The phenomenon of objectification of women in television advertisements in Pakistan is examined in this study. We bring together two distinct but related theoretical traditions to better understand the objectification of women in Pakistani advertisements. We consider Fredrickson objectification theory [3] (See Fredrickson & Roberts, 1997) and assert the hypothesis that shine light on the recent trade situation in Pakistani television advertisements objectifying women's bodies and only valuing their attracting physical appearance [17] (See Mitchell & Mazzeo, 2009). This theory also claims that commercials' objectifying messages lead women to 2 IJSTR©2021 www.ijstr.org believe that they are mere an object with value based on their outward appearance [3] (See Fredrickson & Roberts, 1997). However, according to the objectification theory, women's fear for their physical appearance rises as a result, leading to increase in the phenomenon of body shaming, which can lead in eating disorders, fear, depression, and sexual dysfunction [3],[10],[12] (See Fredrickson & Roberts, 1997; Holland et al., 2017; Johnston ‐ Robledo & Fred, 2008). We also regard critical race theory as used by feminists of Critical race. Critical race feminism has three branches: critical legal theory, critical race theory, and feminist legal theory. It basically identifies standards that are supported by critical racial feminism, which stress different voices, identities, and beauty standards. [2] (Baldissarri et al., 2020). Critical race theory is used to argue if critical race feminism theory is applied in the media sense. Critical race theory can be a theoretical framework to disqualify the phenomenon that white skin ideals can only be used as a female beauty standard in Pakistan. As a result, our investigation of women's objectification in Pakistani television advertisements in a Pakistani context reveals that Pakistani television is serving colonial interests by emphasizing white complexion as a sign of feminine beauty, worthiness, and acceptance. In the marketplace, the image of women is presented as a sale strategy, and it has been a marketing strategy apart from that, women in Pakistan are being targeted as potential consumers for products that provide beautification, particularly by using whitening creams and lotions to give their epidermal layer a fair complexion. Women in Pakistan are essentially forced into an iron cage of beautification to align with the Western beauty standards. As a result, the highly sexualized and beautified depiction of women on media supports the dominant philosophy that women are valued for their physical appearance rather than their intellect or intelligence. This philosophy through television advertisements produce the false impression that a woman's success is solely dependent on her attracting body language and the outfit she wears. We think that television conversation with audience through text is a strong kind of discourse that, through a framework of representing meaning for women, should be taken up to naturalized roles and reject established culture followed by sexist that draws attention to the objectification. 4 METHODOLOGY The data for the current topic comes from two sources: private channels (Geo, HUM, ARY, and A-Plus) and a public channel (PTV). We use intent sampling as the primary sample methodology for selecting television quality channels. One of the main reasons for choosing PTV is that it is readily available to all Pakistanis, and the advertisements that are commonly aired on PTV are state expression. Other private channels such as ARY, HUM TV (a family drama channel), APlus, and Geo (a news and drama channel) were chosen because they appeared to be popular among Pakistani people. This research study carefully sheds light on women objectification through television advertisements to see how women's soft, perfect, and slender bodies, with a white complexion and bouncy hair, are idealized as female standards of beauty and ideal womanhood. The images and verbal messages were chosen which were deconstructed and analyzed through theoretical lenses borrowed from poststructural feminists and critical theorists. There are a variety of techniques that can be used to fully deconstruct television advertisements. However, we can see that the Foucauldian discourse analysis inspired the deconstruction of television advertisements. This study of Foucauldian discourse analysis (FDA) employs a method for analyzing television advertisements in the context of textual material. It is vital to emphasize that critical discourse analysis is not an easy or simple word to grasp [37] (Teng et al., 2015). Discourse analysis can be carried out in a variety of ways, as developed by various researchers [38] (Chik, 2012). Furthermore, we can see that critical discourse analysis can be applied in a variety of ways, depending on the field and the intent, as well as the expertise of the discourse analyst. We use critical discourse analysis to concentrate on the underpinning meaning of the exploration forms of power and desire patterns formed in textual form. Analyzing various television commercials, we concluded that the vivid kind of strategies are used and racial sexist media's depictions of women being compared to sex objects assert that the power is completely enforced on the female bodies and is done explicitly through visual and verbal discourse. It is important to note that 'Foucault' presented a concept of power that differs significantly from the power that is commonly used. According to Foucault (1989), authority is exercised invisibly, but its consequences are apparent and are transported from subjects who communicate with the social environment. Furthermore, Foucault (1989) suggests that authority exists not only in the group that maintains dominant superiority or in the individual, but also in the relationship. [3] Basow et al., (2007) avoids using the phrase "power" in his works, instead opts to talk about the tactics used for power and the power's relation/relationships. If we base our assumptions on Foucault's discourse analysis, we will see that the selection of texts is not done at random, but is influenced by ideology and its producer, namely the dominant ideology. We aim to unmask the influential institutional sexist media and its chauvinistic theories of portraying men as sight gazers by deconstructing television chauvinistic advertisements Focault, 2004. We have also made it easier for women to delegate commercial users so that they can be free of the harmful effects of the television advertisement industry. We know that each study is unique and fills gaps in the literature in a unique way, but there are several topics that run through all of them. The following topics summarize some of the most interesting leading findings from the current research study. 1. Idealization of 'white complexion' as a marker of feminine beauty 2. Bouncy and shiny hair considered as the 'feminine capital.' 3. Flawless skin as the beauty standards of womanhood 4. Skinny-thin body as a source of confidence 4.1 Idealization of 'white complexion' as a marker of feminine beauty Women's beauty socio-cultural standards are portrayed in all forms of mass media, particularly in television commercials. There is a steady stream of television commercials (Fair and Lovely, Skin White, Nisha, Golden Pearl beauty cream, Dove Prickle, Dove Cleaning Milk, Face Fresh, Hoor beauty soap, that idealize 'white complexion' as a new standard of beauty for women. The advertisements that provide insurance for our claims are listed below. If we examine Image 1, we can see that it is dedicated to sending a strong message that a female should have a white skin complexion to be accepted by society. Women with brown, black, or dull skin, on the other hand, are viewed as social outcasts [14] (Kozee & Tylka, 2006). All of the aforementioned television commercials conveyed a powerful hidden message to women, particularly young emerging girls who seek acceptance and fairness in a sexist exploiting society. Women are objectified in these pictures in a variety of ways, for example, image 2 objectifies a woman through discourse of the white complexion. These advertisements depict a woman as an object with no human breath, and they are expected to be flawless in appearance and judged by it. The 'white complexion' is viewed as the hallmark for woman's beauty standard, which is unrelated to our Muslim country because the majority of Pakistanis inherit a brown skin complexion that is the natural complexion of the people of this region. Therefore, if we examine modern media discourse on beauty, we conclude that beauty standards are fixed on colonial ideology and on the Western norms with people believing that they are superior because of their fair skin complexion leading us to white women superiority over brown women. The historical fixation on white complexion as a beauty standard dates back to the period of colonialism, when the colonizers pretended to be superior to the colonized (subcontinent). Moreover, the influence of the Western society, which we inherited from the British colonizers, is that where beauty standards are linked to fair complexion of epidermal layer. Since the colonial period, people from the subcontinent have been treated as second-class citizens of society; shammed for their skin type and color. This color supremacy was established by the Western people, which was imposed through modern technology, particularly television in our case. We express our displeasure with the stiff beauty standards that disregard the body's objective status. Our concern is persuading Pakistani women to abandon utopian beauty standards imposed by an alien culture which can have a very negative psychological effect, spreading dissatisfaction and resentment among young girls. 4.2 Bouncy and shiny hair considered as the 'feminine capital.' Long, shiny, and bouncy hair are deemed to be the possession of power for the female physical attraction. According to a television advertisement in Pakistani, female representing long, lustrous, and bouncy hair is a solid source of physical appeal. Quoting from a slew of television advertisements (Lifebuoy, Sunsilk, Head & Shoulders, and Dove) suggest that strong women should have long, lustrous hair, which is something that most of the men desire. These additions pursue the idea that a woman with dull and dry hair is anxious and lacks confidence, which is inappropriate in society. While a woman who uses a specific type of shampoo is beautiful, confident, and a people-watching object. These commercials establish a frame of feminine cultural norms in which a female body is shelled perfectly defining the beauty standards [3] (Basow et al., 2007). If we look at the situation critically, we can see that these television commercials are guilty of women objectification on the one hand, and that they produce a false image of feminine unworthiness on the other. To support the argument, two separate advertisements are shown as images 3 and 4. If we examine picture 3, we can deduce that the verbal discourse "best-in-class protection" communicates several messages about a woman's body, including: 1) a woman's body must be able to stand on a sophisticated platform while wearing spectacles. 2) A woman's body is referred to as a "material" or "object" for the purposes of establishing class standards. 3) A woman's appearance is open to criticism, but men's is not. A big key message is conveyed here: everyone has the right to look at a woman's body. When we look at the commercials, we can see that the woman's body is portrayed by a model who walks down the catwalk and presents herself to the audience as an object, the message that emerges from these advertisements is that a woman's body is presented to be judged by the mainstream media. Image 4 depicts a variety of shampoos that objectify women's bodies as the woman is presented as a sex object; she looks directly at the audience and her expressions are seductive smiling face and both hands holding her hair. These attractive beauty standards send a powerful message to the audience that she wants to be held or possessed. The photograph also expresses a significant contribution to the establishment of feminine beauty standards that young women and girls are motivated to achieve as a result of such television advertisements. 4.3 Flawless skin as the beauty standards of womanhood Feminists have been outspoken in their criticism of television advertisements that promote a specific body image of a perfect and soft feminine body. These television commercials are not just about selling beauty products; they are also about instilling a culture of normalizing soft, flawless skin as an ideal body image to subject themselves to objectification and full self-identification. These commercials show a variety of products that promise to make a woman's skin flawless and free of pots and marks. The images 5, 6, and 7 below demonstrate the interest we have expressed. is that women's bodies do not deserve to be on display, which leads to a discussion about framing a woman into a frame. The women models in the advertisements are wearing revealing clothes that expose their bodies and present a woman as a spotlight object. According to the spectacle of objectification theory [6] (See Fredrickson & Roberts, 1997), image 5 and 6 show a beauty product where a woman is portrayed as the hallmark of seduction. Our concern is that rather than selling products, television advertisements sell women's bodies by representing them as lust objects rather than individuals with emotions, feelings, and ideas. 4.4 Skinny-thin body as a source of confidence The rise of the digital media has led to a re-conceptualization of the female body and its cultural connection. The postmodernists and adherents of post structuralism argue that a woman's body must be read in what is referred to as a textual form [10] (See Holland et al., 2017). The body is depicted in a more profound way through various facets of daily life routine, not through dressing and undressing, but through relationships and other discourse engagements [2] (See Baldissarri et al., 2020). The appearance of a woman's body as a material for a man's stare has become so common that it has become the culture of the advertising industry to pick young, skinny, perfectly molded girls to sell their beauty products. Even from cat to fan; from slimming tea to slimmer machines; from mobile phones to autos, women in television commercials are presented as sex objects, which is different from the intent and the product. Images 8, 9 and 10 are only a few of the hundreds of advertisements that present an ideal body, influencing the appropriate standard of a female body in society. The written discourse for the "playful impression that is hard to forget" in the above images make us believe that women are objects for whose lavishing impression people pay, and that their bodies are hard to forget object of gaze. This gives the impression that a woman is represented as a bad character who needs to work harder to make an impression. The point that needs to be made here is that a woman is given the status of an object that the subject is looking at, and she is doing her best to make an impression. Objectification is involved in reducing a person's morale. In this picture, seductive and vulgar words are used to portray a female as an object with smooth, spotless skin. This flawless skin is extremely attractive to men, which is why women strive to achieve it. The advertising text of LUX product transports a woman to a utopian world, promising that if a woman uses LUX soap, she will become beautiful and lovely to others and she will have more chances of attracting people and finding a handsome partner. It has been observed that every woman wants to have a soft, spotless, and perfect skin complexion to appeal to men around them, particularly those who are looking for a goodlooking rich husband. This LUX commercial depicts that it guarantees perfect soft skin, transforming a woman into an object that is still available to men. The sixth image, "Imagine a world where beauty is a source of confidence rather than anxiety," depicts women objectified sexuality, implying that the only source of confidence for a woman is beauty. In this advertisement, a woman is said to be an object of stare and some materialistic stuff that is involved in beauty standards. The discourse "every day fairer beautiful you" in image 7 takes a woman and turns her into an object of display. Our concern is associated with female fertility and is thought to be a signal of sexually sought receptivity [14] (See Kozee & Tylka, 2006). Women who wear red outfits are thought to be more sexually receptive [7] (See Gay & Castano, 2010).The tenth image depicts a man's perception of a red-dressed woman as a sexual signal, the image 10 is a commercial for the Q mobile company, but instead of featuring or broadcasting a mobile phone, the advertisements primary focus is on the model's body display rather than the main brand of the Q mobile company. The model is (Bollywood actress Kareena Kapoor), who is one of the most renowned models in Pakistani television advertising. Kareena Kapoor is wearing an enticing red lipstick that draws men's attention and demonstrates their attraction. It is widely believed that men fix their gaze on women wearing red lipstick for longer periods of time. (See [32] Vasquez et al., 2018) Beattie made the point that a woman's most attractive body part is her lips, which look even better when she wears red lipstick. Television commercials establish specific standards for models to follow. These standards are offered as a set of instructions or guidelines, instructing them on what, how, and when to wear makeup to attract a man 5 CONCLUSION The woman in photograph 8 is shown in an offensive pose, presenting a body that is spotless, flawless, slender, molded, perfectly seductive and passive according to so-called ideal body norms. The image depicts a perfect skin tone with a slender body structure, which is emphasized as a key component of women's beauty standards. By looking at a picture of a woman's body, we can learn a lot about her. The phrase "body as text" implies that there is a lot of analysis to be done on this advertisement. The woman model in this image is seductive, displaying erotically appealing body parts. Her outfit clashes with the advertisement because she loosened her pants with her hand, revealing an advertisement, following the body shaming norm. According to Frederickson and Robbers' theory of objectification, wearing dresses that are revealing and serve to show off the body puts a woman's body in the spotlight of objectification (See Rubin et al., 2004). Our interest is how this model objects a woman, it's because a woman is considered as a source of pleasure and is prepared to be gazed upon. Image 9 depicts a well-known television actress Saba Qamar, who is known for her television advertisements such as "Super Biscuits" and the Geo TV show "Hum Sab Umeed Say Hain" (we all are with the hopes). In this photograph, Saba Qamar is seen in a bridal costume advertising that is discovered to be skin-tight and accentuates her flawless and symmetrical body shape. The red outfit conveys many messages, including the following: women who wear red dresses are more likely to be attractive and desirable [16] (See Mahar et al., 2020). Men are said to be more attracted to a woman dressed in a red outfit than a woman dressed in other colors (See Rubin et al., 2004); The color red Pakistani electronic media, according to this research, uses the female body as a gaze object in television advertisements. Pakistani television generates the impression that a woman's success is determined by her physical attractiveness (her white complexion, flawless skin, long and bouncing hair and the outfits that are skin tight) These advertisements entice young women and girls by promising them a utopian world in which they can reach a white complexion, gleaming and bouncing hair, and slender and symmetrical bodies that will appeal to men. These objectifying messages imply that women who use these products will almost certainly increase their attractiveness and chance, men will pay more attention to you if you are socially accepted, and you will be succeeding in your career and in martial life [31] (See Vandenbosch & Eggermont, 2012). Our main concern is that television streaming advertisements are attached to feminine beauty attracting products, which makes it difficult for women to think clearly about their true worth. Because they are preoccupied with physical attractiveness, their intellectual growth is stunted. It is critical to note that the women on television do not have natural faces or features; instead, they are enhanced with cosmetic products that give them a natural appearance. It is almost impossible for a woman to reach what a television commercial promises [3] (Basow et al., 2007). Commercials portray ideal and flawless women, but if they represent a segment of Pakistani women, they will fall short of the perfection and ideal women they portray in their advertisements. These television commercials use objectification to feed pictures of women with specific faces, body shapes, skin complexions, and hair types that are perfect in our cultural segment which, if pursued as a trend, becomes the 'ideal outfit' for a woman to wear and that 'body type.' Our focus is on the possibility that objectification in advertisements contributes to fear, body shaming, eating disorders, inferiority complex, anger, and other psychological concerns among Pakistani women, as seen in western culture. [1],[6],[12] (Anderson et al., 2018; Chevallereau et al., n.d.; Fredrickson & Roberts, 1997; Johnston‐Robledo & Fred, 2008). ACKNOWLEDGMENT The authors wish to thank A, B, C. This work was supported in part by a grant from XYZ. REFERENCES [1] Anderson, J. 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http://www.jnephropharmacology.com DOI: 10.34172/npj.2022.10453 Journal of Nephropharmacology Acquired hemophilia in a patient with SARS-CoV-2 infection; a case report Ali Hajigholami 1 * ID , Hourieh Ansari 2 ID , Sakineh Ansari 1 ID , Shakiba Hassanzadeh 3 ID 1Department of Internal Medicine, Isfahan University of Medical Sciences, Isfahan, Iran 3Nickan Research Institute, Isfahan, Iran 2Department of Community and Preventive Medicine, Isfahan University of Medical Sciences, Isfahan, Iran ARTICLE INFO ABSTRACT Article Type: Case Report Article History: Acquired hemophilia (AH) is a potentially life-threatening hemorrhagic disorder. We report the second confirmed case of COVID-19-associated AH in a 45-year-old female which, unfortunately, expired as her treatment failed. She presented to the emergency department with abnormal bleeding and spontaneous hemoptysis about ten days after a removal surgery of her epiglottis tumor. Aggregation tests, such as partial thromboplastin time (PTT), are recommended in patients with COVID-19 infection that have bleeding episodes. Received: 4 November 2021 Accepted: 7 December 2021 Published online: 18 December 2021 Keywords: COVID-19, Partial thromboplastin time, Acquired hemophilia Implication for health policy/practice/research/medical education: Please cite this paper as: Hajigholami A, Ansari H, Ansari S, Hassanzadeh S. Acquired hemophilia in a patient with SARSCoV-2 infection; a case report. J Nephropharmacol. 2022;11(2):e10453. DOI: 10.34172/npj.2022.10453. Acquired hemophilia is a potentially life-threatening hemorrhagic disorder. There have been various reports of COVID-19associated acquired hemophilia. Aggregation tests, such as partial thromboplastin time (PTT), are recommended in patients with COVID-19 infection that have bleeding episodes. Introduction emergency department with spontaneous hemoptysis. On admission, she complained of odynophagia and hemoptysis which had started two hours before admission. She had a removal surgery of her epiglottis tumor ten days before her admission. She denied any history of trauma, cough, or fever. On admission, she was conscious and her vital signs were stable. On physical examination, bleeding from her throat was noticed. A summary of the patient's laboratory tests is shown in Table 1. In this study, we present a 45-year-old woman with no history of abnormal bleeding that presented to the emergency department with spontaneous hemoptysis ten days after a removal surgery of her epiglottis tumor. Case Presentation In May 2020, a 45-year-old female presented to our Acquired hemophilia (AH) is a potentially life-threatening hemorrhagic disorder that is caused by autoantibodies against the clotting factors (1-5). Older individuals with no signs of predisposing factors like autoimmunity and other previous personal or family history of bleeding are a notable population of patients with AH. However, cancer (6-8) and infection (9) influence the development of AH. The presentations of AH include hemorrhages in the skin, muscles, soft tissues, and mucous membranes (such as epistaxis, gastrointestinal and urological bleedings, and retroperitoneal hematomas) (10). decline in the level of PTT. Due to the high level of partial thromboplastin time (PTT), the patient was treated with factor VIII before the mixing test's result. However, she did not respond significantly to the treatment. Based on the mixing test's result, the diagnosis of AH was confirmed. Therefore, she was treated with factor VII which finally resulted in a On day two of admission, she experienced repetitive convulsions. Brain computed tomography (CT) scan showed diffuse brain parenchymal hypodensity suggestive of brain edema. Depakene (valproic acid) was initiated after neurology consultation. Later, on the same day, the patient was intubated due to respiratory distress but she developed a cardiopulmonary arrest during the intubation process. Cardiopulmonary resuscitation (CPR) was initiated for two minutes and was successful. In addition, she also developed vaginal bleeding and coffee-ground vomiting. Consequently, she received pack cells because of her low hemoglobin level. An electroencephalogram was recommended because of her fixed mydriasis to confirm clinical brain death. However, it was canceled due to the patient's critical condition. Finally, on day 10 of hospitalization, she experienced another cardiopulmonary arrest and expired after 45 minutes of CPR. On day three of admission, she developed hypotension with respiratory involvement. Therefore, a possible diagnosis of sepsis was established. Treatment with meropenem and linezolid was initiated. Her chest CT scan revealed focal ground-glass opacity in the medial segment of the right middle lobe of the right lung, which indicated COVID-19 infection or aspiration pneumonia. The reverse transcription-polymerase chain reaction (RTPCR) for COVID-19 was positive. Franchini et al reported the first case of AH diagnosed in a 66-year-old male with COVID-19 infection. The patient had a history of AH nine years before his admission which was treated. It seems that, COVID-19 infection triggered AH in this patient. He was successfully treated with factor VII administration (11). In this study, we report another confirmed case of COVID-19-associated AH. However, our case had no history of hemophilia. Treatment with factors VII and VIII failed and our patient expired. Conclusion AH is a potentially life-threatening hemorrhagic disorder. We report the second confirmed case of COVID-19-associated AH in a 45-year-old female which, unfortunately, expired as her treatment failed. Therefore, in patients that are admitted due to COVID-19 infection, performing aggregation tests, such as PTT, are recommended, especially in those that have bleeding episodes. Authors' contribution AH diagnosed and managed the patient. HA and SA followed up with the patient. HA and SA, conducted the primary draft. SH conducted the secondary edit. All authors participated in preparing the final draft of the manuscript, revised the manuscript, and critically evaluated the intellectual contents. All authors have read and approved the content of the manuscript and confirmed the accuracy or integrity of any part of the work Conflicts of interest The authors declare that they have no competing interests. Table 1. The results of the patient's laboratory tests \| PTT \| 76 s \| \|---\|---\| \| International normalized ratio \| 1.2 ratio \| \| Hemoglobin 6.6 g/dL \| \| \| MCV \| 79 fl \| \| Platelet 303 000/ µL \| \| \| Total iron-binding capacity \| 25% \| \| Ferritin 42 ng/L \| \| \| Fibrinogen \| 262 g/L \| \| Antinuclear Antibody 10 U/mL \| \| \| Anti-double stranded DNA \| 15 IU/mL \| \| Peripheral blood smear Normochromic and anisocytosis \| \| \| Mixing test \| 35.6 (High) \| \| Factor eight activity 76% (Normal) \| \| \| RT-PCR for COVID-19 \| Positiveii \| RT-PCR, reverse transcription-polymerase chain reaction; MCV, Mean corpuscular volume; PTT, Partial thromboplastin time. Ethical issues This manuscript was conducted following the World Medical Association Declaration of Helsinki. Written informed consent was taken from the patients for its publication. Additionally, ethical issues (including plagiarism, data fabrication, double publication) have been completely observed by the authors. Funding/Support None. References 2. Cohen AJ, Kessler CM. Acquired inhibitors. Baillieres Clin Haematol. 1996;9:331-54. doi: 10.1016/s09503536(96)80067-9. 1. Bouvry P, Recloux P. Acquired hemophilia. Haematologica. 1994;79:550-6. 3. Franchini M, Gandini G, Di Paolantonio T, Mariani G. Acquired hemophilia A: a concise review. Am J Hematol. 2005;80:55-63. doi: 10.1002/ajh.20390. 5. Vivaldi P, Savino M, Mazzon C, Rubertelli M. A hemorrhagic syndrome of the elderly patient caused by anti-factor VIII antibodies. Haematologica. 1993;78:245-8. 4. Morrison AE, Ludlam CA. Acquired haemophilia and its management. Br J Haematol. 1995;89:231-6. doi: 10.1111/ j.1365-2141.1995.tb03294.x. 6. Franchini M, Targher G, Manzato F, Lippi G. Acquired factor VIII inhibitors in oncohematology: a systematic review. Crit Rev Oncol Hematol. 2008;66:194-9. doi: 10.1016/j.critrevonc.2007.12.004. 7. Sallah S, Nguyen NP, Abdallah JM, Hanrahan LR. Acquired hemophilia in patients with hematologic malignancies. Arch Pathol Lab Med. 2000;124:730-4. doi: 10.5858/2000-124-0730-ahipwh. Nemes L, et al. Demographic and clinical data in acquired hemophilia A: results from the European Acquired Haemophilia Registry (EACH2). J Thromb Haemost. 2012;10:622-31. doi: 10.1111/j.1538-7836.2012.04654.x. 9. Dentale N, Fulgaro C, Guerra L, Fasulo G, Mazzetti M, Fabbri C. Acquisition of factor VIII inhibitor after acute hepatitis C virus infection. Blood. 1997;90:3233-4. 8. Sallah S, Wan JY. Inhibitors against factor VIII in patients with cancer. Analysis of 41 patients. Cancer. 2001;91:106774. doi: 10.1002/1097-0142(20010315)91:6<1067::aidcncr1101>3.0.co;2-4. 10. Knoebl P, Marco P, Baudo F, Collins P, Huth-Kühne A, 11. Franchini M, Glingani C, De Donno G, Casari S, Caruso B, Terenziani I, et al. The first case of acquired hemophilia A associated with SARS-CoV-2 infection. Am J Hematol. 2020;95:E197-e8. doi: 10.1002/ajh.25865. Copyright © 2022 The Author(s); Published by Society of Diabetic Nephropathy Prevention. This is an open-access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
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. (Incorporated in the Cayman Islands with limited liability) (Stock code: 2358) (1) POLL RESULTS OF THE EXTRAORDINARY GENERAL MEETING HELD ON 27 JUNE 2014 (2) APPOINTMENT OF EXECUTIVE DIRECTOR (3) RESIGNATION AND APPOINTMENT OF INDEPENDENT NON-EXECUTIVE DIRECTORS (4) CHANGE OF COMPANY SECRETARY AND AUTHORIZED REPRESENTATIVE AND (5) CHANGE OF HEAD OFFICE AND PRINCIPAL OF BUSINESS IN HONG KONG POLL RESULTS OF THE EXTRAORDINARY GENERAL MEETING The Board is pleased to announce that the proposed resolution set out in the notice of the EGM was duly passed by the Shareholders by way of poll at the EGM held on 27 June 2014. APPOINTMENT OF EXECUTIVE DIRECTOR The Board is pleased to announce that Ms. Wang Liping will be appointed as an executive Director with effect from 1 July 2014. RESIGNATION AND APPOINTMENT OF INDEPENDENT NON-EXECUTIVE DIRECTORS The Board also announces that Mr. Martin He has tendered his resignation as an independent non-executive Director, the Chairman of Remuneration Committee, member of Audit Committee and member of Nomination Committee of the Company with effect from 1 July 2014. Mr. Tsang Ho Ka, Eugene will be appointed as an independent non-executive Director, the Chairman of Remuneration Committee, member of Audit Committee and member of Nomination Committee of the Company with effect from 1 July 2014. CHANGE OF COMPANY SECRETARY AND AUTHORIZED REPRESENTATIVE The Board announces the resignation of Mr. Jan Wing Fu, Barry as the company secretary and the authorised representative to The Stock Exchange of Hong Kong Limited with effect from 30 June 2014. Mr. Tang Chin Wan, an executive Director, has been appointed as the authorised representative of the Company and Mr. Siu Chi Ming, an executive Director, as the Company Secretary of the Company with effect from 30 June 2014. Reference is made to the circular (the "Circular") of Mitsumaru East Kit (Holdings) Limited (the "Company") and the notice (the "Notice") of the extraordinary general meeting (the "EGM") dated 11 June 2014. Definitions and terms used in this announcement, unless the context requires otherwise, shall bear the same meanings as defined in the Circular. POLL RESULTS OF THE EGM The Board announces that the proposed resolution set out in the Notice of the EGM was duly passed by the Shareholders by way of poll at the EGM held on 27 June 2014. Computershare Hong Kong Investor Services Limited, the Company's branch share registrar and transfer office in Hong Kong, was appointed as the scrutineer at the EGM for the purpose of vote-taking. The poll results of the resolution were as follows: Note: Full text of the special resolution was set out in the Notice of the EGM. As more than 75% of the votes were cast in favour of the above resolution, the resolution was duly passed as a special resolutions of the Company. As at the date of the EGM, the total number of issued share of the Company was 3,800,000,000 Shares. As disclosed in the Circular, no Shareholders are required to abstain from voting for the proposed resolution. Accordingly, a total of 3,800,000,000 Shares held by the Shareholders were entitled to attend and vote for or against the resolution proposed at the EGM. There was no Share entitling the holders to attend and vote only against the resolution proposed at the EGM and no parties have stated their intentions in the Circular to vote against or to abstain from voting on the above resolution proposed at the EGM. APPOINTMENT OF EXECUTIVE DIRECTOR The Board is pleased to announce that Ms. Wang Liping ("Ms. Wang") will be appointed as an executive Director with effect from 1 July 2014. Ms. Wang, aged 53, graduated from China Radio and TV University (now named The Open University of China) specializing in electronic equipment and surveying technologies. Ms. Wang has extensive experiences in the electronics operation and management. Ms. Wang is an executive director of 數源科技股份有限公司 (SOYEA Technology Co., Ltd), a company established under the laws of the PRC, whose issued shares are listed on the Shenzhen Stock Exchange (Stock code: 000909) and director of 數源久融技術有限公司 (Soyea Jiu Rong Technology Co., Ltd.), a indirect wholly owned subsidiary of the Company. Save as disclosed above, Ms. Wang does not hold any position with the Company and its subsidiaries. Ms. Wang does not hold any other major appointments or possess other major professional qualifications and has not held any position or directorships in any other public companies the securities of which are listed on any securities market in Hong Kong or overseas during the last three years preceding the date of this announcement. The Company has entered into a service agreement with Ms. Wang with effect from 1 July 2014 for a fixed term of 2 years. According to the articles of association of the Company, Ms. Wang shall hold office only until the next following general meeting of the Company and shall then be eligible for re-election at that meeting, and is also subject to retirement by rotation and re-election at the annual general meeting of the Company in accordance with the articles of association of the Company. Ms. Wang will not receive a fixed director's fee for serving as an executive Director. However, Ms. Wang is entitled to receive the discretionary bonus for the performance of her duties as an executive Director, which is determined with reference to the prevailing market rate and the Director's time commitment and expertise in the Company's affairs. To the best of the knowledge, information and belief having made all reasonable enquiries, Ms. Wang does not have any relationship with any Directors, senior management, substantial shareholders or controlling shareholders (as defined in the Listing Rules) of the Company. As at the date of this Announcement, Ms. Wang does not have any interest in the share of the Company within the meaning of Part XV of the Securities and Futures Ordinance, Chapter 571 of the Laws of Hong Kong. Saved as disclosed above, there are no other matters about Ms. Wang's appointment as an executive Director that need to be brought to the attention of the holders of securities of the Company nor is there any information to be disclosed by the Company pursuant to any of the requirements under Rules 13.51(2)(h) to 13.51(2)(v) of the Listing Rules. RESIGNATION OF INDEPENDENT NON-EXECUTIVE DIRECTOR The Board also announces that Mr. Martin He ("Mr. He") has tendered his resignation as an independent non-executive Director, the Chairman of Remuneration Committee, member of Audit Committee and member of Nomination Committee of the Company with effect from 1 July 2014 as his service contract with the Company as independent non-executive Director will be expired on 30 June 2013 and also due to devotion to his personal business development. Mr. He has confirmed that he has no disagreement with the Board and there is no circumstance connected with his resignation that needs to be brought to the attention of The Stock Exchange of Hong Kong Limited (the "Stock Exchange") and the holders of securities of the Company. APPOINTMENT OF INDEPENDENT NON-EXECUTIVE DIRECTOR Mr. Tsang Ho Ka, Eugene ("Mr. Tsang") will be appointed as an independent non-executive Director, the Chairman of Remuneration Committee, member of Audit Committee and member of Nomination Committee of the Company with effect from 1 July 2014. Mr. Tsang, aged 32, Certified Practising Accountant of the CPA Australia, a Certified Public Accountant of the Hong Kong Institute of Certified Public Accountants, an international associate of the American Institute of Certified Public Accountants, a member of the Hong Kong Institute of Directors, an associate management accountant of the Institute of Certified Management Accountants, Australia, an associate of the Taxation Institute of Hong Kong, a full member of the Institute of Accountants Exchange, a Certified Tax Adviser of the Taxation Institute of Hong Kong and also the member of the Hong Kong Mining Investment Professionals Association. Mr. Tsang holds a bachelor's degree of commerce from the University of New South Wales, Australia and has also completed an accounting extension course in relation to Australian Taxation Law and Australian Corporations Law in the University of Sydney, Australia. Mr. Tsang has experience in a wide range of business, including general trading, commodities trading, logistics services, coal mining, coal trading, provision of integrated solutions for lightning electromagnetic pulse protection business, provision of energy management, energy conservation and emission reduction business, property investments, business consultancy and financial printing services. Mr. Tsang is the vice-chairman and the non-executive director of the Ming Kei Holdings Limited (stock code: 8239) and non-executive director of Rising Power Group Holdings Limited (stock code: 8047), both companies are listed on the Growth Enterprise Market of the Stock Exchange. Mr. Tsang is also the executive director and joint company secretaries of Newtree Group Holdings Limited (stock code: 1323), a company listed on the Main Board of the Stock Exchange. Save as disclosed above, Mr. Tsang does not hold any position with the Company and its subsidiaries and does not hold any other major appointments or possess other major professional qualifications and has not held any position or directorships in any other public companies the securities of which are listed on any securities market in Hong Kong or overseas during the last three years preceding the date of this announcement. The Company has entered into a service agreement with Mr. Tsang with effect from 1 July 2014 for a fixed term of 2 years. According to the articles of association of the Company, Mr. Tsang shall hold office only until the next following general meeting of the Company and shall then be eligible for re-election at that meeting, and is also subject to retirement by rotation and re-election at the annual general meeting of the Company in accordance with the articles of association of the Company. Mr. Tsang is entitled to receive a director's fee of HK$10,000 per month which is determined with reference to his qualifications, experience, duties and responsibilities with the Company and the prevailing market terms. To the best of the knowledge, information and belief having made all reasonable enquiries, Mr. Tsang does not have any relationship with any Directors, senior management, substantial shareholders or controlling shareholders (as defined in the Listing Rules) of the Company. As at the date of this announcement, Mr. Tsang does not have any interest in the share of the Company within the meaning of Part XV of the Securities and Futures Ordinance, Chapter 571 of the Laws of Hong Kong. Saved as disclosed above, there are no other matters about Mr. Tsang's appointment as an independent non-executive executive Director that need to be brought to the attention of the holders of securities of the Company nor is there any information to be disclosed by the Company pursuant to any of the requirements under Rules 13.51(2)(h) to 13.51(2)(v) of the Listing Rules. CHANGE OF COMPANY SECRETARY AND AUTHORIZED REPRESENTATIVE The Board announces that Mr. Jan Wing Fu, Barry ("Mr. Jan") has tendered his resignation as company secretary and authorized representative of the Company for the purpose of Rule 3.05 of the Listing Rules with effect from 30 June 2014 due to his own decision to pursue other career development. Mr. Jan has confirmed that he has no disagreement with the Board and there is no circumstance connected with his resignation that needs to be brought to the notice of the Stock Exchange and the shareholders of the Company. The Board further announces that Mr. Tang Chin Wan, an executive Director, will be appointed as the authorized representative for the purpose of Rule 3.05 of the Listing Rules with effect from 30 June 2014 and Mr. Siu Chi Ming (" Mr. Siu "), an executive Director will be appointed as company secretary of the Company with effect from 30 June 2014. Mr. Siu, aged 33, holds a Bachelor of Business Administration (Accounting) from Hong Kong Baptist University. He is a fellow member of the Association of Chartered Certified Accountants and an associate of Hong Kong Institute of Chartered Secretaries as well as the Institute of Chartered Secretaries and Administrators. CHANGE OF HEAD OFFICE AND PRINCIPAL OF BUSINESS IN HONG KONG The board hereby announces that with effect from 30 June 2014, the Company's head office and principal place of business in Hong Kong will change to Suite 6409, 64th Floor, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong All telephone and facsimile numbers of the Company will remain unchanged. The Board would like to express its warmest welcome to Ms. Wang and Mr. Tsang on their appointment and to appreciate Mr. He and Mr. Jan for their valuable contributions to the Company during their tenure of service. By Order of the Board Mitsumaru East Kit (Holdings) Limited Siu Chi Ming Executive Director Hong Kong, 27 June 2014 As at the date of this announcement, Mr. Siu Chi Ming and Mr. Tang Chin Wan are the Executive Directors; Ms. Au Shui Ming, Mr. Martin He and Mr. Wu Yinong are the Independent Non-executive Directors. The Directors jointly and severally accept full responsibility for the accuracy of the information contained in this announcement and confirm, having made all reasonable enquiries, that to the best of their knowledge, their opinions expressed in this announcement have been arrived at after due and careful consideration and there are no other facts not contained in this announcement the omission of which would make any such statements in this announcement misleading.
SRIMAN Mahabharatha Thathparya Nirnaya By R.H.Kulakarni, M.A., M.Ed., Publishers Sahitya Sadhana M.S.K.Mill Road,Gulbarga - 585102 Translated to English By Harshala Rajesh Note: This book was made available by Digital Library of India as part of Million books project in .tiff image format Transliterated Roman Scripts of the Original Shlokas from AHDS London(thanks to Sri Desiraju Hanumantha Rao for providing the same and Sri Srisha Rao et al for Transliterated Roman Scripts) atha saptadasho.adhyAyaH Khandava Dahana OM gate.atha chedipe svakaM puraM janArdano.ashR^iNot.h \| ramaiva rugmiNIti yodyatAM svayambarAya tAm.h \|\| 17.1\|\| 1. After Chedhi King returned to his kingdom, Krishna heard that Rukhmi was making preparations for Rukmini's Swayamvara. Note: ramaiva – presence of this word denotes that there is no difference between Rukmini and Sri Lakshmi sa rugminAmako.agrajaH shriyo dvishhan.h ramApatim.h \| hareH pradAtumudyatAM nyavArayaddharipriyAm.h \|\| 17.2\|\| 2. That Rukmini's brother is Rukmi. He was an Asura by name Rugmi in his previous birth. He is an ignorant person who does not know that Sri Lakshmi herself is Rukmini. Although Bhismaka and others who are Hari's followers wished to have Sri Krishna as Rukmini's husband, Rukmi had stopped them from doing so praghoshhite svayambare.atha tena mAgadhAdayaH \| samIyurugrapaurushhAH sasAlvapauNDrachedipAH \|\| 17.3\|\| 3. Rukmi announced Rukmini's Swayamvara. Then great warriors like Salva, Paundraka, Shishupala and others came along with Jarasanda. tadA jagAma keshavo javena kuNDinaM puram.h \| smR^ito.atha tena paxirAT.h samAjagAma keshavam.h \|\| 17.4\|\| 4. Then Sri Krishna remembered Garuda. Garuda appeared immediately. Sri Krishna came by riding on Garuda to Kundinapura. Note: Kundinapura is Bhismaka's Capital city. patatravAyunA.asya te nareshvarAH prapAtitAH \| yadedR^ishaM patatriNo balaM hareH kimuchyate \|\| 17.5\|\| 5. Jarasanda and other kings lost balance and fell down because of the force of wind caused by Garuda's wings. If Garuda who is Hari's Vehicle has such strength then what is to be said about Hari's strength. kimatra naH kR^itaM bhavet.h sukhAya hIti te.abruvan.h \| athAbravIjjarAsuto jayI payobdhimandiraH \| 17.6\|\| kilaishha paxivAhano yatashcha nAnyathA bhavet.h \| jitA vayaM cha sarvasho.amunaikalena saMyuge \|\| 17.7\|\| 6-7. when all the kings gathered enquired as to what action will bring them pleasure, hearing this Jarasanda said "He, Sri Krishna has made Milk ocean as his abode. He has powerful Garuda for his vehicle. Apart from that he has defeated me and my army alone many times. We have enmity with him in vain" Note: Garuda's greatness is explained in detail in Moola Mahabharata. Brahaspathi's words to Indra samartho balinaam shreshto hurthusomam vihangam.sarvasambhavayamyasmin na sadyamapi sadayeth (aadi 30-42) Garuda is revered among renowned due to his strength.He is capable of bringing divine nectar. He can accomplish impossible tasks, he is "balavan kaamaroopadruk"= strong and can take any form according to his wish. For more information refer to Mahabharata Adi Parva 20 - 24 anekasho na saN^gatairjitaH kadAchideshha hi \| amushhya chAgrajaH purA nihantumudyato hi mAm.h \|\| 17.8\|\| 8. I have attacked many times with my army. Still he could not be defated. His brother is also a very strong person. Once he had almost killed me. adR^ishyavAkyato.atyajat.h pratADanAt.h supIDitam.h kimasya tUchyate balaM vayaM tR^iNopamAH kR^itAH \| samastasho mR^idhemR^idhe hi yena chAxatena hA \|\| 17.9\|\| 9. Luckily there was celestial voice at that time. Conceding to that he let me free. Still I have been hurt many times. Their strength is flawless and they have reduced me and my army to the level of Grass straw. All my soldiers were killed. Now Krishna himself has come here. kimatra kurvatAM sukhaM bhavedudIrNasaN^kaTe \| iti bruvannavAN^.h mukhaM nR^ipashchakAra vichchhavi \|\| 17.10\|\| 10. "What should be done to bring some peace of mind during such a dreadful situation?" Saying thus Jarasanda lost lustre in his face and sat helplessly athA.aha chedibhUpatiH sadantavakrako vachaH \| purA harerhi pArshhadaH prasannabuddhirekadA \|\| 17.11\|\| 11.Then Shishupala and Dantavakra who were Sri Hari's servants in their previous births, due to the avesha of the good nature in them from their previous birth spoke thus shR^iNushhva rAjasattama prabhuM shivasvayambhuvoH \| hariM vadanti kechidapyado bhavenna vai mR^ishhA \|\| 17.12\|\| 12. Oh Jarasanda best among Kings! Listen, some gentlemen say that "This Sri Hari is Lord of Brahma and Rudra". This does not seem to be false. tathA.a.avayoshcha darshane bhavet.h kadAchidUrjitA \| amushhya bhaktiranyathA punashcha jAyate krudhA \|\| 17.13\|\| 13. Also sometimes when both of us see him we get the feeling of devotion towards him. Again later we get back the feeling of Rage towards him. na kAraNaM na vidmahe na saMshayaH paro hariH \| vrajAma taM sukhArthino vayaM vihAya shatrutAm.h \|\| 17.14\|\| 14. We do not know the reason behind this feeling of devotion and fury towards Sri Krishna. Sri Krishna is the Supreme Being. There is no doubt about this. Therefore let us give up this enmity towards him and surrender to him with devotion in order to get some peace of mind. Notes: Here Sri Madvacharya expounds the doctrine of Jeewa Dwaya (two souls co-existing in one body) .Also he showed who Shishupala and Dantavakra are originally. idaM hi naH shubhapradaM nachAnyathA shubhaM kvachit.h \| itIrito jarAsuto dadarsha tau dahanniva \|\| 17.15\|\| 15. These words are not worthy of being told.Such thoughts will not do any good to you in any ways. Telling this, Jarasanda stared at them as though he would burn them down. atha prahasya saubharAD.h vacho jagAda mAgadham.h \| vinindya tau krudhA sphuran.h krudhA sphurantamIxya cha \|\| 17.16\|\| 16. Then infuriated Salwa king looking at Jarasanda who was enraged mockingly criticized Shishupala and Dantavakra and said na tanmR^ishhA hariH svayaM janArdano vadhAya naH \| prajAta eshha yAdavo vayaM cha dAnaveshvarAH \|\| 17.17\|\| 17. You are telling the truth. Sri Hari is definitely Capable .He is called Janardhana meaning his duty is to destroy Asuras. That is why he is born as Yadava. But we are the best among Asuras. svadharma eshha naH sadA dR^iDhapratIpatA harau \| svadharmiNo hatA api prayAma sadgatiM dhruvam.h \|\| 17.18\|\| 18. Our Nature is to always hate Sri Hari. In case we are killed while following our Dharma (true-nature) we will attain salvation.What is our Dharma? shivashcha naH parA gatirgururbhavAnarirhareH \| itIritaH sa mAgadho jagAda sAdhusAdhviti \|\| 17.19\|\| 19. For us Shiva is true Salvation. Oh Magadha, you are our True Leader (Guru). Hearing these words from Salva, Jarasanda was very happy. tathaiva rugmipUrvakAH karUshachedipau cha tau \| vinishchayaM kubuddhayo yudhe cha chakrurUrjitam.h \|\| 17.20\|\| 20. Then Led by Rugmi, Kurusha and Chedhi kings along with Shishupala and Dantavakra who agreed, he started preparations for the war with evil intentions and increased hatred towards Sri Krishna. www.mahabharatatatparyanirnaya.com 3 sadA pratIpakAriNau bhavAva kR^ishhNa ityapi \| guroH prasAdamApnutAM karUshachedibhUbhR^itau \|\| 17.21\|\| 21. Jarasandha's Joy knew no bounds when Dantavakra Shishupala and others said "Let us always breed hatred towards Sri Krishna" punashcha te tvamantrayan.h sahaiva pApabuddhayaH \| dhruvaM samAgato harirlabheta rugmiNImimAm.h \|\| 17.22\|\| 22. All of the evil minded ones discussed and decided in unison that "Sri Krishna will definitely come to Rukmini Swayamvara" ayaM trilokasundaro.anurUpiNI cha rugmiNI \| mukhena bAhunA.apyayaM samastalokajid.h vashI \|\| 17.23\|\| 23. Sri Krishna is most handsome in all three worlds. So is Rukmini. Sri Krishna has won three worlds by his radiant beauty and strength. samastavedinAM varaM jitArimagryarUpiNam.h \| samastayoshhitAM varA vrajeta rugmiNI dhruvam.h \|\| 17.24\|\| 24. Rukmini who is the most beautiful and renowned among women will naturally admire Sri Krishna who is renowned among learned who has won over Manmatha and who is handsome. This is for sure. vayaM cha mAnasaN^xayaM nitAntamApnumastadA \| na shaknumo nivArituM sharairamuM kathaJNchana \|\| 17.25\|\| 25. Then it will be disgrace to all of us. We are not capable of stopping him either with arrows or strength. ataH svayambare yathA na saN^gamo harerbhavet.h \| tathA vidhAnameva naH sunItirUrjitA dhruvam.h \|\| 17.26\|\| 26. All of us should make sure that Sri Krishna will not attend Swayamvara. This is the best mode of action. This is decided. ato na deyamasya naH subhUbhujAM samAgame \| kvachit.h kadAchidAsanaM nachArghyapUrvako vidhiH \|\| 17.27\|\| 27. Therefore when all of us kings are present here or anywhere else, if he comes we should not offer him a seat or give him any respect or show any hospitality that needs to be shown to a guest according to dharma (argya, padya etc) If we do so, nachA.asyati xitau kvachid.h vimAnitaH puro hi naH \| varAsanasthabhUbhujAM sa mAnito hi daivataiH \|\| 17.28\|\| 28. That Sri Krishna who is adored by Devas will be humiliated in front of all of us renowned kings who will be seated on higher seats and will not be able to sit on the ground too sa darpamAnasaMyutaH krudhA prayAsyati dhruvam.h \| purIM svakAM tatau vayaM vidhema cha svayambaram.h \|\| 17.29\|\| 29. Infuriated Sri Krishna filled with Pride and arrogance after being humiliated by us will not stay here and return back to his kingdom. This is certain. After that we can continue with Swayamvara. iti sma sarvabhUbhR^itAM vinishchayaM sakaishikaH \| kratho.avagamya bhIshhmakAnujo.abhyayAddhariM drutam.h \|\| 17.30\|\| 30. King named Kratha got the information about this decision agreed upon by all the kings through King Bhismaka's younger brother Kaishika .Then he immediately proceeded towards Sri Krishna. praNamya pAdapadmayornijaM gR^ihaM praveshya cha \| mahAsanaM pradAya tau prachakraturvarArchanam.h \|\| 17.31\|\| 31. Kratha and Kaishika came to Sri Krishna and prostrated at his lotus feet. They took him to their House. They treated him with great respect and hospitality and honored him. athA.agamachchhatakratorvachaH pragR^ihya bhUbhujaH \| jarAsutAdikAn.h pumAnuvAcha chArthavad.h vachaH \|\| 17.32\|\| 32. Around the same time a messenger as instructed by Devendra came to the kings and delivered a message with important meaning to Jarasanda and other kings. ahaM priyaH shachIpateH sadA.asya chAxigocharaH \| surendra Aj~nayA.avadannR^ipAn.h va Ishvaro hi saH \|\| 17.33\|\| 33. I am very dear to Devendra. I am one of his associate's. Devendra is Lord to all of you. I am telling you his commands. samastarAjasatpatirharirnachAnya ityapi \| varAbhishhekamIshituH kurudhvamAshvasaMshayam.h \|\| 17.34\|\| 34. Shri Hari is the King of Kings. He is the Supreme Lord. There is none other. Without doubting this fact welcome Sri Krishna and honor him with respect immediately. ato.anyathA shirasyahaM nipAtayAmi vo.ashanim.h \| itIdamindrashAsanaM kurudhvamityasau yayau \|\| 17.35\|\| 35. "If you do not follow my orders, I will thrust Vajrayudha on your heads". This is Indra's Writ. Therefore do as you have been told. Saying so the messenger left. tadIritaM nishamya te punaH sutaptachetasaH \| babhUvurUchire vachaH sugarvito hi vAsavaH \|\| 17.36\|\| 36. Listening to this all the kings were silent again with disgust. One among them was very annoyed and said "Now Indra has become very arrogant" purA bibheti naH sadA pratiprati sma vAsavaH \| utAdya kR^ishhNasaMshrayAd.h dR^iDhaM vibhIshhayatyasau \|\| 17.37\|\| 37. Earlier this Devendra used to be afraid of each one of us. Now under protection of Sri Krishna he is threatening us www.mahabharatatatparyanirnaya.com 5 adR^ishya eva devarAD.h yadi sma vajramutsR^ijet.h \| bhavema pIDitA vayaM varAdamR^ityavo.api hi \|\| 17.38\|\| 38. If he (Devandra) attacks us stealthily (being invisible), in spite of us being immortals we can get hurt badly or become physically impaired. purA divisthitasya cha pramardane vayaM xamAH \| utAdya yadyamuM vayaM vrajema kR^ishhNa eshhyati \|\| 17.39\|\| 39. Earlier we were capable of Slaying this Devendra who is in Swargaloka. Now if we attack him Sri Krishna will come to his aide. ato.abhishhechanAd.h yadIha shArN^giNaH shachIpatiH \| na vajramutsR^ijet.h tadA.abhishhechayAma taM vayam.h \|\| 17.40\|\| 40. In case we do honor to Krishna, Indra will not thrust Vajrayudha on us. So let us honor him appropriately saying so they all prepared to do the same. ato.anyathA danuryathA varAdamR^ityuko.api san.h \| surendravajratADito babhUva kuxigAsyayuk.h \|\| 17.41\|\| 41. Indra had hurled Vajrayudha on a Gandharva named Danu because of which although he was immortal his head sunk into his stomach. (Now if we do not follow his commands we might face similar consequences) tathaiva kR^ishhNasaMshrayAt.h sa naH shachIpatirnayet.h \| iti sma nishchitA nR^ipAnayAtayanta shauraye \|\| 17.42\|\| 42. If we do not follow Devendra's commands he might attack us with the help of Sri Krishna. Thinking so, they sent few kings to honor Sri Krishna. Note: Jarasanda, Dantavakra, Shishupala and others did not go out of arrogance. samastasho jarAsutAdibhiH kR^ite.abhishhechane \| atIva bhagnamAnakAn.h nachAnuyAti kashchana \|\| 17.43\|\| 43. If disheartened Jarasanda accompanied by all the kings honors Sri Krishna by doing Poorna Kumbha Abhisheka (Sprinkling over Sacred Water on Sri Krishna), many Kings will start supporting Sri Krishna. With this the number of Jarasanda's allies (supporters) might go down Why Jarasanda and others did not go ? samAshrayaM cha keshavaM tadaiva jIvanArthinaH \| prakuryurAsurA apIti devakAryasaN^xayaH \|\| 17.44\|\| itIxya pAkashAsano.avadajjarAsutAdikAn.h \| sarugmichedisAlvapo na yAtu mAgadho harim.h \|\| 17.45\|\| 44-45. If all the Daityas (Demons) accept Sri Krishna as the supreme lord and surrender to him then, Sri Krishna will be obliged to protect everyone who seeks his protection. Due to this Sri Krishna's divine mission cannot be accomplished. Realizing this Devendra sent another messenger and guided Jarasanda and others not to attend tadA.abhishhektumudyatA nR^ipAH sureshashAsanAt.h \|\| 17.46\|\| 46. Except Jarasanda and others all the other emperors and kings following Indra's orders participated in Sri Krishna's Abhisheka (Ceremony of Honoring by sprinkling sacred water on a persons head.) ataH shachIpatirnijaM varAsanaM hareradAt.h \| vivesha tatra keshavo nabhastaLAvatArite \|\| 17.47\|\| 47. Then husband of Shachi - Indra, sent his best throne to Sri Krishna. Sri Krishna adorned the throne that had descended from heavens. kare pragR^ihya keshavo nyaveshayat.h sahA.asane \| patatripuN^gavaM cha tau sa bhIshhmakAnujau prabhuH \|\| 17.48\|\| 48. Sri Krishna was led by Garuda and Bhismaka king's younger brothers Kratha and Kaushaka who helped him ascend the throne sent by Indra. athAkhilA nareshvarA munIndrasaMyutA harim.h \| sushAtakaumbhakumbhakaiH prachakrurAbhishhekiNam.h \|\| 17.49\|\| 49. After that all the Kings and Sages together got sacred water in Golden pots and sprinkled it on Sri Krishna viriJNchasharvapUrvakairabhishhTutaH surAdibhiH \| samastadevagAyakaiH pragIta Asa keshavaH \|\| 17.50\|\| 50.All the Gods led by Brahma and Rudra prayed with Joy and Gandharvas and other celestial singers praised Keshava with many songs. athA.aha bhIshhmakaM prabhuH svayaMvaraH kila tvayA \| abhIpsitaH sutAkR^ite shubhAya te bhavenna saH \|\| 17.51\|\| 51."Swayamvara which you have arranged for your daughter with great delight will be inauspicious for you." Lord Sri Krishna said this to Bhismaka king. iyaM ramA tavA.atmajA babhUva tAM harernacha \| dadAti chet.h tadA pitA nirindiro vrajedadhaH \|\| 17.52\|\| 52. She is Ramadevi born as your daughter. She is not suitable to anyone other than Sri Hari. Being her father, if you give her hands in marriage to anyone else, you will loose the Lakshmi - goddess of fortune and descend to perdition. hitAya chaitadIritaM tavAnyathA na chintaya \| na yoshhidichchhayA tvahaM bravImi pashya yAdR^ishaH \|\| 17.53\|\| 53."I am telling this to you for your own good. Don't think otherwise. I am not telling you this with an intention of getting a wife. See who I am and what fortune I own". Krishna said this to Bhismaka king. udIrya chaivamIshvarashchakAra hA.avirAtmanaH \| sa vishvarUpamuttamaM visaN^khyashIrshhabAhukam.h \|\| 17.54\|\| anantateja AtataM visaN^khyarUpasaMyutam.h \| vichitramaulikuNDalAN^gadoruhAranUpuram.h \|\| 17.55\|\| www.mahabharatatatparyanirnaya.com jvalatsukaustubhaprabhA.abhibhAsakaM shubhAmbaram.h \| prapashya yAdR^ishAH striyo mametyadarshayachchhriyam.h \|\| 17.56\|\| anantarUpiNIM parAM manushhyadR^ishhTito.adhikAm.h \| svarugmiNItanorapi vyadarshayachcha devatAH \|\| 17.57\|\| 54-57. As Krishna asked Bhismaka king to see him; Bhismaka king started seeing the auspicious Vishwa Roopa (Cosmic form) of Sri Krishna. Infinite faces, arms, unique radiance, unlimited galaxies, innumerable forms, fantastic ear-rings, invaluable precious celestial jeweler, necklaces, anklets, kaustubha ornament with radiance like sun, wearing Peetambhara (auspicious yellow garment), also see the forms of many more women, Goddess Lakshmi who are more beautiful than your daughter Rukmini Devi also Brahma and all the other Gods that are present in my universal form. Notes: Here ShriMadacharya has used the word "visankya roopa samyutam" and has shown us the forms Matsya (fish), koorma (Turtle), Varaha (boar) of Vishnu. He has also opined that other animals were also shown. Also by stating that "manushyadrishtitodikaam" he has cleared the doubts that could arise due to difference of opinion by comparing Lakshmi and Rukmini and doubting that one is more beautiful than the other by stating that it is only opinion of mortal men. Doing so he has also established his doctrine "There is no difference between different forms" which also means Rukmini Devi and Lakshmi are not different from each other". tadadbhutaM samIxya tu prabhIta Ashu bhIshhmakaH \| papAta pAdayorvibhoH karomi tat.h tatheti cha \|\| 17.58\|\| 58. Bhismaka King was extremely panicked seeing this marvelous sight. He prostrated at Sri Krishna's feet. He bowed to him again telling "I will do as you have told." punashcha vishvarUpatAM pidhAya padmalochanaH \| jagAma paxivAhanaH purIM svabAhupAlitAm.h \|\| 17.59\|\| 59. Lotus eyed Sri Krishna ended his cosmic form. He went back riding on Garuda to his kingdom that is protected by his strength. apAmpatishcha maithilaH svayaMvaraN^kR^itAvapi \| hariM vinishchayAdiyaM vrajediti sma chakratuH \|\| 17.60\|\| 60. He had confirmed knowledge about Lakshmi Narayana and Sita Rama for the question "Didn't enlightened men like Janaka Raja and Varuna, not arrange Swayamvara for Sita Devi and Lakshmi Devi" Notes: Then what was the purpose of their Swayamvara? Answer for that is Varuna organized Lakshmidevi's Swayamvara so did Janaka Raja to clarify to the world that "Narayana does not have any defects. He is perfect. All the other Devotes do not have this quality. Each one of them has some imperfection". To prove that SriRama is none other than Narayana, He is the Supereminent. None other is capable of breaking Shiva's bow. Since they were wise they did not need additional information or sight of Vishwa Roopa darshana. Here Bhismaka king needed such knowledge so Krishna gave him the same svayambare xiterbhujAM svadharma ityato dvayoH \| na doshha Asa bhIshhmako na keshavArthamaichchhata \|\| 17.61\|\| 61. Organising Swayamvara is Common among Kings. It is not against the law. So Varuna and Janaka organized it. Here Bhismaka had not wished it for Keshava. www.mahabharatatatparyanirnaya.com 8 ato harau prabodhya taM gate kR^ipAlusattame \| vashIkR^ite cha bhIshhmake nR^ipAstvamantrayan.h punaH \|\| 17.62\|\| 62. All the other kings resumed consultations thinking that even Bhismaka was under the Spell of Sri Krishna after benignant Sri Krishna preached the right knowledge about Narayana to him and left. yashashcha dharmamuttamaM vidhitsatA vR^ikodare \| na keshavena sUdito jarAsuto hi manyate \|\| 17.63\|\| 63. Jarasandha was thinking on these lines without realizing that Keshava's ulterior motive which was "Bringing triumph to Bheemasena", which was also his immaculate and highest priority. varAchchhivasya mAmayaM na hantumIshhTa uttamAt.h \| ataH shivaprasAdato jito.api jeshhya uttaram.h \|\| 17.64\|\| 64. Jarasandha thought "Since I had boons from the best of Gods Shiva, Krishna was not able to Kill Me" and decided "Now I will again earn boons from Shiva and then Win Krishna" mR^idhemR^idhe jito.api san.h dR^iDhAshayA punaHpunaH \| samIhate yudhe shivaM nachAvamanyate kvachit.h \|\| 17.65\|\| 65. Though Jarasandha lost battles with Sri Krishna over and over , he prepared and went on war again wishing that he will win next time. Never ever did he blame Shiva. Notes: He always searched for faults in himself as reason for his defeat ataH punashcha bhUmipAnuvAcha bArhadrathaH \| dhigeva paurushhaM hi no yadeshha no.ajayat.h sadA \|\| 17.66\|\| 66. Now Jarasanda spoke to kings with regret "Shame on your Valor. Sri Krishna has defeated us in every single battle." abhUpaternachA.asanaM pradeyamityudAhR^itam.h \| amushhya nastadanyathA babhUva chintitaM nR^ipAH \|\| 17.67\|\| 67. He is not a king. So we had decided that there was no need to honor him in a manner suitable to kings. But oh Kings! The situation turned out to be against our decision. We had to accept it. ayaM nR^ipottamAN^gaNe mahendrapIThamAruhat.h \| samastarAjarAjatAmavApa no.apyanichchhatAm.h \|\| 17.68\|\| 68. He ascended the throne sent by Devendra in our presence in the assembly of Great king Bhismaka. He earned the title of Emperor (Chakravarthi) ataH punaH kathaM hariM vayaM jayema chintyatAm.h \| yathA cha bhIshhmakAtmajAmavApnuyAchcha chedirAT.h \|\| 17.69\|\| 69. Therefore now let us think about how we can all together defeat Sri Hari (Sri Krishna).Also we have to think about how we can make sure that Rukmini is married to Shishupala. ato niveshya eshha me surUpiNI cha rugmiNI \|\| 17.70\|\| 70. Shishupala is my adopted son. (I am his Godfather). So getting him married is my duty. Beautiful Rukmini is suitable for him. Notes: Shishupala's father had given away Shishupala to Jarasanda and requested Jarasanda to take care of Shishupala's welfare, get him married etc. This is indicated by the word "datta putrako" shivAgameshhu shishhyakAH sarugmisAlvapauNDrakAH \| mamAkhilA nR^ipAstataH kurudhvametadeva me \|\| 17.71\|\| 71. You have all been my students for learning Shivagama (procedures of Shiva Aradhana).Therefore Rukmi, Salwa, Paundraka and all other kings have to fulfill my wish. Notes: This shows that Jarasanda was not only a powerful king but also a teacher (Guru) to all the kings by imparting knowledge of Shivagama to them itIrite tu saubharAD.h jagAda rugmisaMvidA \| svayaMvaro nivartitaH svasArameshha dAsyati \|\| 17.72\|\| 72. Listening to these words from Jarasanda, Salwa after taking approval of Rukmi said "Lets now drop the idea of Rukmini Swayamvara. Rukmi will willingly give his sister's hand in marriage to Shishupala. nachAtivartituM xamaH pitA.asya chedipAya tAm.h \| pradAtukAmamAtmajaM vayogatastathA.abalaH \|\| 17.73\|\| 73. Since Bhismaka king is old and weak he is not capable of opposing his son's wish. svayaM tu kR^ishhNa etya no vijitya kanyakAM haret.h \| tato.asya pUrvameva no hyabhAvatA kR^itA shubhA \|\| 17.74\|\| upAya eshha chintito mayA.atra mAgadheshvara \| muniM hi garganAmakaM hyamushhya sAla Axipat.h \|\| 17.75\|\| 74-75. There is no need to fear that Sri Krishna might elope with Rukmini, because Sri Krishna has a curse from Gargacharya. This is beneficial to us. Oh Jarasanda! Listen once a relative of Yadavas insulted Gargacharya yadA.asya shhaNDhatoditA muneH puro hi tasya cha \| pareNa vR^ishhNayo.ahasaMshchukopa garga eshhu ha \|\| 17.76\|\| 76. One of the Yadavas insulted Priest Gargacharya by calling him impotent and made fun of him. Sri Krishna was present there at that time. Gargacharya was enraged when everyone laughed at this. chakAra hi pratishravaM samArjaye sutaM drutam.h \| akR^ishhNatAM ya Anayed.h bhuvo.api vR^ishhNinAshakaH \|\| 17.77\|\| 77. He cursed "A son will be born to Sri Krishna who will be the cause of downfall of all Yadavas, who will wipe away Krishna's name from the face of the earth. This is for certain". Notes: what is the reason behind such thoughts that crossed mind of Priest like Gargacharya? Definitely because of asuravesha (presence of Asura) which was aided by taunting of Yadava. If not how could the same Gargacharya earlier during naming ceremony of Sri Krishna told Nanda "Don't think that he is your son. He is Sriman Narayana himself". yato hi kR^ishhNasaMshrayAd.h batApahAsitA vayam.h \| iti bruvan.h vanaM yayau tapashcha shaivamAcharat.h \|\| 17.78\|\| sa chUrNamAyasaM tvadan.h dadarsha chAbdataH shivam.h \| varaM tato.abhipedivAn.h sutaM harerabhAvadam.h \|\| 17.79\|\| 78-79. Saying that "Sri Krishna is responsible for such an insult done to me because Yadava who is under the protection of Sri Krishna has spoken such words". Gargacharya left to forest to perform penance to please Ishwara. There for a year he performed penance by eating metal ore only. After a year, Lord Rudra god appeared in front of him. Gargacharya prayed to him to grant a boon to beget a son who would kill Sri Hari. Notes: Perhaps the metal ore which Gargacharya consumed now became the stalks of iron which eventually destroyed the Yadava clan? sa vishhNudaivato.api san.h pravishhTa ulbaNAsuraiH \| vyadhAddhareH pratIpakaM vrataM cha naishhThikaM jahau \|\| 17.80\|\| 80. Even though Gargacharya was most ardent devotee of Sri Krishna due to the presence of Asura named Lbana in him he showed hatred towards Hari. He not only renounced his years of penance and devotion but also his Brahmacharya (Celibacy) tamAra chA.asurApsarA balishhThaputrakAmyayA \| pravishya gopikAN^ganAsamUhamadhyamulbaNA \|\| 17.81\|\| 81. Around the same time an Asura courtesan with strong lust joined gopika women sa yAvanena bhUbhR^itA hi gopikAbhirarchitaH \| aputrakeNa jAnatA munermano.anuchintitam.h \|\| 17.82\|\| 82. That courtesan had arrived following the orders of a Yavana king. She did not have children and she had great desire to have a baby. Knowing Gargacharya's motive she came there among Gopika women and started serving him. sa chApsarastanau sutaM nishhichya yAvanAya cha \| dadau vimohitaH krudhA kimetadIsha vairiNaH \|\| 17.83\|\| 83. Attracted to that Yavana courtesan Gargacharya begot a son from her. Its surprising indeed that a Krishna's enemy was born to Krishna's devotee as a result of devotee's resentment. Gargacharya's Repentence sa AshramAchcha naishhThikAd.h vidUshhitaH pratIpakR^it.h \| hareshcha tApameyivAn.h jagarha chA.atmashemushhIm.h \|\| 17.84\|\| 84. After having become an outcast for strict celibacy which he had followed, Gargacharya repented realizing what a mistake he had committed by opposing Krishna and condemned himself. jagAma chAraNaM hariM prapAhi mAM supApinam.h \| iti sma vishhNvanuj~nayA chakAra vaishhNavaM tapaH \|\| 17.85\|\| 85. Later Gargacharya came to Sri Krishna, begged for mercy and prayed "I am a sinner, please protect me". Following Sri Krishna's orders he performed penance to please Vishnu. kuto hi bhAgyamApatenmuneH shivArchane sadA \| bhavAdR^ishA hi dAnavAH sthirAH shivArchane sadA \|\| 17.86\|\| 86. Jarasandha's questioned how could Gargacharya who did not have devoted belief in Shiva Archana get fame? Oh King! he did not do Shivarchana always with dedication just like you.This was Salwa's answer. Notes This also shows that any work done with firm mindset will be successful. suto.asya kAlanAmako babhUva kR^ishhNamarditum.h \| sadaiva kAlakAN^xaNAt.h sa yAvanAbhishhechitaH \|\| 17.87\|\| 87.Gargacharya named his son as Kala (Time). He always waited for time to kill Sri Krishna.That is why he became famous as "Kala". Since he grew up under the protection of Yavana king and was the king designate he was called as "Kalayavana". tavaiva shishhya eshha chAtibhaktimAn.h hi shaN^kare \| prabhUtasenayA yuto baloddhatashcha sarvadA \|\| 17.88\|\| 88. Oh King Jarasanda! This Kalyavana is your follower. He has utmost devotion towards Rudra. He is powerful and also has an excellent army. tameshha yAmi shAsanAt.h tavopanIya satvaram.h \| vikR^ishhNakaM xitestaLaM vidhAya saMramAma hA \|\| 17.89\|\| 89. Now on you orders I will go to Kalayavana immediately. Bring him back to you. And then let us all join hands and wipe Krishna from the face of this earth. tatashcha rugmiNIM vayaM pradApayAma chedipe \| vinAshya devapaxiNo yatheshhTamAsma sarvadA \|\| 17.90\|\| 90. After that we will get Rukminidevi married to Shishupala. We will destroy all the people on the side of God and live happily according to our wish. itIrito jarAsuto babhUva durmanA bhR^isham.h \| kirITamaNDitaM shirashchakAra chA.ashvavAg.h bhR^isham.h \|\| 17.91\|\| 91. Listening to this Jarasanda was distraught. He hung his head adorned with emperor's crown in shame. karaM kareNa pIDayan.h nishAmya chA.atmano bhujau \| jagAda kAryasiddhaye kathaM prayAchaye param.h \|\| 17.92\|\| 92. Rubbing his hands and looking over his shoulders and worried "Should I beg somebody else to get my work done?" sudurgakAryasantatiM hyaguH sma madbhujAshrayAH \| samastabhUtaLe nR^ipAH sa chAhameshha mAgadhaH \|\| 17.93\|\| 93. These arms which have helped many kings of this world during difficult times must now take help from others. 94. Today I am Lord of many kings because I am under the protection of Rudra Deva. I bow only to his feet. How can I now ask help from anybody else? (This was an insult to Jarasanda's Self-esteem) itIritaH sa saubharAD.h jagAda vAkyamuttaram.h \| bhavAnapi sma muhyate kimasmadAdayaH prabho \|\| 17.95\|\| 95. Listening to these words from Jarasanda Salwa replied. Oh Lord if someone like you is consumed by false prestige what about us? svashishhyakaiH kR^itaM tu yat.h kimanyasAdhitaM bhavet.h \| svashishhyadAsavargakaiH samarthayanti bhUbhujaH \|\| 17.96\|\| 96. If we get a task done by our students is it considered as getting task done by others? If efficient kings gets tasks done by their servants or Students it is not considered to be getting things done by others. api sma te balAshrayapravR^ittayo.asmadAdayaH \| pumAn.h kuThArasaN^grahAdashakta Iryate hi kim.h \|\| 17.97\|\| 97. All of us including myself have grown under the shelter of your strength. Oh Lord! If a great king collects weapons does it indicate his weakness? (Can he be called as weak?) kuThArasammito hyasau tavaiva yAvaneshvaraH \| vinA bhavadbalaM kvachit.h pravartituM nahi xamaH \|\| 17.98\|\| 98. This Yavana king is like an axe to you. He can't do anything without your strength. Notes: Just axe by itself cannot do anything. But if it reaches somebody's hands, when somebody's employs their strength to use it, it can show its capacity right? varo hi kR^ishhNamardane vR^ito.asya kevalaH shivAt.h \| tadanyashatrupIDanAt.h tvameva tasya raxakaH \|\| 17.99\|\| 99. This Kalayavana is born by the boon of Shiva for the sole purpose of killing Krishna .It is good for you if your enemy is destroyed by him. Through him you will also be protector? tavAkhilairajeyatA shivaprasAdato.asti hi \| visheshhato harerjaye varAdayaM vimArgyate \|\| 17.100\|\| 100. You have got Immortality by the blessings of Shiva. In the same manner Kalayavana has this special boon to defeat (Kill) Hari. Even he is heading in the same direction. Notes: By the words of Salwa and Jarasanda it can be said that SrimadAcharya has conveyed two aspects. From philosophical point of view this shows the characters of Asuras (Daemons), their hatred towards Hari, and the ignorance they have about Sri Krishna and Rukminidevi, etc... From Humanity point of view, from psychological point of view - its shows how a man struggles to fulfill his desires. How he tries to prove his point. Even though he has self-respect, how he behaves under certain circumstances. How characters come to light - it will not be a false statement to tell that ShriMadacharya has done a psychological analysis while conveying the above. itIrite.apyatR^iptavat.h sthite tu bArhadrathe \| jagAma saubhamAsthitaH sa saubharAT.h cha yAvanam.h \|\| 17.101\|\| sa kAlayAvano.atha taM jarAsutAntikAgatam.h \| nishamya bhaktipUrvakaM praNamya chA.archayad.h drutam.h \|\| 17.102\|\| 102. Kalayavana welcomed Salwa who had got Jarasanda's message with devotion and prostrated to his feet and honored him. jarAsuto hi daivataM samastakeshavadvishhAm.h \| iti praNamya tAM dishaM tadIyamAshvapUjayat.h \|\| 17.103\|\| 103. Kalayavana who believed that Jarasanda is Supreme deity of all Hari Dweshi's (enemies of Hari) prostrated in the direction of his city once again and honored Salwa tadIritaM nishamya cha drutaM trikoTisaN^khyayA \| axohiNIkayA yutaH svasenayA nirAkramat.h \|\| 17.104\|\| 104. After Listening to Salwa King's words, Kalayavana along with his army constituting of 3 crore Akshouhini soldiers made preparations and proceeded. tadashvamUtravishhThayA babhUva nAmata shakR^it.h \| nadI suvegagAminI kalau cha yA vahed.h drutam.h \|\| 17.105\|\| 105. Urine, Faeces and other excreta from the horses in Kalayavana's mighty army started flowing as river. It was called "shakRuth". The same river started branching and flowing with great force in Kaliyuga. This is called as "koshinadi" punaHpunarnadIbhavaM nishAmya deshasaN^xayam.h \| tadanyadeshamUtritaM vyashoshhayaddhi mArutaH \|\| 17.106\|\| 106. This being a highly polluted river, destroyed many kingdoms. (Excreta are cause of diseases right?).Realizing this benevolent Vayu devaru dried up the river naturally. harishcha vainateyayug.h vichArya rAmasaMyutaH \| sadA.atipUrNasaMvidapyajo.atha lIlayA.asmarat.h \|\| 17.107\|\| 107. All-knowing, faultless Sri Hari in order to show his miracle started discussions with Rama joined by Garuda. yuyutsureshha yAvanaH samIpamAgato.adya naH \| yuyutsatAmanena no jarAsuto.abhiyAsyati \|\| 17.108\|\| 108. This Kalayavana will come to fight against us eagerly. If we start war against him, even Jarasanda fully equipped will come to war. sa yAdavAn.h hanishhyati prabhaN^gatastu kopitaH \| purA jayAshayA hi nau yadUn.h na jaghnivAnasau \|\| 17.109\|\| 109. Jarasanda who is angry from his previous defeat will kill Yadavas this time. He could have done that earlier, but with a hope that he will win he did not kill Yadavas last time. www.mahabharatatatparyanirnaya.com 14 nirAshako.adya yAdavAnapi sma pIDayishhyati \| ataH samudramadhyagApurIvidhAnamadya me \|\| 17.110\|\| 110. Now Jarasanda is dejected. As a result he will for surely torment Yadavas. This is reason why it is best for us to build a city in the middle of the ocean. prarochate nidhAnamapyamutra sarvasAttvatAm.h \| udIrya chaivamIshvaro.asmarat.h sureshavardhakim.h \|\| 17.111\|\| 111. I find it right to make sure that all pious Yadavas are sheltered there. Saying so Sri Krishna remembered celestial architect Vishwakarma. sa bhauvanaH samAgataH kushasthalIM vinirmame \| nirambuke tu sAgare janArdanAj~nayA kR^ite \| \|7.112\|\| 112. Bhuvanakya Vardaki's son Vishwakarma arrived. He built a beautiful city in Kushastala following the orders of Sri Krishna. Though it was part of ocean, water level was very low in that area. mahodakasya madhyatashchakAra tAM purIM shubhAm.h \| dvishhaT.hkayojanAyatAM payobdhimadhyagopamAm.h \|\| 17.113\|\| 113. A beautiful city was built in the middle of the mighty ocean. This city was 12 yojanas in area. It resembled the city which was in the middle of Ksherasagara (ocean of Milk) Notes: It was similar to Vaikunta. The city was surrounded by boundary of water. chakAra lAvaNodakaM janArdano.amR^itopamam.h \| sabhAM sudharmanAmakAM dadau samIraNo.asya cha \|\| 17.114\|\| 114.The city was surrounded by salty water.Sri Krishna with his power converted it to water equivalent to Amrita (Divine nectar).Vayu devaru got throne named "Sudharma" for the palace. Notes: Is it surprising if supreme lord of unimaginable strength converts salty water into sweet water? shatakratoH sabhAM tu tAM pradAya keshavAya saH \| nidhIn.h samarpya sarvasho yayau praNamya taM prabhum.h \|\| 17.115\|\| 115. The throne Vayu Devaru brought to Sri Krishna was that of Lord Indra. After offering other divine treasures, Vayu devaru continued his journey. samastadevatAgaNAH svakIyamarpayan.h harau \| vimuchya paxipuN^gavaM sa yoddhumaichchhadachyutaH \|\| 17.116\|\| 116. All the Gods offered their most precious items to Sri Hari. After all this, Sri Hari took leave of Garuda and started preparations for the war. samastamAdhurAn.h prabhuH kushasthalIsthitAn.h xaNAt.h \| vidhAya bAhuyodhakaH sa yAvanaM samabhyayAt.h \|\| 17.117\|\| 117. Lord Sri Krishna shifted the entire population of Mathura city to Kushastali (Dwarka) in a flash. Then he faced Kalayavana with an intention to fight him bare-handed. 118. Though Sri Krishna possesses infinite strength, he shifted all his people like in a game, to entertain and convey a moral to the people of the world. anAdyanantakAlakaM samastalokamaNDalam.h \| yadIxayaiva raxyate kimasya vR^ishhNiraxaNam.h \|\| 17.119\|\| 119. Is it impossible for Sri Hari who has been protecting the entire universe from the beginning of the time, from time immemorial, to protect Yadavas (Not at all.) nirAyudhaM cha mAmayaM varAchchhivasya na xamaH \| samastasenayA yuto.api yoddhumityadarshayat.h \|\| 17.120\|\| 120. Kalayavana has mighty army. He has boon from Shiva as well. Still he is not equal to me who am unarmed.Sri Krishna prepared for war unarmed just to show this. sa kR^ishhNapannagaM ghaTe nidhAya keshavo.arpayat.h \| nirAyudho.apyahaM xamo nihantumapriyAniti \|\| 17.121\|\| ghaTaM pipIlikAgaNaiH prapUrya yAvano.asya cha \| bahutvato vijeshhya ityahiM mR^itaM vyadarshayat.h \|\| 17.122\|\| 121-122. To indicate that he can kill his enemies unarmed and alone, Krishna puts a black serpent in a pot and sent it to Kalayavana. Kalayavana killed the serpent and put it back in the same pot and filled it with ants and sent it back to Krishna.Though you are powerful we are too many in number. Just like the ants. It meant to indicate that they are capable of defeating and killing him Notes: Gargacharya's wish was fulfilled when Kalayavana killed Krishna (black serpent). Sri Vadiraja has miraculously told that even Rudra's boon was fulfilled by this action. Both are Krishna. One is Keshava Krishna the other is Krishna Sarpa (Black serpent). This is a flow of eloquence kimatra satyamityahaM pradarshayishhya ityajaH \| udIrya dUtamabhyayAt.h sa yAvanaM prabAdhitum.h \|\| 17.123\|\| 123."I will show what truth among these is "Krishna who is unborn told this to his attendant and left alone to slay Kalayavana Notes: Here there are 2 opinions 1. Even if a person is very powerful, many people can join hands and kill him. This is Kalayavana's opinion. This is true in the mortal sense. 2."One person who is Strong and powerful is enough. What is the use of 1000 people who are ignorant"? This is true in day-to-day life as well. But Sri Krishna's opinion is different. He is the Supreme Lord. He is truth-willed. Everybody else's resolve is false. It will not be an exaggeration if it is told that Sri Krishna exhibited this very fact in this incident. sa bAhunaiva keshavo vijitya yAvanaM prabhuH \| nihatya sarvasainikAn.h svamasya yApayat.h purIm.h \|\| 17.124\|\| 124. Keshava destroyed Kalayavana's mighty army bare-handedly. He sent the remaining elephant-horse battalion to his city of Dwarka. nyapAtayad.h rathottamAt.h taLena keshavo.arihA \|\| 17.125\|\| 125. He defeated (not kill) the enemy Kalayavana who is capable of creating many different weapons by stripping him of his weapons and chariot. vivAhanaM nirAyudhaM vidhAya bAhunA xaNAt.h \| vimUrchchhitaM nachAhanat.h surArthitaM smaran.h hariH \|\| 17.126\|\| purA hi yauvanAshvaje varapradAH sureshvarAH \| yayAchire janArdanaM varaM varapradeshvaram.h \|\| 17.127\|\| 126-127.Remembering the boons granted by Devatha's ,in order to make them come true, he made him devoid of chariot, weapons and subdued Kalayavana. Not slay him. Kalyavana became unconscious. Earlier, after the war between Devas and Asura, Devathas had granted a boon to Muchkunda King. Devathas had prayed to the Supreme Lord (who makes everyone's wish come true) to make this boon come true. anarthako varo.amunA vR^ito.api sArthako bhavet.h \| ariM bhavishhyayAvanaM dahatvayaM taveshvara \|\| 17.128\|\| 128. Please avoid our boon from becoming meaningless and make it useful for him. How can that be done? In the future let him burn your enemy Kalayavana. (Only then it will become meaningful for Muchkunda King) Notes: Devatha's boon was of no value to Muchukunda King because it was meaningless. It became valuable when in the future he came to aid in Sri Krishna's task. Because by doing so he earned the affection of God. Muchukunda's incident's background is described in Bhagavata. It is as below: Earlier Muchukunda - son of Mandhata who is the son of Yavanashwaraya had helped the Gods in the war between Gods and Asuras. Pleased by this Devathas asked Muchukunda "What boon do you seek?" "I don't need heaven etc. Just give me sleep. Whoever wakes me up from my sleep should be burnt down to ashes by my sight". Accordingly Devatha's granted him the boon. In order to make this boon to become meaningful, Sri Krishna fought with Kalayavana and pretended to flee from the battleground ran to the cave where Muchukunda was sleeping. Kalayavana chased him, Krishna hid there (not because of fear) .Kalayavana who entered the cave thought Muchukunda king as Sri Krishna and woke him up by kicking him. Muchukunda woke up. The moment he saw him, Kalayavana was burnt down to ashes. Due to this Muchukunda earned value. Devatha's boon was also fulfilled. Here Kalayavana thought Muchukunda was Sri Krishna. This was his ignorance as well as false knowledge. He was punished due to this. tathA.astviti prabhAshhitaM svavAkyameva keshavaH \| R^itaM vidhAtumabhyayAt.h sa yauvanAshvajAntikam.h \|\| 17.129\|\| 129. Shri Krishna who had agreed to Devatha's prayer, in order to honor the promise he made to them, ran into the cave of Muchukunda. sasaJNj~nako.atha yAvano dharAtaLAt.h samutthitaH \| nipAtya yAntamIshvaraM sa pR^ishhThato.anvayAt.h krudhA \|\| 17.130\|\| 130. Kalayavana had gained conscious after some time. Immediately he got up from the ground and started chasing Krishna who had put him down sa yAvanaH padA.ahanannR^ipaM sa taM dadarsha ha \|\| 17.131\|\| 131. Sri Krishna entered into the cave where Muchukunda king was sleeping and disappeared. Kalayavana kicked king Muchukunda who was sleeping. Muchukunda stared at him with rage. sa tasya dR^ishhTimAtrato babhUva bhasmasAt.h xaNAt.h \| sa eva vishhNuravyayo dadAha taM hi vahnivat.h \|\| 17.132\|\| 132. Here again the Yavana was already burnt down by Muchukunda, then how come Shri Hari burnt him again. Is the translation correct? varAchchhivasya daivatairavadhyadAnavAn.h purA \| harervarAnnihatya sa prapeda AshvimaM varam.h \|\| 17.133\|\| 133. Muchukunda had gained such a boon by destroying the demons that were invincible even by the Gods because of the boon they had from Shiva .Muchukunda was able to do so by the boons he had from Sri Hari. sudIrghasuptimAtmanaH prasuptibhaN^gakR^itxayam.h \| svadR^ishhTimAtratastato hataH sa yAvanastadA \|\| 17.134\|\| 134. The king had asked for 2 boons; "prolonged sleep, and who ever wakes him up from the sleep should be burnt down to ashes by his sight" .That is why Kalayavana was reduced to ashes the moment his gaze fell on him. atashcha puNyamAptavAn.h suraprasAdato.axayam.h \| sa yauvanAshvajo nR^ipo na devatoshhaNaM vR^ithA \|\| 17.135\|\| 135. Later this King Muchukunda earned the grace of God's, and finally attained unlimited contentment (Salvation). Boons happily given by God's will never go waste. Notes: Understanding the gradations of Devathas and Serving them according to the hierarchy will make them happy. tato hariM nirIxya sa stutiM vidhAya chottamAm.h \| hareranuj~nayA tapashchachAra muktimApa cha \|\| 17.136\|\| 136. Later King Muchukunda saw Sri Hari and praised him. Following the command of Sri Hari he performed penance again and reached salvation. Notes: Muchukunda's Praise of God is explained in detail in 10th Skanda of Bhaghavata. There the Supreme Lord's unlimited qualities and greatness is described. tato guhAmukhAddharirvinissR^ito jarAsutam.h \| samastabhUpasaMvR^itaM jigAya bAhuneshvaraH \|\| 17.137\|\| 137. After that Sri Krishna came out of the Cave and fought with Jarasanda with the help of a mighty army and defeated him. taLena mushhTibhistathA mahIruhaishcha chUrNitAH \| nipeturasya sainikAH svayaM cha mUrchchhito.apatat.h \|\| 17.138\|\| 138. Having received severe punches from Sri Krishna's fist, being kicked by him and receiving blows from the uprooted trees, Jarasanda's army became languid. Finally even Jarasanda fell unconscious. sasAlvapauNDrachedipAn.h nipAtya sarvabhUbhujaH \| sa pupluve janArdanaH xaNena tAM kushasthalIm.h \|\| 17.139\|\| 139. After smashing down Salwa, Paundraka and Chedhi Kings just by the strength of his arms, Krishna immediately returned to Dwarka - city built by him. sasaJNj~nakAH samutthitAstato nR^ipAH punaryayuH \| jigIshhavo.atha rugmiNIM vidhAya chedipe harim.h \|\| 17.140\|\| 140. After Krishna's departure, the kings regained conscious, and met again. They decided that first they have to get Rukmini married to Shisupala and then take revenge on Sri Krishna for the insult caused to them by their defeat. samastarAjamaNDale vinishchayAdupAgate \| sabhIshhmake cha rugmiNi pradAtumudyate mudA \|\| 17.141\|\| samastalokayoshhitAM varA vidarbhanandanA \| dvijottamaM hareH padoH sakAshamAshvayAtayat.h \|\| 17.142\|\| 141-142. Seeing that all the Kings had arrived after deciding to give Rukmini in marriage to Shishupala, Bhishmaka and other kings also got ready for the wedding of princess of Vidarbha, the most beautiful Rukmini. While the decisions were being made, the daughter of Vidarbha king called a Brahman priest and sent him to Sri Krishna with a message (wrote a letter) nishamya tadvacho hariH xaNAd.h vidarbhakAnagAt.h \| tamanvayAddhalAyudhaH samastayAdavaiH saha \|\| 17.143\|\| 143. The moment Sri Krishna heard the message, he immediately set out towards Vidharba, all the Yadavas along with Balarama followed Him. Notes: The priest who was successful in serving Rukmini Devi became Vadirajaru in the next birth by her grace.Not just that but it is told that he is the future Sameera. samastarAjamaNDalaM prayAntamIxya keshavam.h \| suyattamAttakArmukaM babhUva kanyakAvane \|\| 17.144\|\| 144. The entire community of Kings saw Sri Krishna coming. Immediately they got prepared with their arrows and Quivers in order to protect the bride. purA pradAnataH surexaNachchhalAd.h bahirgatAm.h \| rathe nyaveshayaddhariH prapashyatAM cha bhUbhR^itAm.h \|\| 17.145\| 145. Before the wedding, Rukminidevi had come to the outskirts of the city to offer prayers to Ambika. Right in front of all the Kings Sri Krishna lifted Rukminidevi and got her seated in his chariot. vidhAya tAn.h nirAyudhAn.h jagAma keshavaH shanaiH \|\| 17.146\| 146. Many kings came forward with anger led by Jarasanda. They started shooting their best arrows and weapons at Sri Krishna. Sri Krishna Stripped Jarasanda off his chariot and weapons and walked away. punargR^ihItakArmukAn.h hariM prayAtumudyatAn.h \| nyavArayaddhalAyudho balAd.h balorjitAgraNIH \|\| 17.147\| 147. Sri Krishna stopped his aide Balarama who was following him, armed with his weapons. tadA sitaH shiroruho harerhalAyudhasthitaH \| prakAshamAvishad.h balaM vijetumatra mAgadham.h \|\| 17.148\|\| 148. At that time Shukla Keshi form of Supreme Lord entered Balarama's chariot. That is the reason why Balarama got enormous strength to defeat Maagadha. sa tasya mAgadho raNe gadAnipAtachUrNitaH \| papAta bhUtaLe balo vijitya taM yayau purIm.h \|\| 17.149\|\| 149. In that war Jarasanda was crushed by the blows of Balarama's Mace. Balarama defeated him and returned to his city varoruveshhasaMvR^ito.atha chedirAT.h samabhyayAt.h \| tamAsasAra sAtyakirnadan.h mR^igAdhipo yathA \|\| 17.150 \|\| 150. Shishupala who was dressed as Groom reached the war front. Satyaki faced him with the roar of a Lion. chiraM prayuddhya tAvubhau varAstrashastravarshhiNau \| krudhA nirIxya tasthatuH parasparaM sphurattanU \|\| 17.151\|\| 151. They fought for a long time with different powerful weapons. They stared at each other shaking with rage. samAnabhAvamaxamI shineH sutAtmajaH sharam.h \| athodbabarha tatxaNAd.h balAnmumocha vaxasi \|\| 17.152\|\| 152. Satyaki could not bear the fact that Shishupala was equal to him in strength so he reorganized his Quiver and shot at Shishupala's chest with those arrows. sa tena tADito.apatad.h visaJNj~nako nR^ipAtmajaH \| vijitya taM sa sAtyakiryayau prahR^ishhTamAnasaH \|\| 17.153\|\| 153. Shishupala fell unconscious from the attack of Satyaki's weapons. Satyaki's defeated the king and returned to his place happily. athApare cha yAdavA vijitya tadbalaM yayuH \| puraiva rugmipUrvakAH prajagmurachyutaM prati \|\| 17.154\|\| sahaikalavyapUrvakaiH sametya bhIshhmakAtmajaH \| hariM vavarshha sAyakaiH sa siMhavannyavartata \|\| 17.155\|\| 155. Bhishmaka King's son Rukmi, supported by Ekalavya and others, started showering arrows on Sri Krishna. But Sri Krishna opposed them with the roar of Lion. axohiNItrayaM haristadA nihatya sAyakaiH \| avAhanAyudhaM vyadhAnnishhAdapaM sharaiH xaNAt.h \|\| 17.156\|\| 156. Sri Krishna destroyed 3 Akshouhini army and in flash of time, nullified Ekalavya's vehicle, weapons, arrows etc sharaM sharIranAshakaM samAdadAnamIshvaram.h \| sa ekalavya Ashu taM vihAya dudruve bhayAt.h \|\| 17.157\|\| 157. When Sri Krishna used his deadly weapons, Ekalavya ran with fear. dhanurbhR^itAM vare gate raNaM vihAya bhUbhR^itaH \| karUsharAjapUrvakAH xaNAt.h pradudruvurbhayAt.h \|\| 17.158\|\| 158. Seeing the expert archer Ekalavya run, Dantavakra and others also fled the scene with fear. athA.asasAda keshavaM rushhA sa bhIshhmakAtmajaH \| sharAmbudhAra Ashu taM vivAhanaM vyadhAddhariH \|\| 17.159\|\| 159. Bhishmaka King's son Rukmi entered with rage and flooded arrows on Sri Krishna. Sri Krishna deprived him of his chariot. chakarta kArmukaM punaH sa khaD.hgacharmabhR^iddhareH \| rathaM samAruhachchharaishchakarta khaD.hgamIshvaraH \|\| 17.160\|\| 160. Sri Krishna destroyed Rukmi's arrows once again. Still Rukmi put on sword and shield and climbed on Sri Hari's chariot. Sri Krishna sliced his sword and shield into pieces. sharairvitastimAtrakairvidhAya taM nirAyudham.h \| priyAvachaH prapAlayan.h jaghAna nainamachyutaH \|\| 17.161\|\| 161. Sri Krishna made Rukmi devoid of weapons with very few arrows. Sri Krishna did not kill him in order to honor his lady love Rukmini's words. (After-all Rukmi is Rukmini's brother?) nibaddhya paJNchachULinaM vidhAya taM vyasarjayat.h \| jagajjanitrayoridaM viDambanaM rameshayoH \|\| 17.162\|\| 162. Sri Krishna shaved his head by leavings strands of hair at 5 random spots and sent him away. It should be noted that Sri Krishna and Rukmini's conversation in this matter is only to cause delusion. Because they are the father-mother of the whole universe and they are omniscient Notes: Shaving a person's head randomly in this manner is equal to killing him. 163. Sri Krishna and Rukmini always think alike. Their thoughts were unanimous. Still in order to teach the world as to how humans should follow svadharma i.e. Grihastashramadharma (rules married people should follow) they pretended in this manner. This is just a game. athA.asasAda saubharAD.h hariM sharAmbuvarshhaNaH \| hariH sharaM yamopamaM mumocha tasya vaxasi \|\| 17.164\|\| 164. Later Salwa came to fight Sri Hari and showered arrows on him. Sri Hari shot arrows which were equivalent to Yama (Death) at his chest. shareNa tena pIDitaH papAta mandacheshhTitaH \| chirAttasaJNj~nako.agamat.h trinetratoshhaNechchhayA \|\| 17.165\|\| 165. Hurt by these arrows Salwa became inactive and lay unconscious on the ground for a long time. Later he woke up slowly, and to please Rudra and earn boons walked towards the forest. samastarAjasannidhAvayAdavIM mahImaham.h \| karishhya ityudIrya sa vyadhAt.h tapo.atidushcharam.h \|\| 17.166\|\| 166. He made an oath in front of all the kings that "I will wipe away all the yadavas from the face of this earth". atho vivesha keshavaH purIM kushasthalIM vibhuH \| priyAyuto.abjajAdibhiH samIDitaH sureshvaraiH \|\| 17.167\|\| 167. Keshava came to his city of Dwarka with his beloved wife. All the Gods led by Brahma praised him purA tato halAyudhaH priyAM nijAM purA.api hi \| sa vAruNIsamAhvayAmavApa raivatIM vibhuH \|\| 17.168\|\| 168. Before this Balarama had wed Revati and got her home. This Revati is Varuni (wife of Shesha) in true form patiM yathA.anurUpiNaM tadIyameva pUrvakam.h \| pitA tadIya aichchhata pravettumabjasambhavAt.h \|\| 17.169\|\| 169. Revathi's father (Kukmudi), had come to Lord Brahma wishing to know as to who would be a befitting husband to his daughter. sa tatsado gato varAt.h tadIyataH pragItikAm.h \| nishamya nAvidad.h gataM yugorukAlaparyayam.h \|\| 17.170\|\| 170. At that time a musical concert was underway in Lord Brahma's court. Revathi's father sat there listening to this with deep interest .During that time many centuries had rolled. narAnayogyagItikA vimohayet.h tato nR^ipaH \| sumUDhabuddhirantato.alpakAla ityamanyata \|\| 17.171\|\| 171. The concert in Lord Brahma's court was so marvelous and enchanting that King Revata thought he had spent only a few minutes in his court although it was many centuries. sa mUrchchhitaH prabodhito.abjajena taM tvapR^ichchhata \| sutApatiM balaM cha so.abravId.h yugAtyaye bahau \|\| 17.172\|\| www.mahabharatatatparyanirnaya.com 172. Brahma seeing that Raivata was in state of deep slumber for a very long time woke him up. After waking up when Raivata asked as to who was suitable groom for his daughter, Balarama was the answer. sa raivato balAya tAM pradAya gandhamAdanam.h \| gato.atra chIrNasattapA avApa keshavAntikam.h \|\| 17.173\|\| 173. That Raivata gave his daughter in marriage to Balarama, went to Gandhamadhana Mountain, performed penance for a very long time, discarded his mortal body and went to Keshava that is Vaikunta. balo.api tAM purAtanapramANasammitAM vibhuH \| halena chA.aj~nayA samAM chakAra satyavAJNchhitaH \|\| 17.174\|\| 174. Revati and Balarama's physical personalities were not in accordance to the present yugas norms. That is Balarama was short and Revati was very tall. So he used his plough to bend her and got her size equal to his. tayA rataH sutAvubhau shaTholmukAbhidhAvadhAt.h \| purA.aryamAMshakau surAvudAracheshhTito balaH \|\| 17.175\|\| 175. 'Shata and Ulmaka' were born to Balarama and Revati. They had the presence of demigods by name Aryamaa in them. janArdanashcha rugmiNIkaraM shubhe dine.agrahIt.h \| mahotsavastadA.abhavat.h kushasthalInivAsinAm.h \|\| 17.176\|\| 176. Later Sri Krishna married Rukmini Devi in an auspicious time. That Wedding Celebrations gave joy to all the citizens of Dwarakapuri. Notes: Sri Sri Vadiraja has described this Wedding very beautifully in Rukminisha Vijaya. Some of the citizens of the city became Bride's family and some were Groom's family. They described the qualities of the bride and groom. He has cleverly included Lakshmi Narayana's qualities in it. It should be enjoyed by reading the epic. (Note by Harshala: I have compiled translation of Rukminisha Vijaya by Shobha Srinivasan on dvaita.org/list at: http://www.geocities.com/harshala_rajesh/rukminishavijaya1.htm ) chaturmukheshapUrvakAH surA viyatyavasthitAH \| pratushhTuvurjanArdanaM ramAsametamavyayam.h \|\| 17.177\|\| 177. Brahma, Rudra and other Gods watching the undiminishing Janardhana with Raama started praising him in joy. munIndradevagAyanAdayo.api yAdavaiH saha \| vicheruruttamotsave ramArameshayogini \|\| 17.178\|\| 178. Many great Sages, celestial singers (gandharvas) and others joined with Yadavas, participated happily in the wedding ceremony of Ramaa and Ramesha. surAMshakAshcha ye nR^ipAH samAhutA mahotsave \| sapANDavAH samAyayurhariM ramAsamAyutam.h \|\| 17.179\|\| 179. All the kings who were incarnations of Gods were also invited to this celebration. All of them led by www.mahabharatatatparyanirnaya.com 23 Pandavas saw Sri Hari by the side of Rama with devotion and were thrilled with joy. samastalokasundarau yutau ramArameshvarau \| samIxya modamAyayuH samastalokasajjanAH \|\| 17.180\|\| 180. Rama and Ramesha are the most beautiful couple in the entire universe, inseperable. All the virtuous people who saw such Lakshmi Narayana's union were overjoyed. tayA raman.h janArdano viyogashUnyayA sadA \| adhatta putramuttamaM manobhavaM purAtanam.h \|\| 17.181\|\| 181. The inseparable divine couple of Janardana and Ramadevi begot an excellent named Pradyumna who was the incarnation of Manmatha who was their son previously too. chatustanorhareH prabhostR^itIyarUpasaMyutaH \| tatastadAhvayo.abhavat.h sa rugmiNIsuto balI \|\| 17.182\|\| 182. Narayana is Vasudeva, Sankarshana, Pradyumna, and Aniruddha in original form. This son is joined in the third form Pradyumna, now Son of Rukmini. That is why he is famous and strong. puraiva mR^ityave.avadat.h tameva shambarasya ha \| prajAtamabjajAN^kajastavAntako.ayamityapi \|\| 17.183\|\| 183. Narada who came from Brahma's thighs, had warned Shambara even before the birth of Pradhyumna, that the son born to Shri Krishna and Rukmini will kill you. After Pradhyumna's birth he repeated the warning to Shambara sa mAyayA hareH sutaM pragR^ihya sUtikAgR^ihAt.h \| avAxipanmahodadhAvupexito.aripANinA \|\| 17.184\|\| 184. In order to escape from death, Shambasura kidnapped the child through his magic .Threw him in the ocean. Sri Hari who holds Chakra in his hand though knew this pretended to not know and ignored Shambasura. tamagrasajjalecharaH sa dAshahastamAgataH \| kumAramasya tUdare nirIxya shambare daduH \|\| 17.185\|\| 185. A A fish swallowed that baby. That fish was captured by a fisherman. When he cut open the fish he saw the baby. The fisherman surrendered the baby to Shambarasura vipAT.hya matsyakodaraM sa shambaraH kumArakam.h \| nyavedayanmanobhavapriyAkare surUpiNam.h \|\| 17.186\|\| 186. Shambarasura slit open the fish. And he saw the baby in it. He gave the beautiful baby to Manmatha's beloved. Why did Rati come here? anaN^gatAmupAgate purA hareNa sA.aN^gaje \| vashaM viriJNchashApato jagAma shambarasya hi \|\| 17.187\|\| 187. Earlier Kama was burnt down to ashes and killed by Rudradeva's blazing eyes. Then Kama's wife Rati, www.mahabharatatatparyanirnaya.com 24 mourning her husband's death went to forest and performed penance. Shambarasura had come there for amusement. Since Rati had Brahma's curse, Shambarasura captivated her forcibly. Reason behind Brahma's curse to Ratidevi purA hi paJNchabhartR^ikAM nishamya kaJNjajoditAm.h \| jahAsa pArshhatAtmajAM shashApa tAM tatastvajaH \|\| 17.188\|\| 188. Once upon a time Lord Brahma was telling Draupadi Devi's story to Sages. Then there was reference about five husbands. Rati laughed at this. Brahma cursed her "be maligned by Asura". As a result of this Shambarasura captivated her. Notes: Here there are 2 reasons for the curse. 1. Thinking inferiorly "Virtuous women like Draupadi had five husbands?" 2. Doubting "Can someone Superior like Brahma talk like this " bhavAsureNa dUshhiteti sA tato hi mAyayA \| pidhAya tAM nijAM tanuM jagAma chAnyayA.asuram.h \|\| 17.189\|\| "You shall be maligned by a demon" after having cursed so Rati veiled her real body and through illusion created another form. She stayed with Asura in the transfigured form. How did Bhimasena marry Hidimba ? Demigods cannot marry Asuras.This is the law, still.. gR^ihe.api sA.a.asure sthitA nijasvarUpato.asuram.h \| na gachchhati sma sA patiM nijaM samIxya harshhitA \|\| 17.190\|\| 190. That Ratidevi lived in the Asura's house in her real form. She was delighted to see her real husband (Just like how lotus flower grows in slush) rasAyanaiH kumArakaM vyavarddhayad.h ratiH patim.h \| sa pUrNayauvano.abhavachchaturbhireva vatsaraiH \|\| 17.191\|\| 191. She took care of the baby by providing him nutritious, delicious food. She took care of her husband. Due to the nutritious food that young boy looked like adolescent at the age of four. patiM supUrNayauvanaM nirIxya tAM vishhajjatIm.h \| uvAcha kArshhNiramba te kucheshhTitaM kathaM nviti \|\| 17.192\|\| 192. Seeing her husband who was youthful, Rati was shy and started behaving indifferently. So Pradyumna asked her as to why she was behaving in a despising way. jagAda sA.akhilaM patau tadasya janma chA.agatim.h \| tato.agrahIt.h sa tAM priyAM ratiM ramApateH sutaH \|\| 17.193\|\| 193. Then Rati told him the reason told him the reason behind her coming here sinfully, reason behind Kama being born as Pradyumna to Sri Krishna and all the other stories in details. Then Pradyumna accepted Rati as his wife. Sri Madhwacharya has included all the details in one word "saakhilaM". That is the greatness of his style. www.mahabharatatatparyanirnaya.com 25 dadau cha mantramuttamaM samastamAyinAshakam.h \| bhR^igUttharAmadaivataM ratirhareH sutAya sA \|\| 17.194\|\| 194. Rati Devi taught a powerful Mantra which could destroy all magic to her husband who was Sri Hari's son. She also taught Mantras which was initiated by Narada, Parashurama with a view that her son could be victorious. tataH svadAradharshhakaM samAhvayad.h yudhe.aN^gajaH \| sa shambaraM sa chaitya taM yuyodha shaktito balI \|\| 17.195\|\| 195. Later Kama challenged Shambarasura for the war in order to obtain his wife. Then the powerful Shambarasura prepared to fight with his strength. sa charmakhaD.hgadhAriNaM varAstrashastrapAdapaiH \| yadA na yoddhumAshakaddhareH sutaM na dR^ishyate \|\| 17.196\|\| 196. When Shambarasura started fighting Sri Hari's son with hide, sword, arms and ammunitions. When he started loosing the battle, he disappeared with the help of his magic. sahasramAyamulbaNaM tvadR^ishyamambarAd.h girIn.h \| sR^ijantametya vidyayA jaghAna kR^ishhNanandanaH \|\| 17.197\|\| 197. Shambarasura knew thousands of violent magical techniques. He had powers to disappear, create mountains in air and use them to fight. Pradyumna was capable of fighting such Shambarasura with the strength of training given by Pradyumna. Notes: When Shambarasura tried to escape death, it (death) had to grow up in his own house? This is the pastime of God. sa vidyayA vinAshitorumAya Ashu shambaraH \| nikR^ittakandharo.apatad.h varAsinA.amunA xaNAt.h \|\| 17.198\|\| 198. Pradyumna's strength from knowledge destroyed all the magical powers of Shambarasura. Then Shambarasura gave up everything, surrendered and fell down immediately. nihatya taM hareH sutastayaiva vidyayA.ambaram.h \| samAsthitaH svabhAryayA samaM kushasthalIM yayau \|\| 17.199\|\| 199. After killing Shambarasura, Pradyumna reached Dwarka city along with his wife flying in air by the power of training given by Rati. samastavedinormunirnarAn.h viDambamAnayoH \| ramArameshayoH sutaM jagAda taM sma nAradaH \|\| 17.200\|\| 200. Narada told "this is your son" to Sri Krishna and Rukmini who are all-knowing and who were imitating humans .That was indeed an imitation. sa rugmiNIjanArdanAdibhiH sarAmayAdavaiH \| pitAmahena chA.adarAt.h sulALito.avasat.h sukham.h \|\| 17.201\|\| 201. That Pradyumna being pampered by Krishna-Rukmini, Balarama, Yadavas, grandfather Vasudeva grew up happily. tataH purA syamantakaM hyavApa sUryamaNDale \| sthitAddhareH sa satrajit.h sadA.atra keshavArchakaH \|\| 17.202\|\| 202. A king by named Satrajit had acquired Syamantaka gem by performing penance to please Surya (Sun God), in order to use it for Deva Pooja. He was a great devotee of God. sadA.asya vishhNubhAvino.apyatIva lobhamAntaram.h \| prakAshayan.h ramApatiryayAcha Ishvaro maNim.h \|\| 17.203\|\| 203. Even though Satrajit was devotee of Vishnu, he was a great miser. Though Sri Krishna was affectionate towards his devotee, to show miserly nature of Satrajit, he asked him to give the precious gem sa taM na dattavA.nstato.anujo nibaddhya taM maNim.h \| vanaM gataH prasenako mR^igAdhipena pAtitaH \|\| 17.204\|\| 204. Satrajit did not give the gem to Sri Krishna. King Satrajit's younger brother Prasena put on the gem and left to forest. There he was killed by a lion. tadA sa satrajiddhariM shashaMsa sodarAntakam.h \| upAMshu vartmanA tato hariH sayAdavo yayau \|\| 17.205\|\| 205. Then Satrajit started spreading rumors everywhere that Sri Krishna was the cause of his brother's death. After having heard this, Krishna along with Yadavas went in search of Prasena. vane sa siMhasUditaM padaiH pradarshya vR^ishhNinAm.h \| prasenamR^ixapAtitaM sa siMhamapyadarshayat.h \|\| 17.206\|\| 206. In the forest Sri Krishna showed the paw prints of Lion to Yadavas. They saw that Prasena was killed by Lion. Similarly he also showed the dead lion which was killed by Jambhavantha tato nidhAya tAn.h bilaM sa jAmbavatparigraham.h \| vivesha tatra saMyugaM babhUva tena cheshituH \|\| 17.207\|\| 207. Sri Krishna asked the Yadavas to wait there and entered the cave of Jambhavantha in order to get the gem from him. There a war took place between Sri Krishna and Jambhavantha yuyodha mandameva sa prabhuH svabhakta ityajaH \| chakAra chogramantataH prakAshayan.h svamasya hi \|\| 17.208\|\| 208. Since Jambhavantha was his devotee, Sri Krishna who is unborn, fought with him mildly. And towards the end of the war he showed Jambhavantha his true form. sa mushhTipishhTavigraho nitAntamApadaM gataH \| jagAma chetasA raghUttamaM nijaM patiM gatim.h \|\| 17.209\|\| 209. (Though Sri Krishna had punched him gently) Jambavanta was shattered by the blow of the fist. He surrendered seeing Sri Ramachandra at the moment of his death. smR^itiM gate tu rAghave tadAkR^itiM yadUttame \| samastabhedavarjitAM samIxya so.ayamityavet.h \|\| 17.210\|\| 210. When Jambhavantha thought about Sri Rama, Sri Krishna best among Yadu's assumed the form of Rama. When Sri Krishna who has eschewed all differences appeared as Rama, he started thinking. tataH xamApayan.h sutAM pradAya rohiNIM shubhAm.h \| maNiM cha taM nunAva sa prapanna Ashu pAdayoH \|\| 17.211\|\| 211. When he came to know that Sri Krishna is Sri Rama himself, he gave his daughter Jambavati in marriage to Krishna and also surrendered Gem at his feet and begged for forgiveness and asked for protection. Notes: How did Rohini become Jambavati? In 4-6 books Slokas have mentioned "Rohineem". vidhAya chakradAritaM sujIrNadehamasya saH \| yuvAnamAshu keshavashchakAra vedanAM vinA \|\| 17.212\|\| 212. Jambavantha's body was very old and weak. Also it had suffered from the wounds of the war. Sri Krishna circled his Chakra around him. His body was totally reformed; he regained his youth and his strength. vidhAya bhaktavAJNchhitaM priyAsahAya IshvaraH \| pragR^ihya taM mahAmaNiM viniryayau guhAmukhAt.h \|\| 17.213\|\| 213. Sri Krishna received both bride and the Symanthaka Gem, and fulfilled the wish of his devotee. Later he came out of the cave along with Jambavati. guhApravishhTamIshvaraM bahUnyahAnyanirgatam.h \| pratIxya yAdavAstu ye gatA gR^ihaM tadA.ahR^ishhuH \|\| 17.214\|\| 214. Seeing that Sri Krishna who had entered the cave did not return after a long time, Yadavas waited and finally went back worried. Now they were happy, seeing Krishna return. samastavR^ishhNisannidhau yadUttamaH syamantakam.h \| dadau cha satrajitkare sa vichchhavirbabhUva ha \|\| 17.215\|\| 215. Sri Krishna – best among yadavas gave Syamantaka Gem in the hands of king Satrajita. Then Satrajita lost luster in his face and repented for his mistake. sa duryasho ramApatAvanUchya mithyayA tapan.h \| svapApahAnakAN^xayA dadau sutAM janArdane \|\| 17.216\|\| 216. Satrajita had made false allegations of theft on Sri Krishna. He repented for it and in order to make amends for his mistake, he gave his daughter in marriage to Janardhana. maNiM cha taM pradAya taM nanAma ha xamApayan.h \| maNiM punardadau harirmumoda satyabhAmayA \|\| 17.217\|\| 217. Satrajita gave his daughter Sathyabhama in marriage to Sri Krishna. He also gave Syamantaka Gem as a gift. Sri Krishna gave the Syamantaka Gem back and lived happily with Sathyabhama. ramaiva sA hi bhUriti dvitIyamUrtiruttamA \| babhUva satrajitsutA samastalokasundarI \|\| 17.218\|\| 218. (Lakshmi Devi has 3 forms - Sri, Durga, and Bhoo) .Bhoo Devi One of the three forms of Lakshmi is born as Satrajita King's daughter. She is Lakshmi in original form and also very beautiful and best among women. tato hi sA cha rugmiNI priye priyAsu te.adhikam.h \| janArdanasya te hareH sadA.aviyoginI yataH \|\| 17.219\|\| 219. Both Sathyabhama and Rukmini are most beloved to Supreme Lord (Sri Krishna). They can never be separated from him (Aviyogini).It will not be wrong if it is told they are the chief aides to Krishna's task of destroying evil forces. athA.apa sAmbanAmakaM sutaM cha rohiNI hareH \| chaturmukhAMshasaMyutaM kumArameva shhaNmukham.h \|\| 17.220\|\| 220. Sri Hari Begot son Sambha in Jambavati. He was earlier known as Skanda. He had the presence of Brahma in him. iti prashAsati prabhau jagajjanArdane.akhilam.h \| agaNyasadguNArNave kadAchidAyayau dvijaH \|\| 17.221\|\| 221. While Sri Krishna who is repository of infinite qualities, who is omnipotent and Supreme Lord, was safeguarding the entire world in an efficient manner, One day a Brahmin came to Sri Krishna. janArdanaH sa nAmato rameshapAdasaMshrayaH \| sa mAnitashcha vishhNunA praNamya vAkyamabravIt.h \|\| 17.222\|\| 222. That Brahmin's name was Janardhana. He had great devotion at feet of Ramesha. Sri Krishna welcomed the Brahmana with great hospitality. That Brahmana bowed to Sri Krishna and said thus: xamasva me vachaH prabho bravImyatIva pApakam.h \| yataH supApadUtakastato hi tAdR^ishaM vachaH \|\| 17.223\|\| 223."Oh Lord forgive me. I am messenger of a sinner. I am also a sinner like him, because I am telling these bad words. Please listen and forgive me." na te.astyagocharaM kvachit.h tathA.api chA.aj~nayA vade \| vadeti chodito.amunA dvijo jagAda mAdhavam.h \|\| 17.224\|\| 224. There is nothing which is unknown to you. Still if you order me to tell, I am going to tell it out. When he said so, Sri Krishna asked him to tell the matter, when he said this to Madhawa. sutau hi sAlvabhUpaterbabhUvatuH shivAshrayau \| shivaprasAdasambhavau pitustapobalena tau \|\| 17.225\|\| 225. Salwa King has begot 2 sons by the blessings of Lord Rudra. Rudra Deva has given the father the boon that "Your sons shall be stronger than you" ajeyavadhyatAM cha tau shivAd.h varaM samApatuH \| jarAsutasya shishhyakau tapobalena kevalam.h \|\| 17.226\|\| mahodaraM cha kuNDadhAriNaM cha bhUtakAvubhau \| tathA.ajitAvavadhyakau didesha shaN^karastayoH \|\| 17.227\|\| 226-227. Those two sons are unconquerable and Immortal. This is the boon from Shiva. They are Jarasandha's disciples too. Even they have performed mighty penances to please Shiva. Pleased by that Shiva has given them the control of two Evil Spirits "Mahodara and Kundadari" tayoH sahAya eva tau varAchchhivasya bhUtakau \| ajeyatAmavApaturnachAnyathA.amarAvapi \|\| 17.228\|\| 228. Since both of them are born from grace of God (DevaYoni) they are naturally immortal. To top it now they have the help of the evil spirit. ajeyatAmavadhyatAmavApya tAvubhau shivAt.h \| pitustu rAjasUyitAM samichchhato madoddhatau \|\| 17.229\|\| 229. Both of them (Hamsa, Dibika) wish to make their father happy by making him perform the mighty Rajasuya Yaga as they are Immortal and Invincible. jarAsuto gurutvato viroddhumatra nechchhati \| nR^ipA.nstu devapaxiNo vijitya kartumichchhataH \|\| 17.230\|\| 230. Since they are his disciples, Jarasanda out of generosity as a teacher does not wish to have enmity with them. Which means he has given them permission to perform the Yagna? Which also means, now they want to defeat all the Kings who are under the protection of Gods and perform the yagna? svayaM hi rAjasUyitAM jarAsuto na manyate \| yato hi vaishhNavaM kratuM tamAhurIsha vaidikAH \|\| 17.231\|\| 231. Jarasanda personally does not accept or believe in Rajasuya Yagna. Because this Yagna is performed by followers of Veda and the people who believe that Vishnu is the Supreme Lord. This is opposite to Jarasanda's nature. imau pituryasho.arthinau parAbhavAya te tathA \| samichchhato.adya taM kratuM bhavantamUchatushcha tau \|\| 17.232\|\| 232. These Hamsa Dibika wish to bring glory to their father and insult to you. That is why they are performing the sacrifice which establishes that Vishnu is Supreme Lord. They have told so. Please listen. Notes: This also indicates that Hamsa Dibika strongly believes that Vishnu is different and Sri Krishna is different. samudrasaMshrayo bhavAn.h bahUn.h pragR^ihya lAvaNAn.h \| subhArakAnupaihi nAviti xamasva me vachaH \|\| 17.233\|\| 233. They have told "You live close to the ocean. So carry loads of salt required to perform yagna and surrender it to us" Notes: Here we will understand few things 1. They think that Sri Krishna is an ordinary human. 2. Since they think that Salt is the most insignificant item among all the other food ingredients they have asked Sri Krishna to bring Salt. But they don't realize that "there is nothing more savory than salt, and no relative greater that mother" 3. They know that ocean has only salt water. They don't realize that there are precious gems in the ocean because they have neither gone deep in the ocean nor have thought about it. 4. Sri Krishna is any ordinary citizen. We are kings. So he should pay us Tribute. itIrya taM nanAma sa pra chAhasan.h sma yAdavAH \| haristu sAtyakiM vacho jagAda meghanisvanaH \|\| 17.234\|\| 234. That Brahmin said so and prostrated in front of Majestic Sri Krishna. All the Yadavas laughed listening to the words of Brahmin. Then Sri Hari addressed Satyaki in his distinguished voice. prayAhi sAtyake vacho bravIhi me nR^ipAdhamau \| sametya vAM varAyudhaiH karaM dadAnyasaMshayam.h \|\| 17.235\|\| 235. He said in domineering voice Oh Satyaki you go and tell those mean kings that I told them "All of us will come well prepared with arms and ammunitions, and pay tribute to you in the war." upaitamAshu saMyugArthinau cha pushhkaraM prati \| itIritaH shineH suto jagAma viprasaMyutaH \|\| 17.236\|\| 236. "Both of you come to Pushkara if you wish war." After having heard to these words, Satyaki left with the Brahmin. upetya tau harervacho jagAda sAtyakirbalI \| vidhAya tau tR^iNopamau girA jagAma keshavam.h \|\| 17.237\|\| 237. Satyaki who was powerful gave Sri Krishna's message to Hamsa-Dibika, not only that but he also disdained them and returned back to Dwaravati and joined Keshava. tataH puraiva tAvubhau dvijaM harasvarUpiNam.h \| suduHkhavAsanAmakaM prachakratustR^iNopamam.h \|\| 17.238\|\| 238. Even before that i.e. before sending messenger to Sri Krishna those two (Hamsa-Dibika) had insulted Brahmana by name Durvasa who was similar to Shiva and looked down upon him. Notes: Here Sri Madhwacharya has used the word "sudukhavasa". Which means "responsible for good misery" meaning who ever seeks him with devotion will be happy. e.g. history of Kuntidevi - he who provokes him will suffer immensely - Hamsa and Dibika are proof for this. Sri Anandateertha has elevated the greatness of Durvasa by using such marvelous words. How was Durvasa Insulted ? dashatrikaiH shatairvR^ito yatIshvaraiH sa sarvavit.h \| vipATitAtmakaupinAdisarvamAtrako.abhavat.h \|\| 17.239\|\| 239. 3 X 10 X100 meaning 3000 sages lived with Durvasa. They were enlightened men. They tore the clothes of such Sages who were in Durvasa's group. And ruined their Kamandala (ascetic water-pots) Notes: Their arrogance owing to the fact that they were victorious till now and the advantage of the nature "perverted intelligence just before destruction". Why did Durvasa not Curse them even after all this ? varAt.h svasambhavAdasau na shApashaktimAnabhUt.h \| tataH samastabhaJNjanorushaktimApa keshavam.h \|\| 17.240\|\| 240. As we have seen earlier, they were born by the grace of MahaRudra. Not only that, they had also obtained boon of being Immortal and Invincible from him. How can he curse them now? Can he have such powers? That is the reason why he did not curse them. That is the reason why he came to Keshava who has the Ultimate powers. sa tAn.h samarchya mAdhavaH pradAya chorumAtrakAH \| yayau cha taiH samanvito vadhAya sAlvaputrayoH \|\| 17.241\|\| 241. Sri Krishna welcomed all the sages who had come and treated them with great care and hosiptality. He provided them with good clothes and water pots they needed. Later he prepared for the war and went to Slay Salwa's sons along with them. Protecting justice and destroying injustice is his duty Isn't it? tamatrijaM harAtmakaM yato hi veda mAgadhaH \| tato.atyajat.h svashishhyakau nishamya tatpratIpakau \|\| 17.242\|\| 242. Jarasanda knew sage Durvasa very well. He is the son of Sage Atri. He was great sage and had the presence of Rudra. He knew it very well. Though Hamsa-Dibika were his disciples, due to the fact that they had opposed Durvasa, he did not come to help them. He kept quiet out of apathy. harau tu pushhkaraM gate munIshvaraiH samarchite \| samIyatushcha tAvubhAvathAtra haMsaDIbhakau \|\| 17.243\|\| 243. Sri Hari came to To Pushkara along with his army, accompanied by Sages .Hamsa Dibika had also arrived there by then. Notes: How come Dibika become Deebika here? For this some are of the opinion that from grammar point of view, with the intention that prose should not miss a prosodial unit, they have added it. But Acharya is not so ignorant. He does not search for words and prosodial units. When the demigods protecting words are standing by him will he have loss of words? Acharya has experimented in this way to convey that here Dibika also was distorted meaning he had wiped out his chances of survival. sa brahmadattanAmako.atra tatpitA.apyupAyayau \| samAgatau cha bhUtakau shivasya yau purassarau \|\| 17.244\|\| 244. Hamsa Dibika's father Brahmadatta also came there. All the other forces beloved to Shiva also arrived there. vichakranAmako.asuraH purA viriJNchato varam.h \| avadhyatAmajeyatAmavApya bAdhate surAn.h \|\| 17.245\|\| 245. Once upon a time there was an Asura named Vichakra. He was invincible and immortal by the power of the boons granted by Brahma. So he used to trouble many Gods. sa chAbhavat.h tayoH sakhA sahAyakAmyayA.a.agamat.h \| hiDimbarAxaso.api yaH purA.a.apa shaN^karAd.h varam.h \|\| 17.246\|\| na jIyase na vadhyase kutashchaneti toshhitAt.h \| sa chaitayoH sakhA.abhavat.h samAjagAma tatra cha \|\| 17.247\|\| 246-247. He has also befriended Hamsa Dibika and has come to help them. One more demon by name Hidimba who has become powerful by boons of Shankara has joined them. Even he has pleased Shankara and obtained the boons of Immortality and Invincibility. He is also friend of Hamsa Dibika. He has also arrived. axohiNIdashAtmakaM balaM tayorbabhUva ha \| vichakragaM shhaDAtmakaM tathaikameva rAxasam.h \|\| 17.248\|\| 248. Hamsa Dibika has battalion of 10 Akshouhini. Vichakra has 6 Akshouhini and Hidimba's one Akshouhini army is ready. dvirashhTasenayA yutau sahaikayaiva tau nR^ipau \| samIyaturyudhe hariM harishcha tau sasAra ha \|\| 17.249\|\| 249. Hamsa and Dibika equipped with 2 times 8 equaling 16 plus one totaling 17 Akshouhini army have proceeded to fight Sri Krishna. Sri Krishna has come to face them. atha dvayordvayorabhUd.h raNo bhayAnako mahAn.h \| harirvichakrameyivAn.h balashcha haMsamuddhatam.h \|\| 17.250\|\| 250. A dreadful war took place between them in the battlefield. Sri Krishna fought with Vichakra. Balarama faced Asura named Hamsa. tadA.asya chAnujaM yayau shinipravIra AyudhI \| gadashcha nAmato.anujo hareH sa rohiNIsutaH \|\| 17.251\|\| 251. Brave Satyaki and Gadha fought with Hamsa's brother Dibika.This Gadha is Sri Krishna's brother, Rohini's son. purA sa chaNDako gaNo harerniveditAshanaH \| samAhvayad.h raNAya vai tayoH sa tAtameva hi \|\| 17.252\|\| 252. This Chanda is one of the gate-keepers to Sri Krishna just like Jaya Vijaya. This Chanda is facing Brahmadatta (grandfather) in the battlefield. axohiNItrayAnvitAH samastayAdavAstadA \| trilochanAnugau cha tau nyavArayan.h sarAxasau \|\| 17.253\|\| 253. All the Yadavas with 3 Akshouhini army stopped all the devil forces serving Mukanna (Shiva) harirvichakramojasA mahAstrashastravarshhiNam.h \| vivAhanaM nirAyudhaM xaNAchchakAra sAyakaiH \|\| 17.254\|\| 254. Sri Krishna stripped Vichakra off all his weapons in a fraction of second while he was trying to shower great weapons and arrows on chakradhaari (he who holds Chakra) punashcha pAdapAn.h girIn.h pramuJNchato.ariNA.arihA \| shiro jahAra devatA vineduratra harshhitAH \|\| 17.255\|\| 255. Again the demon armed with his demonic forces uprooted trees and mountains and started throwing it on Sri Hari. Sri Krishna cut the head of such an enemy with his Sudharshana .All the Gods were delighted seeing this. prasUnavarshhibhiH stutashchaturmukhAdibhiH prabhuH \| sasAra tau harAnugau prabhaxakau sa sAttvatAm.h \|\| 17.256\|\| 256. Brahma and other Gods sang in praise of Supreme Lord Sri Krishna and showered flowers on him .Then Rudra Devaru capable of digesting all the Yadavas faced Sri Krishna along with evil demons serving him. samastayAdavAn.h raNe vidhUya tau janArdanam.h \| upetya chAMsagau hareradaMshatAM sukarNakau \|\| 17.257\|\| 257. Those evil spirits kicked out all the Yadavas from the battlefield. Some of the crippled evil spirits started biting Sri Krishna's beautiful ears. sa tau bhujapravegato vidhUya shaN^karAlaye \| nyapAtayad.h balArNavo.amitasya kiM taduchyate \|\| 17.258\|\| 258. When Powerful Sri Krishna shook off his arms, because of the force and speed of this, those evil spirits were thrown and fell at Kailasa - abode of Shankara. It is not a surprise that Sri Krishna of immeasurable strength did such a job. prabhaxayantamojasA hiDimbamuddhataM balam.h \| sahograsenako yayau pitA hareH sharAn.h xipan.h \|\| 17.259\|\| 259. Seeing that Hidimba was eating Yadavas by the virtue of his strength, Ugrasena accompanied by Sri Krishna's father Vasudeva faced Hidimba with his invaluable arrows and Quiver tayo rathau sahAyudhau prabhaxya rAxaso balI \| pragR^ihya tAvabhAshhata prayAtamAshu me mukham.h \|\| 17.260\|\| 260. That powerful demon ate up their chariot, weapons etc and destroyed them. He held both of them and took them in front of his mouth telling "Come inside my mouth" tadA gadAvarAyudhaH sahaiva haMsabhUbhR^itA \| prayuddhyamAna Ayayau vihAya taM halAyudhaH \|\| 17.261\|\| 261. Balarama who is an expert in Gadayudda (armed wrestling) was fighting with Hamsa at that time. Seeing the state of Ugrasena and Vasudeva, he immediately left Hamsa and came near Hidimba. tamAgataM samIxya tau vihAya rAxasAdhipaH \| upetya mushhTinA.ahanad.h balaM sa vaxasi krudhA \|\| 17.262\|\| 262. Seeing Balarama approaching, King of the demons - Hidimba left Ugrasena and Vasudeva and came to fight Balarama. They started fighting each other with their fists. Balarama struck the demon's chest with his powerful fist in rage. ubhau hi bAhushhALinAvayuddhyatAM cha mushhTibhiH \| chiraM prayuddhya taM balo.agrahIt.h sa jaN^ghayorvibhuH \|\| 17.263\|\| 263. Both were very powerful they were expert wrestlers. They fought for a long time wrestling. Finally Balarama held Hidimba very tightly in between his knees. athainamuddhR^itaM balAd.h balaH sa dUramAxipat.h \| papAta pAdayojane sa nA.ajagAma taM punaH \|\| 17.264\|\| 264. In that war, Balarama had scattered around with the demon for a long time. Finally he uprooted him and threw him far away. Because of that he fell about quarter yojanas away from the Pushkara battlefield. He fled with shame and never returned back. How much is pada yojana (one fourth of yojana)? 2 miles vihAya sainikAMshcha tau nR^ipau yayau vanAya saH \| nihatya tasya rAxasAn.h halAyudho nanAda ha \|\| 17.265\|\| 265. That Hidimba left his soldiers, kings Hamsa-Dibika and went to forest. Balarama destroyed the entire battalion and rang the bells of victory. gadastu sAlvabhUbhR^itA vayogatena yodhayan.h \| vivAhanaM nirAyudhaM chakAra so.apyapAdravat.h \|\| 17.266\|\| 266. Yadava named 'Gadha' fought with senior Brahmadatta. Brahmadatta lost chariot, all his weapons and ran away from the battlefield. sutena tasya kanyasA yuyodha sAtyakI rathI \| varAstrashastrayodhinau vijahratushcha tAvubhau \|\| 17.267\|\| 267. Charioteer Satyaki fought with Brahmadatta's son Dibika. Both of them fought against each other with excellent weapons. chiraM prayuddhya sAtyakiH sa haMsakanyasA balI \| shataM sapaJNchakaM raNe chakarta tasya dhanvanAm.h \|\| 17.268\|\| 268. War took place for a long time between Satyaki and Dibika. Though Dibika shot 105 arrows, Satyaki broke all of them along with the bows. sa khaD.hgacharmabhR^id.h raNe.abhyayAt.h sutAtmajaM shineH \| sa chainamabhyayAt.h tathA varAsicharmabhR^id.h vibhIH \|\| 17.269\|\| 269. After loosing arrows, Dibika took hides and swords and came to fight Satyaki (Shini's son). Satyaki faced with equally powerful hides and swords. dvishhoDashaprabhedakaM varAsiyuddhamashramau \| pradarshya nirvisheshhakAvubhau vyavasthitau chiram.h \|\| 17.270\|\| 270. Both the warriors tirelessly exhibited 32 different categories of sword wars. Still neither was defeated. Both of them fought for a long time in an organized manner. parasparAntaraishhiNau nachAntaraM vyapashyatAm.h \| tato vihAya saN^garaM gatau nirarthakaM tviti \|\| 17.271\|\| 271. Each of them was trying to find an opportunity to fight the other. It was not fruitful. Both of them realized that war is useless and gave up. tataH sa haMsasaMyuto jagAma yoddhumachyutam.h \| xaNena tau nirAyudhau chakAra keshavaH sharaiH \|\| 17.272\|\| 272. Later Dibika went to help Hamsa. Hamsa-Dibika joined together and fought against Keshava. They were rendered weapon-less in a flash of a second by Keshava's arrows hataM cha sainyametayoshchaturthabhAgasheshhitam.h \| xaNena keshavena tadbhayAdapeyatushcha tau \|\| 17.273\|\| 273. Almost all of Hamsa Dibika's army was killed and only one fourth of the army remained. Seeing this Hamsa and Dibika immediately ran away fearing Sri Krishna. sa pushhkarexaNastadA surairnuto.atha pushhkare \| uvAsa tAM nishAM prabhuH sayAdavo.amitaprabhaH \|\| 17.274\|\| 274. Seeing Krishna gain victory over these two, the gods praised him. Sri Hari who has eyes everywhere (or who is omnipresent) (pushkaraksha), who is far reaching and who is the lord of Yadavas, stayed at Pushkara Kshetra that day. pare dine janArdano nR^ipAtmajau pravidrutau \| yamasvasustaTe prabhuH samAsasAda pR^ishhThataH \|\| 17.275\|\| 275. Following day, Janardhana went in search of kings who had fled, went along the banks of river Yamuna and followed them. sa rauhiNeyasaMyutaH samanvitashcha senayA \| svashishhTasenayA vR^itau palAyinAvavArayat.h \|\| 17.276\|\| 276. Accompanied by Balarama and remaining small army, Sri Krishna stopped Hamsa and Dibika who were fleeing. nivR^itya tau svasenayA sharottamairvavarshhatuH \| sukopitau samastasho yadUnavAryapaurushhau \|\| 17.277\|\| 277. Hamsa Dibika faced the army which was following them. Brave as they were showered arrows on the army angrily. athA.asasAda haMsako halAyudhaM mahAdhanuH \| anantaro.asya sAtyakiM gadaM cha sarvasainikAn.h \|\| 17.278\|\| 278. Deamon Hamsa faced great Archer Balarama. His younger brother Dibika fought with Ghada, Satyaki and the entire army. sa sAtyakiM nirAyudhaM vivAhanaM vivarmakam.h \| vyadhAd.h gadaM cha tau raNaM vihAya hApajagmatuH \|\| 17.279\|\| 279. Dibika stripped both Satyaki and Ghada off their weapons. Both their chariots were crushed. Both of them lost their shields. Finally the two ran away from the battlefield. vidhUya sainikA.nshcha sa pragR^ihya chApamAtatam.h \| hariM jagAma chonnadan.h mahAstrashastravarshhaNaH \|\| 17.280\|\| 280. After driving away the Yadava army, Dibika carrying a mighty bow and making announcement came in front of Krishna carrying arms and ammunitions. tamAshu keshavo.arihA samastasAdhanojjhitam.h \| xaNAchchakAra so.apyagAd.h visR^ijya taM halAyudham.h \|\| 17.281\|\| 281. Sri Hari who destroys enemies, made all his equipments disappear in half a minute. Then Dibika left Sri Krishna and ran towards Balarama. halAyudho nirAyudhaM vidhAya haMsamojasA \| vikR^ishhTachApa AgataM dadarsha tasya chAnujam.h \|\| 17.282\|\| 282. Balarama rendered Hamsa weaponless and seeing his younger brother Dibika approaching him with a bow, faced him. sa haMsa Ashu kArmukaM punaH pragR^ihya taM balam.h \| yadA.a.asasAda keshavo nyavArayat.h tamojasA \|\| 17.283\|\| 283. When the demon Hamsa carrying bow turned towards Balarama again, immediately Sri Krishna stopped him half way with his strength. shineH sutAtmajo.apyasau vihAya haMsakAnujam.h \| rathAntaraM samAsthito jagAma tAtamasya cha \|\| 17.284\|\| 284. Shini's grandson Satyaki left Hamsa's brother Dibika got into another chariot and faced Dibika's father Brahmadatta. vayogataH pitA tayoryuyodha tena vR^ishhNinA \| sharaM cha kaNThakUbare vyasarjayat.h sa sAtyakeH \|\| 17.285\|\| 285. He fought with their father Brahmadatta. Brahmadatta shot arrows at Satyaki's neck, chest and other critical spots. sa sAtyakirdR^iDhAhato jagAma mohamAshu cha \| sulabdhasaJNj~na utthitaH samAdade.arddhachandrakam.h \|\| 17.286\|\| 286. Satyaki was unconscious from the blow of weapons. After sometime regained conscious. And he stood up. He took out a special half moon shaped arrow from his quiver. sa tena tachchhiro balI chakarta shuklamUrddhajam.h \| yadambayA.abhikAmitaM purA papAta tat.h xitau \|\| 17.287\|\| 287. That Satyaki cut grey haired Brahmadatta's head with his arrow. Earlier that head was desired by Ambadevi. Such head fell down. Notes: Earlier Bhishma had abducted Kashi King's daughter's Amba, Ambalika and Ambika during their Swayamvara. At that time Ambadevi had told 'salvakaamaaham' (I am in love with Salva) to Bhishma, escaped from there and came to Salva. Salva rejected that. Still she could not let go of the attachment she had towards him. Now with his slaying, it can be said that her wish was fulfilled. nada.nshcha sAtyakirharerjagAma pArshvamuddhataH \| balo.api haMsakAnujaM yuyodha senayA yutam.h \|\| 17.288\|\| 288. Satyaki came roaring like a lion with great pride near Sri Krishna. Even Balarama started fighting with Hamsa's younger brother Dibika. haristu haMsamulbaNaiH sharaiH samardayan.h balam.h \| jaghAna tasya sarvasho na kashchidatra sheshhitaH \|\| 17.289\|\| 289. Sri Hari crushed violent Hamsa with his arrows. Not only that, he had also destroyed Hamsa's entire army with his strength. Not a single demon was spared in that war. sa eka eva keshavaM mahAstramuk.h sasAra ha \| nivArya tAni sarvasho harirnijAstramAdade \|\| 17.290\|\| 290. That demon Hamsa faced Sri Krishna alone and shot very powerful weapons against him. Sri Hari cut all his weapons down and finally used his own Vaishnavaastra. sa vaishhNavAstramudyataM nirIxya yAnato mahIm.h \| gataH parAdravad.h bhayAt.h papAta yAmunodake \|\| 17.291\|\| 291. Hamsasura saw that Vaishnavaastra getting ready jumped with fear, running with fear fell in Yamuna River. varAstrapANirIshvaraH padA.ahanachchhirasyamum.h \| sa mUrchhito mukhe.apatanmahAbhujaN^gamasya ha \|\| 17.292\|\| 292. Sri Hari possessing an excellent weapon kicked the demon's head with his leg. He was unconscious by the severity of that blow and fell into the mouth of a serpent in Yamuna. sa dhArtarAshhTrakodare yathA tamo.andhameyivAn.h \| tathA suduHkhasaMyuto vasan.h manoH paraM mriyet.h \|\| 17.293\|\| 293. That Asura fell into the stomach of a serpent named Dartarashtra. That serpent's stomach was more miserable than the hell "andatamas". He stayed there for a very long time and then died. tato.andhameva tat.h tamo harerdviDeti nishchayAt.h \| tadA.asya chAnujo.agrajaM vimArgayan.h jale.apatat.h \|\| 17.294\|\| vihAya rohiNIsutaM jale nimajjya mArgayan.h \| apashyamAna Atmano vyapATayachcha kAkudam.h \|\| 17.295\|\| 294-295.That demon even after his death since he hates Sri Hari it is confimed that he will go to andatamas. Later his younger brother Dibika who was fighting with Balarama left the war and went into the water in search of his brother. When he could not find his brother there, he pulled out his tongue in grief. vihAya dehamulbaNaM tamo.avatArya chAgrajam.h \| pratIxamANa ulbaNaM samatti tat.h sukhetaram.h \|\| 17.296\|\| 296. That demon renounced his cruel body. Even he started facing the terrible misery without a miniscule of happiness along with his brother. tato harirbalairyuto balAnvito munIshvaraiH \| samaM kushasthalIM yayau stutaH kashaN^karAdibhiH \|\| 17.297\|\| 297. Later Sri Krishna accompanied by Balarama and the great sages who had great power due to their penance, lived in Dwaravati. Brahma Rudra and other Gods came there and praised Sri Krishna. svakIyapAdapallavAshrayaM janaM praharshhayan.h \| uvAsa nityasatsukhArNavo ramApatirgR^ihe \|\| 17.298\|\| 298. He used to give joy to his devotees, ones who meditate upon him in solitaire and the ones who seek the protection of his feet. Ramapathi who is eternal, blissful, of infinite qualities lived in his house gave delight to everyone. Notes: Why has Sri Madhwacharya given so many details of Hamsa and Dibika and has used so many slokas for this war? When thinking about slokas from 223 to 298 we can notice few points. Earlier in Ramayana Prakarana, when explaining yuddaKanda, it has been explained with examples as to how well disciplined and compact the concepts and tenets of Dwaita philosophy are. In as similar fashion here in the war incident of Hamsa Dibika certain information can be seen. 1. Hamsa and Dibika mistook that Sri Krishna was a mortal human being. This is the false knowledge they had. Death and Andatamas are definite results of false knowledge. 2. Hamsa and Dibika wished to perform Rajasuya Sacrifice. They do not do it out of devotion to Vishnu. It was done with hatred against Vishnu. It was done with a wish to bring material fame to their father. Not with a divine view. 3. Jarasandha did not have belief in the Sacrifice. He dislikes devotion to Vishnu. Still he desired after hearing about the purpose of the sacrifice. Affection towards his pupils was the reason for his acceptance. For him fame of his pupils was greater than his own status. He followed the principle "if someone is his friend's enemy, than he is my enemy too".Anyways Sri Krishna is his enemy.He has not been able to gain victory over Sri Krishna. He thought that now if this Hamsa Dibika gain victory over Sri Krishna, it is indirectly a victory for him too. 4. Most important point is that just as Gods have classes and gradations, even the demons have them too. Though we need not have to learn and follow this, it is necessary to know about it. So Sri Jagannathadasaru had reserved a Sandhi for this in Harikatamrutasara. Although SriMadhwacharya does not clearly state it here, he has given it as a hint in the war between Hamsa Dibika and the Yadavas. For e.g. on one side group of Hamsa, Dibika, Hidimba and their followers and on the other side Sri Krishna, Balarama, Satyaki, Ghada and other Yadavas. When the war took place on one side Gods were present and on the other side Demons. Still the Gods could not be victorious over Demons. They have been defeated in the battle. They have sought the help of Powerful ones. Sometimes they have even fled from the battlefield. Meaning it could be said here that the victorious Demons are at higher grade in terms of strength compares to the defeated Gods. Sometimes when the Demons were loosing there were incidents where the other demons came to their help. Even there gradation can be noticed from philosophical point of view. Balarama, Satyaki and Gadha failed many times in the battle. Finally Supereminent Sri Krishna had to come and slay them. Here the decision has been given that Supreme Lord is higher than Gods and Demons in gradation and he is Supreme. At many places gods cannot over-ride the boons given by Brahma and Rudra. At that time Sri Hari comes to the rescue and has helped the Gods. He has protected them. 5. There is no danger to the devotees who are protected under the shelter of Sri Hari's feet. From the incident of this war it can be understood that they do not have any miseries. Much more information can be derived from this by the knowledgeable ones. iti shrImadAnandatIrthabhagavatpAdAchAryavirachite shrImahAbhAratatAtparyanirNaye haMsaDibhakavadho nAma saptadasho.adhyAyaH With this ends the seventeenth Chapter named "Killing of Hamsa Dibika" of Sriman Mahabharata Tatparya Nirnaya written by Srimad Anandathirta Bhagavatpadacharya This has been translated to Kannada by Raghavendra Sharma son of Sri Hanumantarya of Shandilya Gotra by the grace of SriKrishna .Let Shri Krishna Destroyer of the Evil , destroy the evil qualities of his Devotee and accept this work and be Happy. This work has been translated to English by Harshala Rajesh daughter of Sri Susheelendra of Atreya Gotra. The first translation of the work has been completed on vyayanama samvatsara Madhwanavami day. (27 Jan 2007) May the Supreme Lord accept this work and grant Mukti to my father Sri Susheelendra who breathed his last chanting Sundarakanda. Sri Krishnarpanamastu. Sri Madhweshaarpanamastu.
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This is good news for longtime users who never knew about some amazing Office features because they were hidden among cluttered and outdated menus.Adapting to the new format is going to be a shock -- especially if you're a longtime user. That's where Office 2007: The Missing Manual comes in. Rather than present a lot of arcane detail, this quick & friendly primer teaches you how to work with the most-used Office features, with four separate sections covering the four programs. The book offers a walkthrough of Microsoft's redesigned Office user interface before taking you through the basics of creating text documents, spreadsheets, presentations, and databases with: Clear explanations Step-by-step instructions Lots of illustrations Plenty of friendly advice It's a great way to master all 4 programs without having to stock up on a shelfload of different books. This book has everything you need to get you up to speed fast. Office 2007: The Missing Manual is truly the book that should have been in the box. Need to get the most out of the world's simplest accounting software? Easy. Xero has revolutionised the world of accounting software. Completely cloudbased, it lets small business owners monitor their finances in real time and promises to reduce the need for endless back-ups, data entry and software upgrades. Xero For Dummies gives readers a user-friendly, in-depth understanding of how the software works and shows them how to use it efficiently, effectively, and strategically. This plain-English guide leads readers through the basics of setting up an accounting system to detailed operations, letting users maximise revenue, profits, and cash flow. Xero For Dummies offers in-depth guidance on such topics as switching over from another accounting software, setting up customers and suppliers, dealing with multi-currency transactions, using Xero's dashboards and robust reporting capabilities, and more. 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OpenVMS System Management Guide, Second Edition, the most complete book on the topic, details for system administrators the tools, technologies, and techniques by which they can configure, maintain, and tune computers running Hewlett-Packard's highperformance OpenVMS operating system. Revised by a topical authority and a principal OpenVMS engineer, the book enables system administrators to perform more efficiently and effectively those everyday tasks critical to an OpenVMS system. Examples have been updated to include OpenVMS/VAX 7.3 and OpenVMS/Alpha 7.3-1. OpenVMS administration best practices and utilities System management strategies that support business objectives Updated references to latest HP documents and other WWW resources New chapter summarizing software installation New appendix to help the hobbyist get started Expert guidance on administering the highly complex Oracle EBusiness Suite Time-proven best practices Tried and tested scripts, notes, and references Covers all vital admin tasks, including configuration, monitoring, performance tuning, troubleshooting, and patching Tutorial Guide to AutoCAD 2023 provides a step-by-step introduction to AutoCAD with commands presented in the context of each tutorial. In fifteen clear and comprehensive chapters, author Shawna Lockhart guides you through all the important commands and techniques in AutoCAD 2023, from 2D drawing to solid modeling and finally finishing with rendering. 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Each chapter concludes with end of chapter problems providing challenges to a range of abilities in mechanical, electrical, and civil engineering as well as architectural problems. A guide to building professional Web sites offers annotated tutorials covering layout, tables, Flash buttons, Cascading Style Sheets, forms, animation, pop-up windows, slide shows, and Web design basics. Tutorial Guide to AutoCAD 2021 provides a step-by-step introduction to AutoCAD with commands presented in the context of each tutorial. In fifteen clear and comprehensive chapters, author Shawna Lockhart guides you through all the important commands and techniques in AutoCAD 2021, from 2D drawing to solid modeling and finally finishing with rendering. In each lesson, the author provides step-by-step instructions with frequent illustrations showing exactly what appears on the AutoCAD screen. Later, individual steps are no longer provided, and you are asked to apply what you've learned by completing sequences on your own. A carefully developed pedagogy reinforces this cumulative-learning approach and supports you in becoming a skilled AutoCAD user. Tutorial Guide to AutoCAD 2021 begins with three Getting Started chapters that include information to get readers of all levels prepared for the tutorials. The author includes tips that offer suggestions and warnings as you progress through the tutorials. Key Terms and Key Commands are listed at the end of each chapter to recap important topics and commands learned in each tutorial. Also, a glossary of terms and Commands Summary list the key commands used in the tutorials. Each chapter concludes with end of chapter problems providing challenges to a range of abilities in mechanical, electrical, and civil engineering as well as architectural problems. This is the fully updated new edition of the popular work that shows readers how to create e-commerce websites using two of the world's most popular technologies: the PHP scripting language and MySQL database. In addition to guiding readers through the creation of a working website using sound enterprise development techniques, the authors take care to provide readers with a variety of alternative implementation solutions. The book has also been updated to reflect the latest development trends, showing readers how to upgrade their shopping cart using Ajax, integrate with Amazon's Web services, and encourage customer feedback through cuttingedge interactive features. With its processoriented rhetoric, provocative thematic reader, up-to-date research manual, and comprehensive handbook, The Bedford Guide for College Writers gives your students the tools they need to succeed as writers -- all in one book. 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To meet this need, the Cloud Native Computing Foundation developed a certification exam to establish an administrator's credibility and value in the job market to confidently work in a Kubernetes environment. The Certified Kubernetes Administrator (CKA) certification exam is different from the typical multiple-choice format of other professional certifications. Instead, the CKA is a performance-based exam that requires deep knowledge of the tasks under immense time pressure. This study guide walks you through all the topics covered to fully prepare you for the exam. Author Benjamin Muschko also shares his personal experience with preparing for all aspects of the exam. Learn when and how to apply Kubernetes concepts to administer and troubleshoot a production-grade cluster Understand the objectives, abilities, and tips and tricks needed to pass the CKA exam Explore the ins and outs of the kubectl command-line tool Demonstrate competency to perform the responsibilities of a Kubernetes administrator Solve real-world Kubernetes problems in a hands-on command-line environment Effectively navigate and solve questions during the CKA exam Tutorial Guide to AutoCAD 2022 provides a step-by-step introduction to AutoCAD with commands presented in the context of each tutorial. In fifteen clear and comprehensive chapters, author Shawna Lockhart guides you through all the important commands and techniques in AutoCAD 2022, from 2D drawing to solid modeling and finally finishing with rendering. In each lesson, the author provides step-by-step instructions with frequent illustrations showing exactly what appears on the AutoCAD screen. Later, individual steps are no longer provided, and you are asked to apply what you've learned by completing sequences on your own. A carefully developed pedagogy reinforces this cumulative-learning approach and supports you in becoming a skilled AutoCAD user. Tutorial Guide to AutoCAD 2022 begins with three Getting Started chapters that include information to get readers of all levels prepared for the tutorials. The author includes tips that offer suggestions and warnings as you progress through the tutorials. Key Terms and Key Commands are listed at the end of each chapter to recap important topics and commands learned in each tutorial. Also, a glossary of terms and Commands Summary list the key commands used in the tutorials. Each chapter concludes with end of chapter problems providing challenges to a range of abilities in mechanical, electrical, and civil engineering as well as architectural problems. Annotation Helping you select the best fit for your company from Intuit's QuickBooks line of financial management software, this work also shows you how to tweak and tailor it to your company's needs so you can manage your finances more effectively and efficiently than ever before. The two-volume set LNCS 6852/6853 constitutes the refereed proceedings of the 17th International Euro-Par Conference held in Bordeaux, France, in August/September 2011. The 81 revised full papers presented were carefully reviewed and selected from 271 submissions. The papers are organized in topical sections on support tools and environments; performance prediction and evaluation; scheduling and load-balancing; highperformance architectures and compilers; parallel and distributed data management; grid, cluster and cloud computing; peer to peer computing; distributed systems and algorithms; parallel and distributed programming; parallel numerical algorithms; multicore and manycore programming; theory and algorithms for parallel computation; high performance networks and mobile ubiquitous computing. A guide to the Web design program covers such topics as text formatting, Cascading Style Sheets, links, images, tables, page layout, HTML, forms, site management, templates, and JavaScript. Used by millions worldwide, FileMaker Pro is an awardwinning database program for managing people, projects, images, assets, and other information. It's easy to use and totally customizable--so long as you know what you're doing. But FileMaker Pro doesn't come with a printed manual, so FileMaker Pro: The Missing Manual is the authoritative, jargon-free book that should have been in the box. FileMaker Pro: The Missing Manual approaches FileMaker the way FileMaker approaches you: it's user-friendly and seemingly straightforward enough, but it offers plenty of substance worthy of deeper exploration. Packed with practical information as well as countless expert tips and invaluable guidance, it's an in-depth guide to designing and building useful databases with the powerful and pliable FileMaker Pro. Covering FileMaker for both Windows and Macintosh, FileMaker Pro: The Missing Manual is ideal for small business users, home users, school teachers, developers-anyone who wants to organize information efficiently and effectively. Whether you want to run a business, publish a shopping cart on the Web, plan a wedding, manage a student information system at your school, or program databases for clients, this book delivers. Author Geoff Coffey has many years of experience using FileMaker Pro (he was, in fact, an early beta tester for the product). Author Susan Prosser is a FileMaker Certified Developer who trains other developers. 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Like other templating systems, the Template Toolkit allows programmers to embed Perl code and custom macros into HTML documents in order to create customized documents on the fly. But unlike the others, the Template Toolkit is as facile at producing HTML as it is at producing XML, PDF, or any other output format. And because it has its own simple templating language, templates can be written and edited by people who don't know Perl. In short, the Template Toolkit combines the best features of its competitors, with ease-of-use and flexibility, resulting in a technology that's fast, powerful and extensible, and ideally suited to the production and maintenance of web content and other dynamic document systems.In Perl Template Toolkit you'll find detailed coverage of this increasingly popular technology. Written by core members of the technology's development team, the book guides you through the entire process of installing, configuring, using, and extending the Template Toolkit. It begins with a fast-paced but thorough tutorial on building web content with the Template Toolkit, and then walks you through generating and using data files, particularly with XML. It also provides detailed information on the Template Toolkit's modules, libraries, and tools in addition to a complete reference manual.Topics in the book include: Getting started with the template toolkit The Template language Template directives Filters Plugins Extending the Template Toolkit Accessing databases XML Advanced static web page techniques Dynamic web content and web applications The only book to cover this important tool, Perl Template Toolkit is essential reading for any Perl programmer who wants to create dynamic web content that is remarkably easy to maintain. This book is your surefire guide to implementing this fast, flexible, and powerful templating system. This handbook presents the first systematic account of corpus phonology - the employment of corpora, especially purpose-built phonological corpora of spoken language, for studying speakers' and listeners' acquisition and knowledge of the sound system of their native languages and the principles underlying those systems. The field combines methods and theoretical approaches from phonology, both diachronic and synchronic, phonetics, corpus linguistics, speech technology, information technology and computer science, mathematics and statistics. The book is divided into four parts: the first looks at the design, compilation, and use of phonological corpora, while the second looks at specific applications, including examples from French and Norwegian phonology, child phonological development, and second language acquisition. Part 3 looks at the tools and methods used, such as Praat and EXMARaLDA, and the final part examines a number of currently available phonological corpora in various languages, including LANCHART, LeaP, and IViE. It will appeal not only to those working with phonological corpora, but also to researchers and students of phonology and phonetics more generally, as well as to all those interested in language variation, dialectology, first and second language acquisition, and sociolinguistics. Migrating from MYOB to Xero is an opportunity to examine whatinformation you really, really want from your accounting system,and also a chance to customise the data (and Xero) to suit thoseneeds. This In A Day book is focused on exporting data from theMYOB file you've been using, preparing that data so itimports into Xero easily, and then importing the data intoXero. In no time you'll be in the cloud with activated bankfeeds. You'll be reconciling data on your mobile phone,enabling your accountant to simultaneously access data,strategically managing your business and meeting your taxobligations. Beginning PHP and MySQL ECommerce: From Novice to Professional, Second Edition covers every step of the design and building process involved in creating powerful, extendable e–commerce web sites. Based around a real–world example involving a web site selling t–shirts, you'll learn how to create and manage a product catalog, build and integrate a shopping cart, and process customer accounts and PayPal/credit card transactions. With the e–commerce framework in place, authors Emilian Balanescu and Cristian Darie show you how to integrate advanced features sure to set your web site apart from the competition. You'll learn how to expand your catalog using Amazon Web Services, optimize the web site for the search engines, and take advantage of Ajax to build an even more user–friendly shopping cart. Other highlights: The authors show you how to build a complex, extendable e–commerce web site using sound development practices This second edition has been updated to take advantage of a more flexible templating system, and new chapters cover Ajax integration and search engine optimization The text goes beyond basic product and customer management, showing you how to integrate product reviews, process payments using both credit cards and PayPal, and expand your web site catalog using third–party services such as Amazons affiliate program What you'll learn Build an extensible e–commerce web site using sound development techniques Increase sales through proven techniques such as cross–selling, upselling, and enhancing customer service offerings Expand your product and service offerings by integrating with reseller programs such as Amazon Affiliates via XML web services Take advantage of search engine optimization techniques to make your web site more easy to find Who this book is for This book was written for individuals seeking to build e–commerce web sites using the PHP language and MySQL database. The first book to show readers how to create a complete e-commerce driven website using two of the most popular open source technologies, PHP and PostgreSQL Adapted from the strong selling Beginning PHP 5 and MySQL E-Commerce, this book is based on a proven and popular instructional model. PostgreSQL, long the second most popular open source database in the world, has seen a significant resurgence in interest throughout 2005 due to software enhancements and considerable capital injections. It stands to reason already strong interest in this database will continue to grow for the foreseeable future. Introduced by Apple in January 2005, iWork '05 is an innovative new suite of document and presentation software that's the same caliber as Apple's groundbreaking digital media applications and that's wholly dedicated to what Mac users like you care about most: artistry and creativity. iWork '05 isn't about "office productivity"--it's about creating slick and stylish documents and cinema-quality digital presentations that say precisely what you want them to say. While iWork '05 helps you create stunning documents and presentations, the suite doesn't come with any in-depth documentation of its own. That's where iWork '05: The Missing Manual comes in. The book that should have been in the box, it gives you everything you need to master iWork '05. Seamlessly integrated with the wildly popular iLife '05 and designed to take advantage of the advanced typography and graphics engine of Mac OS X, iWork is actually two separate programs: Pages and Keynote 2. Pages is a brand-new, streamlined word processor and page layout program that allows nonprofessionals to quickly and painlessly produce gorgeous brochures, newsletters, letters, invitations, product data sheets, and more. You can start documents from scratch or use one of the 40 professionally designed templates as a starting point. Keynote 2 is a significant upgrade to Keynote, Apple's PowerPoint-like presentation software that allows you to build unique presentations, demonstrations, storyboard animations, interactive slideshows, and more. Like every Missing Manual, this one is refreshingly entertaining and scrupulously detailed. iWork '05: The Missing Manual gives you all the essentials of Pages and Keynote 2, including an objective look at each program's capabilities, its advantages over similar programs, and its limitations. The book delivers countless goodies that you won't find anywhere else: undocumented tips, tricks, and secrets for getting the very best results from both exciting new applications. With the iWork '05 suite and iWork '05: The Missing Manual, you are totally equipped to give your work the style it deserves. A team of Microsoft insiders shows programmers how to use Visual Studio 2005 Team System, the new suite of products from Microsoft that can be used for software modeling, design, testing, and deployment Focuses on practical application of the tools on code samples, development scenarios, and automation scripting This timely book serves as both as a step-by-step guide and as a reference for modeling, designing, and coordinating enterprise solutions at every level using Team System The book begins with an overview of Team System and then offers nuts-and-bolts guidance on practical implementation Code examples are provided in both VB.NET and C# Windows SharePoint Services 3.0 (WSS) is a built-in feature of Windows Server that allows for the development of collaborative business applications. Microsoft Office SharePoint Server 2007 (MOSS) is an integrated server offering that leverages the WSS 3.0 features of Windows Server and adds an additional 100+ collaborative features. With WSS 3.0 and MOSS 2007 combined, you can create a variety of highly collaborative business applications. Using numerous practical, real-world examples, this book discusses implementing custom master pages, programming against site pages, implementing custom application pages, developing custom server controls, and extending existing controls. When it comes to building professional websites, Dreamweaver CS4 is capable of doing more than any other web design program -- including previous versions of Dreamweaver. But the software's sophisticated features aren't simple. Dreamweaver CS4: The Missing Manual will help you master this program quickly, so you can bring stunning, interactive websites to life. Under the expert guidance of bestselling author and teacher David McFarland, you'll learn how to build professional-looking websites quickly and painlessly. McFarland has loaded the book with over 150 pages of hands-on tutorials to help you create database-enabled PHP pages, use Cascading Style Sheets (CSS) for cutting-edge design, add XML-based news feeds, include dynamic effects with JavaScript and AJAX, and more. This witty and objective book offers jargon-free language and clear descriptions that will help you: Learn how to control the appearance of your web pages with CSS, from the basics to advanced techniques Design dynamic database-driven websites, from blogs to product catalogs, and from shopping carts to newsletter signup forms Add interactivity to your website with ready-to-use JavaScript programs from Adobe's Spry Framework Effortlessly control the many helper files that power your website and manage thousands of pages Examine web-page components and Dreamweaver's capabilities with the book's "live examples" Perfect for beginners who need stepby-step guidance, and for longtime Dreamweaver designers who need a handy reference to the new version, this thoroughly updated edition of our bestselling Missing Manual is your complete guide to designing, organizing, building, and deploying websites. It's the ultimate atlas for Dreamweaver CS4. 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Leigh-on-Sea Town Council 71-73 Elm Road, Leigh-on-Sea, Essex SS9 1SP - Tel: 01702 716288 firstname.lastname@example.org . www.leighonseatowncouncil.gov.uk Chairman:.Cllr Jane Ward Vice Chairman: Cllr Valerie Morgan Town Clerk:.Helen Symmons Notice is hereby given that a meeting of the Environment and Leisure Committee of the Leigh-onSea Town Council will take place on Tuesday 19 th December 2017, Leigh Community Centre, 71-73 Elm Road, Leigh-on-Sea commencing at 7.30pm. AGENDA 1. CHAIRMAN'S OPENING REMARKS AND HOUSEKEEPING ANNOUNCEMENTS 2. APOLOGIES FOR ABSENCE 3. DECLARATIONS OF MEMBERS' INTERESTS 4. TO APPROVE MINUTES OF THE MEETING ON 17 TH OCTOBER 2017 5. PUBLIC REPRESENTATIONS 6. TOWN CLERK'S REPORT (Appendix 1) page 4 EVENTS 7. EVENT REPORT BY EVENTS AND PROJECTS OFFICER (Appendix 2) page 6 8. E&L PDG – EVENTS It is RECOMMENDED that a PDG meeting be held early January to consider the event programme for 2018 with a view to making a recommendation to E&L Committee at the February meeting. ALLOTMENTS 9. ALLOTMENT ASSOCIATIONS LIAISON GROUP The next meeting of the group is Tuesday 2 nd January at 2 pm. 10. ALLOTMENT REPORT A week of maintenance was undertaken by the Facilities Manager in October. Remedial tree works are scheduled for third week of January. Quotes are still being obtained for the proposed section of fencing. There are no outstanding rents for Marshall Close but 9 in total for the whole of the Manchester Drive site. All are being chased. With regard to vacant plots, there are in total 18 at the Manchester Drive site in full. This is the lowest number of vacant plots in quite a few years. 11. EARTH ANGEL ALLOTMENT SCHOOL (Appendix 3) page 8 As resolved at the previous E&L meeting, Cllr Rosier met with the representative and the proposal is presented to the Committee for consideration. FARMERS' MARKET 12. ADMINISTRATION REPORT BY ASSISTANT PROPER OFFICER It has proved beneficial opening the market to craft stalls as it has raised the profile of the market. We have had 6 new produce stalls join us the last couple of months and only have space for 1 craft stall at the December market. All stallholders have reported an increase in footfall and overall sales. We have several new banners placed around the community centre and increased the amount of posters displayed. Having a couple of stalls out the front of the building also helps draw attention to the market. The extended finish time of 1pm seems to be working well, with some stallholders commenting on how busy the extra hour gets. The 2018 leaflets are in the process of being amended and will be ready for distribution at the Christmas market. Finally, the Cheese stall that has been attending is proving unreliable (having missed the last 2 markets without informing the office in advance and now is unable to attend the Christmas market). We are hoping to source a more reliable stall in time for the Christmas market. COMMUNITY TRANSPORT TRIPS SCHEME 13. ADMINISTRATION REPORT BY THE COMMUNITY TRANSPORT OFFICER With new members joining there are now 150 members. The last outing was Thursday 9 th November to Alton Garden Centre. We used two minibuses and this was attended by 21 members. Everyone appeared to have a good time and did plenty of shopping. We received cards of thanks so we will continue to have similar Christmas shopping trips in the future. 'Summerhills' nursery was suggested for a change. Upcoming event is the Sarah Moore Christmas lunch, once again due to popularity. It is spread across two days, 14 th and 19 th December. We are expecting 33 members in total. There will be a quiz to do on local knowledge and we have obtained some excellent prizes: a signed book by a local author (Robert Hallman), a voucher for a Leigh tearoom (TruLeigh Scrumptious). Efforts have been made to secure more Volunteer Drivers by placing adverts on notice boards, press releases and an advert in the Leigh Town Council newsletter. Subsequently one new volunteer is attending the MiDAS training course this month and all being good we will then have 3 Volunteer Drivers so we will feel more secure to book future outings. In the new year we plan to arrange a PDG meeting to discuss a possible CT afternoon tea to be held at the Community Centre early on in the year. OTHER E & L MATTERS 14. REPORT ON LITTER INITIATIVE BY THE CHAIRMAN, CLLR MORGAN I attended the Veolia Community Liaison Meeting on 22nd November, this being the second meeting I have been to. Sadly it was not well attended by others after all the fuss about having evening meetings. The reports back from the previous meeting which affect Leigh were that littering and Flytipping have improved hugely over the past 6 months. There are now afternoon crews patrolling to keep on top of street cleansing. Veolia have looked round Leigh to see where Dog Bins could be sited and I have given them one suggestion. Members can make further suggestions via myself. There have been changes recently to street cleansing rounds which should mean improvements to street scene. Again members can provide their own feedback via myself. There was discussion on engagement with schools and again I suggested the possibility of a 'Play'. Veolia, in one of their areas, have produced a book to encourage interaction and they are going to look into bringing it to Southend. There was a suggestion that residents need more information on the importance of recycling and what happens to it once collected - more to come. A discussion on signage, which is something we have discussed in Committee, Southend Borough Council is to investigate and we can provide feedback for the next meeting. Perhaps we need another PDG. On the wider front Veolia are campaigning to increase recycling, by publicising information on the unusual items that can be recycled. We will display a banner about this in the Community Centre in the New Year. There will be a litter pick in conjunction with Make Southend Sparkle on 13 th January at 10.30 am, meeting behind Leigh Station. It would be great if as many Councillors as possible could join in. Merry Christmas to you all FINANCIAL 15. ENVIRONMENT & LEISURE BUDGET 2017/18 – As at 8 th December 2017 (Appendix 4) page 9 Both the Farmers' Market and Leigh Lights income have exceeded the annual budget set already. This is due to the hard work of staff in promoting the events to a wider audience and forming good working relationships during the year with traders. The allotments income is now shown net of commission paid. The increased income is from the rise in the rental charge implemented for 2017/18 and the fact that more plots are now let. This is reflected in the increase to tenancy deposits – 55 new plot holders. With the Community Transport activity curtailed this year due to a number of reasons, this is reflected financially but it is hoped that the programme will be at a higher level in 2018. Helen Symmons Town Clerk 14 th December 2017 Any member who is unable to attend the meeting should send their apologies before the meeting. TOWN CLERK'S REPORT - COUNCIL AND COMMITTEE DECISIONS FOLLOW UP RECORDS 2017/18 \| Committee \| Minute No. and Subject \| Action Required \| RO \| Completion status \| Completion Date \| Outcome \| \|---\|---\|---\|---\|---\|---\|---\| \| E&L 21-02 \| 67. Event Report \| 3.Leigh Lights 4.Carols on Strand Wharf \| EO EO \| Complete Complete \| 24-11-17 09-12-17 \| Report on Agenda Report on Agenda \| \| E&L 18-04 \| 82. Tree Inspection \| 1. Arboriculturist to find \| TC \| Survey complete \| 17-10-17 \| Quote received & contractor instructed \| \| E&L 20-06 \| 14. Tree Charter \| Implement art project & signing book \| APO/EO \| Children’s tree complete and first batch of adult signatures being sent off \| \| Have informed all schools. Will incorporate a new children’s xmas tree into festive activities \| \| E&L 15-08-17 \| 25. Allotment Report \| Fencing Project RESOLVED if cost within £6257 \| \| Agreed with Allotment Assoc. that project needs amendment \| \| Only small section needs attention as existing shrubbery provides security \| \| E&L 15-08-17 \| 29. Environmental \| 1. Library Gardens 2. Litter awareness \| TC Cllrs \| Parks Dept. & SB Cllr contacted to move ahead Ongoing \| \| Awaiting permissions still having chased on the matter twice Report on \| \| Committee \| Minute No. and Subject \| Action Required \| RO \| Completion status \| Completion Date \| Outcome \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| campaign \| \| \| \| Agenda \| \| E&L 17-10-17 \| 39. Allotment Report \| RESOLVED to decline MDAS commission increase request RESOLVED quote for hedge RESOLVED quote for tree works \| \| Complete \| 17-10-17 \| Contractor instructed Contractor instructed \| Agenda CHRISTMAS EVENTS 2017 LEIGH LIGHTS - 24 TH NOVEMBER 2017 Sponsors: - Stibbards & Sons and CS Parking once again supported the event. Parade: - 22 Entries, 400 people - £2,089.42 raised for 14 different charities - New interactive voting system introduced to allow crowds to vote for their favourite entries via our website. - 1,372 total votes were cast via the website. - Stibbards and Sons' Santa Awards to be presented on Tuesday 19 th December at 7pm. - 1st place receiving £150 for their own charity: Southend Scout and Gang Show - 2nd place receiving £100 for their nominated charity, Alzheimer's Society: Morgan Academy of Performing Arts Trader Donations: We introduced a new glossy parade programme offering a new revenue for donations, whilst also improving our outreach. Traditional donations were still encouraged but traders, businesses and community groups were also invited to place an advert in the programme for a suggested amount. - A total of £2,250 was raised from trader donations - A total of £790 was raised from pitch donations In 2016: £1,500 raised traders, £710 pitch fees At the time of a press article on 14 th November donations were £2,000 – the highest since 2013 and included donations from bars and restaurants. The Town Clerk had to field negative responses from traders who felt it was a Council led 'bullying' campaign for donations. Sadly as a result of the article which was not correct at the time and for which we had not received a request for up to date information, an expected donation of approximately £400 was withdrawn. Leigh-on-Sea Town Council 71-73 Elm Road, Leigh-on-Sea, Essex SS9 1SP - Tel: 01702 716288 email@example.com . www.leighonseatowncouncil.gov.uk Chairman:.Cllr Jane Ward Vice Chairman:.Cllr Valarie Morgan Town Clerk:.Helen Symmons REPORT 2675/ED Community Outreach – website and social interaction Website: - 2,000 new visits made to the website on the day of Leigh Lights alone Facebook (statistics based on a week view, 20-26th November) - 47 new followers - 9,418 people reached through our posts Twitter (statistics based on a week view, 20-26th November) - 4,400 people reached through our posts / impressions - 19 new followers Feedback An official event debrief meeting will take place on 2 nd January with all Councillors who attended the event. A post-event feedback survey has been sent out. This will run until the event debrief on 2 nd January. Traders have also been approached for feedback. Community Centre activities returned this year and proved very popular. A stall holder reported selling over 200 items. General verbal feedback on the night and following has been predominantly positive – particularly from parade entries. RNLI reported having collected the most donations to date and more than achieved at Southend Carnival in the Summer. CAROLS ON STRAND WHARF – 9 TH DECEMBER 2017 - Earlier start time of 5pm made it more inclusive to families with young children - Over 400 people attended - £268.70 raised for the Chairman's Charity, Alzheimer's Research UK Agenda Leigh-on-Sea Town Council 71-73 Elm Road, Leigh-on-Sea, Essex SS9 1SP - Tel: 01702 716288 firstname.lastname@example.org. www.leighonseatowncouncil.gov.uk Chairman:.Cllr Jane Ward Vice Chairman: Cllr Valerie Morgan Town Clerk:.Helen Symmons Project: Earth Angel Allotment School Purpose: The main reason for setting up the Earth Angel Allotment School is to encourage people of all ages and backgrounds to adopt a healthier lifestyle and reap the benefits of fresh fruit and vegetables. The Earth Angel Allotment school has charitable status (insurance, safeguarding, first aider will be in place) The Vision: Allotment gardens to be set up on an overgrown part of the Manchester Drive allotment site for school gardening clubs and local families. Each 'garden' would comprise 4x1sq m raised beds (to develop awareness of crop rotation/seasonal produce) with pathways to facilitate wheelchair access. The Earth Angels would offer support and guidance. These groups would be mainly teacher-run after school gardening clubs and families that are interested in taking on a plot but unsure of the process. We talked about people having a year's 'tenancy' and then being encouraged to take on one of the main allotment plots. We also talked about these people using their experience to offer support to the following year's group of Earth Angel Allotment school 'pupils'. Achievement and successful tenancies would be acknowledged by certificates/awards. How: - Work with schools to enthuse the younger generation - possible choices are Darlinghurst (they have done some work around outdoor learning as reported in The Leigh Times 15.11 17 so the Allotment School would fit perfectly and the Manchester Drive allotments are very close by) and Belfairs (talk to the school about possible links with qualifications and career choices and/or linking with provision for students with special needs/vulnerable students) - Distribute free seeds, etc to schools to encourage gardening clubs and promote the availability of the allotment gardens - Seek a grant from LTC to cover these awareness raising costs - Earth Angels to be available to support novice allotmenteers Role of LTC: - To present the project to the allotment group at the next meeting and act as intermediary in the initial stages - To consider Earth Angel grant award application (P&R committee consider all awards) - money could be used to pay allotment rent, pay for room hire for meetings and hire a stall at the Farmers' Market - Publicity - facilitate a display board at the Farmers' Market and LTC website opportunities (to be discussed further with staff) - Include an article in the next LTC newsletter - LTC representative + member of the allotment group to attend Earth Angel meetings and review the development of the project and its impact on the target group - Possible nomination for a 'Good for Leigh' Award if project is successful Agenda REPORT 2670/VR \| ENVIRONMENT AND LEISURE DETAILED BUDGET \| \| \| \| \| \| \| \| \| 2017/18 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| INCOME \| Budget 2017/18 \| Income Received \| Balance \| % Received \| EXPENDITURE \| Earmarked Reserves \| Budget 2017/18 \| Expenditure \| Balance \| \| Community Transport \| £ 3,200.00 \| £ 1,122.00 \| £ 2,078.00 \| 35.06% \| Community Transport \| \| £ 8,730.00 \| £ 3 ,056.35 \| £ 5,673.65 \| \| Farmers' Market \| £ 2,000.00 \| £ 2,074.00 \| -£ 74.00 \| 103.70% \| Farmers' Market \| \| £ 1,350.00 \| £ 1 ,339.08 \| £ 10.92 \| \| Leigh Lights \| £ 2,000.00 \| £ 3,250.00 \| -£ 1,250.00 \| 162.50% \| \| \| \| \| \| \| \| \| \| \| \| Leigh Lights \| £ 4,659.00 \| £ 35,750.00 \| £ 27,546.28 \| £ 12,862.72 \| \| Allotments \| £ 1 1,111.00 \| £ 1 4,318.84 \| -£ 3,207.84 \| 128.87% \| \| \| \| \| \| \| \| \| \| \| \| Allotments \| £ 7,127.00 \| £ 20,710.00 \| £ 16,692.09 \| £ 11,144.91 \| \| \| \| \| \| \| General Services* \| £ 4,000.00 \| £ 8,700.00 \| £ 5 ,650.20 \| £ 7,049.80 \| \| General Events \| £ 5 50.00 \| £ 4 65.00 \| £ 85.00 \| 84.55% \| General Events* \| £ 4,728.00 \| £ 8,300.00 \| £ 4 ,248.93 \| £ 8,779.07 \| \| Loaned Equipment \| £ 50.00 \| £ 40.00 \| \| \| \| \| \| \| \| \| \| \| \| \| \| Staffing Costs \| \| £ 15,319.00 \| £ 10,669.34 \| £ 4,649.66 \| \| \| \| \| \| \| Chairman's Charity 2016/17 \| \| \| £ 473.67 \| \| \| TOTAL INCOME \| £ 1 8,911.00 \| £ 2 1,269.84 \| -£ 2,368.84 \| 112.47% \| TOTAL EXPENDITURE \| £ 2 0,514.00 \| £ 98,859.00 \| £ 69,675.94 \| £ 50,170.73 \| \| General Services \| \| \| \| \| General Events \| \| \| \| \| \| Flower Baskets \| £ 6,600.00 \| £ 5,650.20 \| £ 949.80 \| 85.61% \| Summer Series Strand Wharf \| \| £ 3,750.00 \| £ 2 ,891.30 \| £ 858.70 \| \| First Aid Provision \| £ 1,100.00 \| £ - \| £ 1,100.00 \| 0.00% \| Other Events \| \| £ 500.00 \| £ - \| £ 500.00 \| \| \| \| £ - \| £ - \| \| Carols on Strand Wharf \| \| £ 1,000.00 \| £ 323.00 \| £ 677.00 \| \| Good for Leigh \| £ 5 00.00 \| \| £ 500.00 \| 0.00% \| Easter Programme \| \| £ 1,250.00 \| £ 100.00 \| £ 1,150.00 \| \| Community Initiatives \| £ 5 00.00 \| £ - \| £ 500.00 \| 0.00% \| 21st Tea \| \| £ 1,000.00 \| £ 848.39 \| £ 151.61 \| \| \| \| \| \| \| Events Equipment \| \| £ 500.00 \| £ 8 6.24 \| £ 413.76 \| \| \| \| \| \| \| LCC Room Hire \| \| £ 300.00 \| £ - \| £ 300.00 \| \| \| £ 8,700.00 \| £ 5,650.20 \| £ 3,049.80 \| 64.94% \| \| £ - \| £ 8,300.00 \| £ 4 ,248.93 \| £ 4,051.07 \| \| ALLOTMENTS DETAILED BUDGET \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2017/18 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| INCOME \| Budget 2017/18 \| \| Income Received \| \| Balance \| \| % Received \| \| EXPENDITURE \| \| Earmarked Reserves \| \| Budget 2017/18 \| \| Expenditure \| \| Balance \| \| Manchester Drive Rent \| £ 6,000.00 \| \| £ 7,369.94 \| \| -£ 1,369.94 \| \| 122.83% \| \| Maintenance Costs \| \| £ 2 ,120.00 \| \| £ 1,500.00 \| \| £ 2 ,843.21 \| \| £ 776.79 \| \| Leigh Site Rent \| £ 3,000.00 \| \| £ 2,995.50 \| \| £ 4 .50 \| \| 99.85% \| \| Protective Clothing \| \| \| \| \| \| £ - \| \| £ - \| \| Marshall Close Rent \| £ 5 00.00 \| \| £ 4 49.40 \| \| £ 50.60 \| \| 89.88% \| \| Waste Clearance/Tree Work \| \| \| \| £ 5 00.00 \| \| £ 135.50 \| \| £ 364.50 \| \| \| \| \| \| \| \| \| \| \| ASA Leigh Site \| \| \| \| £ 1,600.00 \| \| £ 1 ,200.00 \| \| £ 400.00 \| \| Manchester Drive Water \| £ 1,070.00 \| \| £ 1,183.00 \| \| -£ 113.00 \| \| 110.56% \| \| ASA Manchester Drive \| \| \| \| £ 3,000.00 \| \| £ 2 ,250.00 \| \| £ 750.00 \| \| Leigh Water \| £ 4 72.00 \| \| £ 4 21.50 \| \| £ 50.50 \| \| 89.30% \| \| ASA Marshall Close \| \| \| \| £ 5 00.00 \| \| £ 375.00 \| \| £ 125.00 \| \| Marshall Close Water \| £ 69.00 \| \| £ 59.50 \| \| £ 9 .50 \| \| 86.23% \| \| Capital Expenditure \| \| £ 5 ,007.00 \| \| £ 1,250.00 \| \| £ - \| \| £ 6,257.00 \| \| \| \| \| \| \| \| \| \| \| Affiliations \| \| \| \| £ 60.00 \| \| £ 5 5.00 \| \| £ 5 .00 \| \| Keys \| \| \| £ 1 35.00 \| \| -£ 135.00 \| \| \| \| Water Rates \| \| \| \| £ 2,700.00 \| \| £ 2 ,635.13 \| \| £ 64.87 \| \| Tenancy Deposits \| \| \| £ 1,705.00 \| \| -£ 1,705.00 \| \| \| \| Keys & Refunds \| \| \| \| \| \| £ 9 0.00 \| \| -£ 90.00 \| \| Other Income \| \| \| £ - \| \| £ - \| \| \| \| Tenancy Deposits \| \| \| \| \| \| £ 645.00 \| \| -£ 645.00 \| \| \| \| \| \| \| \| \| \| \| MDAS Commission \| \| \| \| £ 1,000.00 \| \| £ 828.62 \| \| £ 171.38 \| \| \| \| \| \| \| \| \| \| \| Staff Costs \| \| \| \| £ 8,600.00 \| \| £ 5 ,634.63 \| \| £ 2,965.37 \| \| TOTAL INCOME \| £ 1 1,111.00 \| \| £ 1 4,318.84 \| \| -£ 3,207.84 \| \| 128.87% \| \| TOTAL EXPENDITURE \| \| £ 7 ,127.00 \| \| £ 2 0,710.00 \| \| £ 16,692.09 \| \| £ 11,144.91 \| \| FARMERS' MARKET DETAILED BUDGET \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2017/18 \| \| \| INCOME \| \| Budget 2017/18 \| \| Income Received \| \| Balance \| \| % Received \| \| EXPENDITURE \| \| Budget 2017/18 \| \| Expenditure \| \| Balance \| \| \| Stall Hire \| \| £ 2,000.00 \| \| £ 2,074.00 \| \| -£ 74.00 \| \| 103.70% \| \| Hall Hire \| \| £ 9 00.00 \| \| £ 464.00 \| \| £ 436.00 \| \| \| \| \| \| \| \| \| \| \| \| \| Leaflets/Publicity \| \| £ 2 00.00 \| \| £ 319.00 \| \| -£ 119.00 \| \| \| \| \| \| \| \| \| \| \| \| \| Banners \| \| £ 2 00.00 \| \| £ - \| \| £ 200.00 \| \| \| \| \| \| \| \| \| \| \| \| \| Miscellaneous \| \| £ 50.00 \| \| £ 2 7.79 \| \| £ 22.21 \| \| \| \| \| \| \| \| \| \| \| \| \| Staff Costs \| \| £ - \| \| £ 528.29 \| \| -£ 528.29 \| \| \| TOTAL INCOME \| \| £ 2,000.00 \| \| £ 2,074.00 \| \| -£ 74.00 \| \| 103.70% \| \| TOTAL EXPENDITURE \| \| £ 1,350.00 \| \| £ 1 ,339.08 \| \| £ 10.92 \| \| \| COMMUNITY TRANSPORT DETAILED BUDGET \| \| \| \| \| \| \| \| \| 2017/18 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| INCOME \| Budget 2017/18 \| Income Received \| Balance \| % Received \| EXPENDITURE \| Earmarked Reserves \| Budget 2017/18 \| Expenditure \| Balance \| % Spent \| \| Ticket Sales \| £ 3,200.00 \| £ 1,122.00 \| £ 2,078.00 \| 35.06% \| Ticket Purchases \| \| £ 2,200.00 \| £ 313.67 \| £ 1,886.33 \| 14.26% \| \| \| \| \| \| \| Travel Costs \| \| £ 7 50.00 \| £ 376.14 \| £ 373.86 \| 50.15% \| \| \| \| \| \| \| Driver Costs \| \| £ 2 60.00 \| £ 2 5.00 \| £ 235.00 \| 9.62% \| \| \| \| \| \| \| Refreshments \| \| £ 8 00.00 \| £ - \| £ 800.00 \| 0.00% \| \| \| \| \| \| \| CTA Membership \| \| £ 2 70.00 \| £ - \| £ 270.00 \| 0.00% \| \| \| \| \| \| \| Miscellaneous \| \| £ 50.00 \| £ 5.00 \| £ 45.00 \| 10.00% \| \| \| \| \| \| \| Staffing Costs \| \| £ 4,400.00 \| £ 2 ,336.54 \| £ 2,063.46 \| 53.10% \| \| TOTAL INCOME \| £ 3,200.00 \| £ 1,122.00 \| £ 2,078.00 \| 35.06% \| TOTAL EXPENDITURE \| £ - \| £ 8,730.00 \| £ 3 ,056.35 \| £ 5,673.65 \| 35.01% \| \| LEIGH LIGHTS DETAILED BUDGET \| \| \| \| \| \| \| \| \| 2017/18 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| INCOME \| Budget 2017/18 \| Income Received \| Balance \| % Received \| EXPENDITURE \| Earmarked Reserves \| Budget 2017/18 \| Expenditure \| Balance \| \| \| \| \| \| \| Leigh Lights Reserve \| £ 4,659.00 \| \| \| £ 4,659.00 \| \| Traders Contribution \| £ 1,600.00 \| £ 2,210.00 \| -£ 610.00 \| 138.13% \| Column Testing 1/3 \| \| £ 1,300.00 \| £ - \| £ 1,300.00 \| \| Stall Fees \| £ 4 00.00 \| £ 7 90.00 \| -£ 390.00 \| 197.50% \| Installation Removal & Storage \| \| £ 9,150.00 \| £ 6 ,862.50 \| £ 2,287.50 \| \| Parade Prize contribution \| \| £ 2 50.00 \| -£ 250.00 \| \| Electricity \| \| £ 3 50.00 \| £ - \| £ 350.00 \| \| \| \| \| \| \| Repairs & Renewals \| \| £ 1,100.00 \| £ - \| £ 1,100.00 \| \| \| \| \| \| \| Security \| \| £ 6,000.00 \| £ 4 ,794.88 \| £ 1,205.12 \| \| \| \| \| \| \| Entertainment/Outside Assistance \| \| £ 1,000.00 \| £ 425.00 \| £ 575.00 \| \| \| \| \| \| \| Road Closures & Licences \| \| £ 6,000.00 \| £ 5 ,242.40 \| £ 757.60 \| \| \| \| \| \| \| First Aid, Cleansing & Promotion \| \| £ 8 50.00 \| £ 959.50 \| -£ 109.50 \| \| \| \| \| \| \| Capital Renewals \| \| £ 1 0,000.00 \| £ 9 ,012.00 \| £ 988.00 \| \| \| \| \| \| \| Parade prizes \| \| \| £ 250.00 \| \| \| TOTAL INCOME \| £ 2,000.00 \| £ 3,250.00 \| -£ 1,250.00 \| 162.50% \| TOTAL EXPENDITURE \| £ 4,659.00 \| £ 3 5,750.00 \| £ 27,546.28 \| £ 13,112.72 \|
Appeared as: Bidese, Ermenegildo, Andrea Padovan and Claudia Turolla (2019). Adjective orders in Cimbrian DPs. Linguistics 57(2): 373–394 [https://doi.org/10.1515/ling-2019-0004]. Adjective orders in Cimbrian DPs Ermenegildo Bidese, Andrea Padovan + and Claudia Turolla Abstract: In this work we aim to give a first description of the morphosyntactic behavior of some adjectives in the Cimbrian of Luserna. This Germanic variety allows a subclass of adjectives to appear in post-nominal position. This aspect seems to be relevant, since neither colloquial Standard German nor any other German substandard variety spoken in German-speaking areas display a similar pattern. Along the lines of Cinque (2010, 2014), we argue that Cimbrian, with respect to the adnominal adjectival order, has maintained the Germanic pattern of Merge, but permits in some cases NP-Movement above the ("bare" AP reduced) relative clause projection. The fact that adjectives following the head noun are predicative rather than attributive is supported by the fact that post-nominal modifiers never show up with inflection. Keywords: Cimbrian, German-based minority languages, syntax, adjectives, NP-movement 1 Introduction 1 Cimbrian is a German(ic) minority language belonging to the Southern Bavarian dialects and is nowadays spoken only in the small mountain village of Luserna (Lusérn), close to Trento, in the south-eastern Italian Alps (see Bidese 2004); its lexicon shows a number of borrowings from the surrounding Romance dialects, which is a well-known process since the middle ages (see Gamillscheg 1912). Until few decades ago this language was spoken in a much wider area in the Veneto and Trentino regions, in the provinces of Trento, Verona and Bassano del Grappa (see [Linguistics 57(2), 374] again Bidese 2004). The varieties of Roana and Giazza, which were slightly different from each other and from the one in Luserna, can be currently considered only as "Erinnerungssprachen" (Bidese 2011: 11), since they are not used anymore in everyday communication, just for recalling traditions and old customs. In fact, they are no longer transmitted to new generations but are taught in language courses instead. Cimbrian has remained essentially isolated from the other Southern Bavarian dialects since the eleventh century, when this Italian alpine area was first colonized (see Bidese 2004). This fact has allowed both the preservation of morphophonological features, which trace back to older stages of German (see Kranzmayer 1981–1985 [1923]; Tyroller 1994 as well as Alber 2015; Alber and Meneguzzo 2016), and the evolution of – especially syntactical – peculiarities which are unique among the dialects now spoken in Germanspeaking areas, but rather comparable to those found in other Germanic * Ermenegildo Bidese, Dipartimento di Lettere e Filosofia, Università degli Studi di Trento, Via Tommaso Gar 14, 38122, Trento, Italy, E-mail: firstname.lastname@example.org https://orcid.org/00000002-9521-3089; Claudia Turolla, Dipartimento di Lettere e Filosofia, Università degli Studi di Trento, Via Tommaso Gar 14, 38122, Trento, Italy, E-mail: email@example.com; + Andrea Padovan, Dipartimento di Lingue e Letterature Straniere, Università degli Studi di Verona, Lungadige di Porta Vittoria 41, 37129, Verona, Italy, E-mail: firstname.lastname@example.org https://orcid.org/0000-0003-3958-3656 i minority languages in Italy such as Walser (see Dal Negro 2004; 2014) and Mòcheno (see Bidese et al. 2012a and especially Cognola 2013). In recent years generative-inspired research has focused on Cimbrian grammar paying a great deal of attention to (micro)variation and (contactinduced) language change in particular with regard to following topics: (a) Verb-Second. Cimbrian displays neither the German-like Verb Second nor the residual Englishlike pattern; rather, it does invert only the pronominal subject, whereas full DP-subjects usually show up pre-verbally, also together with other constituents (see Bidese and Tomaselli 2007; Bidese 2008; Bidese et al. 2012a); (b) The pronominal system. Cimbrian shows a tripartite structure of personal pronouns, in which a specific form is linked to a specific position: (1) stressed forms are free and behave as full DPs; (2) Preverbal unstressed forms appear alone, i.e. without any other constituent, before the finite verb in main declarative sentences; (3) Postverbal unstressed forms are encliticized onto the finite verb in main declarative sentences and onto the complementizer in subordinate sentences (Poletto and Tomaselli 2002; Bidese 2008; Kolmer 2005, Kolmer 2012; Bidese 2011; Abraham 2011); (c) the subordination system. Cimbrian displays a sophisticated correlation of word order patterns and types of complementizers; some complementizers (prototypically az 'that') require a word order pattern that is asymmetric with respect to the one found in matrix clauses; other complementizers (prototypically ke 'that', but also ombrómm 'because') a word order pattern that is perfectly symmetric to that of the main sentence trigger (Grewendorf and Poletto 2009, Grewendorf and Poletto 2011; Padovan 2011, Bidese et al. 2012b; Bidese et al. 2013, Bidese et al. 2014; Bidese and Tomaselli 2016). In this paper we aim for the first time to explore the structure of DP of Lusern Cimbrian focusing on some morphological aspects and on the syntactic [Linguistics 57(2), 375] behavior of some adjectives that can appear post-nominally. In fact, Poletto (2013: 90) touches upon this issue depicting Cimbrian adjectives as typical Germanic structures ([A [N]]) totally disregarding the possibility for the adjective to occur post-nominally (see (1a)–(2a) versus (1b)–(2b)): ``` (1) a. a naüga arbat a new-F.SG.NOM/ACC job 'a new job' (Poletto 2013: 90) 2 b. ??an arbat naüga a job new- F.SG.NOM/ACC (2) a. a gelz haus a yellow-N.SG.NOM/ACC house 'a yellow house' b. ??a haus gelz a house yellow-F.SG.NOM/ACC ``` 1 We inserted the glosses and adapted the Examples to the official orthography adopted with Panieri et al. (2006). ii However, it must be observed the these examples, reproduced by Poletto, are not relevant for the discussion here, since the adjectives naüge 'new' in (1) and gel 'yellow' in (2) show the strong declension (which is obligatory only with the indefinite article or no article at all): see the suffix -a for feminine singular, nominative or accusative in (1), and in (2) the suffix -z for neuter singular, nominative or accusative. Inflected adjectives are, indeed, totally excluded in the post-nominal position, not only in Cimbrian but also in German. Instead, the significant pattern which we discuss in this article crucially deals with uninflected post-nominal adjectives. In this case Cimbrian allows for some adjectival classes to be realized also after the noun. This position is also available in Standard German but to a lesser extent and in any other non-standard variety in use in the German-speaking areas, which makes the Cimbrian pattern unique among the German varieties and interesting from both a theoretical and a comparative perspective. 3 [Linguistics 57(2), 376] As for the structure of the contribution, we present the inflectional system of the adjectives in contemporary Lusern Cimbrian – which has undergone a process of morphological leveling – showing that the actual paradigm is better explained in terms of loss of inflectional morphology rather than in terms of preservation of an archaic pattern (see Section 2). In Section 3 we discuss the possibility that adjectives occur post-nominally with the restrictions connected to this novel scenario: we will show that not all orders are attested. Section 4 is devoted to the analysis that we put forward along the lines of Cinque (2010, 2014): crucially, we argue that Cimbrian maintains the Germanic pattern of adjective ordering, allowing nevertheless for a wider range of structural variation. In Section 5 we briefly compare the situation of Cimbrian adjectives with some erratic data found in Mòcheno, a neighboring Germanic language and provide a general conclusion. 2 Adjectival morphology in Cimbrian Both traditional descriptions and recent grammars have distinguished between – the typically Germanic – strong and weak declensions in the Cimbrian adjectival morphology: we begin with traditional descriptions of which we give a quick historical overview. Schmeller (1838: 678–680) briefly referred 4 to a first and a second declension of adjectives although he noticed that the two declensions are not kept separate in all cases: "This second type has been clearly kept different from the first declension; however, examples of the confusion of the two classes are also found". 5 3 For a general overview of Germanic adjectives see also Roehrs (2014). Moreover, Kotowski and Härtl (this volume) offer an overview about the restrictions prenominal adjective are subjected to in German(ic). 5 Our translation: "Das Gefühl für den Unterschied dieser zweiten von der ersten Declinationsweise der Adjektive hat sich sehr lebhaft erhalten. Doch fehlt es nicht an Beispielen der Verwechslung beider". 4 Schmeller is mainly concerned with the Cimbrian varieties of the Seven and the Thirteen Municipalities, but the internal differences can be abstracted away from, since there is consistency among all the Cimbrian varieties. iii More than a century later, Bruno Schweizer pointed out in his grammar (2008 [1951/1953]: 389) that in the Cimbrian dialects of Giazza, Roana and Lusérn the following typologies exist: (1) The strong declension with the endings pronominal inflection, which is basically used with or without the definite article, (2) the weak declension with the endings of the Nstems and (3) an uninflected form which sometimes occurs instead of both the weak and the strong declensions. 6 [Linguistics 57(2), 377] With regard to these last forms, the author adds that "the usage of these uninflected forms is still poorly understood". 7 Thus, in Schweizer's time, uninflected forms begin to show up in contexts where inflection is expected. Concerning contemporary descriptions of Luserna Cimbrian, the grammar by Tyroller (2003) also distinguishes between a weak declension, preceded by the definite article, and a strong declension, which follows the indefinite article. For the former, he emphasizes that the nominative singular turns up with zero morphology, as in (3), (4) and (5) (see Tyroller 2003: 141– 148): 8 (3) dar groaz månn the tall-ø man 'the tall man' (4) di voll boza the full-ø bottle 'the full bottle' (5) daz grümma gras the green-ø grass 'the green grass' Uninflected forms also appear in accusative singular feminine and neuter, while the morpheme -an and its allomorphs show up in dative for all genders, as in (6) and (7), in accusative masculine, as in (8), and in plural for all cases and genders: (6) in groazan månn the-M.SG.DAT big-M.SG.DAT man 'to the big man' (7) dar müadn khua the-F.SG.DAT tired-F.SG.DAT cow 'to the tired cow' [Linguistics 57(2), 378] 6 Our translation: "[ … ] (1) die starke Flexion mit den Endungen der pronominalen Flexion, die im Wesentlichen ohne oder mit unbestimmtem Artikel gebraucht wird, (2) die schwache Flexion mit Endungen der N-Stämme, (3) eine unflektierte Form, die gelegentlich an Stelle der schwachen Flexion aber auch der starken eintreten kann." 8 The orthographic rules followed here are the ones adopted in Panieri et al. (2006). 7 Our translation: „man durchblickt noch nicht ganz deutlich die Verwendung der endungslosen (‚unflektierten') Form". iv (8) di grüanen grésar the-N.PL.NOM green-N.PL.NOM herbs 'the green herbs' On the other hand, the strong declension displays an inflectional suffix for each case and gender, both in singular and in plural: the morpheme -ar for the nominative masculine singular, as in (9), -a for the nominative and accusative feminine singular, as in (10), -(e)z and its allomorphs for the nominative and accusative neuter, as in (11), -e for the nominative and accusative plural of the three genders, as in (12), -an and its allomorphs in the other cases, as in (13): (9) a schüanar tage a beautiful-M.SG.NOM day 'a beautiful day' (10) a guata muatar a good-F.SG.NOM mother 'a good mother' (11) a tiavez tal a deep-N.SG.NOM valley 'a deep valley' (12) bravate khindar well-behaved-N.PL children 'well-behaved children' (13) an hoatarn hümbl a-M.SG.ACC bright-M.SG.ACC sky 'a bright sky' The grammar of Panieri et al. (2006: 124–142) also identifies a weak declension, which shows up if the adjective follows either the definite article or the demonstrative pronouns in attributive function, and a strong one, which is found if the adjective follows the indefinite article, the possessive pronouns in their adjectival function, and in general the indefinite pronoun in attributive function, or if no determiners precede the adjective. For the weak declension the authors emphasize that the singular forms exhibit strong morphological differences due to the syllabic structure or the phonetic characteristics of the adjective (see Panieri et al. 2006: 124–142); for [Linguistics 57(2), 379] instance, monosyllabic adjectives like groaz 'tall', voll 'full', barm 'warm' or guat 'good' show "a really simple inflectional pattern […], in which only the v dative feminine singular and all plural forms carry the suffix -n while the other forms are not inflected" 9 (see Table 1): Table 1: Weak declension of monosyllabic adjective in Cimbrian according to Panieri et al. (2006: 127). \| CASE \| MASC. SING. \| FEM. SING. \| NEUT. SING. \| \|---\|---\|---\|---\| \| NOM. \| dar alt månn ‘the old man’ \| da guat diarn ‘the good girl’ \| daz groaz khinn ‘the tall boy’ \| \| DAT. \| in alt månn ‘(to) the old man’ \| dar guat-n diarn ‘(to) the good girl’ \| in groaz khinn ‘(to) the tall boy’ \| \| ACC. \| in alt månn ‘the old man’ \| da guat diarn ‘the good girl’ \| daz groaz khinn ‘the tall boy’ \| Belonging to this category are also: (a) disyllabic adjectives ending up in liquid consonants (r, l) like saubar 'clean' or tunkhl 'dark'; (b) disyllabic adjectives that denote a material, such as boatza 'wheaten', 10 hültzra 'wooden' or aisra 'of iron' and (c) disyllabic adjectives ending up in –mma like khlumma 'small', schümma 'beautiful' or grümma 'green' which derive from the older monosyllabic forms khluan, schüan and grüan. 11 The fact that the weak declension has several uninflected forms can be explained adopting two different approaches, both of them representing an interesting point of discussion for the morphological diachronic development of a minority language which has evolved without further contact with its formerly cognate varieties and has only recently known a standardization process. As a matter of fact, the lack of inflectional morphology can be seen as an sign of a more archaic stage, since in the Middle High German (see Paul 2007: 200–201) there was a weak declension corresponding to the third class of the nouns and a strong declension which resembled the one of pronouns but uninflected adjectives in pre-nominal position were also possible: "an [Linguistics 57(2), 380] uninflected, nominally-strong form exists, occurring when the attributive adjective precedes the noun it modifies, namely in the nominative singular of all genders and in the accusative neuter singular". 12 Moreover, if one considers the first Cimbrian Catechism of 1602 (see Meid 1985), which documents a stage of language earlier than the one described by Schweizer, Tyroller, and Panieri, one finds that adjectives of the weak declension – i.e. the ones preceded by a definite article – display inflection in nominative and accusative of all genders, as in (14) and (15): 9 Our translation: "ein sehr einfaches Flexionsmuster [ … ], bei dem lediglich der Dativ Singular der Feminina und alle Pluralformen die Endung -n tragen, während die anderen Formen nicht flektiert werden". 11 Even for all these types Tyroller (2003: 144–145) reports the suffix -n also for M.SG.DAT. and ACC (see above Note 8). 10 As Panieri et al. (2006: 130, fn. 41) notices, these forms derive from the original derivational suffix –in (see Middle High German weitzīn 'wheaten'). 12 "die endungslose, nominal-starke Form schließlich kann [ … ] stehen, wenn das attributive Adj. seinem Bezugswort vorangeht, und zwar in NOM.SG. aller Geschlechter und im AKK.SG. NEUT.: der bluotec sweiʒ; ein gout man". vi (15) der ebeghe toat the-M.SG.NOM eternal-M.SG.NOM death 'the eternal death' Since the first Catechism was written in the Cimbrian of the VII municipalities and not in the variety of Luserna, one might assume that the two varieties differ in terms of inflectional suffixes and that the Luserna dialect has always had uninflected forms with regard to the weak declension. However, referring to the Cimbrian tales collected by Bacher (1976 [1905]: 171), Schweizer (2008 [1951/ 1953]) mentions the possibility of some morphological remnants of weak declension also for this variety attesting, for instance, both uninflected (see 16) and inflected forms (see 17): (16) da rôat earde the red-ø earth 'the red earth' (Schweizer 2008 [1951/1953]: 390) (17) de kxalte tzait 'the cold-F.SG.NOM period' Summarizing the data presented in this section, we can say that the Cimbrian system of adjectives displays a clear distinction between a weak and a strong declension. While the former one does not show any inflectional suffix except [Linguistics 57(2), 381] for an -n in the form of the dative feminine singular (see, however, also fn. 8 and 10) and in the plural forms, the later one preserves the endings in all genders and cases as well as both in singular and in plural. As far as the lack of inflection in the weak declension is concerned, we have provided evidence that it can be interpreted as the result of an erosion process that has led to the loss of the suffixes with the above-mentioned exception. 3 Novel patterns in adjective orderings In the preceding Section we have proposed a possible pattern of evolution of the two inflectional classes of adjectives (strong vs. weak) reconstructing a gradual erosion of forms with respect to the weak declension. Independently of these leveling phenomena the position of the adjective was consistently pre-nominal. In this Section we deal with post-nominal occurrences that correlate structurally – i.e. independently of any erosion process – with an uninflected form. 13 This distribution had already been observed in the past and does not seem to be connected with code-switching, as proposed for Mòcheno (see Alber forthcoming and Section 5, above). 13 As already said in the introductive Section, we do not deal with uninflected adjectives occurring post-nominally since these forms are totally excluded. vii As for the diachronic evolution of the word order pattern within the adjectival system there is no consistent set of data: it is hard both to trace back its emergence and to ascertain whether this phenomenon is connected to previous stages of the language or is to ascribe to recent evolution. The oldest data available stem from 1602 when Cardinal Bellarmine's Catechism, "Dottrina Cristiana Breve (Short Christian Doctrine)", was translated into Cimbrian, (see Meid 1985). In this work, post-nominal adjectives are relatively rare and in general occur with direct borrowings (see Padovan and Turolla 2016) as can be observed in the following examples, where the Italian lexeme is directly inserted into the Cimbrian DP without any adaptation. (18) mitt unzerme contenten spirituale with our-M.SG.DAT joy-M.SG.DAT spiritual-Ø (Italian: "con nostro contento spirituale") 'with our spiritual rejoicing' [Linguistics 57(2), 382] (19) Vatter naturale (Italian: Padre naturale) father-M.SG.NOM natural-Ø 'natural father' Notice that the canonical position for native adjectives is the pre-nominal one, see examples (14–15) repeated here as (20–21). (20) da rekte hant the-F.SG.NOM right- F.SG.NOM hand 'the right hand' (21) der ebeghe toat the-M.SG.NOM eternal-M.SG.NOM death 'the eternal death' As diachronic investigations have not provided us with consistent results, we have assumed that synchronic data collection might cast light on the systematic distribution of adjectives. Let's now go back to the methodology. As regards the fieldwork, it can be divided in two different stages: in the first pilot testing we administered a translation task (from Italian into Cimbrian) to five informants: in many cases the word order proposed was nounadjectives – which often is the unmarked option in Italian. The initial data were often inconsistent as it was not possible to determine which adjectival classes allow for the post-nominal position. This is why we carried out new fieldwork, refining the methods of investigation: first of all, we administered the tasks to a larger group of informants (15 Cimbrian speakers aged between 18 and 68 years); then we added grammaticality judgment tasks containing DPs with both pre- and post-nominal orders of the adjectives. We also increased the number of sentences dividing the adjectives systematically into semantic classes. viii The informants were asked to rank the sentences in Cimbrian containing DPs modified by one or two adjectives according to the following judgment scale: (1) ungrammatical sentence (2) odd but still grammatical 14 (3) grammatical sentence. [Linguistics 57(2), 383] 3.1 One modifier If just one single adjective modifies the noun the frequency of the [A N] order – i.e. the one expected in a Germanic language – is the highest one with both intersective (I) (see (22)–(24)) and subsective adjectives (S) (see (25)– (27)). This does not come as a surprise if one relies on what is claimed in recent traditional grammars of this heritage language (see the abovementioned descriptions of the grammar of Cimbrian: Tyroller 2003; Panieri et al. 2006): Cimbrian adjectives are taken to be usual Germanic adjectives strictly occurring in pre-nominal position; our data confirms this basic tendency (we deal with deviance later on). Intersective adjectives: color (22) a. Dar roat libar iz attn skafàl the red-M.SG.NOM 15 book is on-the shelf 'The red book is on the shelf' b. Dar libar roat iz attn skafàl the book red-Ø is on-the shelf (23) a. Dar Håns hatt inngemekkèt in scharnagl pinn the Håns has hammered the nail with-the-M.SG.DAT sbartz håmmar black-M.SG.DAT hammer 'Hans hammered the nail with the black hammer' b. %Dar Håns hatt inngemekkèt in scharnagl pinn the Håns has hammered the nail with-the-M.SG.DAT håmmar sbartz hammer black-Ø (24) a. Pitt moin geln auto von 1990 geade ka with my-M.SG.DAT yellow-M.SG.DAT car of 1990 go-I to Tria alle di mòrgas 14 Passive competence of the construction was also ranked 2. As is often the case, minority languages display what is dubbed "low normativity effect" (Dorian 2010 based on Lindgren 1999), i.e. different speakers tend to accept constructions they would not produce themselves but other speakers of the community utter: such structures are not judged ungrammatical but are perceived as odd basically as they belong to a specific register (specifically the often frownedupon juvenile jargon). 15 As we have already shown in Section 2, the pre-nominal form preserves its φ-features although it does not manifest them overtly, whereas the post-nominal occurrence is taken to be a bare form devoid of any φ-features. ix Trento all the mornings 'With my 1990 yellow car I go to Trento every morning' [Linguistics 57(2), 384] b. %Pitt moin auto von 1990 gel geade ka with my-M.SG.DAT car of 1990 yellow-Ø go-I to Tria alle di mòrgas Trento all the mornings Intersective adjectives: material (25) a. Daz khelbra vlaisch iz daz peste the of.calf-N.SG.NOM meat is the best '(The) veal is the best' b. 'Z vlaisch khelbra iz daz peste the meat of.calf-Ø is the best (26) a. Di Maria hatt gevuntet a goltnaz gevrìngat the Maria has found a golden-N.SG.ACC ring 'Maria found a golden ring' b. Di Maria hatt gevuntet a gevrìngat goltna the Maria has found a ring golden-Ø (27) a. Pan bintar geabar hèrta auz pitt bollan in-the winter go-we always out with woolen-PL.DAT hångas un halstuach mittens and scarf 'In winter we always go out with woolen mittens and scarf on' b. Pan bintar geabar hèrta auz pitt hångas un halstuach bolla in-the winter go-we always out with mittens and scarf-Ø wollen Subsective: Value (28) a. A guatar vatar straitet nèt pitt soin khindar a good-M.SG.NOM father argues not with his children 'A good father never argues with his children' b. A vatar guat straitet nèt pitt soin khindar a father good-Ø argues not with his children (29) a. I halte nemear auz in zèngrat gesmàkh vo kafè I stand no-longer out the bitter-M.SG.ACC taste of coffee 'I can't stand the bitter taste of coffee any longer' [Linguistics 57(2), 385] b. % I halte nemear auz in gesmàkh zèngrat vo kafè I stand no-longer out the taste bitter-Ø of coffee x (30) a. I hån gelek di slüzzldar in an khlumman kasetì I have put the keys in a-M.SG.DAT small-M.SG.DAT drawer 'I put the keys in a small drawer' b. I hån gelek di slüzzldar in an kasetì khlumma I have put the keys in a-M.SG.DAT drawer small-Ø Subsective: dimension (31) a. Vonan hoachan pèrge hånne nidargeschauget in tal from-the high-PL.DAT mountains have-I overlooked the valley 'From the top of the high mountains I overlooked the valley' b. Vonan pèrge hoach hånne nidargeschauget in tal from-the mountains high-Ø have-I overlooked the valley To sum up, along with normal Germanic adjectives there is a small class of intersective (see 23 and 24) and subsective (29) adjectives that are also allowed post-nominally. Why is it the case? Is Cimbrian in a somehow special position between Italian and German? First of all, Italian allows for both categories, S and I, to appear in a postnominal position, whereas German in general tolerates no adjectives occurring post-nominally. 16 3.2 Two modifiers Another interesting aspect in our survey turns up when it comes to two modifiers. On the one hand both orders S≻I and I≻S are possible when the adjectives [Linguistics 57(2), 386] are pre-nominal; on the other hand, either adjective can appear in a postnominal position: however, data are not consistent with respect to the class of adjectives that can show up in the post-nominal position (32–34): 16 Both in German dialects and in the standard language post-nominal adjectives are either excluded or extremely restricted. However, Dürscheid (2002) and Trost (2006) describe several examples in which post-nominal adjectives in Standard German are productive like in Forelle blau (blue trout), Fußball brutal (brutal soccer), Schrauber verzinkt (zinc coated screw). Nevertheless, these NPs only occur isolated and in marked registers such as newspaper titles, advertisement and commercials (see Dürscheid 2002: Wohnwagen gross, sofort einsatzbereit 'big caravan, ready for use'), menus and in rhyme (see Trost 2006: Das Mägdlein gut, bringt dir den Muth 'The good maid gives you the nerve', Achim v. Arnim u. Clemens Brentano: Schwere Wacht. Jungfrau und Wächter). xi (33) a. %'Z khinn spilt pitnan valsan sklopp hülzra the kid plays with-the-M.SG.DAT false-M.SG.DAT rifle wooden-ø 'The kid is playing with a wooden toy rifle' b. 'Z khinn spilt pitnan hülzran sklop vals the kid plays with-the-M.SG.DAT wooden-M.SG.DAT rifle false-ø (34) a. %Dar Mario hatt gelekk di silbran kornìs naüge atn the Mario has put the silver-F.SG.ACC frame new-Ø on-the tisch table 'Mario put the new silver frame on the table' b. Dar Mario hatt gelekk di naüge kornìs silbran attn the Mario has put the new-F.SG.ACC frame silver-ø on-the tisch table In general, the free order of intersective adjective pairs does not come as a surprise (see Truswell 2009, among others) as it is possible, to different extents, in several languages. However, subsective adjectives are known to precede intersective adjectives in Germanic and to follow them in Romance languages (cf. new red dress/??red new dress and vestito rosso nuovo/??vestito nuovo rosso) (new woolen short/woolen new short) but this does not seem to be the case in Cimbrian where the order of preverbal adjectives turns out to be apparently free (S≻I/I≻S) (vals hülzra sklopp/hülzra vals sklopp). [Linguistics 57(2), 387] 3.7 Specificity-inducing adjectives As for specificity-inducing adjectives such as old, big, poor, etc. our data provides evidence for a possible non-specific interpretation of post-nominal adjectives in indefinite DPs reminiscent of Cinque's (2014) view on Romance: (35) a. An altar pürgarmaistar vo Lusérn hatt gemacht an old-M.SG.NOM mayor of Luserna has done vil vor di djungen a-lot for the young 'An old mayor/A former mayor of Luserna did a lot for the young' b. % An pürgarmaistar alt mage nèt redjarn an mayor old-ø can not administer 'An old mayor cannot administer the town (properly)' (36) a. Sa håm vortgeschickt in arm maistro they have fired the poor-M.SG.ACC teacher 'They fired the poor teacher/the pitiable teacher' b. % Darsell maestro arm håt nèt gelt genumma that teacher poor-ø has not money enough 'That poor teacher hasn't got money enough' xii (37) a. Dar institut hatt gemacht a groazaz börtarpuach the institute has done a great-N.SG.ACC dictionary 'The institute published a good quality dictionary/an unwieldy dictionary' b. 'Z börtarpuach groaz tragez nèt nå umbromm 'z sbert vil the dictionary great-Ø carry-I-it not along since it weighs a-lot 'I'm not bringing the unwieldy dictionary as it weighs too much' Looking at the data, the following questions arise: first of all, how to make sense of the order [A1 N A2] like in da silbran kornis naüge 'the silver frame new' (see 29b), should we hypothesize an influence from the neighboring Romance varieties (see Alber et al. 2012)? If it is indeed the case that Romance word order in APs affects Cimbrian, can the contact situation be described in terms of microvariation (along the lines of Guardiano 2014, according to which parameters in the bilingual mind are more likely to be reset)? As we will show in the next paragraphs, our stance is that the role of language contact may amount to widening the range of possibilities available (see Panagiotidis 2008). [Linguistics 57(2), 388] 4 Analysis At the beginning of the paper we pointed out that the behavior of adjectives follows a quite clear-cut directions: the typology of the orderings [Adjective N] or [N Adjective] is something quite inescapable. However – as we have seen – there seems to be a new pattern emerging in an otherwise clearly regular Germanic language. How is this new strand of Cimbrian data to be dealt with? Should we attribute this innovation either to the resetting of microparameters in the sense of Guardiano (2014) or to the introduction of uninterpretable features in functional categories as hinted at by Panagiotidis (2008)? Along the lines of Cinque (2010, 2014), Giusti (2002) and Laenzlinger (2005), we assume that Cimbrian adjectives maintain the Germanic pattern of Merge, according to which the noun plus the direct modification adjective is merged with a reduced relative clause: In Cimbrian this is instantiated in, e.g. [RRC a naüge [DM silbran [cornìs]]] ('a new silver frame'). For the Romance languages, Cinque argues that the noun can optionally raise across one or more direct modification adjectives: this optional movement must be followed by obligatory raising of the noun plus direct modification adjective(s). xiii In Italian this movement is exemplified by phrases such as: (40) a. [RRCun corrotto[DMgiovane[avvocato]]] b. [RRC c. un corrotto [DMavvocato giovane avvocato [un avvocato giovane[RRC ]]] corrotto[DMavvocato giovane avvocato]]] 'a corrupt young lawyer' What we argue for Cimbrian regards on the one hand the inapplicability of the optional raising of the noun across the direct modification adjectives, as can be observed in (41): [Linguistics 57(2), 389] X On the other hand, the cluster formed by direct modification adjectives plus noun can, but need not, move as NP in front of the reduced relative cl. adjectives (see 42a–b): (42) a. da naüge silbran kornis b. % da silbran kornis naüge attn tisch Notice that the pattern in (42b) is attested neither in Italian (Romance) nor in German; however, a very interesting parallel with some English RRC adjective classes can be drawn, even though the classes are not entirely overlapping (see Cinque 2014): (43) the [RCC available [DM former students] → the former students available former students Structures like the ones under (42b) showcase a definitely new feature in the Cimbrian DP: should one take them by and large for contact-induced phenomena? It would be prima facie hard to do so as these constructions are not attested in the model language(s) (Italian and, to a certain extent, German). However – as is the case of the borrowing of functional words in Cimbrian such as the complementizer ke (see Grewendorf and Poletto 2009; Padovan 2011 and Bidese et al. 2012b) – we argue that language contact is not instantiated by the mere transfer of structures (which is never the case) but, quite differently, contact manifests itself in favoring the emergence of new alternatives, whose coming into being is allowed by the system and only upheld by the contact situation. Having this in mind, we can finally go back to the cases under (23b)– (24b) and (29b) and (35b), (36b), where the post-nominal occurrence of both intersective/subsective and specificity-inducing adjectives might be considered to mirror the Romance pattern [N AP]: on the contrary, we take that resemblance to be only superficial as it merely represents a further possibil- xiv ity acquired into the Cimbrian DP. First of all, they are always pragmatically marked structures and hence their distribution is not reminiscent of Italian; secondly, post-nominal adjectives are always uninflected and this definitely points to their reduced relative clause origin. [Linguistics 57(2), 390] 5 Concluding remarks Patterns similar to the ones attested in Cimbrian can be found in Mòcheno, a neighboring Germanic variety also spoken in the Province of Trentino. Mòcheno noun phrases closely resemble those of Standard German(ic), as determiners and adjectives typically precede the noun. Rowley (2001: 117) mentions erratic examples, of very recent attestation, where an adjective can actually follow the noun provided that it occurs in its uninflected form. The Examples originally appeared in Mattiola (1985: 89) and Zampedri (1995: 87–88) are the following: (44) pet en trit gabis with a step determined-ø 'with a determined step' (45) van binter vergongen from winter passed-ø 'of the past winter' (46) pet de mascíindl elektrisc with the machine electric-Ø 'with the electric machine' It is not easy to determine whether these structures have arisen under Romance influence since they look more like products of code-switching rather than true (structural) borrowings, given their rareness (see Alber et al. 2012 for similar structures in the Cimbrian of Giazza, where they seem to be more widespread). Moreover, this phrases have the feel of something idiomatic and basically fixed in its form. In fact, as for (45) the form vergongen ('passed') is a past participle and its post-nominal occurrence does not come as a surprise. Elektrisc was – at the time when Rowley published his monograph – perceived as a neologism. 17 Concluding, in this paper we have shown that contact may have played a role in the reordering possibilities of the Cimbrian DP which allows for more orders than German. As is the case with other grammatical features (complementizers, embedded V2, etc.), contact does not manifest itself in structure borrowing, but in maintaining change that is already hard-wired in the [Linguistics 57(2), 391] 17 Curiously, both 'past' and 'electric' can occur post-nominally in English in certain contexts: recall 'The Ghost of Christmas Past' in Dickens's A Christmas Carol and the famous line by Walt Whitman 'I sing the body electric', where the adjective electric – which was not commonly used at the time – shows up in a post-nominal, possibly emphatic, position. xv language. In particular, the post-nominal position of adjectives is not excluded in Germanic but is very restricted: Cimbrian has simply moved to a status in which the classes of adjectives that occur post-nominally are gradually increasing, at least in the grammars of a group of speakers. Acknowledgements: This contribution was written by the authors in complete collaboration. For the formal definition of scholarly responsibility, as required by the Italian academic system, we declare that Ermenegildo Bidese draws up the Sections 1. and 2., Andrea Padovan the Sections 4 and 5, and Claudia Turolla the Section 3. The contents of this article were presented at the 38th Annual Meeting of the Gesellschaft für Sprachwissenschaft (DGfS), AG 13: Adjective Order: Theory and Experiment (Konstanz, 24–26 February, 2016). This work is part of the project AThEME (Advancing the European Multilingual Experience) funded by the European Union's Seventh Framework Programme for research, technological development and demonstration under grant agreement no. 613465. We thank the anonymous reviewers for their comments and useful feedback, as well as Eva Wittenberg and Andreas Trotzke for their editorial effort. Any inaccuracies and inconsistencies remain our own. References Abraham, Werner. 2011. Spoken syntax in Cimbrian of the linguistic islands in Northern Italy – And what they (do not) betray about language universals and change under areal contact with Italo-Romance. In Michael T. Putnam (ed.), Studies on German language Islands (Studies in Language Companion Series 123), 233–278. Amsterdam & Philadelphia: John Benjamins. Alber, Birgit. 2015. Die deutschen Sprachinseln der Zimbern und Fersentaler in Norditalien. Konservativität, Innovation und Kontakt im Lautsystem. 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Two cases of toxic methanol ingestion, one leading to brain death: case reports and a brief review Arvind Rajamani Clinical records Patient 1 Crit Care Resusc ISSN: 1441-2772 1 March 2012 14 1 56-59 © Cr i t C a r e R e s u s c 2 0 1 2 www.jficm.anzca.edu.au/aaccm/journal/ publications.htm Case reports A 60-year-old man who was deeply unconscious was brought to a rural hospital emergency department. He had experienced severe vomiting in the past 12 hours. His friend gave the history that he and another friend had consumed home-brewed alcohol 24 hours before. Apart from well controlled type 2 diabetes mellitus, his past history was unremarkable. He was immediately endotracheally intubated for deep unconsciousness and airway protection, and was commenced on noradrenaline (~ 0.3 g/kg/min) for hypotension and surface warming for hypothermia (core temperature, 33.8C). Pupils were 4 mm in size bilaterally with no reaction to light. Arterial blood gas measurement on 0.3 FiO 2 showed a severe metabolic acidosis (pH 7.02; [reference interval (RI), 7.35–7.45]; paCO 2 , 23 mmHg [RI, 35–45 mmHg]; PaO 2 , 135 mmHg; bicarbonate concentration, 6 mmol/L [RI, 22–28 mmol/L]; anion gap, 33 mmol/L [RI, 12– 20 mmol/L]). Plasma biochemical analysis showed urea concentration, 7.3 mmol/L [RI, 3.2–7.1 mmol/L]; creatinine level, 254 mol/L [RI, 55–105 mol/L]; blood glucose level, 8.4 mmol/L [RI, 3.9–7.8 mmol/L]; lactate concentration, 7.6 mmol/L [RI, 0.5–2.0 mmol/L]; and ketone level, 0.2 mmol/L [RI, < 0.1 mmol/L]. A computed tomography (CT) scan of the brain did not show acute pathological features. An empirical diagnosis of toxic alcohol ingestion was made. Transfer to my tertiary intensive care unit, which is 1 hour away by air, was organised. On arrival, a blood sample was sent for measurement of plasma osmolality and plasma concentrations of ethanol, methanol and ethylene glycol. The patient was then immediately commenced on an intravenous infusion of 10% ethanol to empirically treat poisoning with non-ethanol alcohols and glycols (NEAGs). As per published guidelines, 1 100% ethanol was diluted in 5% dextrose to a 10% concentration and the infusion dose titrated to target plasma ethanol levels of about 22 mmol/L (100 mg/dL). This was changed to nasogastric ethanol the next morning. Continuous venovenous haemodiafiltration (CVVHDF) was commenced for the dual indications of severe metabolic acidosis and NEAG toxicity. 56 Critical Care and Resuscitation ABSTRACT Two patients were admitted sequentially to a rural emergency department, then transferred to a tertiary intensive care unit, both with serious methanol poisoning from home-brewed alcohol. They were intubated, mechanically ventilated, and treated with intravenous and nasogastric ethanol and continuous venovenous haemodiafiltration. Although quite similar in presentation, metabolic complications and therapy, one patient became brain dead due to severe cerebral oedema, while the other was discharged without any significant complications. Their course highlights the importance of early treatment of non-ethanol alcohol poisoning. The biochemical analysis was instructive. The measured osmolality was 411 mmol/L (osmolal gap, 101 mosm/L). The measured plasma lactate concentration was 1.2 mmol/L and plasma ketone concentration was 0.2 mmol/L. Therefore, the osmolal gap was mainly due to an unmeasured osmole such as an alcohol — ethanol, methanol or ethylene glycol. Borderline plasma calcium concentration (1.18 mmol/L [RI, 2.13–2.63 mmol/L]) made ethylene glycol ingestion unlikely. Differentiating between the former two required direct measurement of their concentrations, but it was considered appropriate to empirically treat for methanol ingestion given the serious toxidrome associated with it. Several hours later, the measured ethanol and methanol concentrations were available: < 2.2 mmol/L and 72.7 mmol/L, respectively, confirming the diagnosis of toxic methanol ingestion. Plasma osmolality and ethanol levels were measured 6-hourly to titrate the infusion dose of ethanol. Sixteen hours after it was first measured, plasma osmolality had decreased to 332 mosm/kg. During the next 24 hours, the patient's pupil size changed from 4 mm to 6 mm (still no response to light). In the setting of supratherapeutic anticoagulation with heparin for CVVHDF for a few hours, intracerebral haemorrhage was raised as a possible cause. A CT scan of the brain was performed; its Volume 14 Number 1 March 2012 CASE REPORTS findings were reported by the radiology registrar as "subarachnoid haemorrhage", on the basis of which a CT angiogram of the circle of Willis was performed. The radiological diagnosis of subarachnoid haemorrhage was subsequently modified by the radiology consultant as "pseudo-subarachnoid haemorrhage", a well described artefact associated with increased intracranial pressure. 2 The CT scan was formally reported as showing severe cerebral oedema with inferior herniation of the cerebellum. Two days later, when intravenous ethanol was stopped and ethanol concentration was < 2.2 mmol/L, neurological examination demonstrated evidence of brain death. However, as the possibility of methanol-induced optic neuritis precluded clinical examination for brain death, a radionuclide HMPOA scan was performed, which confirmed brain death. The patient's family consented to organ donation, with successful transplantation of the liver, both kidneys, heart and both corneas. Patient 2 Patient 2 was a friend of Patient 1, was 42 years old, and had ingested the home-brewed alcohol at the same time. He presented to the same rural hospital emergency department 26 hours after Patient 1 (ie, about 50 hours after the alleged time of ingestion). He had complained of no significant symptoms in the first 36 hours, but started having blurred vision for a few hours followed by worsening drowsiness. Critical Care and Resuscitation At presentation in the emergency department, the patient was still answering questions, but was confused and disoriented, due to which visual acuity could not be evaluated. Biochemical analysis revealed a severe high anion gap and high osmolal gap metabolic acidosis. He was intubated to facilitate ethanol therapy and transferred to my tertiary ICU. After a few days of receiving virtually identical therapy as Patient 1 (mechanical ventilation, CVVHDF, intravenous followed by nasogastric ethanol), he not only survived to be discharged home, but also regained full neurological and visual function (which was surprising, given his delayed presentation with visual symptoms). The significant clinical and biochemical differences are summarised in Table 1. Discussion Poisoning from ingestion of NEAGs (methanol, methylene glycol and ethylene glycol) is uncommon in Australia, with the Victorian registry having only 48 confirmed exposures in the past 5 years across the state (as determined by a search of Austin Health's website, http:// www.austin.org.au; search term "methanol"). Substances containing NEAGs include antifreeze, canned heating sources, copy machine fluids, fuel additives (octane boosters), paint remover or thinner, shellac, varnish and windshield wiper fluid. Once ingested, NEAGs have excellent bioavailability and undergo firstpass metabolism in the liver by the enzyme alcohol dehydrogenase (ADH) to various acids. The spectrum of toxicity includes common class effects, namely, metabolic acidosis with a combination of high anion gap (due to the metabolite) and high osmolal gap (due to the parent drug), plus unique end-organ effects due to the parent drug and its metabolite. For instance, methanol causes direct neurotoxicity and ocular changes, such as optic neuritis, which leads to transient or permanent blindness. Direct neurotoxic effects of methanol and its metabolite formic acid include retinal injury with optic disc hyperaemia, oedema, and eventually permanent blindness, as well as ischaemic or haemorrhagic injury to the basal ganglia. 3 These changes are postulated to result from disruption of mitochondrial function. 3 Severe toxic methanol ingestion carries a high mortality (~ 48%) and morbidity (23% blindness in survivors). 4 Poor prognosis was associated with pH < 7, coma on admission and a delay of 24 hours or more from ingestion to admission. 4 Therefore, prompt institution of specific treatment is key to reducing morbidity, even before confirming the diagnosis. Any patient who presents with a high anion Volume 14 Number 1 March 2012 57 gap and high osmolal gap metabolic acidosis that cannot be explained by lactic acidosis or ketoacidosis must be assumed to have toxic NEAG ingestion, and specific treatment commenced empirically. Regardless of the specific NEAG consumed, the management principles of toxic NEAG ingestion are similar — initial resuscitation and stabilisation including airway protection, treatment of metabolic acidosis, enhanced elimination of the unmetabolised compound and existing toxic metabolites and inhibition of NEAG metabolism. Enhanced elimination from the blood is achieved by dialytic therapy, while inhibition of NEAG metabolism is achieved by competitive inhibition of ADH. For many decades, the only available competitive inhibitor was ethanol, administered either enterally or intravenously. Ethanol therapy has significant disadvantages including hypoglycaemia, hypothermia, and, most importantly, neurological depression or agitation from inebriation necessitating airway protection. Dosing is unpredictable due to variations from differences in metabolism and clearance by dialysis. Another antidote, fomepizole (4methylpyrazole), is now considered the antidote of choice when available. Apart from being 8000 times more potent than ethanol as an ADH inhibitor, its other advantages over ethanol include ease of dosing and the fact that monitoring is not required. 5 Its main drawback is significant cost, especially in dialysed patients, among whom the frequency of dosing is 4-hourly instead of 12hourly. Hence, it is not readily stocked in most Australian hospital pharmacies. I could not obtain it for these two patients at short notice from the hospital pharmacy or elsewhere, and thus had to use ethanol. Intravenous ethanol is administered by diluting 100% dehydrated ethanol to 10% to avoid possible damage to central venous catheters. Nasogastric ethanol is administered at 20%–40% strength due to the high risk of gastric mucosal excoriation at higher concentrations. Due to variations in absorption and hepatic enzyme induction, there is no "standard" dose. To achieve effective competitive inhibition of methanol, the recommended target plasma ethanol concentration is 22 mmol/L (100 mg/dL). Infusion rates to achieve this target level could reach 200–250 mL/h. Dosing is further complicated by clearance of ethanol by dialysis. The simplest way is to start with the recommended initial dose, and regularly monitor plasma ethanol concentrations and plasma osmolality. The treatment is ceased on resolution of the metabolic acidosis and when the methanol level is < 6.24 mmol/L (20 mg/dL). These two cases of methanol poisoning with important differences in presentation and outcome raise several issues. Patient 1's poor outcome may have been due in part to the delay in instituting treatment of possible methanol 58 Critical Care and Resuscitation poisoning until transfer to the tertiary hospital, despite a presentation that was highly consistent with toxic NEAG ingestion. This was partly a failure on my part as the tertiary intensive care specialist, in not advising the referring rural hospital emergency department to initiate empirical treatment. The reason for the startling difference in outcome between the two patients was unclear, but the initial biochemistry raises some possibilities. One possible reason is a lower ingested toxin load in Patient 2, as evidenced by lower methanol level and smaller osmolal gap. However, the lower plasma levels could have also been due to greater metabolism of methanol to formic acid as a result of the delayed presentation. Another possibility is that Patient 2 had a significant coingestion of ethanol (admission ethanol levels were much higher than Patient 1, despite the delay in his presentation), which acted as an antidote. The cause of the cerebral oedema that led to brain death in Patient 1 could have been direct neural toxicity from methanol or its metabolite (formic acid). It also could have been caused or exacerbated by severe osmolal shifts — in Patient 1, plasma osmolality decreased precipitously from 411 mosm/kg to 332 mosm/kg over 16 hours. There were competing forces affecting the osmolality — decrease in osmolality due to clearance of methanol and ethanol by CVVHDF and increase in osmolality due to ethanol and glucose administration, with the net effect being unpredictable. Despite identical treatment, the plasma osmolality in Patient 2 only decreased gradually. I still cannot explain the reason for this occurrence. Pseudo-subarachnoid haemorrhage is a well recognised entity in patients with severe cerebral oedema, and must be considered whenever radiological findings are inconsistent with the clinical setting, or when radiological findings are not internally consistent. 2 Postulated mechanisms to explain the increased attenuation of the basal cisterns in the setting of diffuse cerebral oedema include vasogenic oedema, and congestion of the superficial pial veins. 2,6 In Patient 1's case, the consultant radiologist noted that the distribution of the subarachnoid blood was disproportionately diffuse, without a concomitant intraventricular haemorrhage. CT angiogram diagnosis of brain death is not well validated, and requires several specific criteria. 7 Australian and New Zealand Intensive Care Society guidelines on brain death recommend a more validated imaging investigation such as 3- or 4-vessel angiography or radionuclide perfusion scan for confirmation. 7 Once brain death was confirmed, the suitability of organ donation in the setting of methanol poisoning was raised. Several case reports have described successful Volume 14 Number 1 March 2012 CASE REPORTS organ donation from such donors, 8,9 and this case adds to that pool. Author details From this experience, I have several recommendations to make: * In the setting of high anion gap and high osmolal gap metabolic acidosis, with likely alcohol poisoning, it may be advisable to start treatment early while awaiting confirmation of plasma alcohol levels. The benefits of early treatment with ethanol for a non-ethanol toxic NEAG ingestion outweigh the risks of administering ethanol. * During treatment of NEAG ingestion poisoning with ethanol, recommended guidelines are only a starting point; the dose must be titrated using frequent monitoring of plasma osmolality and ethanol concentrations in the initial phase of treatment (eg, 2-hourly instead of 6-hourly). * Although it is not feasible for every ICU to stock fomepizole, consideration could be given to having a centralised stockpile in at least one ICU in each large city, ready to be deployed at short notice where required. * Intensive care specialists should be aware of the phenomenon of pseudo-subarachnoid haemorrhage in patients with severe cerebral oedema. Competing interests None identified. Arvind Rajamani, Intensive Care Specialist Nepean Hospital, Sydney, NSW, Australia. Correspondence: email@example.com References 1 Sivilotti MLA, Winchester JF. Methanol and ethylene glycol poisoning. UpToDate, version 19.1. Jan 2011. 2 Given CA, Burdette JH, Elster AD, et al. Pseudo-subarachnoid hemorrhage: a potential imaging pitfall associated with diffuse cerebral edema. AJNR Am J Neuroradiol 2003; 24: 254-6. 3 Sivilotti ML, Burns MJ, Aaron CK, et al. Reversal of severe methanol-induced visual impairment: no evidence of retinal toxicity due to fomepizole. J Toxicol Clin Toxicol 2001; 39: 627. 4 Hassanian-Moghaddam H, Pajoumand A, Dadgar SM, Shadnia Sh. Prognostic factors in methanol poisoning. Hum Exp Toxicol 2007; 26: 583-6. 5 Jacobsen D. New treatment for ethylene glycol poisoning. N Engl J Med 1999; 340: 879. 6 Opeskin K, Silberstein M. False-positive diagnosis of subarachnoid haemorrhage on computed tomography scan. J Clin Neurosci 1998; 5: 382-6. 7 Australian and New Zealand Intensive Care Society. ANZICS statement on death and organ donation. Edition 3.1. Melbourne: ANZICS, 2010. 8 Silva JA, Chamorro C, Varela A, et al. Successful bilateral lung transplantation from a methanol-poisoned donor. Transplant Proc 2004; 36: 2806-7. 9 López-Navidad A, Caballero F, González-Segura C, et al. Shortand long-term success of organs transplanted from acute methanol poisoned donors. Clin Transplant 2002;16:151-62. The Australian Short Course on INTENSIVE CARE MEDICINE Publications Handbook 2001, 2004 - $25.00 each (2002, 2003, 2005, sold out) Clinical Examination of the Critically III Patient (3rd ed) - $35.00 (All amounts are specified in Australian dollars and include GST) Surname (block letters) ..................................................................... Given names..................................................................................... Address Street ................................................................................................... City........................................................ State..................................... Country...................................................Postcode.............................. Handbook 2001 2004 Clinical Examination of the Critically III Patient (3rd ed) Total $............................................... Please make order payable to the College of Intensive Care Medicine (CICM) OR charge to my: Mastercard Visa Card Number Expiry date .......... /.......... Signature ............................................................................................. Cardholder's name ............................................................................ Mail order to: College of Intensive Care Medicine Suite 101, 168 Greville Street Prahran, VIC 3181 Australia Critical Care and Resuscitation Volume 14 Number 1 March 2012 59
Good medicine tastes bitter Global Macro Monthly Key points Global Macro Monthly * Inflation is prevalent across international economies. It appears close to a peak in many economies, but further energy price gains and supply disruptions risk further increases and a slower reversal than previously hoped. * In many cases, higher inflation is associated with tight labour markets – often tighter than before the pandemic. An easing here is required to restore price stability. * Yet early signs of slowdown are emerging. China's COVID policy makes it a special case. More generally, interestrate sensitive sectors like housing, or price sensitive sectors like consumers are starting to soften. But this is not universal and some regions still see solid growth. * This has created a near universal set of conditions for tighter monetary policy with most central banks tightening or continuing to tighten policy. The BoJ and PBoC are amongst the largest exceptions. * Yet these are difficult conditions for markets. Central banks desires for now appears geared to yet further tightening of financial conditions. 1 Good medicine tastes bitter Global Macro Monthly Summary May 2022 David Page, Senior Economist, Macro Research – Core Investments Inflation nears peak in many regions Inflation is a ubiquitous worldwide concern. While we are hopeful it has peaked in the US and UK, and is close to it in the Eurozone, Canada and many Latin America economies, risks still abound. Energy prices have surged since the start of the Ukraine war, but we had feared worse. Over the coming months, gas supply interruptions related to payments for Russian gas and a strong China rebound in the second half of 2022 could add to energy price pressures. Longer term, gas prices could rise further when we head into winter. Meanwhile, China's latest COVID-19 difficulties are likely to add to further supply disruption, something that will slow the pace of inflation retrenchment this year. In most regions we have revised our inflation forecasts modestly higher. While global supply conditions have delivered the greater part of the international inflation surge, countries with tight domestic labour markets are some of those most worried by the prospect of shifting inflation expectations. Several now see unemployment close to, or below, pre-pandemic levels. Yet in the post-COVID-19 world, many economies are undergoing structural realignments, which has likely lifted their natural rates of unemployment. That being the case, labour markets globally are even tighter than a simple comparison of pre-and post-pandemic joblessness would suggest. This is consistent with the higher vacancy rates and elevated wage growth prevalent in many economies. Amidst this inflation angst, there are signs of slowdown in several economies. The case of China is quite specific and our May Monthly Investment Strategy goes into some detail about the repercussions of managing China's Zero-Covid policy and its growth implications. We forecast a belowconsensus 4.5% this year, but recognise risks skewed to the downside to our outlook (Exhibit 1). Developed economies that have tightened policy rates are beginning to see tentative signs of reaction, interest rate-sensitive housing is weakening in the US and Canada, while the UK posted a GDP contraction in March. Yet these signs remain tentative and are not shared globally – indeed we are hard-pressed to identify any signs of deceleration in Central and Eastern Europe, so far at least. This backdrop creates a near universal set of conditions for tighter monetary policy. The Federal Reserve, the European Central Bank, the Bank of England and Bank of Canada, and central banks in Latin America, Asia and Central and Eastern Europe (CEE) are all likely to tighten policy, in most cases further, over the coming months. Only in the CEE is this running into some political opposition. In several cases, and certainly across Europe, tighter monetary policy is being made more likely as governments use public spending to cushion some of the energy income shock to domestic households. It is a testimony to current market conditions that some have even considered that the Bank of Japan could tighten policy – although Governor Kuroda has been swift to dismiss this. Only the People's Bank of China is likely to ease policy as part of a broader stimulus package to ease pressure on the weakening economy – and even it is cautious about the implications for the yuan. Exhibit 1: China growth risks skewed to downside China GDP forecast: base case and risk scenarios Q1 2021 Q2 2021 Q3 2021 Q4 2021 Q1 2022 Q2 2022 Q3 2022 Q4 2022 Source: CEIC and AXA IM Research, 20 May 2022 But this is not a conducive environment for financial markets. Many regions require tighter financial conditions to slow growth and ease labour market pressures. An outlook of slower growth, high inflation and tighter policy is challenging for risk assets. Financial conditions have tightened a lot already – consistent with weaker equity markets and wider spreads. Yet for now central banks appear to be driving those conditions tighter still. As and when this has the desired impact of slowing activity, monetary authorities will likely ease up. But for now, this appear to be some way away. 2 Global Macro Monthly – US Macro Research – Core Investments The narrow runway for a "softish" landing Federal Reserve Chair Powell has just been confirmed for a second term in office; by the end of this term, he may wish he hadn't been. Inflation dipped to 8.3% in April, down from March's 8.5% and underlining our expectation that 8.5% will be the peak of the inflation cycle. However, with energy price uncertainty persisting, we move our annual average forecast higher to 7.6% (from 7.0%) and still expect inflation to be around 6% by year-end. Inflation is too high for the Fed, the American people and the President. At May's meeting of the rate-setting Federal Open Market Committee, Powell made direct representation to the US public, explaining that the Fed would restore price stability. To that end, the Fed announced a 50bp rate hike (the first since May 2001) and the start of quantitative tightening (QT) in June – both of which we had expected – and added that two further 50bp hikes in June and July were currently being considered. This was a faster tightening than we had expected and we raise our end-year Fed Funds Rate (FFR) target to 2.75% from 2.50%. Exhibit 2: Slower growth necessary to ease inflation US - GDP and required change in unemployment Source:Bureau of Economic Analysis, Bureau of Labour Statistics, AXA IM Research, May 2022 To restore price stability, beyond concerns about Ukrainewar-disrupted energy markets and supply chain issues in COVID-19-hit China, the Fed will have to address the labour market, which Powell described as too tight. Indeed, unemployment fell to 3.6% in April – just above the prepandemic low of 3.5%. However, with some degree of structural post-pandemic realignment in the US economy, it is likely that the natural rate of unemployment has risen, meaning that the current rate of unemployment signifies an even tighter labour market. This would be consistent with record levels of vacancies – two-thirds more than the 2016- 3 19 average – and elevated wage gains: The Q1 employment cost index rose at its fastest in over 30 years. A slower labour market would require a slower economy (Exhibit 2) and the Fed's quicker policy tightening has generated a tightening in financial conditions that should deliver this. The challenge is to deliver enough deceleration to quell inflation pressures, without tipping the economy into a long recession. This is not an easy balance and the Fed's track record over the decades points to more recessions than soft landings. Powell has stated that he sees a "good chance" of a "soft-ish" landing, but added that restoring price stability was likely to "include some pain". Markets discuss a "growth recession" – a slowdown that causes a rise in unemployment but maintains positive expansion. Financial markets have begun to consider the prospect of recession, something that has contributed to the sharp tightening in financial conditions since the end of March. Indeed, recent tightening has left conditions close to the point that has historically caused the Fed to reduce that pressure. Partly this has reflected market expectations that the FFR would rise to 3.25% or higher next year, although expectations have retreated to 2.75% for this year with one, perhaps two, more hikes priced for next. Consensus forecasts still consider growth of 2.7% this year and 2.1% next. After an earlier-than-expected drop in quarterly growth in Q1, we lower our growth outlook to 2.5% for this year and 1.4% for next (from 2.8% and 1.6%). This should be below the US' potential rate and consistent with a gentle rise in unemployment. In turn, this should be consistent with an easing in inflation pressures, although how quickly inflation falls will also be a product of external developments and how inflation expectations evolve domestically. It is not clear to us how growth at consensus rates will alleviate labour market tightness. The difficulty for the Fed will be in achieving such precision. This has not been regularly achieved in "normal" times. There are also additional structural uncertainties, including pent-up labour demand to support employment even as economic activity softens, excess savings that should cushion spending despite the income squeeze, and the impact that the balance sheet adjustment (QT) will have on markets. These factors add further difficulties into the assessment of the scale of monetary policy tightening required to achieve such a carefully calibrated slowdown. Amidst uncertainty, the Fed has a choice: To err on the side of too little slowing and persistent inflation; or too much slowing and a tipping point to recession. For now, the Fed appears skewed to the latter, resulting in financial market caution. However, if signs of labour market and price growth deceleration emerge as we expect in the second half of this year, the Fed should first slow and then pause its pace of rate hikes by year-end, pulling up short of recession. Global Macro Monthly – Eurozone François Cabau and Hugo Le Damany, Economists, Macro Research – Core Investments Downbeat activity narrative to dominate Eurozone GDP grew by 0.3%qoq in Q1, the same pace as in Q4. The data was affected by measures to suppress the Omicron wave and to a lesser extent by the initial consequences from the Ukraine conflict, both evident in a large drop in private consumption in France and Spain. We keep our below-consensus GDP forecast at 2.1% and 1.2% for this year and next. Good momentum in services (Exhibit 3), supported by the reopening of contact-intensive activities, suggests, material upside risks to our projected dip in Q2. This would more than offset a sharp drop in retail and industrial confidence – the latter affected by a marked fall in China activity creating demand and supply-side concerns. We think that such support to growth is likely to be short-lived and is unlikely to offset a record real income squeeze, high economic uncertainty and tightening financing conditions globally. All in all, risks of an activity contraction in H2 22 remain material, supporting our unchanged narrative. Macro uncertainty remains very high with a number of large shocks occurring simultaneously, including on supply chains. 2001 2003 2005 2007 2009 2011 2013 2015 2017 2019 2021 Source: European Commission and AXA IM Research, 23 May We have updated our inflation forecasts for this year and next to 6.6% and 2.4% (from 6.1% and 2.1%), considering the recent rebound in oil prices, pass-through to food prices as well as the extension of pump price rebates in Italy and capped gas prices for electricity production in Spain. ECB: Hike to zero in 2022 and pause Continued upside inflation surprises (mainly on core and expectations) and resilience in the economy (services) has 1 Cabau, F. and Le Damany, H., "French elections: Wait until Summer", AXA IM Research Insights, 5 April 2022 4 seen ECB Governing Council members turn increasingly hawkish since the April meeting, seemingly finding an early consensus for a July rate lift-off. We have reflected this by bringing forward our expected two rate hikes of 25 basis points (bps) to July and September (from December and March). We think the apparent haste is in response to a window of opportunity to remove unconventional policy accommodation, amidst inflation edging down to 2% from above in the medium term. We maintain that our subdued, below consensus, growth outlook is likely to generate a pause of ECB rate hikes after reaching zero on the deposit rate. We therefore push back against markets' expectations for a spate of hikes – 4 in 2022 and 3 in 2023 (Exhibit 4). Dealing with financial fragmentation is likely to remain challenging for the ECB Governing Council. We continue to think it will act reactively rather than proactively. Decisions are likely to be guided by three elements: The level of sovereign spreads/tightened financing conditions; the pace of deterioration/volatility; and the cause of market pressure. While more details are unlikely before the summer, we think that 2023 budget discussions in September/October, as well as preparations for Italy's general elections next spring, may generate additional market pressures, bringing the ECB closer to clarifying its thinking. May-22 Aug-22 Nov-22 Feb-23 May-23 Aug-23 Nov-23 Feb-24 May-24 Source: Bloomberg and AXA IM Research, 23 May 2022 All round political tensions Uncertainty remains ahead of French Parliament elections 1 (12-19 June), all the more so after an evolution in the political landscape that has more or less united the left (socialists, greens, communists, radicals) behind Jean-Luc Mélenchon. Polls point towards President Emmanuel Macron's party maintaining an absolute majority in the lower house. Energy and defence topics will likely be more politically charged ahead of the 30-31 May EU Heads of States meeting. Several countries have been pushing back on oil sanctions against Russia, threatening the EU unity seen to date. Sweden and Finland formally applying to join NATO may broaden tensions with Russia and could escalate (economic) retaliation beyond Finland's electricity supply cut on 14 May. Global Macro Monthly – UK Modupe Adegbembo, Junior Economist, Macro Research – Core Investments Rising inflation puts the BoE in spotlight The UK government criticised the Bank of England (BoE) for not preventing price rises after inflation hit a 40-year high of 9% in May. Markets had expected a 9.1% increase, but the downside surprise mattered little as inflation inched towards double digits. Rises in energy prices due to the upward adjustment of the industry regulators price cap accounted for the bulk of the increase, with other service sectors also contributing. As a result, we have raised our inflation outlook to 7.6% for 2022 and 3.6% for 2023, up from 7.3% and 3.5%, respectively (versus a consensus of 7.6% and 3.9%). Recent GDP data has provided some tentative signs of activity slowing as the economy unexpectedly contracted by 0.1% in March. GDP growth may fall into negative territory in Q2 with a weak consumption backdrop and the additional June bank holiday shifting activity into Q3. We expect GDP growth of 3.8% for 2022 but raise our 2023 outlook to 0.9% from 0.6% (versus a consensus of 3.8% and 1.4%). The labour market has continued to tighten and business hiring intentions remain strong. Unemployment in the three months to March fell to 3.7% – a 50-year low – and for the first time since records began there are fewer unemployed than there are vacancies in the economy. This is partly due to a smaller workforce than before the pandemic, and a return of some of those who have exited the workforce would be vital to easing pressure in the labour market. Following May's Monetary Policy Committee meeting and Monetary Policy Report, markets repriced their rate expectations as the BoE signalled the economy was close to recession under market rates. However, recent strong labour market data and high headline inflation have seen much of this anticipated tightening return. We expect fewer hikes than the market; we believe the BoE will hike in June and August, bringing interest rates to 1.5%, short of the 2% by year-end expected by markets. Amidst the uncertain economic outlook, political developments around Brexit remain at the forefront. The UK government has announced a bill which will be introduced to overturn areas of the Northern Ireland (NI) protocol after the Democratic Unionist Party (DUP) blocked the formation of a power-sharing executive. The legislation is most likely a negotiating tactic with the EU and an attempt to placate the DUP. However, the risk remains that the UK government will enact the legislation, potentially triggering a trade war with the EU. 5 Global Macro Monthly – Japan COVID-19 scars are slowly healing Preliminary estimates saw Q1 GDP contract after suffering from COVID-19 restrictions at the start of the year but surprised on the upside to fall by 'only' -0.2% quarter-onquarter (qoq). Private consumption was flat qoq, more robust than anticipated, helped by booming services spending in March. Private fixed investment rose by 0.5%, a bit weaker than expected, while exports rose but remain constrained by bottlenecks. Despite some resilient data, Japan is going to be exposed to China's weakness and pressure on purchasing power over the coming quarters. Tokyo's headline Consumer Price Index rose by 2.5% year-onyear (yoy) in April, boosted by another rise in energy and food prices. Nationwide prices should mimic Tokyo's index and reach 2.5%– the first time they have exceeded the Bank of Japan's (BoJ) inflation target since 2015. We believe that volatile components will build up some pressure on core inflation and could reach 1% in the summer (without considering the possibility of the "Go to" campaign restarting). For the time being, we do not believe that inflation will derail private consumption, as Japanese households hold excess savings of about 4% of GDP while the government has just agreed on a supplementary budget to be submitted to the Diet ($21bn, or 0.5% of GDP). It will include one-off ¥50,000 ($380) cash pay-outs per child for low-income families and subsidies to fuel wholesalers. All this considered, there is a tiny upside risk to our Japanese GDP forecast of 1.8% for this year. However, our GDP profile remains unchanged with an acceleration phase in Q2, led by the service sector, and growth still above trend in Q3. The Bank of Japan remains firm BoJ Governor Kuroda reiterated the central bank's dovish stance, stating: "Easy policy needs to be maintained to boost the medium- to long-term inflation expectations and support economic activity, and tighten the labour market to cause wage hikes that would boost tolerance of higher prices". BoJ Executive Director Shinichi Uchida added there was no plan to widen the target tolerance band, as such action would be "tantamount to an interest rate hike". Kuroda also acknowledged that rapid yen depreciation is undesirable, but the BoJ was not targeting any yen level. For one month, the dollar/yen pair has stabilised around 130, probably reflecting some uncertainties around whether the US Federal Reserve can deliver what is priced into markets. Global Macro Monthly – China COVID-19 containment takes a heavy toll April data revealed the paralysing effect of the strict COVID19 restrictions imposed on the economy as China battled the worst outbreak of the virus since the onset of the pandemic. All activity metrics nosedived as Shanghai went into a full lockdown, sending ripple effects across the neighbouring provinces, which together account for the bulk of the nation's manufacturing, logistics and supply chain ecosystem. From production to demand, and logistics to credit disbursement, the economy was under severe pressure to a degree not seen since Q1 2020 (Exhibit 5). Benchmarking the current shock against the initial COVID-19 wave, we estimate the growth decline is currently around 30% of the early 2020 impact, consistent with our below-consensus Q2 GDP forecast of -3.0% quarter-on-quarter. Exhibit 5: Omicron flare-up causes a double dip The COVID-19-induced lockdown brought widespread pain to the economy. On the demand side, consumption weakened sharply in April, with retail sales falling for the second consecutive month, by 11.1% year-on-year (yoy). Spending on services – restaurants and catering – was hit particularly hard by tighter restrictions that limited eating out and disruptions to the delivery system curtailing online orders. Falling sales of large-ticket items – such as appliances and furniture – were exacerbated by collapsing house turnover, while plunging auto sales (-32%yoy) were also in part due to supply chain disruptions impeding product delivery. All weakness can be traced, one way or another, to the strict implementation of the 'Zero Covid' policy. Besides the COVID-19 impact, the worsening labour market has also contributed to the consumption woes. We think Beijing will likely take particular note of the continuous climb 6 of the unemployment rate to 6.1% – only a touch below the record high of 6.2% in February 2020. Worsening job market conditions could be a source of both economic malaise and social discontent and add urgency for Beijing to step up its policy response to stabilise the economy. The supply side did not fare any better. Rapidly falling demand, together with production halts, saw industrial output growth contract 7.1% month-on-month and 2.9%yoy. Production of autos, electronics and other high-end manufacturing products weakened as the production base in the Yangtze River Delta region was struck by the virus flareup. Although operations have gradually resumed in Shanghai under closed-loop management, the actual production capacity of firms remains significantly below normal levels. This will likely keep a lid on the sequential growth recovery in May. The investment picture grew bleaker too. Real estate activity remained in deep contraction, despite policy easing at local levels and falling mortgage borrowing costs. What is concerning is that manufacturing investment also started to weaken, due to deteriorating business confidence and softer external demand. But the biggest surprise was the deceleration in infrastructure investment growth. This was despite Beijing pledging an 'all-out' effort to support activity and local governments expediating special bond sales. We think April was likely a temporary setback. Given that infrastructure investment has become one of the few areas which policy easing can still reach while many other transmission channels are impaired by COVID-19 lockdowns, Beijing has to rely on it to get its stimulus into the real economy. We see a rebound in investment growth as likely in the coming months. Overall, April data confirmed that COVID-19 has well and truly taken centre stage as the dominant driver of the economy. So much so that one cannot form a credible growth outlook on the Chinese economy without first having a view on how the virus situation – and Beijing's response to it – will evolve. Our base case assumes that the authorities will gradually move away from an excessive reliance on lockdowns to a set of less draconian policies – involving targeted containment, production bubbles, rapid testing, and vaccination – even though the overall name of the strategy, 'Dynamic Zero Covid', will stay the same. There are some signs that such a policy recalibration is already underway, in Shanghai (under closed-loop operation) and Beijing (with rapid testing and targeted containment). These are moves in the right direction, but much more is needed to refine the approach to make it compatible with a growing economy. While April data is in line with our Q2 GDP forecast, we see, on balance, downside risks to our assumed growth recovery in the second half of the year. Global Macro Monthly – Canada BoC to work harder, but some impact visible Recent releases show Canada continues to expand briskly, with inflation overheating, adding further pressure onto the Bank of Canada (BoC) to tighten policy quickly. GDP surged in February (up 1.1% on the month) and the preliminary estimate for Q1 is a strong 1.4%, more than our forecast and leading us to raise our 2022 growth outlook to 3.9% (from 3.3%, consensus 4.1%). Unemployment dropped to a record low of 5.2% – with records dating back to the 1970s. Annual inflation rose to 6.8% in April – its highest since January 1991 – and core to 4.2%, its steepest since 1990, driven by food and shelter costs. Despite some signs of supply pressures easing with a surge in March imports, global tensions look set to keep inflation elevated over the rest of 2022 and we have edged our inflation forecast higher to 6.2% (from 5.9%) this year and 3.4% (3.2%) for 2023 (consensus 5.6% and 2.6%). Given the backdrop, pressure has mounted for the BoC to tighten further. New Conservative Party leader Pierre Poilievre criticised the BoC, suggesting he would replace Governor Macklem. Macklem admitted the Bank had misjudged the potential strength of inflation and he would act "as forcefully as needed" to restore price stability. This likely paves the way for another 0.50% rate hike at the BoC's next meeting in June, taking rates to 1.50%. With inflation set to remain high, we now think the BoC will continue to front-load rate hikes. We expect a further 0.50% rise in July, before slowing to 0.25% hikes for the rest of 2022. On balance, we have raised our year-end forecast to 2.75% (from 2.50%). This is short of the 3.00% market outlook and we consider this to be the peak in the rate cycle, where markets consider a further increase next year. The top will depend on the tightness of domestic conditions. April's unemployment dip owed more to stagnant labour supply than jobs growth; employment rose by just 15k, the smallest in a year – barring January's COVID-19-related fall – but it also appeared to reflect rising cases in April. However, interest rate-sensitive sectors of the economy are reacting – housing sales fell by 12.5% in April, albeit from elevated levels. Housing is estimated to have accounted for 20% of GDP growth last year and residential investment now accounts for 10% of GDP, exceeding business investment. A slowdown in this market will weigh on broader activity and explain BoC communication that it will likely pause when policy is returned to neutral – estimated between 2% and 3%). Global Macro Monthly – EM Irina Topa-Serry, Senior Economist (Emerging Markets), Macro Research – Core Investments Stronger inflation, policy issues? Central and Eastern Europe's inflation spike is showing no respite. April saw annual rates rising and surprising once again on the upside – reaching 13.8% in Romania, 13.2% in the Czech Republic, 12.4% in Poland and 9.4% in Hungary where food and energy prices are almost capped. Core inflation is accelerating – in double-digit territory in the Czech Republic (12.8%) – and above the headline measure in Hungary (10.3%). April's figures show broad-based inflationary pressures with double-digit price growth observed in both goods and services. Despite recent policy rates hikes – a cumulative 515 basis points (bps) for Poland, 480bps for Hungary and 550bps for the Czech Republic since lift-off – mounting second-round effects and de-anchoring inflation expectations are increasingly visible. The economic environment of buoyant wage growth and expansionary fiscal policy is keeping consumption robust and there are calls for more decisive monetary tightening throughout the region for higher peak rates. However, there are several concerns. First, the Polish central bank delivered a smaller-than-expected 75bp rate hike to 5.25% for the policy rate in May, at odds with the government's introduction of a mortgage holiday of one month per quarter in 2022 and 2023, which will reduce the strength of the monetary policy transmission mechanism and its estimated equivalent to a 150bp easing. Hungary's central bank raised its base rate by 100bps to 5.4%, but the tone has turned more dovish when inflation has started to surprise significantly to the upside again. There is no clear plan to consolidate the budget, especially in the absence of removing energy subsidies; the current account deficit is widening and the relationship with the EU is worsening, leaving little hope to see an unlocking of NextGenerationEU funds this year. Finally, the Czech President recently confirmed the appointment of Aleš Michl, one of the most dovish board members, as the next governor of the Czech National Bank, while criticising its hiking pace. There is a high chance of seeing a more aggressive approach from the current board on rates and currency interventions, ahead of the reshuffle of the board, which may carry its own set of surprises and the start of the Governor's mandate on 1 July. Despite those hurdles, we believe inflation will not leave many options for policymakers in the short run, other than to deliver more hikes. We expect policy rates to peak somewhere during Q3 at 8% in Poland and Hungary, and 7.5% in the Czech Republic. Global Macro Monthly – EM Asia Senior Economist (Emerging Markets), Macro Research – Core Investments A stronger than expected start to 2022 Asia's Q1 GDP data has so far come with positive surprises, pushing our annual GDP growth forecasts up, even as we remain wary of a worsening of the global backdrop over the coming months. On a quarter-on-quarter basis, growth was expected to slow from the strong rebound in Q4 (the Delta virus wave hit the region in Q3 2021), but the slowdown proved much more limited than expected: +1% in Indonesia, +1.1% in Thailand, +1.8% in the Philippines and +3.9% in Malaysia. Domestic demand strength was noticeable, with private consumption, investment and imports strongly rising. Thailand remains somewhat in retreat, supported by the external sector, but it should benefit from a better tourism season. Bar any additional COVID-19 wave, there is still pentup demand in the region as most countries have not yet recoupled with the pre-pandemic growth trend (Exhibit 6). Asia has lagged Latin America and Central Europe in many aspects – starting with a slower reopening post-COVID-19 which translated into 2021's subdued growth recoveries. The pace of monetary policy normalisation has also been slower in Asia. Inflation pressures were more modest too but there has been a clear sense of acceleration in recent months, above central banks' comfort zones. Policymakers have started reducing their accommodative stances, with India, Malaysia and the Philippines raising rates in May. We expect Indonesia and Thailand to start hiking policy rates in the second half of 2022 by a total of 100 basis points (bps) and 25bps respectively, with risks skewed for more front-loading. Global Macro Monthly – LatAm Not quite done yet Unabated inflation continues to force Latin American monetary authorities to extend the ongoing tightening cycle. Just in the last month, all major central banks raised interest rates and, in some cases, adopted a more hawkish stance. Fresh energy and food price pressures driven by Russia's invasion of Ukraine have taken inflation to heights not seen since the early 2000s. Average inflation across Brazil, Chile, Colombia, Mexico, and Peru is now running at 9.5% year-onyear. Likewise, average core inflation reached 5% in April, showing that high food and energy prices are already seeping into other goods. However, inflation would be much higher if it were not for tax cuts on gasoline and food prices implemented by the different governments in the region. Brazil, Chile, and Colombia delivered the largest hikes. In Brazil, the central bank boosted its policy rate by 100bps to 12.75% and warned that it will continue tightening to anchor inflation expectations. Despite already hiking 925bps since it started its cycle, consumer prices in Brazil accelerated to 12.1% in March, the highest among the major economies. In Chile, the central bank made a hawkish pivot in its last meeting, raising rates by 125bps, above market consensus of a 100bp hike, and significantly toughened its language in its policy statement. Unlike its previous meeting, the bank omitted any mention of an end to the cycle and did not offer clues regarding the size of future hikes. Colombia also displayed a more hawkish tone in its last policy decision. The move to lift rates by 100bps to 6% was split in a four-to-three vote, with the minority group calling for a larger 150bp hike. Peru and Mexico opted for smaller raises, consistent with their comparatively lower inflation rates. Peru continued to use a gradual approach to tame inflation and hiked by 50bps for the ninth consecutive time, thus taking its key rate to 5%. Similarly, Mexico raised rates by 50bps to 7%. While the decision was anticipated by markets, the board adopted a more hawkish tone. One member voted for a 75bp hike, and in its statement, the central bank highlighted that it could take more forceful measures if the outlook deteriorates. While we still expect tightening in most countries to conclude between June and September, worsening inflation conditions or a more aggressive Federal Reserve could justify a possible extension of the cycle and undermine the region's ongoing recovery. Recommended asset allocation Key asset classes Equities ▼ Bonds Commodities Cash Developed Euro area UK Switzerland US Japan Emerging & Sectors Emerging Markets Europe Cyclical/Value Euro Financials European Auto US Financials US Russell 2000 Govies Euro core ▲ Euro peripheral UK US Inflation US Euro Credit Euro IG US IG Euro HY ▼ US HY EM Debt EM bonds HC Legends Negative Neutral Positive Last change ▲Upgrade ▼Downgrade Asset Allocation Equities Fixed Income Source: AXA IM Macro Research – As of 23 May 2022 9 Macro forecast summary \| World \| -3.1 \| 6.1 \| 3.2 \| \|---\|---\|---\|---\| \| Advanced economies \| -5 \| 5.1 \| 2.5 \| \| US \| -3.4 \| 5.5 5.6 \| 2.5 3.2 \| \| Euro area \| -6.7 \| 5.4 5.1 \| 2.1 2.8 \| \| Germany \| -4.9 \| 2.8 2.7 \| 1.2 2.2 \| \| France \| -8 \| 7.0 6.6 \| 2.7 3.1 \| \| Italy \| -9 \| 6.5 6.3 \| 2.3 2.7 \| \| Spain \| -10.8 \| 5.0 4.7 \| 3.5 4.6 \| \| Japan \| -4.9 \| 1.7 1.8 \| 1.8 2.1 \| \| UK \| -10 \| 7.2 7.0 \| 3.8 3.9 \| \| Switzerland \| -2.5 \| 3.5 3.5 \| 2.0 2.6 \| \| Canada \| -5.2 \| 4.4 4.6 \| 3.9 3.9 \| \| Emerging economies \| -1.9 \| 6.7 \| 3.6 \| \| Asia \| -0.7 \| 7.1 \| 4.8 \| \| China \| 2.2 \| 8.1 8.0 \| 4.5 4.9 \| \| South Korea \| -0.9 \| 4.0 4.0 \| 2.0 2.8 \| \| Rest of EM Asia \| -4.2 \| 6.2 \| 5.5 \| \| LatAm \| -7 \| 6.8 \| 2.6 \| \| Brazil \| -3.9 \| 4.6 4.7 \| 0.9 0.6 \| \| Mexico \| -8.2 \| 4.8 5.6 \| 2.4 1.7 \| \| EM Europe \| -2 \| 6.5 \| -0.2 \| \| Russia \| -2.7 \| 4.7 \| -7.0 \| \| Poland \| -2.5 \| 5.7 5.3 \| 4.2 3.9 \| \| Turkey \| 1.8 \| 11.0 9.9 \| 3.9 2.1 \| \| Other EMs \| -2.5 \| 5.4 \| 3.0 \| Source: Datastream, IMF and AXA IM Macro Research − As of 23 May 2022 * Forecast \| Advanced economies \| 0.7 \| 3.2 \| \| 6.4 \| \| 3.0 \| \|---\|---\|---\|---\|---\|---\|---\| \| US \| 1.2 \| 4.7 \| 4.6 \| 7.6 \| 7 \| 4 \| \| Eurozone \| 0.3 \| 2.6 \| 2.5 \| 6.6 \| 6.5 \| 2.4 \| \| Japan \| 0 \| -0.2 \| -0.2 \| 2.2 \| 1.6 \| 1 \| \| UK \| 0.9 \| 2.6 \| 2.5 \| 7.6 \| 7.2 \| 3.5 \| \| Switzerland \| -0.7 \| 0.5 \| 0.5 \| 2 \| 2 \| 1 \| \| Canada \| 0.7 \| 3.4 \| 3.4 \| 6.2 \| 5.2 \| 3.4 \| Source: Datastream, IMF and AXA IM Macro Research − As of 23 May 2022 * Forecast These projections are not necessarily reliable indicators of future results 10 Forecast summary \| Current \| \| \|---\|---\| \| Dates United States - Fed \| 0.75-1.00 \| \| Rates \| \| \| Dates Euro area - ECB Rates \| \| \| Dates Japan - BoJ Rates \| \| \| Dates UK - BoE \| \| \| Rates \| \| Source: AXA IM Macro Research - As of 23 May 2022 These projections are not necessarily reliable indicators of future results Download the full slide deck of our May Investment Strategy 11 Our Research is available on line: http://www.axa-im.com/en/insights DISCLAIMER This document is for informational purposes only and does not constitute investment research or financial analysis relating to transactions in financial instruments as per MIF Directive (2014/65/EU), nor does it constitute on the part of AXA Investment Managers or its affiliated companies an offer to buy or sell any investments, products or services, and should not be considered as solicitation or investment, legal or tax advice, a recommendation for an investment strategy or a personalized recommendation to buy or sell securities. 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FINCHAMPSTEAD PARISH COUNCIL MINUTES OF THE MEETING OF FINCHAMPSTEAD PARISH COUNCIL HELD AT 7 PM ON 24 FEBRUARY 2022 By Teams Video Conference PRESENT: Cllr S. Weeks; Chair. Cllr S. Bromley; Vice Chair. Cllrs S. Bowers; R. Cundy; C. Driver; D. Cornish; B. Eytle; S. Gurney; G. Jukes OBE; R. Margetts; R. Marshallsay; A Pearce; G. Veitch & R. Woof. K. Dagnall, Clerk; C. Warke, Deputy Clerk. One member of the public. 600/2022 APOLOGIES FOR ABSENCE Apologies were received from Councillors E. Biskup and S. McDonald. 601/2022 DECLARATIONS OF INTEREST No declarations of interest were received. 602/2022 MINUTES OF THE PREVIOUS MEETING The minutes of the meeting of the Council held on 19 January 2021 and the Extraordinary Meeting held on 27 January 2022 were agreed as a true and correct record. The minutes will be signed retrospectively in due course. PUBLIC PARTICIPATION SESSION One member of the public attended to observe the meeting. 603/2022 CHAIRS REPORT * Cllr Weeks advised that a planned discussion topic for this meeting was the situation with the various 'Associations of Local Councils'. However, Cllr Cundy is due to attend a meeting of the Berkshire Association of Local Councils Executive Committee in early March and it is therefore appropriate to defer the discussion until the March meeting of the Council. * The Council has a vacancy for a Councillor and the period during which a by election can be called has now passed. The vacancy is now being advertised with a view to co-opting to the role. * The Annual Gathering will now be held at the FBC Centre on 31 May 2022, the date that suited most Councillors and tied in with venue availability. * The Queen's Oak Public House is currently listed as an Asset of Community Value. The Parish Council successfully applied for the Pub to be listed under the powers granted by the 2011 Localism Act. This means is that if the property is put up for sale, the Parish Council has 6 months to try and find a way to allow it to continue as a community facility rather than being converted into a private dwelling or something else. The listing is purely a safeguard and by no means implies that the Pub is under threat. The current listing expires at the end of March and an application to renew the listing has been submitted to Wokingham Borough Council (WBC). WBC may request evidence of the value of the Pub to the local community and if so a survey / campaign will be launched to gather this from residents and local groups. * The Finchampstead Village Fete will be held on Saturday 18 June at the Memorial Park and a stand has been booked for the Parish Council. * The former Emergency Planning Officer at Wokingham Borough Council WBC) has left the post and Cllr Weeks expressed disappointment that the Parish Council had not been informed, given the Officers' previous involvement with the Finchampstead Emergency Response group. Cllr Weeks will be following this up with WBC and will establish contact with the new post holder. 604/2022 PROJECT AND DEVELOPMENT UPDATES Finchampstead Neighbourhood Development Plan (FNDP) Cllr Cornish advised that the draft Plan and related documents are now with WBC for an initial review. The draft Plan and 11 associated documents can be viewed on the Council's website at https://www.finchampstead-pc.gov.uk/community-projects/neighbourhood-developmentplan/documents Any feedback from WBC will be incorporated in updated versions and the next stage will be for the Parish Council to formally hand the Plan to WBC for the Regulation 15 phase which constitutes an official review. Subject to this, the Regulation 16 consultation - organised by WBC – will follow. The timescale for the process depends on the WBC comments from the current initial review. If the comments are extensive and require significant changes to the Plan and associated documents, this will delay the process. It was agreed that if the WBC comments are minor, the FNDP Steering Group should amend the Plan and documents accordingly. Subject to Cllr Weeks and the Clerk having sight of the amended versions, the Steering Group would be authorised to submit the documents to WBC on behalf of the Parish Council. Cllr Weeks reiterated the Council's thanks to Cllr Cornish and the FNDP team for their significant work on getting the Plan to this stage. Gorse Ride regeneration * Cllr Bowers advised that the Steering Group met on 9 February. * Subject to final approval by WBC, the project will now be retained under the WBC Housing Revenue Account, that is, the homes will transfer to the WBC housing service rather than to Loddon Homes as originally planned. This is seen as a positive step. The housing mix will revert to the original plan of 136 social housing; 49 part rent part buy and 64 for sale. * The second phase of the regeneration is progressing well and it is expected that all the housing in the phase 2A will be demolished within 2 months, with construction to start in late summer. * The new development is being planned to be as sustainable as possible, with electric power rather than gas, solar panels, electric vehicle charging points and infrastructure to allow further points to be added in future, plus other measures. * The Community House is now open at its new location on Gorse Ride South. The official opening will be held on 4 March. Arborfield Strategic Development Location (Arborfield Green and Finchwood Park) * Reserved Matters applications are coming forward for several parcels at both Arborfield Green and Finchwood Park. * The Community Liaison Group has not met for some time and it is known that residents are also keen to meet the Developers for updates and discussion on various matters. Cllrs Margetts and Weeks, in their role as WBC Cllrs, are pushing for these meetings to be arranged as soon as possible. 605/2022 COMMUNITY INFRASTRUCTURE LEVY FUNDS Cllr Woof summarised the background to the Community Infrastructure Levy (CIL) and the range of infrastructure that the funds can be applied to. At present the Parish Council receives 15% of CIL contributions secured by WBC, and this will rise to 25% when the Neighbourhood Plan is in place. The CIL comes forward gradually, linked to the rate of build out of developments, and is paid to the Parish Council on a twice-yearly basis with a 5-year deadline for the use of the CIL, commencing on the date of receipt. It was noted that most of the CIL coming to the Parish Council is linked to the Arborfield Green / Finchwood Park developments and as such the Council will have received most of the CIL due to it when these developments are complete. It was noted that the Government may make changes to the current CIL regime which could impact on the level of funds received. The 2022 Boundary Review and the Community Governance Review which will follow this may bring changes to Parish boundaries which again would affect CIL receipts. A report was circulated including information on CIL funds currently held by the Parish Council, expenditure to date in 2021/22 and approved commitments. Current funds: £688,259 Expenditure to date (2021/22): £24,018 Approved commitments: £185,317 The report included information on 8 further projects which are currently under discussion, or which will be discussed by the Finance & General Management Committee at its meeting on 30 March. Additional projects suggested by Councillors were noted. Details of expenditure in previous years can be found at https://www.finchampstead- pc.gov.uk/finance/cil 606/2022 WAR MEMORIAL RELOCATION PROJECT Cllr Jukes provided an update on the project. * On 9 February the WBC Planning Committee granted Listed Building Consent and approved the planning application for the relocation of the Memorial. * The Working Group met the consultant on 17 February and considered quotes and proposals from four stonemasons. The chosen company will be a nominated contractor under the main contract to be put out to tender and will not be directly appointed by the Parish Council. * A civil engineer has now taken soil samples and will be drawing up the ideal specification for the foundation for the Memorial in its new location. * Once this is available the consultant will be able to finalise the documentation and put the project out to tender. It is anticipated that the tender will go out by the end of March at the latest, and subject to the tender process running according to plan the project is on target for completion in June or July 2022. * As the relocation of the Memorial is now confirmed, discussions with WBC over the future of the junction will be progressed. 607/2022 COMMITTEE REPORTS FINANCE & GENERAL MANAGEMENT COMMITTEE Cllr Woof reported on the financial position of the Council and current matters. Financial position * Unity Trust Bank £49,173.29 * CCLA Public Sector Deposit Fund account £719,450.60 £25,000 * The above figures include £688,259 Community Infrastructure Levy (CIL) receipts. * CCLA Property Fund The schedule of payments totalling £13,224.50 was circulated to all Councillors. The payments were approved by the Council. Cllrs Bromley and Woof agreed to authorise the electronic payments. Other matters: * Following approval of the 2022/23 budget and Precept Demand at the previous meeting of the Council, ratified at the Extraordinary Meeting held on 27 January, the Precept Demand has been submitted to WBC. * As noted under item 605/2022 above, the position with CIL funds is being closely monitored and several potential projects will be discussed at the Committee meeting to be held on 30 March. * Following a request from the Parish Council, the Finchampstead Baptist Church has provided a report on its youth activities supported by the Council, and this will be discussed at the March meeting. * Several grant applications for 2022/23 will be considered at the March meeting. * The annual staff appraisals are underway. * The first stage of the Internal Audit for 2021/22 will take place on 9 March. AMENITIES COMMITTEE Cllr Bowers reported on current matters. * The Committee met on 26 January. The minutes of the meeting have been circulated. * Plans for events on 2 June to mark the Platinum Jubilee are progressing. Cllr Driver was thanked for her work on this. * Nominations for the Platinum Jubilee Award are still being invited. * The annual Community Litter Pick will take place on 3 April. This is supported by WBC and is linked to the Keep Britain Tidy Great British Spring Clean. This will be the first Community Litter Pick in the Parish since 2019. PLANNING COMMITTEE Cllr Cundy advised that the Committee met on 16 February. Minutes of the meeting have been circulated. * Prior to the meeting the Committee received a presentation from Boyer Planning and Cala Homes on the latest reserved matters application coming forward for Finchwood Park. This includes proposals for 161 dwellings, public open space, sports facilities, allotments and associated infrastructure. * A further reserved matters application has now been received for development at Arborfield Green, and another application is expected shortly for further development at Finchwood Park. * The Committee considered 16 applications and submitted objections to 3 development proposals. * 21 decision notices received from WBC were noted. Only two decisions were contrary to the Parish Council's views. * 3 new Tree Preservation Orders, and 3 applications for work on protected trees were noted. * Enforcement matters were discussed at a meeting on 10 February, attended by Cllrs Bromley, Cundy, Marshallsay and Veitch and the Planning Committee Clerk. These meetings are held quarterly. RIGHTS OF WAY COMMITTEE Cllr Cornish advised that several projects are being progressed and will be reported on at the next meeting. Cllrs Cornish and Margetts met WBC in April 2021 regarding a potential permissive cycle route to Wokingham, utilising paths around Sandmartins Golf Course. A quotation has now been received from WBC for a feasibility study and design work but this is significantly higher than expected. A meeting will be arranged with WBC to discuss the quotation and the project. Cllr Margetts confirmed that WBC Cllr Kerr, representing the Evendons Ward, has been involved in discussions over the project. ROADS & ROAD SAFETY COMMITTEE Cllr Bromley reported on current matters. * The Committee met on 9 February. The minutes of the meeting have been circulated. * Two traffic data recording units have been ordered to replace those which have been out of use since December 2020. * Finchampstead Speed watch has been registered for the new Thames Valley Police (TVP) scheme and volunteers are undertaking the required training. When the new Sentinel Camera is delivered speed watch sessions can resume, but in a way which is compliant with the new Police scheme. There is still uncertainty over the new scheme in terms of what data is uploaded to the TVP system from the camera, and what still needs to be recorded and uploaded manually. A meeting will be arranged with TVP to discuss this and other aspects of the new scheme. * In the interim a roadside session has taken place with the Speed Indicator Device (SID) to maintain awareness among drivers. * The condition of roadsides in the Parish is a concern. One of the issues is the dirty road signs and Cllr Cundy is making enquiries with companies which may be able to clean the signs. * The condition of Commonfield Lane was discussed at the recent Committee meeting. WBC views the Lane as a minor road with unofficial passing places, and to date has not committed to undertake any improvement work to the passing places as it does not wish to encourage additional traffic to use the Lane. Cllr Weeks agreed to raise this again with WBC. * Cllr Weeks advised that WBC now has costed proposals for remedial works for The Ridges, which is currently closed due to subsidence. Works may commence in May or early June 2022. 608/2022 REPORTS FROM COUNCIL REPRESENTATIVES ON OUTSIDE BODIES Borough Parish Liaison Forum Cllr Cundy attended the Forum on 7 February. Minutes of the meeting will be circulated when available. Finchampstead Park Management Committee Cllr Weeks attended the meeting held on 24 January, the first meeting of the Committee since January 2020. Cllrs Bromley and Cundy also attended, representing the California Ratepayers Association and the Finchampstead Primary School respectively. The Committee is in a good position financially. It is considering repair works to the play area and car park, and replacement of the overhead heaters in the Hall. The Sports Club now has planning permission for the improvements to the changing facilities and is seeking funds for the project. The Committee will be holding its Annual General Meeting on 25 April when representatives from various organisations will be confirmed as Trustees. It was agreed that Cllr Weeks should continue as the Parish Council's representative and that the Clerk should submit the required form. 608/2022 FORUM Cllr Jukes advised that the landlord of the Queen's Oak public house is keen to see brown tourism signs directing people to the pub. It was agreed that the Council would support this given the historic significance of the pub and its importance to the local community. Advice has been secured from WBC and Cllr Jukes will be passing this on to the pub landlord. 609/2021 DATE OF THE NEXT MEETING OF THE PARISH COUNCIL The next meeting will take place on Wednesday 23 March 2022. These minutes are subject to confirmation at the next meeting of the Council. FINCHAMPSTEAD PARISH COUNCIL - PAYMENT LIST 24 FEBRUARY 2022 \| UNITY TRUST BANK ACCOUNT 10/02/22 \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| CCLA DEPOSIT ACCOUNT 31/01/22 \| \| \| \| \| \| \| CCLA PROPERTY FUND 31/03/21 \| \| \| \| \| \| \| \| INCLUDING CIL RECEIPTS TOTAL £688,259.10 \| \| \| \| \| \| \| \| TOTAL FUNDS \| \| \| \| \| \| \| \| \| \| NET \| \| VAT \| \| \| \| Outstanding payments not yet cleared \| \| \| \| \| \| \| \| Total payments outstanding \| \| \| \| \| \| \| \| Payments already approved and paid \| \| \| \| \| \| \| \| SSE STREET LIGHT ENERGY \| \| 30.46 \| \| 1.51 \| \| \| \| BRITISH TELECOM \| \| 44.80 \| \| 8.96 \| \| \| \| \| GREENBARNES LTD - NOTICEBOARD \| \| 1,290.17 \| \| 258.03 \| 1,548.20 \| \| \| GFT - FPC NOTICE BOARD \| \| 430.00 \| \| 86.00 \| 516.00 \| \| PAYMENTS FEBRUARY 2021 \| \| \| \| \| \| \| \| Staff costs \| \| \| \| \| \| \| \| Total staff costs \| \| £8,020.72 \| \| \| \| \| \| Other costs \| \| \| \| \| \| \| \| ASAP COMPUTER SERVICES-SUPPORT \| \| 244.20 \| \| 48.84 \| \| \| \| MICROSHADE REMOTE HOSTING \| \| 77.20 \| \| 15.44 \| \| \| \| WEB MARKETING MATTERS \| \| 157.55 \| \| 0.00 \| \| \| \| RIALTAS ASSETS ANNUAL SUPPORT \| \| 165.00 \| \| 33.00 \| \| \| \| RIALTAS ALLOTMENTS ANNUAL SUPPORT \| \| 172.00 \| \| 34.40 \| \| \| \| FBC CAFÉ \| \| 7.47 \| \| 0.93 \| \| \| \| FBC OFFICE SERVICE CHARGE \| \| 1,171.00 \| \| 0.00 \| 1,171.00 \| \|---\|---\|---\|---\|---\|---\| \| WBC - CIRCULAR WALK MAPS \| 240.00 \| \| 0.00 \| \| 240.00 \| \| WINDOWFLOWERS \| 770.00 \| \| 154.00 \| \| 924.00 \| \| SLCC PRACTITIONERS' CONFERENCE \| 75.00 \| \| 15.00 \| \| 90.00 \| \| SLCC MEMBERSHIP FEES DEPUTY CLERK \| 183.00 \| \| 0.00 \| \| \| \| Allotment costs \| \| \| \| \| \| \| NONE \| 0.00 \| \| 0.00 \| \| \| \| Neighbourhood Development Plan costs \| \| \| \| \| \| \| JAY PRINTERS \| 46.50 \| \| 0.00 \| \| \| \| BELL CORNWELL CONSULTANCY FEE \| 310.00 \| \| 62.00 \| \| 372.00 \| \| Grants and contributions - subject to final approval by Council where required \| \| \| \| \| \| \| NONE \| \| \| \| \| \| \| TOTAL FEBRUARY PAYMENTS \| \| \| £363.61 \| \| \| \| TOTAL REMAINING \| \| \| \| \| \| \| FEBRUARY PETTY CASH / CARD PAYMENTS \| Net \| \| VAT \| \| \| \| Total petty cash payments \| 0.00 \| \| 0.00 \| \| \| \| Total Card payments (Clerk) \| 475.59 \| \| 95.12 \| \| \| \| Total Card payments (Footpath Warden) \| 10.00 \| \| 2.00 \| \| \| \| TOTAL \| £485.59 \| \| £97.12 \| \| \| \| CARD PAYMENTS DETAIL \| \| Net \| VAT \| \|---\|---\|---\|---\| \| LYRECO STATIONERY \| \| 36.49 \| 7.3 \| \| \| WEL MEDICAL - DEFIBRILLATOR COSTS \| 289.20 \| 57.84 \| \| \| HEART INTERNET LTD - HOSTING \| 149.90 \| 29.98 \| \| FUEL \| \| 10.00 \| 2.00 \| \| \| \| £485.59 \| £97.12 \|
Konrad Lorenz 1937 The Companion in the Bird's World The Auk, 54(1): 245-273. [OCR by Konrad Lorenz Haus Altenberg – http://klha.at] Seitenumbrüche und -zahlen wie im Original. The Companion in the Bird's World Introductory Note When Dr. Lorenz's paper on the 'Kumpan' 1 was published in 1935, it seemed to be such an original and important contribution to our knowledge of the instincts and behavior of birds, that I was anxious to have a summary of its theses and conclusions appear in the pages of 'The Auk'. Knowing that Dr. Lorenz was conversant with English, I wrote to him, asking if he would consent to prepare such an account of his own work, and he replied that he would be pleased to do so if given sufficient time. Dr. Lorenz's paper was delayed in reaching me from various causes. He found difficulty in summarizing a work which consisted in so large a measure of observational detail, and accordingly has stressed those subjects of the most theoretical importance; and he added: "I shall not refrain from using some new observations, and the results of experiments which have come to my knowledge since the publication of my paper." My function has been mainly editorial; and although it has seemed best to condense some parts of the author's manuscript, I trust that its value has not been impaired. The doctrine of 'releasers,' herein set forth,—or devices for the production of stimuli, which serve as the 'keys' to 'unlock' or release those 'innate perceptory patterns,' characteristic of the species and the individual, and which result in instinctive reactions,—seems at last to offer a sound and satisfying explanation of that riddle so long embodied in 'the secondary sexual characters of birds,' and one which I believe that Darwin, when struggling with his 'Theory of Sexual Selection,' would have welcomed with open arms.—FRANCIS H. HERRICK. THE CONCEPTION OF THE "RELEASER" If we observe a man performing a number of separate actions, each of which has for its object the same thing and which, taken together and considered as a functional unit, serve an end of definite survival value to the man himself, we shall not hesitate to infer two things: first, that the man, in performing these actions, is conscious of their goal and that it is this very goal that constitutes the purpose of all his movements; second, that in performing the several actions of the sequence, he is constantly aware of the identity of the object toward which they are directed. On seeing a similar series of actions executed by some animal, we are prone to come to the same conclusions, but both would be totally erroneous in case we should have to do with a series of purely instinctive acts. Much serious harm has been done by confounding the biological end, or survival value of instinctive action, with the purpose pursued by the animal as a subject. I cannot go into the details of my argument against this widely spread error, but for the purposes of this paper, suffice it to say that 1 'Der Kumpan in der Umwelt des Vogels (Der Artgenosse als auslösendes Moment sozialer Verhaltungsweisen)' [The Companion in the Bird's World; the fellow-member of the species as a releasing factor of social behavior.] Journ. f. Ornith., vol. 83, pt. 2-3, 1935. I consider instinctive action as 'desired reflex action', meaning that instinctive action, while in no way purposive in itself and quite as rigid as any other reflex as to the coordination of movements, yet in its very 'going off' constitutes the purpose of all truly purposive or appetitive behavior ever met within animals. Being appeted, sought or desired, is the one point in which instinctive action differs from all other reflex actions. The common reflexes, like unused machines, may lie idle indefinitely, as if waiting for adequate stimulation, without in any way inciting the animal to search for such stimulation by purposive behavior, as it certainly does in case of the instinctive reactions. It is the second of the assumptions mentioned that concerns us more closely; namely, that the animal, in consistently treating one definite object to a series of separate actions, must throughout its acting, be aware of the identity of this object. Man, in striving to conquer his environment and to master the problems, which it puts before him by connecting cause and effect, is confronted with the absolute necessity of conceiving every object he encounters as a permanent unit which remains identical throughout the changes of space and time. Not so the animal, more especially the lower animal that does not master its environment by insight or learning but is innately adapted to it by possessing highly differentiated instinctive powers of response. The lower animal very rarely 'solves problems' as an individual, and whenever it does so, this is only in an abysmally simple way. As a rule, a lower organism either has solved a problem as a species by evolving instinctive ways of reacting that fit every single one of the emergencies that normally occur, or its fails miserably when confronted with a problem for which it does not possess any suitable instinctive responses. Since the innate coordinations of movement that we call instinctive actions are not adapted to any goal or end anyhow, it suffices that every one of them be released, much as in reflexes, by a simple combination of stimuli, if only this combination is sufficiently characteristic of the biologically 'right' situation; that is, of the one situation in which the performance of the innately coordinated movements attains its full survival value. If an instinctive action is directed toward a particular object, its successful performance is independent of the animal's perceiving this object as a 'thing', that is, as a permanent unit in space and time as we would perceive it. All that is needed on the part of the animal is the disposition to respond with just that reaction to certain stimuli characteristic of its particular object. The sea-urchin (Sphaerechinus) possesses a very complicated reaction of combined defense and flight, which is of survival value exclusively as a means of escaping the sea-urchin's chief enemy, the starfish (Asterias). The whole of this highly differentiated sequence of single acts is released by a single chemical stimulus emanating from the mucus covering the ambulacral tentacles of the starfish. Another good example is that of the biting reaction of the common tick (Ixodes). The tick will bite, or try to bite, any object possessing the two characters of (1) smelling of butyric acid and (2) having a temperature of approximately 37 degrees centigrade. The releasing of comparatively complicated sets of reactions through a very simple combination of stimuli, is characteristic of the greater part of all purely instinctive reactions and by no means exclusively of those of lower animals. The Jackdaw (Coloeus monedula) possesses a very interesting reaction of defending any fellow-member of the species in the grip of some bird or animal of prey. For a long time I have been familiar with the fact that my tame but free-living Jackdaws would furiously attack me if I gripped one of them in my hand, but I was very much astonished when I inadvertently elicited exactly the same response by carrying a wet, black bathing-suit in my hand. Subsequent experiments showed that anything glistening black and dangling, carried by any living creature would release the very same reaction in the Jackdaws. Even Jackdaws themselves were subject to attack from their fellows when they happened to carry nesting material possessing the characteristics just mentioned. In a bird that readily recognizes and discriminates fellow-members of the flock, it is rather surprising that the process of releasing the social defending reaction so closely resembles that which elicits the responses of lower organisms as already noticed. An instinctive reaction of survival value, when directed exclusively to a particular object, may be released as if through a surprisingly small choice among the large number of stimuli normally emanating from the object. In this circumstance, the reactions of the highest vertebrates do not differ from those of ticks, sea-urchins and the like. The receptory part of the animal's reaction responds to a small but characteristic combination of stimuli, very much in the way in which a highly selective wireless receiving-station is attuned to a particular wave-length. This perceptory correlate to a very definite combination of stimuli has been termed by William McDougall the 'innate perceptory inlet.' Without knowing this author's terminology, I used the term 'angeborenes Auslöse-Schema' in German which, respecting the priority of McDougall's term, I shall compromise by translating 'innate perceptory pattern.' It is an old but fitting metaphor to liken the releasing set of stimuli to the key, and the innate perceptory pattern to the lock of the instinctive reaction. Even more appropriate, is the simile of a combination lock that cannot be opened except by a definite series of manipulations which, by reason of their general improbability, it is practically impossible to find by chance. The relation of the particular form of the lock to the key that fits it, or of any innate perceptory pattern to the set of stimuli to which it responds, is ever a compromise between greatest possible simplicity and greatest possible general improbability. The improbability of the innate perceptory pattern is to guard the instinctive reaction from being released by chance through other than the biologically 'right' influences. Surprisingly simple though the innate perceptory patterns are in the three cases cited as examples, they are evidently efficient enough, when natural conditions are taken for granted, to prevent the 'erroneous' unlocking of the reaction. It is extremely unlikely that in its natural state the tick is ever misled by its innate perceptory pattern to bite or to try to bite any object that is of no use to it as a potential host. Nor will it often occur in wild life that a Jackdaw erroneously defends a black bathing-suit instead of a fellow Jackdaw caught in the grip of some animal of prey. The species in these cases need not reckon with the experimenting human, cleverly imitating the key to the instinctive reaction's lock. But certainly there are instances in which the very simplicity of innate perceptory patterns may offer an opportunity to entrap animals by artificially supplying key stimuli that release certain definite actions, as the pike is caught by means of a piece of tin that is drawn through the water, and supplies the quickly moving silvery reflections which normally release the preying reactions in this fish. If an instinctive action has for its object any other thing than a fellowmember of the species as, for instance, the natural prey, nesting materials and the like, it is quite clear that the choice of stimuli, effected by means of the innate perceptory pattern, can include only such as are inherently characteristic of the object. All that the evolution of the species can do, is to adapt the innate perceptory patterns as closely as possible to the preexistent sets of key stimuli. The complication, and with it the highest general improbability of opening the lock, that is, releasing the reaction, cannot exceed a certain predetermined boundary drawn by the kind and number of potential key-stimuli emanating from the object. This constitutes a considerable limitation to the scope of object-treatment by purely instinctive reactions. There is, however, one special case where this limitation does not exist and this is whenever the object of instinctive action is represented by a fellow-member of the species. In this case not only the receptory patterns may be specialized to receive predetermined stimuli, but the issuing of stimuli may be adapted to the special needs of releasing social reactions. Not only the receiving, but also the issuing of stimuli is within the range of influence of such factors as may govern the evolution of a species. The pike, to put it very crudely, is not in a position to attach any special characteristics to the minnow which mark it as adequate prey and thus prevent the pike from snapping at other things; but the Blue Titmouse may, evolutionally speaking, attach bright yellow marks to the corners of the mouth of the young, or a circle of white feathers around its cloaca, and develop two corresponding innate perceptory patterns, one of them releasing the feeding reaction on the opening of the young bird's mouth, the other one starting the reaction of carrying away excretory sacs on the unfolding of the circlet, if white, at the posterior end of the baby bird. The innate perceptory pattern need not, in this case, compromise between simplicity and lock-like general improbability, because the key-stimuli corresponding to it, being sent out by a contrivance especially evolved for that end, may be very simple and yet of an unsurpassable general improbability. The layman, on seeing the glowing color design of a male Golden Pheasant's plumage, the striking blue and red pattern of a young Hawfinch's mouth or the curious 'dance' movements executed by Mallard drakes on occasion of their communal display, is often heard to remark on the 'incredibility' of these phenomena, thereby correctly acknowledging their extreme general improbability. The means evolved for the sending out of key-stimuli may lie in a bodily character, as a special color design or structure, or in an instinctive action, such as posturing, 'dance' movements and the like. In most cases they are to be found in both, that is, in some instinctive acts which display color schemes or structures that were evolved exclusively for this end. All such devices for the issuing of releasing stimuli, I have termed releasers (Auslöser), regardless of whether the releasing factor be optical or acoustical, whether an act, a structure or a color. The essential general improbability of all releasers is brought about in a way characteristic and very similar even where they have been evolved independently in very different forms of animal life. Throughout the universe it is order that is improbable while disorder, chaos, entropy or whatever one chooses to call it, is what we should expect from the laws of probability. I do not think it too far-fetched an explanation to suppose that the striking orderliness and regularity which so strongly appeals to our sense of beauty in the coloring, the notes and the display movements of so many animals, especially of birds, has its source in their nature as releasers and in the general tendency of all releasers to develop in the direction of the more improbable. This would also explain the astonishing rhythm that we meet in very nearly every releasing action. The more or less pure spectral colors which so often appear in color patterns functioning as releasers, very probably also find their explanation in this way, since the reflexion of one wavelength among the wave-mixture of white light is in itself rather improbable, so improbable indeed that color alone may, in some cases, function as a releaser. It is for very much the same reasons that pure colors are applied in all optical signals used by man. It may very well be that the same explanation holds true for the pure and 'beautiful' sounds occurring in bird song, as it quite certainly does for the great number of rhythmical movements of limb and body which play so important a part in most releasing actions found in birds. The begging movements of many altricial young birds represent a good example of this so that very nearly all the waving movements theoretically possible are realized in different species. In this they actually resemble all the different waving movements used in marine signalling by man. To cite but a few instances: up-and-down movements as begging-releasers have been independently evolved by parrots, gulls, spoonbills and many others; swinging the head sideways is found in many finches; young European Orioles (Oriolus, not the icteride bird) perform a rotating movement of the head which has for its axis a line drawn through the upper mandible; young warblers of the genus Sylvia perform an incredibly rapid trembling movement of the head and neck. All these movements and structures, which function as releasers, by their essential quality of rhythmic regularity, have appealed strongly from time immemorial to the sense of beauty in man. It is no wonder that a vast amount of theorizing has been spent on their behalf. Darwin, in his work on 'The Expression of the Emotions in Man and Animals', has indeed come very close to our conception of releasers, yet it is strange that he attributed so little survival value to their functioning that he could not believe any bodily organ was ever evolved for their special use. He states expressly that not a single facial muscle was ever differentiated in monkeys for the sole end of expressing some emotion. Contrary to this, we must state that we have good reason to believe that not only muscles, but very complicated structures in some species, have been evolved for the purpose of expressing one single emotion or, to be more precise, of transmitting this emotion to a fellow-member of the species. A good example of this is the erectile crest in all night herons, evolved for the purpose of indicating peacefulness, and comparable in its function to the tail-wagging of a dog. Darwin's well-known view about the function of bright colors and striking structures of male birds is so far correct, as that there are certainly a considerable number of species in which these releasers, in the male, function in eliciting sexual reactions in the female. Yet it would be an error to generalize this so far as to conclude that all male coloring and all male structures have been evolved for this function only. Noble and Bradley have shown that in a great number of reptiles the bright coloring of the male does not evoke any sexual responses in the female but has its chief function in intimidating other males. What is true of some reptiles has also been regarded as a general rule throughout the animal kingdom. It was Hingston who propounded the theory that all bright coloring encountered in animals, as well as all peculiar structural designs have been evolved solely for frightening other animals, particularly, but not exclusively, those of the same species. In his opinion even the axillary hair of man is there to frighten the enemy into non-resistance when the aggressor displays it in raising his fists. There is one indubitable fact underlying both this extreme theory, and the sexual theory, namely, that structures and colors are evolved to influence fellow-members of the species. Yet this absolutely correct thought common to both theories was discarded by Wallace, in whose opinion " the more developed plumage and more vivid colors of the males . . . may be wholly due to their greater vital energy and those general laws which lead to such superior development even in domestic breeds; but in some cases the need of protection by the female, while incubating, may have suppressed a portion of the ornament which she would otherwise have attained." To this we must retort that there are a considerable number of birds in which it is the female and not the male that carries 'ornamentation'. Also the very animals in which the ornamentation of the males reaches about the highest development it ever attains,—the spiders of the families Attidae and Lycosidae,—cannot well be said to have "more vital energy" in the male sex, since the male is much smaller than the female. In these spiders the Peckhams as early as 1889, correctly recognized the releasing function of the male colors and structures, which, by eliciting specific sexual responses in the female, prevent her from reacting to the male in an unadaptive way by simply devouring him. Every theory, which, like that of Wallace, leaves to chance the particular regularity of detail in all display coloring and structure, commits a serious error against the laws of probability. If we refuse to resort to an altogether metaphysical, vitalistic explanation, which involves entelechial factors, it is only by regarding these colored and structural patterns as releasers that we can hope to find some reason for the regularity and 'beauty' of their design. The very word 'ornamentation' smacks of a metaphysical assumption. That this so-called ornamentation does not necessarily have some sexual significance is exemplified by the many instances where its releasing function is of a purely social nature. Nothing can be more ornamental than the crest of night herons or the striking patterns of the wings of many ducks. Yet the former functions as the organ of a peace-making ceremony without any sexual meaning, while the latter serves as a releaser of the reactions of flying in a flock or of holding socially together. Our assumption that most of the bright colors and peculiar structures, or what are commonly called secondary sexual characters, which we meet with in the bird world, actually function as releasers of social reactions, receives a convincing confirmation by the fact that there are hardly any of them that do not take part in an instinctive ceremony, and are quite evidently differentiated in such a manner as to be strikingly unfolded by the coordination of movements characteristic of the latter. It is hardly an exaggeration if we state that all striking color designs and bizarre structural devices, such as elongated plumes, inflatable pouches, turgescent naked spots and the like, find their exclusive use in some instinctive act representing a releasing ceremony. Supposing I should shoot, in some far country, a bird unknown to science and that this bird had somewhere on its body a circumscript patch of feathers longer than those of the adjoining regions, I would confidently assert that this particular species was in possession of some releasing ceremony in which just that patch of elongated plumes found its use. There are indeed very few structural and color designs that function as releasers automatically, without the aid of special instinctive acts displaying them. The only example of such 'automatic releasers' at present known to me, is represented by the devices eliciting the flying-in-pursuit reactions in a great many social birds. All of them are color patterns invisible in the sitting bird, but are suddenly and strikingly unfolded at the moment of taking flight. Such patterns are often found in the tail, as in case of the blue-and-yellow design of the Shell Parakeet, the white lateral feathers in the tails of tits, shrikes, doves and hosts of other birds. Often the lower back, covered in the sitting bird by the wings, is white or of some striking color, as in the Bullfinch, the Bean Goose and others. A very high differentiation of this type of automatic releaser has been attained by numerous species of the anatide order, of which many bear special releasing patterns on their wings. Heinroth has made an extensive study of these releasers and their function. Lastly, we have to speak of releasing actions, the function of which is not dependent on any structures or colors evolved for their special use. A great many such actions are familiar to any student of bird behavior, so that I may confine myself to just one example. The male Raven has a most striking threatening attitude, in which all the plumage of the bird's head is tightly depressed, excepting a sharply defined area just above the eye where the feathers are stiffly erected at right angles to the surface of the skin, so that two ears or horns suddenly seem to sprout on the angry Raven's front. In a certain ceremony of courtship, the male Raven stretches forward his head and neck horizontally while fluffing the plumage of the whole head to the utmost and drawing nictitating membranes over his eyeballs. The picture thus presented by the Raven is so totally different in each of these two attitudes that it can be readily understood that two answering reactions or, more exactly, two different innate perceptory patterns, are released by them in the fellow-member of the species. Releasing actions lacking structural or color designs are of special interest to us in cases where closely related species do possess such bodily differentiations, because they often tend to throw some light upon the phylogenetic development of the structure used in the releasing action. We know of a considerable number of instances where a certain releasing ceremony is common to some closely related species and is executed in all of them in so precisely similar a way that even by studying the single frames of a motion-picture film, not the slightest difference of movement can be found. Yet it may be that one of these different species does not possess the least bit of structural differentiation to emphasize the optical stimulation issuing from the movements executed in the ceremony, while a closely related species has the most striking colors and structures that come into play in the very same coordination of movement. The Mallard (Anas platyrhynchos), as well as the closely related Black Duck (Anas rubripes), and the two species Anas superciliosa and Anas (Polionetta) poecilorhyncha, have, in the male sex, a communal display ceremony quite alike in all four species. I need not go into the details of movement executed in this reaction, as it suffices to state that, while A. rubripes and A.superciliosa do not possess structures or colors taking part in this action, A. poecilorhyncha has a bright color pattern on the bill and pure white elbowfeathers, while the brilliant color design of the Mallard drake is well known. In the ceremony in question, a certain movement of tilting up the posterior part of the body, together with a raising of the elbows as strikingly displays the ringlet in the Mallard drake's toil-coverts, as it does the white elbows of the poecilorhyncha male. Similarly, in another motion of the same ceremony, consisting of a quick dipping of the bill followed immediately by a stretching-up of head and neck, two characters different in both species are strikingly displayed. In A. poecilorhyncha this down-and-up movement is made eminently conspicuous by the colors on the bird's bill while in the Mallard the same movement is optically emphasized by the disappearance and subsequent surprising broadening of the white stripe encircling the drake's neck. All the conspicuous characters of the male of both species have one thing in common: they are all so placed on the bird's body as to be displayed by the very same movements, which are exactly alike in both species. The night herons of the three genera Nycticorax, Nyctanassa and Cochlearius have exactly the same greeting or peace-ceremony, the function of which I have likened above to that of a friendly dog's tail-wagging. In this ceremony the upper side of the head is presented to the fellow-member of the species who is to be appeased. All of the three genera possess elongated plumes on the top of their heads that serve to emphasize the movements executed in the ceremony and evidently they were especially evolved for this particular end. Yet the ceremony is executed with success also by young birds, though still lacking the elongated and conspicuously colored plumes. As a third example of the same principle, I would cite the differentiation of the head-plumage in grebes. In the smallest of European species, the Dabchick, a certain ceremony can be observed in which a most singular shape of the head and neck is brought about by depressing the feathers of the neck up to a sharply defined line just below the lower mandible, upward from which the plumage of the head is erected. The sharp boundary between the fluffed and the depressed parts of plumage in the Dabchick is purely functional, no difference in feather length or color being visible in the quiescent or the dead bird. Yet this line, in most other grebes, forms the boundary between the short, plush-like plumage of the neck and the area covered with elongated and brightly colored feathers on the bird's head. In the grebes as well as in the ducks and night herons we find that an instinctive action, common to a number of closely related species, has caused some of them to evolve colors and structures serving to make their movements more conspicuous. The evolution of structure and color has gone on independently in the different species, but a certain similarity in its results is caused by the common origin of all bodily differentiations from the source of one instinctive releasing ceremony. I do not think it either a far-fetched or an incautious hypothesis to assume that in all such cases the releasing ceremony is phylogenetically older than the colors and structures used by it. Systematic comparative study of instinctive actions in birds has shown very clearly that the phyletic age of instinctive reactions is commonly as great as that of organs. In very many cases indeed, its special form proved to be a much more conservative character than that of any organ. Whitman and Heinroth were the first to use instinctive actions as taxonomic characters and the latter's famous paper on the ethology of Anatidae has found a very impressive and convincing confirmation in the work of Poll. This author made an extensive study of the fertility of hybrid birds drawing conclusions therefrom on the blood-relationship of the parent species. His results confirmed those attained by Heinroth in literally every point in which the latter were at variance with those generally held by systematic zoologists of the time. The taxonomic value of releasing actions, for very simple reasons, is even greater than that of other instinctive reactions. Since releasing actions are what we might call a private signalling code of the species, and as such pure conventions, they are largely independent of environmental influences. Their special differentiation is explainable from a predominantly historical point of view and not at all on the ground of their function. It is but a 'convention' that the tail-wagging of a dog expresses and transmits a peaceable mood to the fellow-member of the species while a similar movement in Felidae is the expression of quite a different and nearly contrary emotion. As regards the function of tail-wagging, its meaning in the different animals could just as well be distributed in the opposite way. If ever we find an explanation of why the movements are executed just so and mean just that, this explanation will be chiefly historical. This is most relevant for the estimation of the taxonomical import of releasing actions, because it greatly reduces the likelihood of equality of releasing actions ever being attained in two species by convergent evolution Equality in instinctive releasing actions always means homology and it is just this that often makes it possible for the student of instinctive actions to analyze phylogenetic relations with an exactitude hardly ever attained by the morphologist. It was necessary to explain at some length the phylogenetic age as well as the taxonomic importance of releasing actions, so as to give some background to my assertion that the inherited coordination of movement functioning in releasing ceremonies is, for the most part, phylogenetically older than the structures and colors used in them. It has been said already that we know very little about the phyletic origin of releasing actions themselves, so little indeed that it seems worth while to set it forth here in detail. In regard to most releasing actions, as in the case of the tail-wagging of the dog, we are completely at a loss concerning their evolutionary origin. The only exceptions to this are a few instances where we can trace the origin of releasing ceremonies to instinctive actions of an altogether different function. It may be regarded as true for all or most instinctive reactions that the very contrary of an 'All-or-nothing-law' governs their performance. Even at the lowest degrees in intensity of instinctive reaction, the animal will show its internal processes by certain movements, which, to anyone familiar with the reaction in question, are recognizable as its initiating movements. If the reaction is very low in intensity, no further movements but these slight beginnings of the action will be observed. As long as the reaction is too low in intensity to carry the animal through the whole sequence of expected movements, it may break off at any point. There are all theoretically possible gradations between the slightest movements, hardly noticeable even to one thoroughly familiar with the reaction initiated by them, up to the complete performance of the reaction, and attaining the full survival value representing its biological end or goal. The frequent occurrence of a reaction remaining incomplete and inconsequential because of its being too low in intensity, is of the greatest theoretical importance. It shows with particular clearness that the biological end, or survival value of instinctive action, must not be confounded with the purpose pursued by the animal as a subject. This is most evident in case the action, through sheer lack in intensity, is broken off at the very last moment, falling only just short of attaining the end for which it has been evolved by the species. Nobody, who has ever had occasion to observe this phenomenon, can doubt that the animal performs the movements pertaining to the reaction for their own sake and not for the sake of any biological advantages. As C. O. Whitman puts it, the animal goes through the movements of instinctive reaction because "it finds it agreeable to do so and disagreeable not to do so." If, in early spring, we observe a night heron sitting in a tree and rather suddenly breaking into the action of tugging at and shaking a near-by twig, only to relapse incontinently into its former state of quiescence, it becomes directly and quite indubitably evident that these initiating movements of nest-building are executed for their own sake and not with a view to their possible ultimate result and also that at the present low intensity of the reactions the bird's craving to perform them is quite satisfied by once or twice shaking a twig. As a matter of cause, these incomplete reactions are of no survival value for the animal or its species, unless we attribute to them the function of improving the action by exercise. Even when we admit the questionable value that exercise may or may not have for the performance of purely instinctive reactions, we must state that incomplete reaction is of no survival value in regard to the primary biological end for which the complete reaction was evolved by the species. Yet there is a way by which even the slightest initiating movement of an instinctive reaction may attain an altogether new and biologically important function. Some initiating movement, just hinted at in the behavior of a bird, may tell to the human observer in what direction actions of the birds are to be expected. Because such initiating movements are able to convey the intentions of the animal, they have been termed 'intention movements' (Intentionsbewegungen). It is a well-known fact that this kind of initiating movement in social animals is perfectly 'understood' by the fellow-members of the species. A few words must be said about this so-called understanding. On seeing one animal beginning to perform some action and thereby inciting a fellow-member of the flock or herd to do likewise, the human observer is prone to assume an 'instinct of imitation' on the part of the second individual to explain its behavior. The process, however, on which this seeming imitation is really based, very closely resembles that very direct transmitting of moods from one individual to another, which we can so often observe in ourselves. The 'contagious' reactions of laughing, yawning and the like, at first sight seem very different from the complicated serial actions transmitted in a similar way in animals, yet, being also inherited possessions of the species, they are directly comparable to them. In social animals the transmitting of specific excitation may clearly become of very considerable survival value. All those functions of coordinating the behavior of the individual members of society, which, in the human species, represent one of the chief tasks of speech, are performed either by releasing ceremonies or by the transmitting of specific excitation which we have just described. There is no sharp boundary line between the simple transmitting of excitation, as we may say, "by contagion" and releasing actions in the strict sense of the word. Responding to a certain reaction of a fellow-member of the species by reacting in the very same way is evidently wholly innate. We have, therefore, to assume the existence of innate perceptory patterns corresponding to certain sets of stimuli emanating from the individual first showing the reaction, an assumption which we have to make in all cases where an unconditioned reaction is released in so specific a manner. By the evolution of this kind of innate perceptory pattern, almost any instinctive reaction in a social species may be appointed to the secondary and purely social task of releasing like reactions in the fellow-member of the flock or herd. Now as a matter of course, this secondary releasing function is not dependent on the reaction being executed completely and with full intensity. Even slight initiating movements, wholly inconsequential as to the primary meaning of the reaction, may transmit its specific excitation to the next bird, and thereby gain an undeniable survival value in social species. The correlation of releaser and corresponding innate perceptory pattern once being established, a new development of the intention-conveying initiating movements may set in. By special adaptation to their releasing function, they may be gradually alienated from the reaction, the beginning of which they originally represented. This, to the best of our knowlege, has been the origin of all those instinctive actions which, with some inexactitude, we are accustomed to describe as 'symbolic'. It is only in very few cases that we are able to illustrate this theory by a series of 'phylogenic stages' represented in living species, none of which is more convincing than the following: a reaction which, in large birds especially, always seems to require a considerable amount of 'nervous energy' or, more precisely, of reactional intensity, is that of taking to wing. Everyone familiar with bird behavior knows that none of the larger birds ever takes wing without noticeable preparations, gathering themselves a number of times in quick succession for the effort of leaping into the air and, seemingly at the very last moment, refraining from doing so. It is only after a considerable repetition of these initiating movements that the bird finally takes the plunge. The importance of taking to wing synchronously is evident in all species flying in flocks, so that it is no wonder that these initiating movements of taking the air have attained a special function as releasers in social birds. They transmit the specific excitation from one bird to the other until, after an interval of mutual stimulation, the threshold of the whole reaction is so far lowered that the final stimulation issuing from the first bird actually taking wing, is sure to cause all members of the flock to follow. In the Greylag Goose this kind of mutual stimulation is so important that flocks containing many members actually take the air much more often than others, which consist of only a few birds. The individual bird sending out specific stimulation receives it back 'with interest' from the fellow-members of the flock and it is this 'interest' that increases with their number. An isolated Greylag spends so little of its time on the wing that it will become noticeably fatter and weaker of muscle than geese living under the same conditions but in the society of their kind. The same phenomenon causes large herds of horses or cattle to be much more prone to stampede than are small numbers of the same animals. The mutual stimulation to take wing seems to be especially important in the anatide order, probably because these birds are particularly slow in their resolve to fly up. It is in this order of birds that we find not only the highest differentiation of movements releasing this reaction, but also an exceptionally complete series of what we may regard as phylogenetic stages in the evolutionary progress of this differentiation. In the Mallard, the movements transmitting the specific excitation of flying up are easily and convincingly recognizable as beginnings of the actual reaction itself. Any ornithologist not acquainted with their special importance as releasers would, on observing them, at once grasp the bird's intention to fly up. Crouching low and ready for the effort of leaping off, the duck in a brief interval throws up its head, neck and the anterior part of its body in a way extremely similar to, but yet a little different from the actual motion of jumping upward. One might say, the action is a little overemphasized, as symbolic actions characteristically are. In the Greylag Goose, a species in which all social reactions have attained a higher degree of specialization than in the Mallard Duck, the movement which indicates the bird's intention to take flight and transmits the same to the other members of the flock is quite different, consisting in a sidewise shaking movement of the head and beak alone, the neck being all the while held stiffly upright. No one knowing only the movement of the Mallard just described, would ever suspect that this shaking movement which looks exactly as if the bird were shaking something off its bill, has the same meaning. Yet we can, with great probability of being correct, assert that both these actions of the two different anatides are phylogenetically homologous, because we find all manner of intermediate forms of the same ceremony in other species of this order. The Egyptian Goose, for instance, in its flying-up ceremony, stands just midway between the Mallard and the Greylag, for its expressional movement, as in the latter species, is strictly confined to head and beak, but, like that of the Mallard, goes 'still' perpendicularly upward. Anybody familiar with the movement expressing the flying-emotion in the Egyptian Goose would, without any doubt, recognize at first sight that of the Mallard as well as that of the Greylag. Considering the great many intermediate stages in the development of movements expressing and transmitting flying-emotion in other anatides, I think we are fully justified in assuming (a) that the movements found in the Mallard and in some other ducks represent a more primitive evolutionary stage when compared with those of other birds of the same order, among which those of geese are to be considered the most differential; and (b) that all these ceremonies have been derived phylogenetically from initiating movements and represent abortive performances of the reaction of taking wing, which must be regarded as one special case of the many instances of an instinctive action remaining incomplete through lack in intensity. There are a great many 'symbolic' releasing ceremonies for which a very similar origin seems extremely probable, though we are not in possession of such a complete series of intermediate links as in case of the flying-up ceremonies of anatides. I am referring, among some others, to the great many actions of symbolic nest-building, which play so important a part in the mating of a great number of birds. Especially interesting is a certain symbolic movement of the Gannet, in which the bird sitting on the nest site 'pretends' to take building material from the bill of an imaginary mate and to build it into a nest which at the time being does not yet exist or need not necessarily exist. I have seen fit to deal with these symbolic ceremonies with some detail, because they actually represent the only case in which we have some inkling as to the evolutionary origin of a releasing action. JAKOB VON UEXKULL'S CONCEPTION OF THE 'KUMPAN' Apparently it is in birds that the parallel differentiation of releasers an innate perceptory patterns has reached the highest development it ever attains in animals. This differentiation is one of the two alternatives, which confront a species whenever there arises the biological need of one individual consistently treating another throughout a series of separate actions. The first of the two possible ways to secure such consistency of object-treatment is represented by the animal's possessing insight into the goal or end of its actions and also into the permanent identity of the object toward which its actions are directed. The second possibility lies in the differentiation of a specific innate perceptory pattern for every single one of the actions on the part of the agent, and also on the part of the patient in receipt of the actions, in the differentiation of a releaser separately eliciting each of them. The uniting factor which ensures the consistent cooperation of the several instinctive actions thus does not lie in the agent at all, but in the object of the reactions which, by representing the issuing station common to all the different sets of releasing stimuli, guides every single reaction to its evolutionally predetermined end. The agent as a subject need not, even in the vaguest way, be conscious either of the survival value of his actions, or of the identity of their neutral object. The object in the agent's world need not be represented as that kind of unit in space and time which we are accustomed to call a "thing," if only it is sending out the specific set of stimuli and releasing every one of the actions which must be executed toward it. Complicated and far-fetched though this devious method of object-treatment may seem to the human mind, it is certain that for animals on the mental level of birds this has been easier to attain through evolution than have the mental powers necessary to effect an object-treatment of equal complication and consistence by insight and purpose. By supplying abnormal objects, which do not send out the several sets of releasing stimuli in a way to secure the normal cooperation of reactions, it can be proved experimentally that in many cases it is the object of the reactions, the patient and not the agent, who unites them with a functional unit of definite survival value. For example, in a female Mallard whose ducklings are just hatched, the reaction of defending them is released exclusively by the call emitted by a duckling in distress. Other reactions of taking care of the young, especially that of specifically allowing the duckling to remain near her instead of unspecifically chasing it away, as she would all other small living creatures, are dependent upon certain color patterns on the down of the young. These specific down-patterns vary somewhat in closely related species of ducks, while any difference in the distress signal of the young is hardly discernible in the numerous species belonging to the anatide order. The result of these circumstances is that a mother duck's defending reaction can be released by the young of very different species while other reactions normally directed toward the same object cannot. A mother Mallard, on hearing the distress peeping of a Muscovy duckling, will respond by defending it exactly as she would her own young, but, having just 'heroically saved' it from the hands of the experimenting human, she will incontinently proceed to attack and even kill it when she sees it trying to mix with her own flock of ducklings. The possibility of experimentally separating functions, which ought to be united in the treatment of one particular fellow-member of the species, certainly precludes the assumption that this fellow-member of the species appears as an unit in the bird's world. In all cases where such a separability of the single instinctive acts can be proved, we have reason to think that the fellow-member of the species is perceived as a different thing in every experimentally separable part-function. The most peculiar role which the fellow-member of the species thus plays in the agent's world, being perceived as one thing when representing the object of one reaction and as a different one when being that of another, has been termed that of a "Kumpan" by Professor J. von Uexküll. The German word, Kumpan, means a fellow who is our companion so far as concerns but one particular kind of occupation, such as hunting or drinking (Jagdkumpan, Saufkumpan). It implies that no deeper and nobler bonds link us to our fellow in this kind of companionship. The word certainly meets the case exceptionally well, although it is hardly translatable into English. The word 'companion' certainly lacks the detracting implication, which is so essential for the wonderful way in which Uexküll's term describes this lowest type of animal companionship. INBORN RECEPTORY PATTERNS AND 'CONDITIONING' It would be a fundamental error if, on the ground of such observational examples as that of the mother Mallard which I cited above, we should assume that all birds in every case are unable to perceive a fellow-member of the species, such as their mates, their young or their social companions as personalities remaining identical in space and time. In fact, as soon as any bird attains the faculty of individually recognizing one fellow-member of the species who represents the mutual object of several of its instinctive actions, this personal acquaintance may serve as an uniting factor. It may fail, however, to do so, and it is interesting to observe how, in one of two closely related species, personal acquaintance may dominate instinctive actions as released by innate perceptory patterns, while in the other blind instinctive reaction reigns supreme. I am referring to the social defending reaction in the Jackdaw and in the Raven. Of both these species I possessed a very tame individual who was extremely attached to my person, responding to me with all its social reactions. When I tried to elicit the response of defending a companion by gripping a fellow-member of the species and showing it thus to each bird, I got exactly contrary reactions in the two species. The Jackdaw instantly attacked me with the utmost intensity and pecked viciously at my hand that was holding the other Jackdaw, although the latter was an individual for whom it had a strong personal hate and whom, not very long before, it had so maltreated that I had to separate the birds. The Raven, on the other hand, displayed a much less reflex-like response. When I grasped a young Raven, whom my tame old male thoroughly disliked, he instantly flew on my shoulder and from this position took advantage of the young bird's helplessness to peck at it, without giving the call and the movements characteristic of social defense. But when, sometime later, his mate, by playing with my mother's knitting, got so entangled with it that she could not get away, the male furiously attacked the servant girl who was trying to extricate her. On this occasion he displayed the full reaction of social defense which, in the Raven, is similar to that of the Jackdaw. A female Mallard, in defending her young, actually shows both types of behavior displayed by the Daw and the Raven in their defending reactions. Soon after the hatching of the young she just responds blindly to stimuli emanating from them, but six or seven weeks later, her behavior appears on a much higher mental level. We find now that personal recognition of her own young has developed to a degree that releases her defending reaction. Again, in the Muscovy Duck, which is considerably more stupid and also less social than the Mallard, the mother bird keeps on defending blindly all other ducklings besides her own throughout the entire summer. From the point of view of Professor von Uexküll's "Umweltforschung" this conditioning of innate reactions to a personally recognized object means a radical change in the bird's world. At first, in the world of the mother Mallard, there do not exist young ducklings individually recognized as things and units, but just stimuli, blindly releasing her brooding reaction in one case, or her defending reaction in another. Later on, the acquired ability to recognize individually every one of her ducklings unites the formerly independent sets of stimuli which correspond to her several innate perceptory patterns. Thus by true learning on the part of the mother duck, what first may have appeared in her world as quite different things fuse into the unit of one thing. The 'thing to be brooded' and the 'thing to be defended' finally are united in the identity of what, following von Uexküll, we may term a 'child companion'. Although I have followed von Uexküll's terminology in calling such a compound object of several reactions a 'Kumpan', coining the expressions of 'child-Kumpan', 'parentKumpan', and the like, it must not be forgotten that these terms imply a slight broadening of the original conception of the 'Kumpan', as the object releasing but one single, independent function. I feel inclined to use the English word 'companion' as a term for this somewhat different conception of a fellow-member of the species who acts as a releasing object in regard to several instinctive actions of the agent. Such a thing as a 'parent-companion', a 'child-companion,' owes its appearance in the bird's world to an acquiring process, that is to conditioning in a broad sense of the word. We have already said that it is true associative learning, which unites the different sets of releasing stimuli emanating from an individual companion. There is, however, a very peculiar acquiring process, differing in some respects from associative learning, which unites and guides to their proper object innate reactions directed to fellow-members of the species in general, but not to the object as an individual, as is the case with the process of personal recognition just described. This process of acquiring the biologically 'right' object of social reactions by conditioning them, not to one individual fellow-member of the species, but to the species as such, is so very peculiar that I have thought it necessary to use a particular word to describe it. I have called it 'Prägung' in German, which I purpose to translate into English by the term 'imprinting'. IMPRINTING It is a fact most surprising to the layman as well as to the zoologist that most birds do not recognize their own species 'instinctively', but that by far the greater part of their reactions, whose normal object is represented by a fellow-member of the species, must be conditioned to this object during the individual life of every bird. If we raise a young bird in strict isolation from its kind, we find very often that some or all of its social reactions can be released by other than their normal object. Young birds of most species, when reared in isolation, react to their human keeper in exactly the same way, in which under natural conditions they would respond to fellow-members of their species. In itself this phenomenon is in no way surprising. We know of a great many reflex actions that can be conditioned to very different releasing factors without being changed as to their coordination of movement. Also we know that a great many animals, when deprived of the normal object of some instinctive reaction, will respond to a substitute object, or, to be more precise, will react to other than the usual set of stimuli. In all these cases the animal will prefer the normal object as soon as it is proffered, but the bird raised in isolation refuses to react to its kind. In most cases experimentally investigated, the biologically right object, that is, the fellow-member of the species, was not even accepted as a substitute for the abnormal object, acquired under the conditions of experiment, when the latter was withdrawn and the bird left severely alone with other individuals of its species. Heinroth failed to breed hand-reared Great Horned Owls, Ravens and other birds, for no other reason than that these tame individuals responded sexually to their keepers instead of to each other. In a very few cases known, the bird whose sexual reactions were thus directed toward man, finally accepted a fellow-member of the species which, however, was always regarded as a rather poor substitute for the beloved human and was instantly abandoned whenever the latter appeared. Portielje, of the Amsterdam Zoological Gardens, raised a male of the South American Bittern (Tigrisoma) who, when mature, courted human beings. When a female was procured, he first refused to have anything to do with her but accepted her later when left alone with her for a considerable time. The birds then successfully reared a number of broods, but even then Portielje had to refrain from visiting the birds too often, because the male would, on the appearance of the former fosterfather, instantly rush at the female, drive her roughly away from the nest and, turning to his keeper, perform the ceremony of nest-relief, inviting Portielje to step into the nest and incubate! What is very remarkable in all this is that while all the bird's instinctive reactions pertaining to reproduction had been repeatedly and successfully performed with the female and not once had been consummated with a human being for their object, they yet stayed irreversibly conditioned to the latter in preference to the biologically proper object. The performance or better the successful consummation of an instinctive reaction is evidently quite irrelevant for this peculiar way of acquiring its object. The object-acquiring process can be completed months before the action is executed for the first time. I once had a pair of Greylag Geese hatch a Muscovy Duck's eggs. The parent-child relations in this artificial family dissolved sooner than is normal for any of the two species, owing to some hitches in mutual understanding which occurred because the key and lock of the releasers and innate perceptory patterns of both species did not fit. From the seventh week of their life, however, the young Muscovies had nothing more to do with their former fosterparents nor with any other Greylag Geese, but behaved socially toward one another, as well as toward other members of their species as a perfectly normal Muscovy Duck should do. Ten months later the one male bird among these young Muscovies began to display sexual reactions and, to our surprise, pursued Greylag Geese instead of Muscovy Ducks, striving to copulate with them, but he made no distinction between male and female geese. These few observational examples are sufficient to illustrate in a general way the peculiarities of the acquiring process in question, but I wish to call the reader's attention more especially to the points in which this process differs from what we call associative learning. (1) The process is confined to a very definite period of individual life, a period which in many cases is of extremely short duration; the period during which the young partridge gets its reactions of following the parent birds conditioned to their object, lasts literally but a few hours, beginning when the chick is drying off and ending before it is able to stand. (2) The process, once accomplished, is totally irreversible, so that from then on, the reaction behaves exactly like an 'unconditioned' or purely instinctive response. This absolute rigidity is something we never find in behavior acquired by associative learning, which can be unlearned or changed, at least to a certain extent. In 1936, I kept a young Greylag isolated from its kind for over a week, so that I could be sure that its following-reaction was securely attached to human beings. I then transferred this young goose to the care of a Turkey hen, whom it soon learned to use as a brooding-Kumpan for warmth instead of the electric apparatus it had hitherto favored. The gosling then followed the Turkey hen, provided that I was not in sight, and kept this up for a fortnight; but even during that time I had only to walk near the two birds, to cause the gosling to abandon the hen and follow me. I did this but three times, to avoid conditioning the gosling to my person as a leader. When, after two weeks, the gosling began to become more independent of the warming function provided by the Turkey hen, it left her and hung around our front door, waiting for a human being to emerge and trying to follow it when it did so. Now this gosling, excepting the few necessary trial runs, each of which did not last more than about a minute, had never actually consummated its following-reaction with a human for its object. On the other hand, for more than two weeks, it had been in constant contact with the Turkey hen; yet its following-reaction did not become conditioned to the Turkey in preference to the human. I would even suspect that its instinctive following-reaction was never really released by the Turkey at all, and that its following the hen was predominantly a purposive act, directed to the necessity of getting a warm-up from time to time. It never ran directly after the Turkey hen in the intensive way in which it would follow me and in which Greylag goslings follow their normal parents, but just kept near her in a most casual and deliberate sort of way, quite different from the normal reaction. Most impressive is the fact of the irreversibility of imprinting in such cases, in which birds become conditioned to an inaccessible object or to one with which it is physically impossible to perform the reaction. (3) The process of acquiring the object of a reaction is in very many cases completed long before the reaction itself has become established, as seen in the observations on the Muscovy drake cited above. This offers some difficulties to the assumption that the acquiring process in imprinting is essentially the same as in other cases of 'conditioning', especially in associative learning. To explain the process in question as one of associative learning, one would have to assume that the reaction is, in some rudimentary stage, already present at the time when its object is irreversibly determined, an assumption which psychoanalysts would doubtless welcome, but about which I have doubts. (4) In the process of imprinting, the individual from whom the stimuli which influence the conditioning of the reaction are issuing, does not necessarily function as an object of this reaction. In many cases it is the object of the young bird's begging-reactions, or the following-reactions, in short the object of the reactions directed to the parent-companion, that irreversibly determines the conditions which, more than a year later, will release the copulating reactions in the mature bird. This is what we might call a super-individual conditioning to the species and certainly it is the chief biological task of imprinting to establish a sort of consciousness of species in the young bird, if we may use the term 'consciousness' in so broad a sense. I would not leave the subject of imprinting without drawing the reader's attention to some very striking parallels existing between imprinting and a certain important process in the individual development of organs known in developmental mechanics (Entwicklungsmechanik) as indicative determination. If, at a certain stage of development, cellular material of a frog embryo be transplanted from one part of its body to another, the transplanted cells owing to influences emanating from their new environment, are induced to develop in a way fitting to it, and not in the way they would have developed in their original position. This process of being influenced by environment, termed 'induction' by Spemann and his school, is confined to very limited periods in the ontogenetic development of the embryo. After the lapse of this period, transplantation of tissue results in the development of abnormal monsters, because any transplanted material will develop in a way exactly fitting the place of its provenience. Also, cells transplanted before the critical time and afterward replaced in their original situation, will develop in harmony with the part of the embryo in which they are implanted during the critical period of inductive determination. It is certainly a very suggestive fact that the two chief characteristics of imprinting, in which it differs from associative learning, namely, in being irreversible and in being strictly confined to definite phases of ontogenesis, coincide with those which imprinting has in common with inductive determination in Spemann's sense of the word. Of course, it is a matter of personal opinion how much or how little importance one should attribute to these differences from associative learning, and to analogies to inductive determination. My object in drawing the parallels to the latter, is to show that not only the phylogeny of instinctive reaction, but also its ontogeny more closely resemble those of an organ than those of any of the higher psychological processes. Also, it is a purely conceptional dispute whether imprinting is to be regarded as a special sort of learning, or as something different. The decision of this question depends entirely upon the content we see fit to assign to the conception of 'learning.' Imprinting is a process with a very limited scope, representing an acquiring process occurring only in birds and determining but one object of certain social reactions. Yet rarity does not preclude systematic importance, but I should think it rather unwise to widen the conception of learning by making it include imprinting. Such an increase of its content would bring the conception of associative learning dangerously near to including inductive determination as well, and experience has shown that this kind of stretching the boundaries of a conception is apt to destroy its value. This is exactly what has already happened to the conception of the reflex and to that of instinctive action. Since it determines the conditions for the releasing of a certain reaction, imprinting certainly must be regarded as 'conditioning' in a very broad sense of the word, but I think that English-speaking scientists should be glad to possess this term because it describes a conception less specific than that of learning. INTERACTION BETWEEN INNATE PERCEPTORY PATTERNS AND IMPRINTING There is a dual connection between innate perceptory patterns and the process of imprinting. On one side it is the normal function of innate perceptory patterns to guide a reaction to their biologically proper object, and we have already mentioned that sets of stimuli releasing one reaction are, strange as it may seem, factors inducing the choice-of-object of an entirely different action. For instance the sets of stimuli which, through innate perceptory patterns, release the following-mother reaction in many species of precocial birds, in doing so determine the object of sexual reactions not displayed until a year later. On the other hand, such characters of the object which are not present in the innate perceptory patterns, but to which the reactions must become conditioned in individual life, serve as a uniting factor to the different reactions once their acquisition is accomplished. This uniting of hitherto independent functions has already been illustrated by the example of the mother Mallard learning to know her ducklings individually. A very similar uniting function must be attributed to the process of imprinting as well, though it never concentrates reactions on one individual object, but only in the species as such. If normal imprinting is prevented experimentally, the social functions of a bird may be distributed between a considerable number of species. Thus, I had a tame Jackdaw, all of whose social reactions were, once for all, directed toward Hooded Crows as a species, while it would court human beings and respond with all its caring-for-progeny reactions to a young Jackdaw. One might say metaphorically, that imprinting fills out the spaces left vacant in the picture of the proper species, outlined in the bird's perceptory world by the data given by innate receptory patterns, very much as medieval artists in drawing astronomic maps, accommodated the pictures of the heraldic creatures of the zodiac between the predetermined points given by the position of the stars. Just as the imagination of such an artist is given the more freedom the smaller the number of stars which must be accommodated in the picture, so also is the scope of imprinting the greater, the fewer and the less specific are the characters of the species represented in innate perceptory patterns. With very many species it is practically impossible to direct experimentally the social reactions of the young to any but the normal object, because their innate perceptory patterns are so highly differentiated as to prevent the successful 'faking' of the corresponding sets of stimuli. This is the case with most birds of the Limicolae. Especially Curlews (Numenius arcuatui), even when hatched artificially and never having seen any living creature but their keeper, cannot be brought to respond to him with any reactions but those of escape. Most instructive are those cases where it is just possible to imitate releasing stimuli normally emanating from the parent bird, and thus to direct the imprinting of some reaction to a substitute object. This is the case with the following-mother reaction of young Mallards. It was long regarded by me as an established fact that Mallard ducklings would not accept their human keeper as a foster-parent, as would young Greylags, cranes and a number of other birds. I began experimenting by having Mallards hatched by a Muscovy Duck, with the result that they ran away from her as soon as they could, while she continued incubating on the empty shells. Foster-mother and young failed completely to respond to each other. Heinroth had exactly the same experience when he tried to let young Wood Ducks hatch under a Mallard. On the other hand I knew, from former experience, that young Mallards without any difficulty accept a spotted or even a white domestic duck as a foster-mother. The optical stimulation emanating from such a domestic duck was indeed more different from that provided by the small, brown mother Mallard, than was that of the small and rather shabby Muscovy with whom I had been experimenting. The characters relevant for the responding of innate perceptory patterns of the young must then, I concluded, be those common to the Mallard and the domestic ducks. These characters evidently were represented chiefly by the call note and by the general demeanor, both of which have not been changed much in the process of domesticating the Mallard. I decided to try experimenting on the call note which it is happily well within the powers of the human voice to imitate. I took seven young Mallards and while they were drying under the electric heater I quacked to them my imitation of the mother Mallard's call. As soon as they were able to walk, the ducklings followed me quite as closely and with quite the same reactional intensity that they would have displayed toward their real mother. I regard it as a confirmation of my preconceived opinion about the relevance of the call note, that I could not cease from quacking for any considerable period without promptly eliciting the 'lost peeping' note in the ducklings, the response given by all young anatides on having lost their mother. It was only very much later, probably after much conditioning to other characters inherent to my person, that they regarded me as their mother-companion even when I was silent. The distribution of function between the innate perceptory patterns and the acquisition by imprinting is very different in different species. We find all possible gradations between birds like the Curlew whose innate perceptory patterns, corresponding to stimuli emanating from their own species, are so specialized as to leave hardly any room for the acquiring of characters by imprinting, up to birds like the Mallard, in which just one character, but a very 'characteristic' one, represents the evolutionally predetermined condition which must be fulfilled to make the object 'fit' into the general pattern of the companion. Finally we know of species whose innate perceptory patterns are so reduced as to form but a very rough and sketchy outline of the companion which, under the conditions of an experiment, may become filled out by a very different object. A good example of this is represented by the reactions of the newly hatched Greylag Goose who, on coming to the light of day for the first time, looks upward in a marked manner and will respond to actually any sound or movement by giving its specific greeting reaction. If the moving and sound-emitting object begins to move away from it, the gosling will instantly start in pursuit and will most stubbornly try to follow. It has been credibly reported that boats were followed by Greylag goslings when the parent birds had been driven away, very probably at exactly the right moment to elicit the looking-up reaction above described. I intend to experiment on the general form and on the limits of size, which the object, thus releasing the young gosling's following-reaction, must possess. The lack of specificity which is so remarkable in the gosling's first responses to form and sound is, to an extent, compensated by its specificity in time. The looking-up reaction once performed, it is extremely difficult and possible only by very forceful means to induce the gosling to follow any other object than the one releasing its very first greeting reaction. In a natural environment it is extremely unlikely that a moving and sound-emitting object other than the parent bird ever encounters the gosling just at the critical moment and, even if some enemy of the species should do so, it does not matter whether the still very helpless gosling runs away from it or toward it. Another example of a species with wide and little specific innate perceptory patterns is the Shell Parakeet (Melopsittacus undvlatus). I raised in isolation a young bird of this species, which was taken out of the nest of its parents at the age of about one week. It was reared in such a way as to expose it to as little stimulation from the keeper's side as possible. When fledged it was confined to a cage in which a celluloid ball was so attached that it would swing to and fro for a considerable time if accidently touched by the bird. My intention to transfer the sexual and general social reactions of this bird to the very simple contrivance mentioned, succeeded beyond all expectations. Very soon the bird kept continuously near the celluloid ball, edged close up to it before settling down to rest and began performing the actions of social preening with the ball for an object. Notwithstanding the fact that the celluloid ball had no feathers, the bird minutely went through all the movements of preening the short plumage of another bird's head. One most interesting item in the behavior of this bird was that evidently he was treating the celluloid ball as the head of a fellow-member of the species. All actions which he performed in connection with it were such as are normally directed toward the head of another parakeet. If the ball was attached to the bars of the cage in such a manner that the bird was at liberty to take any position relative to it by holding on to the bars, he would always do so at such a level that his own head would be at exactly the same height as the celluloid ball. When I attached it closely to a horizontal perch, so that it was much lower than the head of the sitting bird, he would be at a loss what to do with his companion and looked 'embarrassed.' Throwing the ball loosely on the floor of the cage elicited the same response as the death of the only cage-mate does in Shell Parakeets, namely, the bird fell absolutely silent and sat still in the 'fright-attitude' with feathers depressed close to the elongated body. The only instinctive reaction not normally addressed to the head of a fellowmember of the species that I could observe in this isolated bird, was the following: males in courting a female excitedly run up and down a perch in a quick sidewise movement and finally sidling up to her, they grip in a playful way at her lower back or at the base of her tail, using one foot and standing on the other. When my parakeet grew to mature age and began more seriously to court the celluloid ball, he would execute exactly the same movements, but, as he was aiming them in such a way that the ball represented the female's head, his thrust-out claw would grip only vacancy below the celluloid sphere dangling from the ceiling of his cage. All this seems to indicate that some of the innate perceptory patterns of the Shell Parakeet must, in some way, be adapted to the receiving of formed stimuli representing, at least in rough outline, the head and body of a companion. Portielje got analogous results in his most interesting investigation of the European Bittern (Botaurus stellaris). This bird possesses an innate perceptory pattern corresponding to formed stimuli emanating from the enemy who releases its defence-reaction. This pattern also represents the head and body and also consists of a very rough outline only. The Bittern in defending itself, strikes at the head of the enemy, not at its eyes as was formerly believed. Portielje could show that the bird in this reaction was guided by the fact that a smaller shape representing the head of the enemy, was situated just above a larger one, representing the body. Two disks of card-board were sufficient to meet the requirements of this simple innate perceptory pattern. The observations of the Budgerigar 2 may serve us as an example, of how, under the abnormal conditions of captivity, the rough sketch representing the companion, outlined in the bird's perceptory world by innate patterns, may be 'filled out' in an incomplete way by accepting an object only partially corresponding to the innate sketch, so that some parts of the latter are left vacant, as the space reserved for the companion's body was left vacant by the celluloid ball. Instinctive reactions directed to such vacant spaces, as the one of gripping the female's tail in the Shell Parakeet, very often prove their fundamental independence by attaching themselves to an independent object, to a separate 'Kumpan.' The Jackdaw mentioned above supplies a good example of this. More transparent perhaps and susceptible of a simpler explanation is the behavior of man-reared young Greylag Geese. This species, as mentioned before, has particularly wide and sketchy innate perceptory inlets which, by reason of their very wideness enable the experimenting human to step in and supply all the needs a Greylag has for companionship, much more completely than is possible 2 The Shell Parakeet, a corruption of Betcherrygah, native Australian for 'good parrot,' probably introduced into Great Britain at the time of the Crystal Palace Exhibition in Hyde Park, London, in 1851, when it soon became a favorite cage bird. with any other species of bird hitherto investigated. There is, however, one reaction of the Greylag which constitutes an interesting exception to this rule by having a very definite and highly differentiated 'lock' an innate perceptory pattern corresponding to the one and only structural releaser ever evolved by the species. I am referring to the reaction of flying after another member of the flock, which is dependent upon a striking and beautiful grey-and-black color pattern on the wings of the preceding bird. This color pattern which represents one of the prettiest examples of an 'automatic releaser', is quite invisible in the sitting bird, as all the parts of the wings then open to view are colored in the same 'protective' gray-brown as the rest of the bird. It is only the plumage of the propatagial membrane, which disappears beneath the shoulder plumage when the wing is folded, and furthermore the base of the remiges of the hand and their primary coverts, then covered by the dull plumage of the arm, which display a light silvery gray appearing almost white when seen at a distance. The sudden transformation of a grayish-brown bird into one predominantly black and white at the moment of taking to wing, is very impressive, even for the human observer, and most probably is essential for the following- or flocking-together reaction of the fellow-member of the species. This highly differentiated way of releasing the reaction makes it impossible for the human companion to elicit it in the isolated goose, which results in an apparently inconsistent behavior on the part of such a bird. The young goose seems to undergo a complete mental transformation at the moment of taking to wing. While being completely indifferent to any fellow-member of the species and most intensely and affectionately attached to its keeper as long as it stays on the ground or on the water, it will suddenly and surprisingly cease to respond to the human in any way whatever at the moment it takes to wing in pursuit of another Greylag. My Greylags used to follow me on my swimming tours in the Danube as a dog would, and in walking and swimming, the leader-companion of a Greylag Goose releases its following-reaction without the use of specially differentiated bodily characters; therefore, when walking or swimming in front of the bird, it is able to supply the necessary stimulation, but leaves unfulfilled the conditions releasing the following-reaction of the bird on the wing, and leaves vacant a place which may be taken by any object which supplies specific stimulation. The releasing of one separate social reaction independently of all others, which normally cooperate with it in the social life of the species, as exemplified in these observations, is indeed a very common occurrence in birds reared by man. Abnormal though these phenomena undoubtedly are, they yet tend to throw some light on the normal processes upon which social life is built up in birds. As in the case of the reflex processes, our knowledge of what is the normal sequence of reactions is almost entirely founded on a careful analysis of abnormal reactions produced experimentally. SPECIAL CONSIDERATION OF THE PARENT-COMPANION, CHILD-COMPANION AND THE LIKE Five chapters of my work deal with five different cases in which one definite fellow-member of the species plays an important part in the bird's world, as the parent-companion, the childcompanion, the sex-companion, the social-companion and finally the brother-and-sistercompanion. These chapters are made up almost exclusively of examples of all these phenomena which I have already mentioned in the preceding sections of this abstract. Observational evidence is difficult to condense, so perhaps I should conclude this paper with a list of the contents of the 'companion' chapters. Each of them begins with a short account of the innate perceptory patterns which represent the innate sketch or outline of the companion in the bird's world. Next comes 'personal recognition of the companion', and after this I consider all the separate reactions released by the particular companion in question. Finally, I deal with the independence and experimental separability of the different releasing functions performed by the companion. To enumerate a little more in detail the releasing functions of each type of companion: the releasing functions of the parent-companion: (a) the releasing of begging reactions, (b) of food-taking reactions, (c) of following reactions, (d) of responses to warning, and (e) of the responses to being defended by the parent. The releasing functions of the child-companion: (a) the releases of feeding reactions, (b) of nest-cleaning reactions, (c) of leading reactions, (d) of defence reactions, (e) of other life-saving reactions, (f) of brooding reactions, and (g) the responses to the disappearance of the child-companion. The releasing functions of the sex-companion: (a) the interlocking of instinctive actions pertaining to mating, (b) the synchronization of mating cycles, (c) the interlocking of instinctive actions in nest-building, (d) the releasing reactions leading to copulation, (e) the interlocking of instinctive actions pertaining to nest-relief, and (f) the responses to the disappearance of the sex-companion. The releasing functions of the social companion: (a) inducing of reaction by 'contagion' and so-called imitation, (b) the releasing of following reactions, (c) of responses to warning, (d) of social attack reactions, (e) the interlocking of instinctive actions pertaining to the pecking-order and to nest-protection, and (f) responses to the disappearance of the social companion. The releasing functions of the brother-and-sister-companion: (a) the releasing of following reactions, (b) inducing of reactions by 'contagion', (c) the releasing of responses to warning, (d) of communal defence reactions, (e) the responses to the disappearance of the brother-and-sistercompanion; and (f) the interlocking of instinctive actions pertaining to the pecking-order. The paper, which I have attempted to summarize, concludes with a brief discussion of all the instances in which my results appear to be at issue with opinions generally held in comparative psychology. Altenberg, Post Greifenstein, Nieder-Oesterreich, Austria
Review Article Spotlight on: Humanities in speech and language therapy Irene P. Walsh a , ∗ and Alexandra Mallinson b a Department of Clinical Speech & Language Studies, Trinity College Dublin, Ireland b Speech and Language Therapy Department, Plymouth Marjon University, Plymouth, England, UK Received 21 December 2021 Accepted 28 January 2022 Abstract. In this 'Spotlight on: Humanities in speech and language therapy', we argue the case for the arts and humanities to ﬁnd its way into speech and language therapy (SLT) course curricula, clinical practicum, and other areas related to SLT professional practice. We have a long-held belief that the arts and humanities have much to offer the discipline of speech and language therapy. This review begins with a consideration of what is meant by health humanities, within the more traditionally termed 'medical humanities'. Considerations for curricular inclusion are also presented. An example from a literary autobiographical work is used to illustrate the possibility and potential of integrating a humanities' approach to a speech and language therapy curriculum in order to better understand and appreciate communication and communication breakdown. Finally, although the case is made in this review for the discipline of speech and language therapy to embrace the humanities, by implication, there is no reason why other healthcare programmes cannot consider the possibility, where better understanding of the human condition of health and illness is core to teaching and learning. Keywords: Medical humanities, health humanities, speech and language therapy, healthcare education, arts and humanities 1. Introduction "Well, the truth is, we cannot speak other than by our paintings" (Vincent van Gogh, to his brother, Theo, July 1890) It is well known that van Gogh experienced mental health problems during his life (van Meekeren, 2003) and his descriptions of his attempts to communicate coherently were a core part of this experience, as frequently referenced in his letters to his brother, Theo, and fellow artists (de Leeuw, 1996). It is quotes like that of van Gogh's, however, that can prompt the realisation that there is more to the science of language and communication disorders than the academic and theoretical study of speech and language pathology. An awareness of the diverse range of other learning resources and opportunities afforded by engaging with the arts and humanities can be both liberating and exciting. It can open a world that complements the knowledge and skill of our sometimes restricted or constrained world of speech and language therapy (SLT). 2. Medical / health humanities ∗ Corresponding author: DrIreneP.Walsh,DepartmentofClinical Speech & Language Studies, 7-9 South Leinster Street, Trinity College Dublin, Dublin 2, Ireland. E-mail: email@example.com and ORCID ID: 0000-0003-4009-2627 Medical humanities is a multi- and inter- disciplinary ﬁeld of study which strives to integrate, with medicine, the disciplines of the arts (e.g., literature, music, and visual arts), the humanities (e.g., philosophy, history) and the social sciences (e.g., ISSN 2772-5383/$35.00 © 2022 – IOS Press. All rights reserved. psychology, sociology, anthropology), (Batistatou et al., 2010). Core to this integration of disciplines of study, is understanding the human condition in both health and illness. Medical humanities attempts 'to emphasise the subjective experience of patients within the objective and scientiﬁc world of medicine' (Oyebode,2010,p.242).Thefocusthenisonthetruly humane aspects of health care. O'Neill et al. (2016) state: our vision of the medical humanities is that it constitutes a vital aspect of the epistemology of what it is to be human and the nature and experiences of health, illness and healthcare (p.109). The person and their experience are at the centre of focus of medical humanities. This centrality of the experience of the person, be they be the patient/client/ family, or the professional, is what is of interest here and core to the contribution the humanities might make to healthcare. The term 'health humanities' (Crawford et al., 2010) is favoured over 'medical humanities' in the context of allied healthcare disciplines. We concur with this more inclusive terminology. The term 'health humanities' encompasses all those professionals who are key to multidisciplinary care. In their call for a broadening of the term, Crawford et al. deﬁne 'health humanities' as: a more inclusive, outward-facing and applied discipline . . . which both embrace interdisciplinarity and engage with the contributions of those marginalised from the medical humanities - for example, allied health professionals, nurses, patients and carers (p.4). We welcome this inclusive deﬁnition which respects the contributions of not only allied healthcare practitioners, but also patients/clients and their carers. We understand health humanities as a lens through which we can embrace conceptualisations and portrayals of health and illness, disorder, and impairment, beyond the conﬁnes of medical interpretations only. Furthermore, invoking such an inclusive termallowsustobroadentheremitofahealthhumanities' understanding, and include consideration of the whole clinical encounter, including experiences of clinical processes and practices along with depictions of the professional and the patient/ client and their relationship. 3. Curriculum considerations The study of medical humanities has been represented in disproportionate and highly varied ways in the education of healthcare professionals. It is afforded signiﬁcantly greater notability in medical education, that is, in the training and education of physicians where its curricular visibility has been increasing in recent times, across teaching and learning activities (e.g., see Peterkin, 2016). However, other healthcare disciplines are beginning to see the potential and promise of the arts and humanities. For example, a Masters' programme in medical humanities at the University of Rochester (New York) includes both healthcare and allied healthcare students, such as nursing, social work, occupational therapy and physical therapy (see: https://www.urmc. rochester.edu/ education/ graduate/ masters/ medicalhumanities.aspx). For existing programmes in graduate and undergraduate healthcare education however, educators are often concerned with 'overload' in curriculum content. Many healthcare programmes of study are brimful with core modules that are mandatory to competency development of healthcare practitioners. Herein lies the difﬁculty of suggesting an arts and humanities' focus as an addition. Yet there are creative ways of integrating health humanities into existing modular content so that it permeates aspects of teaching and learning and is not merely seen as 'additive' (Evans & Greaves, 1999). Self-directed learning along with tutor-guided activities can enrich the teaching and learning experience for all. Student learners often embrace a different way of doing things and welcome the opportunity to explore and reﬂect beyond the academic textbook or the strict, formal, didactic learning activity. Anecdotal evidence suggests that students and practitioners are beginning to see the value of alternative and complementary ways of teaching and learning, with humanities having a part to play. Moreover, educators and professionals are increasingly motivated and concerned with the qualiﬁcation of well-rounded, empathic, critical, and perceptive professionals. The goal is to qualify healthcare professionals who can look beyond themselves and the constraints of their own discipline to enhance their knowledge and understanding of professional practice. Exploration of the arts and humanities within healthcare education can contribute to the enhancement of targeted graduate attributes. 4. Potentials and possibilities: Speech and language therapy Taking speech and language therapy as a case in point, health humanities can offer opportunities to exploremanyaspectsofthespeechandlanguagetherapy clinical encounter. For example, experiences of clinical conditions and their associated communication challenges (e.g., in conditions such as aphasia, dementia, stuttering, autism, etc.,) can be explored as portrayed in biographies and autobiographies, ﬁction and non-ﬁction, ﬁlm and visual arts, or poetry and prose, for example. There are many examples of such resources awaiting excavation by the critical educator and motivated learner. Likewise, the experience of the clinical encounter itself is one which is often referenced directly or indirectly in such resources. For example, Waxman et al., (2005, pp. 125–129) review ﬁlms that can be educationally employed to stimulate learning about dimensions of the clinical interview (e.g., 'active listening', 'dealing with awkward moments' and 'interruptions'). Moreover, reﬂecting on one's own biases as a professional in the clinical encounter, be they conscious or unconscious, can also be aided by the critical evaluation of portrayals of health and illness, and the healthcare practitioner's response to them. Reﬂections can then be discussed in the relative safety and freedom of a clinically relevant space (e.g., clinical tutorial in the classroom) as opposed to the 'in vivo' direct clinical context of the consulting room. 5. An illustrative example Walsh (2020) explored the potential of a literary autobiography to better understand the nature of the language and communication challenges that can present as an element of, or central to, the experience of mental health disorder, such as schizophrenia. Given that speech and language therapy involvement with people with mental health disorders and language and communication difﬁculties remains a relatively recent development in many countries, Walsh was concerned with grasping a better understanding and appreciation of the many challenges those affected face. The literary autobiographical work in question was that of the New Zealand novelist Janet Frame (Janet Frame: The Complete Autobiography, 1989). Such exploration allowed the true reciprocal nature of communicationtocometotheforeandbeappreciated in this context, that is, underpinning the belief that (i) communication (breakdown) is a dynamic between two (or more) people, and that (ii) the locus of the breakdown should not be seen to solely reside in the person who happens to have the diagnosis (in this case a person with schizophrenia) (e.g., see Jagoe, 2013, 2015; Walsh, 2008 for further discussions of this point). Moreover, Janet Frame's experiences of mental ill-health and struggles to communicate at times, signiﬁcantly informed both her biographical and ﬁctional works. Of note was Frame's descriptions of her perceptions of her listeners in communication. In this ﬁrst example, Frame tells us of her anticipated difﬁculty in communicating in the hospital interview: "I cannot talk about myself. I cannot. Every month I go to the hospital and [see] one of the doctors from Seacliff...I have been able scarcely to say a word to them...I just go into a kind of dream probably to escape their questioning. And my voice won't work. And if it did it would utter what they would think to be utter nonsense...I keep silentbecausephysically,Icannotspeak".(Frame 1949 in King, 2000, p.103) That others would think what Frame would have to say to be 'utter nonsense' is also referenced in the following quote, where her identity as a 'mad person' is salient to her: "I wrote my poems, showing them to no one. A member of my family had found and read a story I wrote and voiced the strong opinion that I would never be a writer. Sometimes when I began to say what I really felt, using a simile or metaphor, an image, I saw the embarrassment in my listener's eyes - here was the mad person speaking". (Frame, 1989; p. 215) These two exemplars underpin the reciprocal nature of communication and its effect on identity and communicator well-being, explored further in Walsh (2020). It could also be said that Frame's works were a form of illness narrative and as such had potential to inform and educate beyond the literary or prosaic composition. The illness narrative, as Cohen (2008, p. 38) explains: tells us about how life problems are created, controlled, and made meaningful. They are shaped by our cultural values and social relations and willaffectourself-perceptionofillnessandhealth as well as the way we monitor our body and act towards bodily symptoms and complaints. Arthur Frank's work on illness narratives can inform such critical evaluation and reﬂection (Frank, 1995; 2010). Frank talks of letting 'stories breathe', meaning they 'animate human life; that is their work' (Frank, 2010; 3). What better way to attempt to access some understanding of human suffering and our response to that suffering? Illness narratives, such as that which can be found in literary texts, can also be found in works of visual art, ﬁlm, photography, and music – they are there for the taking, if educators and learners are prepared to explore them with an open mind. Hence, in the exploration of Janet Frame's vast body of work, the writer's autobiographical accounts delivered learning in unanticipated ways about the many nuances of communication and communication breakdown and the lived experience of mental health disorders and incarceration. This appreciation then is the beauty and gift of the arts and humanities. 6. Conclusion We see the awareness and acknowledgement of a formalised introduction of health humanities into healthcare education, and in this case speech and language therapy, as a 'win-win' situation. Who among educators does not want to see their learners gain a richer, more in-depth understanding of their clients' or patients' experiences, curricular content, or clinical practicum by embracing the arts and humanities? Who among students would not enjoy different, yet complementary, routes to learning? Surely the goal of healthcare education is to 'gain from a deeper learning experience and creative environment where the human (illness) condition, with all its attendant care practices, can be critically and authentically discussed' (Walsh, 2020; 171). There is no doubt that healthcare educators have a lot of work to do, if such a health humanities' approach is to be adopted, welcomed, and integrated into existing programmes of study and practice in healthcare contexts. However, if educators are truly committed to education in all its varied nuances and complexions, an education that is rich, diverse, and stimulating, surely health humanities might have some part to play in the teaching and learning journey of discovery. Acknowledgments The authors have no acknowledgments. Conﬂict of interest Given her role as Co-Editor-in-Chief of ACS, Irene P. Walsh had no involvement nor access to information regarding the peer review of this article. References Batistatou, A., Doulis, E.A, Tiniakos, D., Anongiannaki, A., & Charalabopoulos, K. (2010). The introduction of medical humanities in the undergraduate curriculum of Greek medical schools: challenge and necessity. Hippokratia, 14 (4), 241-243. Crawford, P., Brown, B., Tischler, V., & Baker, C. (2010). Health humanities: The future of medical humanities? Mental Health Review Journal, 15(3), 4-10. https://doi.org/10.5042/mhrj. 2010.0654 Frame, J. (1989). Janet Frame: The Complete Autobiography. The Women's Press. Frank, A. (1995). The Wounded Storyteller. University of Chicago Press. Frank, A. (2010). Letting Stories Breathe. University of Chicago Press. Greaves D., & Evans M. (2000). Medical humanities. Medical Humanities, 26, 1-2. DOI: 10.1136/mh.26.1.1 Jagoe, C. (2013). Schizophrenia and metarepresentational abilities in conversation: A preliminary analysis of question interpretation. In E. Walaszewska, & A. Piskorska (Eds.), Relevance Theory: More than Understanding (pp. 261-278). Cambridge Scholars Publishing. Jagoe, C. (2015). Collaborative meaning-making in delusional talk as a search for mutual manifestness: A relevance theory approach. Journal of Interactional Research in Communication Disorders, 6(1), 53-71. DOI: https://doi.org/10.1558/jircd. v6i1.53 King, M. (2000). Wrestling with the Angel: A life of Janet Frame. Picador. O'Neill,D.,Jenkins,E.,Mawhinney,R.,Cosgrave,E.,O'Mahony, S. Guest, C., & Moss, H. (2016). Rethinking the medical in medical humanities. Medical Humanities, 42, 109-114. DOI: 10.1136/medhum-2015-010831 Oyebode, F. (2010). The medical humanities: Literature and medicine. Clinical Medicine, 10(3), 242-244. DOI: 10.7861/ clinmedicine.10-3-242 Peterkin, A. (2016). Curating the medical humanities curriculum: Twelve tips. Medical Humanities, 42(3), 147-148. DOI: 10.1136/medhum-2015-010795 van Leeuw, R. (1996). The Letters of Vincent van Gogh. London. van Meekeren, E. (2003). Starry, starry night: Life and psychiatric history of Vincent van Gogh. Benecke, N.I. Walsh, I.P. (2008). Whose voice is it anyway? Hushing and hearing 'voices' in speech and language therapy interactions with people with chronic schizophrenia. International Journal of Language & Communication Disorders, 43(supp 1), 81-95. DOI: 10.1080/13682820701698168 Walsh, I.P. (2020). Medical humanities and the constructions of 'self': Invoking literary autobiography to educate healthcare students in communication and mental health disorder. In C. Jagoe & I.P. Walsh (eds.), Communication and mental health disorders: Developing theory, growing practice. J & R Press Ltd. (p. 151-176). Waxman, D., Alexander, M., Kirkpatrick. H.A., & Blasco, P. (2005). Interviewing skills. In M. Alexander, P. Lenahan, & A. Pavlov (Eds.), Cinemeducation: A comprehensive guide to using ﬁlm in medical education (pp. 125- 129). Radcliffe Publishing.
TY BMM VI semester Contemporary Issues Max. Marks: 100 (Theory:75, Internals: 25) Objectives: - To understand and analyse some of the present day environmental, political, economic and social concerns and issues . - To highlight the importance of human rights and its implementation in India. - To understand the present day problems and challenges and its implications on development. Module –I Ecology and its related concerns: (10) - Climate change and Global warming- causes , consequences and remedial measures - Deforestation- causes, consequences and remedial measures - Costal regulatory Zone- need and importance, CRZ Act - Sustainable development- concept, need and significance - Movements related to environmental protection Module- 2 (a) Human Rights(12) - UDHR and its significance - CRC and CEDAW - DRD (b) Legislative measures with reference to India. - Women: Constitutional Rights and legal safeguards, Domestic and Family Violence Act of 2012, Sexual Harassment Act at the Work Place 2013, The Criminal Law (Amendment) Act of 2013 - Child: Protection of Children from sexual offence Act -2012 (POCSO), ChildLabour Act with new amendments, Juvenile Justice (Care and Protection of Children Act) 2000. - Education : Right to Education Act 2009 - Health : National Health Policy of 2015, Transplantation of Human organs Act of 2002, Prenatal Diagnostic Technique Regulation and prevention of Misuse amendment rules of 2003, Prohibition of sale of cigarettes and other tobacco products around educational institutions 2004. Module-3 Political concerns and challenges (10) - Crime and Politics - Corruption: Causes and remedial measures. RTI Act, Lok Pal Bill . - Whistle Blowers- Whistle Blowers protection act 2011. - Anti- State violence- Naxalism and its Impact. - Insurgency with reference to North East – Issues involved, ULFA, Nagas, Manipur issue,AFSPA and its impact. - Terrorism- causes, consequences and remedial measures Module 4 Economic development and challenges: (08) - The Role of MIDC in the economic development of Maharashtra - Special Economic Zone : Its role and significance in Maharashtra - Food Security Act 2013 - Agrarian issues: rural indebtedness, farmers' suicides and its implications. Module 5 Social development and challenges: (08) - Tribal Issues :Marginalisation of the Tribals, Forest Rights Act , Land Acquisition Act . - Police reforms: Problems faced by Police and the Need for Reforms - Illegal immigration from Bangladesh : Challenges and impact - Developmental Issues: Displacement and rehabilitation Bibliography - Rush Ramona, Oukrop Carole, CreedonPamola (2013), 'Seeking equity for women in Journalism and Mass Communication education: A 30 year Update', Taylor and Francis - Coleman Benjamin: Conflict, Terrorism and Media in Asia - Ranganathan Maya; Rodrigues Usha: (2010) Indian media in a Globalised World, Sag Publications - Humphries Drew (Ed), (2009), Women, Violence and Media: readings from feminist Criminology, UPNE. - Berns Nancy, Framing the Victim: Domestic Violence, Media, and Social Problems, Transaction Publishers. - Bareh Hamlet, (2001), Encyclopedia of North-East India: Assam, Mitthal Publications. - Freedman Des, ThussuDaya; (2011), Media and Terrorism: Global Perspectives, Sage Publications - Media and Gender in Post-Liberalisation India, Frank and Timmy Gmbh Publication (Pg 19- 45) - Talwar Rajesh, (2013), Courting Injustice: The Nirbhaya Case and Its Aftermath, Hay House Inc. - Praveen Swami (2007) An Informal War: India, Pakistan and the Secret Jihad in Jammu and Kashmir London: Routledge. - KakManju, TripathyPrajnashree, Lal Manjula; (2007), Whose Media? a Woman's Space: The Role of the Press in Projecting the development needs of Women, Concept Publishing House. - Uma Kapila( ed) ( 2013)Indian Economy: performance and policies ,14 th edition Academic Foundation. - V. K Puri and S.K Misra (ed) ( 2013)Indian Economy,31 st edition.Himalaya Pub House. - Asha Bajpai , ( 2011) Child Rights in India: Law, policy, and practice . - Dr. B Ramaswamy and Nitin Shrirang Mane, ( 2013) Human Rights: Principles and practices,Alfa Publication. - R P Kataria and Salah Uddin (2013) Commentary on Human Rights Orient Publishing Company. - J.Shivanand, Human Rights:Concepts and Issues, - Ram Ahuja , ( 2012),Indian social Problems, Rawat Publications. - Ghanashyam Shah, ( 2011) Social Movements in India, Sage Publications. - A. R Desai, Rural Sociology. - Marilyn A .Brown and Benjamin K.Sovacool,Climate Change and Global Energy Security:Technology and Policy Options, Oxford Publications. - Bill McKibben, The End of Nature. - David Spratt and Philip Sutton,Climate Code Red:The Case for Emergency Action. - Jeffrey D.Sachs, The Age of Sustainable Development. Magazines and journals 1. Down to Earth: Science and Environment Fortnightly 2. Economic and Political Weekly 3. Yogana TY.B.M.M. ( Advertising) VI Semester - Financial Management for Marketing and Advertising Objectives To provide a brief over view of the basic concepts, goals functions and types of finance available for new and existing business and marketing units. To enable the understanding of the need for financial planning through Budgets and their benefits. To enable students to evaluate the financial implications of marketing decisions through simple analytical tools. Unit-I Introduction of financial management:- Meaning of financial management– Definition –Goals- Functions -Role of Finance in Marketing & Advertising- Types of Finance -Owned and borrowed – Long term and short term finance – Sources of Long term & short term finance. (10 lectures) Unit-II Financial Planning & Budgets:- Financial Planning for a Marketing Unit –Through Budgets- Proforma financial Statements and Spread sheets. Budgeting- Types of Budgets - Functional Budgets- Master Budget- Zero based Budget – Sales Budget- Cash budget (Application from Sales Budget and Cash Budget only) Elements of Marketing budgets advertising Agency Budget – Budgeting for films- Broadcast Print and Electronic media. (10 lectures) Unit-III Working Capital Estimation: Working capital- Concept of Operating cycle- Types of working capitalFactors influencing working capital- Methods of calculating working capital(theory and basic application). (8 lectures) Unit-IV Financial statements & Ratio analysis:- Vertical Financial Statements – Financial Decision Making using financial statements analysis. Ratio analysis- Debt Equity Ratio, Current Ratio, Proprietary ratio, Stock to working capital ratio, Gross profit ratio, Net profit ratio, Operating ratio, Debtors Turnover Ratio, Creditors turnover ratio, selling expenditure ratio. (12 lectures) Unit-V Introduction of costing:- Costing -Types of cost- their relevance in marketing decision making. Classification of costs- Traceability, Functionality and level of activity. Estimation of Profit/Loss using cost Volume Profit analysis- Break Even Analysis, Calculation of Profit volume ratio, Break even point, Margin of safety, Sales required in units and rupees (Theory and application) (10 lectures) Reference books Reference books. 1. Fundamentals of Financial management - Dr. S.N. Maheswari , Sultan Chand Publications 2. finance Sense- An easy guide for finance Executive – Prasanna Chandra, Tata Mcgrawhill publication 3.Accounting and financial Analysis – J.C. Varshney, wisdom publications 4. Financial management, Recent Trends & Practical applications- Chandra Hariharan Iyer International Book house 5. Fundamentals of corporate Accounting Volume I & II – Bhushan Kumar Goyal - International Book House 6. Financial Accounting for Managers –Dr.t.P.Ghosh , Taxman publication 7. Adverttising and Promotion an Integrated Marketing Communication perspective-George E. belch & Michael A. Bela, Tata Mcgrawhill publication 8. Marketing payback- Is your Marketing Profitable? Robert Shaw & David Merrick Pearson publication 9. fundamentals of Cost Accounting- Principles Practice- H.V. Jhamb , Ane Books Pvt.Ltd. 10.Financial management using Excel spreadsheet- Ruzbeh J.Bodhanwala 11. Fundamentals of financial Mangement- James C. Van Home& John M. Wachowiz Jr. 12. fundamentals of Financial managementEugene F. Brigham & Joel F. Houston Meenakshi Venkatesh Ranjeet Kaur Patel Girish Kavyachandani Paper-IV AGENCY MANAGEMENT Max. Marks: 100 (Theory:60, Internals: 40) Objectives: - To acquaint the students with concepts, techniques for developing an effective advertising campaign. - To familiarize students with the different aspects of running an ad agency - To inculcate competencies to undertake professional work in the field of advertising. 1. Starting and maintaining a blog –the learner shall make the blog after consultation with the teacher concerned during the period of learning of the course and run the blog for the period of the course. The subject of the blog should be any one social issue. The blog shall be supervised by the concerned teacher and marks shall be assigned for quality of language, design and layout, frequency of updating, the quality of comment by the blogger, interactivity on the blog. The blog must be updated a minimum of twice a week. \| MODULE I \| Advertising Agencies: \| their role, Functions, Organization and Importance different types of ad agencies \| \| \|---\|---\|---\|---\| \| MODULE II \| Client Servicing \| The Client - Agency Relationship 3P’s of Service: Physical evidence, Process and People The Gaps Model of servıce qualıty Stages in the client-agency relationship How Agencies Gain Clients Why Agencies Lose Clients Evaluation Criteria in Choosing an Ad Agency The roles of advertising Account executives \| \| \| MODULE III \| Account Planning \| Role of account planning in advertising Role of Account Planner Account Planning Process \| \| \| MODULE IV \| Advertising campaign management \| Means-End chaining and the Method of Laddering as guides to Creative Advertising Formulation Digital Advertising Strategy / Campaigns \| \| \| MODULE V \| Ad Film making \| \| Converting story board to TVC \| \| \| \| \| Editing and post production \| \| MODULE \| Marketing plan of \| The marketing brief, Marketing Audit, \| \| \| VI \| the client \| Marketing Objectives, Marketing Problems and OpportMODULEies Review, STP, Executing the plan, Evaluating the plan \| \|---\|---\|---\| \| MODULE VII \| The Response Process \| Traditional Response Hierarchy Models: AIDA Sales-Oriented Objectives Communications Objectives DAGMAR: An Approach to Setting Objectives \| \| MODULE VIII \| Setting up an Agency \| Business plan introduction, Various Stages in setting up a new Agency \| \| MODULE IX \| Agency Compensation \| Various methods of Agency Remunerations \| \| MODULE X \| Growing the Agency \| The Pitch: request for proposal, speculative pitches, Pitch Process References, Image and reputation, PR, \| \| MODULE XI \| Sales Promotion Management \| The Scope and Role of Sales Promotion Reasons for the Increase in Sales Promotion The psychological theories behind sales promotion Consumer Franchise-Building versus Nonfranchise-Building Promotions Designing Loyalty, continuous and frequency programs Objectives of Trade-Oriented Sales Promotion Techniques of Trade-Oriented Sales Promotion Objectives of Consumer-Oriented Sales Promotion Techniques of Consumer-Oriented Sales Promotion \| 2. Designing the loyalty / frequency / continuity program for any one of the real life client Suggested Reading: 1. Advertising and Promotion by G. Belch and M. Belch Sem.-VI ADVERTISING AND MARKETING RESEARCH Max. Marks: 100 (Theory:75, Internals: 25) Objectives: - To inculcate the analytical abilities and research skills among the students. - To understand research methodologies – Qualitative vs Quantitative - To discuss the foundations of Research and audience analysis that is imperative to successful advertising. - To understand the scope and techniques of Advertising and Marketing research, and their utility. \| MODULE \| Topic \| Details \| \|---\|---\|---\| \| MODULE I \| Fundamentals of Research \| 1. Meaning and objectives of Research 2. Concepts in Research: Variables, Qualitative and Quantitative 3. Literature review 4. Stages in Research process. \| \| MODULE II \| Hypothesis \| Meaning, Nature, Significance, Types of Hypothesis, \| \| MODULE III \| Research design \| 1. Meaning, Definition, Need and Importance, Scope of Research Design 2. Types- Descriptive, Exploratory and Causal. \| \| MODULE IV \| Sampling \| 1. Meaning of Sample and Sampling, 2. Process of Sampling 3. Methods of Sampling: i) Non Probability Sampling – Convenient, Judgment, Quota, Snow ball. ii) Probability Sampling – Simple Random, systematic, Stratified, Cluster, Multi Stage. \| \| MODULE V \| Data collection \| 1. Types of data and sources- Primary and Secondary data sources 2. Methods of collection of primary data: a. Observation b. Experimental c. Interview Method: i) Personal Interview ii) focused group, \| iii) indepth interviews - \| \| Projective Techniques \| a. Association, b. Completion, c. Construction d. Expressive \| \|---\|---\|---\| \| MODULE VI \| Report Writing \| 1. Essential of a good report, 2. Content of report , 3. Steps in writing a report, 4. Footnotes and Bibliography \| \| MODULE VII \| Advertising Research \| 1. Introduction to Advertising Research 2. Copy Research: a. Concept testing, b. Name testing, c. Slogan testing 3. Copy testing measures and methods: a. Free association, b. Direct questioning, c. Direct mail tests, d. Statement comparison tests, e. Qualitative interviews, f. Focus groups 4. Pretesting: A. Print Pretesting: a. Consumer Jury Test, b. Portfolio test, c. Paired comparison test, d. Order- of-merit test, e. Mock magazine test, f. Direct mail test. B. Broad casting Pretesting: a. Trailer tests, b. Theatre tests, c. Live telecast tests, d. Clutter tests C. Challenges to pre-testing. Example: The Halo effect 4. Post testing: a. Recall tests, b. Recognition test, c. Triple association test, d. Sales effect tests , e. Sales results tests, f. Enquires test \| \| \| Neuroscience in Advertising Research \| 1. Neuroscience: A New Perspective 2. When to Use Neuroscience \| \| \| Physiological rating scales \| 1. Pupil metric devices, 2. Eye-movement camera, 3. Galvanometer, 4. Voice pitch analysis, 5. Brain pattern analysis \| \| MODULE VIII \| Marketing Research \| 1. Introduction to Advertising Research 2. New product research, 3. Branding Research, \| Guidelines for Internals: a. Internals should focus on conducting field survey on either Marketing or Advertising research with sample size not less then 125 Producing the following: a. Complete Research report of the survey conducted Reference Books and material 1. Research for Marketing Decisions Paul E. Green, Donald S. Tull 2. Business Research Methods – Donald Cooper & Pamela Schindler, TMGH, 9th edition 3. http://www.millwardbrown.com/docs/default-source/insight-documents/points-ofview/MillwardBrown_POV_NeurosciencePerspective.pdf Semester VI - Advertising Legal Environment & Advertising Ethics Objectives: (i) To acquaint students to the Legal Environment in contemporary India highlighting the relevance of the same with reference to Advertising media. (ii) To emphasise & reiterate the need to have ethical practices in the field of advertising media both in India & internationally. (iii) To appreciate the role of advertising in contemporary consumerism, the need for consumer awareness & consumer protection. (iv) Advertising as a profession today & how to protect it the future of advertising a. The socio – economic criticisms b. Why Advertising needs to be socially responsible? c. The need for Critiques in Advertising (v) The syllabus has been redesigned to include advertising in both traditional & New Media. Module I: Legal Environment: (6) (i) The importance & the relationship between Self –Regulation, Ethics & the Law (ii) The laws of the land: - Constitutional Laws – Fundamental Rights - Personal laws- Criminal & Civil laws - Corporate laws - Consumer laws - Laws pertaining to Media (iii) Laws of Defamation & Contempt of Court with respect to cases specific to Media Module II: Government Policies & Cyber Laws (4) (i) Government Policies governing advertisements (ii) The role of Prasar Bharati for advertisements in Public Broadcast Services (iii) Cyber laws including Section 66; Laws pertaining to advertising in cyber space. (iv) The Question of Net Neutrality & its relevance in Media (v) Right to Information Act (i) Standard Contract between Advertiser & Agency (ii) Laws : - Drugs & Cosmetics Act - Drugs & Magic Remedies ( Objectionable Advertisements) Act - Drugs Price Control Act - Emblems & Names ( Prevention of Improper Use) Act - Indecent Representation of Women's Act - Intellectual Property Rights- -Copyright Act - Trademarks Act - Patents Act Module IV: A. Ethics in Advertising (8) (i) What is Ethics? Why do we need Ethics? (ii) The philosophy of Ethics- Absolutist & Situational (iii) Ethics in Advertising &Stereotyping: - Religious minorities - Racial minorities - Ethnic groups - Cultural Minorities - Senior Citizens - Children - Women - LGBT (iv) Advertising of Controversial products (v) Surrogate & Subliminal Advertising (vi) Political Advertising (vii) Manipulation of Advertising Research Module IV: B. Bodies helping to maintain a Code of Ethical conduct in Media: - ASCI - AAAI - BCCC - IBF - CENSOR BOARD FOR FILMS - Press Council Module V: Unfair Trade Practices & the Competition Act 2002 (5) (i) Unfair Trade Practices & Restrictive Trade Practices to Consumers: - False Promises - Incomplete Description - False & Misleading Comparisons - Bait & Switch offers - Visual Distortions - False Testimonials - Partial Disclosures - Small print Clarifications (ii) Unfair Trade Practices & Restrictive Trade Practices to other organizations in the Industry (iii)The role of the Commission of the Competition Act 2002 in resolving cases of Unfair & Restrictive Trade Practices. Module VI: Consumer Protection: Government initiatives including Standardization, Consumer Laws & Non- Government initiatives (7) (i) Consumerism – The rising need for consumer guidance& awareness (ii)Government Initiatives: -Standardization- Meaning, Relevance in today's Globalized World in Total Quality Management - Standardization Bodies in India- AGMARK, BIS, FSSAI & FPO - International Bodies- ISO, FDA, CMMI, Six Sigma & CE - Standardization marks- ISI, AGMARK, BIS- Hallmark (Gold), Silkmark, Woolmark, Cotton, Forever mark (Diamonds) Laws: (i)Essential Commodities Act 1955 (ii) Consumer protection Act 1986 (iii)Standards of Weights & Measures Act (iv)Standards of Weights & Measures (Packaged Commodities) Act (v)Prevention of Food Adulteration Act Other Initiatives: - PDS- Ministry of Civil Supplies (Public Distribution System or Ration Shops) - Consumer Co-operatives Non- Government initiatives: - CGSI - CFBP - CERC - Grahak Panchayat - Customer care centres Module VII: Advertising & Society (2) A. Socio- Economic Criticisms of advertising - Increasing prevalence of Materialism - Creating Artificial Needs - Idealizing the "Good Life" - Stressing Conformity with Others - Encouraging instant gratification & a throwaway society - Promoting the good of the individual over the good of society - Creating Unrealistic Ideal characterizations - Using appeals that prey on feelings of inadequacy - Manipulation by advertising B. Advertising & social responsibility - Advertising as a moulder of thought, opinion & values (2) Module VIII: Critique of Advertising (8) - A study of Vance Packard- The Hidden Persuaders (1957) - A study of Jean Kilbourne – Can't buy My love - A study of Naomi Klein – No Logo - A study of Naomi Woolf- The Beauty Myth - A study of Noam Chomsky- Understanding Power Bibliography: (1)P. B. Sawant & P.K. Bandhopadhyaya- Advertising Laws & Ethics – Universal Law Publishing Co. (2)Vidisha Barua, Press & Media: Law Manual- Universal law Publishing Co. (3) Cyber Law Simplified – Vivek Sood Tata McGraw Hill SEM. VI DIGITAL MEDIA Max. Marks: 100 (Theory:75, Internals: 25) Objectives: - Understand digital marketing platform - Understand the key goals and stages of digital campaigns - Understand the of use key digital marketing tools - Learn to develop digital marketing plans - What is the importance of search for websites? \| MODULE \| Topic \| Details \| \|---\|---\|---\| \| MODULE I \| Introduction to Digital Media \| 1. Understanding Digital Media 2. Principles 3. Key Concepts 4. Evolution of the Internet 5. Traditional v Digital \| \| MODULE IV \| Tools & Trends \| 1. key terms and concepts 2. Web analytics 3. Tracking Tools to enhance lead nurturing Tracking and Collecting Data: Log file analysis, Page tagging, \| 3 \| \|---\|---\|---\|---\| \| MODULE V \| Features of a Website \| 1. Homepage 2. Links 3. Navigation 4. Multimedia \| 4 \| \| MODULE VI \| Content Writing \| 1. Blog 2. Twitter 3. Mobile \| \| \| MODULE VII \| New Challenges \| Cyber Crime and Challenges of the new media \| \| \| MODULE VIII \| Cyber Laws \| 1. Information Technology Act 2. Copyright 3. Ethics 4. Digital Security \| \| References: 1. Understanding Digital Marketing: Marketing Strategies for Engaging the Digital Generation (Paperback) - Damian Ryan - Gives an overview 2. .Socialnomics: How Social Media Transforms the Way We Live and Do Business (Hardcover) - Eric Qualman 3. Alan Tapp,Principles of Direct and Database Marketing - Financial Times - Prentice Hall 2000 4. Drayton Bird,Commonsense Direct Marketing - Kogan Page 1996 5. Jim Sterne and Anthony Prior - E-mail Marketing - John Wiley and Sons 2000 6. Robin Fairlie,Database Marketing and Direct Mail - Exley Publications 1990
REVIEW Chronic neck pain and respiratory dysfunction: a review paper Shruti P. Nair 1* , Chaitrali S. Panchabhai 1 and Vrushali Panhale 2 Abstract Background:Neck pain is one of the most frequently reported musculoskeletal complaints among adults; its prevalence in the world is ranging from 16.7 to 75.1%. It can have an impact on a person's physical, psychological, and social well-being. Along with pain, disability, muscle weakness, and alterations in the posture, neck pain patients are likely to develop affection of the respiratory function as reported in numerous studies. However, these patients are primarily managed with a musculoskeletal perspective with little or no emphasis to the changes observed in the respiratory system. There is a paucity of literature evaluating the need for respiratory rehabilitation in these patients. Main body:All relevant published literature related to respiratory dysfunction in patients with chronic neck pain were critically reviewed in this study. Patients having chronic neck pain were found to have alterations in respiratory function in terms of reduced lung volumes, reduced chest mobility, and decreased respiratory muscle strength. Various factors such as decreased cervical range of motion, decreased strength of deep neck flexors and extensors, forward head posture, and pain are known to cause these dysfunctions. Respiratory system intervention in the form of breathing re-education and respiratory exercises are significantly proven to improve treatment outcomes. Conclusion:There is limited literature relating to respiratory dysfunction and its management in neck pain patients. Incorporation of both respiratory and musculoskeletal assessments can enhance their treatment outcomes. Additionally, it can be suggested to consider intervention in the form of respiratory rehabilitation while strategizing treatment goals for these patients. Keywords: Neck pain, Respiratory muscle, Respiratory system Background Neck pain is one of the most commonly reported musculoskeletal affection in the general population. It has a tremendous impact on the health and quality of life of the individual and on society as a whole. In a study which examined the cross-national prevalence of chronic pain conditions, 41.1% and 37.3% of subjects in developing and developed countries respectively reported chronic neck pain [1]. An overall prevalence rate of 19.3% was found for chronic pain in the Indian population [2]. In a study carried out in a small urban primary health center in a city of central India, 3.11% population reported neck pain. The prevalence was found to be highest in the age group of 21–40 years followed by 41–60 years. The least affected were individuals younger than 20 years old [ 3 ]. Likewise, the global point prevalence of neck pain in 2017 was estimated to be 4.45% in the Arab population [ 4 ]. *Correspondence: email@example.com 1 Department of Cardiovascular & Respiratory Physiotherapy, Mahatma Gandhi Mission's College of Physiotherapy, Vashi, Navi Mumbai 400705, India Full list of author information is available at the end of the article Open Access Various studies have reported the association of respiratory dysfunction in patients with chronic neck pain [5–10]. Patients with neck pain present with decreased strength of deep neck flexors and extensors, increased fatigability of superficial neck flexors, alterations in posture, limited range of motion, decreased proprioception, neck disability, and other psycho-social affections [9]. According to Kapreli et al., these factors are responsible for predisposition of respiratory dysfunction in these patients [6]. Reduction in lung volumes is a sensitive index of pulmonary disorders. Dimitriadis et al., in their study, reported reduced lung volumes in neck pain patients and observed a trend towards pulmonary restriction that may contribute to developing respiratory pathology in the long run [10]. The current study critically reviewed all relevant published literature regarding the association of respiratory dysfunction in chronic neck pain patients and its management for the same. Chronic neck pain in the target population was defined as pain lasting for at least 3 months or more than that. A systematic review performed by Amir Hossein Kahlaee et al. supports the evidence of functional pulmonary impairment, altered pulmonary volumes, reduced respiratory muscle strength, and faulty breathing pattern being observed in chronic neck pain patients [11]. Another review by Harneet et al. suggests the presence of respiratory dysfunction in chronic neck pain patients and that exercises targeting the respiratory muscles along with correct breathing patterns were found to be helpful in improving both cervical and respiratory functions [12]. These studies further reiterate the importance of respiratory retraining in improving both respiratory and musculoskeletal impairment in chronic neck pain patients [11, 12]. Methods A literature search was conducted on PubMed, ResearchGate, Google Scholar, and MEDLINE databases. The studies published in the last 20 years from the year 2001 to 2021 were included in this review. The inclusion criteria were studies published in the English language involving human subjects, studies analyzing respiratory function or pattern of breathing in chronic neck pain patients, and studies involving any respiratory intervention for the same. Exclusion criteria were studies that were published before 2001, the ones that did not assess the outcomes of interest including studies assessing acute or traumatic neck pain or pain associated because of any neurological cause. The related keywords included the following: "neck pain," "chronic neck pain," "respiratory function," and "pulmonary function." The title and abstract of the resulting articles were screened. The initial search yielded three hundred and sixty articles. Studies whose title is related to the topic, i.e., relationship between respiratory function in neck pain patients, were shortlisted, and after excluding researches for content irrelevance, a total of fifteen studies were finalized for this review. Fifteen studies included four randomized control trials, eight cross-sectional studies, two pilot studies, and one case-control study. Only papers reporting primary research were referred in conducting this review. Four studies [ 5 , 6 , 11 , 12 ] were not formally used to present review findings; instead, they were used to develop arguments presented in the introduction and in the general discussion of the study. Summary of the findings of all the relevant articles is presented in Table 1 . Among the 15 studies reviewed, 13 studies included only neck pain patients and two of them included patients having other musculoskeletal pain also; 11 were only assessment based, and four of them studied the effect of a respiratory intervention on various parameters. The Hailey et al. classification system was used to evaluate the quality of researches [24]. This system of classification includes five levels of categories ranging from grade A to E. Out of the total fifteen studies that were shortlisted, three studies [10, 13, 21] were graded A (high quality), seven studies [7–9, 15–17, 22] were B (good quality), four studies [23, 25–27] were C (fair to good quality), and one study [28] was D (poor to fair quality). Main text Assessment of respiratory function in patients with neck pain Respiratory function can be best described by assessment of rib cage mobility, respiratory muscle strength, neck posture, and pulmonary function test results [5]. Chest mechanics Chest mechanics refers to the kinematics involving respiratory muscles and their coordinated action to produce chest wall displacement [25]. Wirth et al. studied rib cage mechanics in patients with chronic neck pain by assessing the thoracic spine mobility using a hand-held, non-invasive electromechanical device called The Spinal Mouse (Idiag, Fehraltorf, Switzerland) which was used to determine the sagittal range of motion (ROM) of the thoracic spine. This test was conducted in the all-fours position to promote a greater range of motion. The device was Perri and Halford examined the respiratory function with the help of a self-developed "total faulty breathing scale" in neck pain patients. This scale assesses breathing patterns both during relaxed and deep breathing. The scoring is based on three main criteria during inhalation. The absence of outward lateral rib motion is graded as mild affection, lifting of the clavicles is graded as moderate affection, and paradoxical breathing is graded as severe affection in both relaxed and deep breathing. The scoring is done on an ordinal scale of 1, 2, and 3 for mild, moderate, and severe affection respectively. The findings of the above study demonstrated a higher incidence of faulty breathing mechanics in patients with neck pain [13]. rolled down the spine starting with the 7th cervical vertebra (C7) and ending at the 3rd lumbar vertebra (L3). The measurements were performed in the neutral, maximally flexed, and maximally extended trunk positions. Mobility between neutral and flexed position (thoracic flexion) and neutral and extended position (thoracic extension) was calculated [7]. The findings revealed a decrease in chest expansion in patients with chronic neck pain [7]. Wirth in the same study assessed chest mobility at the level of the xiphoid process using the measure tape method. The measuring tape was drawn tight around the patient's chest. The patient was asked to perform maximal inspiration and maximal expiration, and the difference in the circumference of the chest was noted. The measurement was taken twice and the average of the two readings was noted. Özge Solakoğlu et al., in their study, measured mobility of the chest using a tape measure and correlated its findings with respiratory parameters in patients having chronic neck pain. The findings suggested that chest expansion was correlated to respiratory parameters that included forced vital capacity (FVC)%, peak expiratory flow (PEF)%, maximum voluntary ventilation (MVV), MVV%, and maximal inspiratory mouth pressure (Pimax) and maximal expiratory mouth pressure (Pemax). However, this study did not show any relation of chest expansion with forward head posture (FHP) [22]. Ji Hong Cheon et al. investigated the correlation between thoracic mobility and respiratory muscle strength in chronic neck pain patients. Thoracic kyphotic curvature, thoracic sagittal ROM, maximal inspiratory pressure (MIP), and maximal expiratory pressure (MEP) were assessed. Thoracic kyphotic curvature and thoracic sagittal ROM between MEP and MIP (thoracic sagittal ROMMEP-MIP) were measured using flexicurve. Thoracic kyphotic curvature was measured by placing the flexicurve at the C7 spinous process through the 12th thoracic vertebra (T12) spinous process. The angle was measured by calculating the distance with the help of a formula. The participants had a mean angle of 29.30°±3.72°. For calculating the thoracic sagittal ROMMEP-MIP, the thoracic kyphotic curvature at MEP was subtracted by the thoracic kyphotic curvature at MIP. It was observed that thoracic mobility during forced respiration was reduced in patients having chronic neck pain, and it correlated well with respiratory muscle strength. The findings suggested that impairment of respiratory strength in chronic neck pain patients may be attributed to changes in the biomechanics of the cervicothoracic spine and rib cage [21]. Pulmonary function Pulmonary function test is a non-invasive tool used for the assessment of lung function which provides an objective information regarding the diagnosis of lung diseases [26]. The parameters of pulmonary function test that were commonly assessed in the studies relating to neck pain patients were forced FVC, vital capacity (VC), PEF, forced expiratory volume in 1 s (FEV1), FEV1/FVC, forced expiratory flow (FEF25-75%; FEF25%, FEF50%, FEF75%), and MVV [7, 9, 10, 15, 17, 20]. Pulmonary function test is performed using an electronic spirometer (Spirolab II; SDI Diagnostics Inc., Easton, MA, USA, and Spirobank II USB MIR, Rome, Italy) with reference to the guidelines of The American Thoracic Society of Standardization of Spirometry and European Respiratory Society (ATS/ERS) [9, 10, 15, 17, 20] or with the help of a Master Scope PC spirometer (Jaeger, Hoechberg, Germany) [7]. Kapreli et al. were the first to provide evidence of pulmonary function affection in chronic neck pain patients. The pilot findings of this study comparing chronic neck pain patients with healthy controls revealed that patients with chronic neck pain had reduced values of FEV1, FVC, and FEV1/FVC ratio (p> 0.05) and MVV (p< 0.00) [9]. The findings of the study done by Moawd et al. provided additional support to the findings of the previous studies. It reported significant reductions in VC, inspiratory capacity (IC), expiratory reserve volume (ERV), FEV1, and FVC in patients with chronic neck pain [17]. Dimitriadis et al., in his study conducted on a larger sample size, confirmed the trends seen in the previously mentioned study. His study finding reported that chronic neck pain patients presented with significantly decreased VC, expiratory reserve volume, FVC, and MVV. Two patients with neck pain were found to have a mild restriction (percent predicted FVC < lower limit of normal but ≥ 70, no reduction in FEV1/FVC) [10]. The Ibai López-de-Uralde-Villanueva study in patients with chronic nonspecific neck pain and healthy controls showed statistically significant differences for FEV1 and FVC but not the ratio FEV1/FVC between the two groups [20]. A recent study done by Awadallah M F et al. examined the relationship between respiratory function and chronic neck pain. It was found that chronic neck pain patients had reduced pulmonary parameters that However, the study done by Yalcinkaya et al., comparing patients with chronic neck pain and healthy controls separately for males and females, did not show a significant difference in values of FEV1, FVC, FEV1/FVC, PEF, FEF 25–75%, and MVV between the genders [15]. included FVC, FEV1, FEF 25–75%, and PEFR. Fifty-two percent of the participants presented with reduced FEV1/ FVC values indicating a restrictive pattern [23]. Özge Solakoğlu in his study assessed pulmonary function in neck pain patients with the help of Vmax ™ Encore body plethysmography device and body cabin. The neck pain patients were assessed for forward head posture (FHP) and divided into 2 groups. One group had patients who had FHP and the other group included patients having normal head posture (NHP). A weak negative correlation between FHP and FEV1/FVC%, FEF 25–75%, and FEF75% was found [22]. Respiratory muscle strength Respiratory muscle function can be assessed directly by measuring the pressure developed throughout the maximum voluntary inspiratory and expiratory effort [22, 27]. Maximal expiratory and inspiratory pressures (Pemax and Pimax respectively) are critical to assess the muscle weakness of respiratory muscles. MIP expressed as Pimax measures inspiratory muscle strength whereas MEP expressed as Pemax measures expiratory muscle strength. MVV also indicates the muscle strength, but it is less sensitive than Pimax and Pemax [22] as the MVV is approximately proportional to VC reduction [7, 8]. Similar assessment techniques have been used by Wirth B, Dimitriadis Z, Kapreli E, IbaiLo´pez-de-UraldeVillanueva, and Moawd et al. in their studies that measured maximal mouth pressures using a digital mouth pressure meter (MicroRPM ® ) and the accompanying PUMA PC software [7–9, 17, 20]. In all these studies, MIP and MEP were both significantly reduced in patients with chronic neck pain [7–9, 17, 20]. Özge Solakoğlu in his study on the effects of forward head posture on expiratory muscle strength in chronic neck pain patients assessed maximal respiratory pressures using a digital mouth pressure meter also known as micro respiratory pressure meter (MicroRPM by CareFusion Inc., Yorba Linda, CA, USA). Patients were requested to wrap their mouth around the flanged mouthpiece tightly. A nose clip was applied to ensure that any air leak was prevented. To measure the Pemax, the patients were initially asked to inhale as much as they could and, then, to exhale at maximal exertion against the resistance of the instrument for no less than 1 s. To measure the Pimax, the patients were asked to exhale as much as they could and, then, to inhale at maximal exertion against the resistance of the instrument for no less than 1 s. The results of this study observed a weak relationship between FHP and expiratory muscle strength, whereas no significant relationship was observed between FHP and inspiratory muscle strength [22]. Reduction in respiratory muscle strength in chronic neck pain patients is attributed to the increased activity level of sternocleidomastoid and anterior scalene. Since the increased activity levels of these muscles put them at risk of early fatigue, it causes impairments in the cervical and thoracic spine and the rib cage. Imbalance of neck stabilizer and mobilizer muscles disrupts the optimal activation of respiratory muscles. Thus, alteration in the rib cage mechanics causes respiratory dysfunction [11]. Posture Forward head posture (FHP) commonly seen in patients with neck pain is caused by a reduced strength of deep flexors and extensors which in turn cause muscle imbalance and segmental instability [6]. It is also associated with changes in the thoracic spine and reduction of thoracic mobility. These morphological changes are believed to cause impairment in respiratory function [28]. A pilot study conducted by Kapreli et al. in chronic neck pain patients and healthy controls suggested that forward head posture was associated with the lung function parameters in the patients with neck pain [8]. However, similar studies performed by Dimitriadis, Wirth et al., and IbaiLo´pez-de-Uralde-Villanueva did not find any significant differences in head posture when compared in patients with chronic neck pain and healthy controls [7, 8, 20]. Wirth B, Dimitriadis Z, and Kapreli E assessed the forward head posture with the help of a digital picture taken in the lateral view for each subject. Cranio-vertebral angle being the angle between the line extending from the tragus of the ear to the C7 spinous process and the horizontal line through C7 was calculated with the 3D drawing program (Auto-CAD 2000; Autodesk Inc., San Raphael, CA, USA) [7–10]. Özge Solakoğlu et al. investigated the relationship between FHP and respiratory dysfunctions in chronic neck pain patients. For the assessment of FHP, two measurements were obtained through radiographs using the Picture Archiving and Communication System (PACS, General Electric Healthcare, NY, USA) software. In the first one, the anterior head translation distance which is the perpendicular distance between the vertical line from the posterior inferior corner of C7 and the vertical line from the posterior superior edge of the vertebral body of C2 was measured and was recorded in millimeters. Patients with an anterior head translation distance of > 15 mm were assigned as the FHP group, and those with a displacement of ≤15 mm were assigned as the normal head posture group. In the second method, C7 vertebrae position (C7°) was measured through the angle between the line parallel to the disc plane of the C7 disc and a line constructed parallel to the base of the X-ray film. The C7° is closely related to the static alignment of the cervical spine and was thought to be proportional to FHP [24]. This study demonstrated a weak relationship between FHP mm and Pemax% for small effect size and a weak relationship between C7° and Pemax% for medium effect size [22]. Management of respiratory dysfunction in chronic neck pain There is a paucity of literature concerning the management of respiratory dysfunction in chronic neck pain. B. Wirth et al., in his study, demonstrated the effects of 4-week respiratory muscle endurance training (RMET) on chronic neck pain. RMET was performed with a SpiroTiger, a hand-held device that allows for hyperpnoea ensuring normocapnia by partial CO2 rebreathing from a bag. The participants performed five sessions of RMET per week. This study concluded that RMET significantly increased MVV, Pimax, and Pemax. During RMET, neck disability significantly decreased, while neck flexor endurance and chest wall expansion increased. Reduction in hyperventilation and hypocapnia were attributed to the effects of respiratory muscle endurance training [18]. Yeampattanaporn O et al. evaluated the immediate effects of breathing re-education in 36 chronic neck pain patients. Subjects in the study were re-educated with three breathing patterns for 30 min. Pain, cervical range of motion, chest expansion and upper trapezius, anterior scalene, and sternocleidomastoid muscle activity were recorded before and after the intervention. The pain intensity and the muscle activity were significantly decreased, whereas the cervical range of motion and chest expansion at the lower rib cage were significantly increased after the intervention. The study suggests incorporation of breathing re-education has a potential to change breathing patterns and cause an increase in chest expansion and improvement in the cervical range of motion [16]. Laurie McLaughlin et al. studied the short-term effects of breathing retraining on pain intensity, functional status, and end-tidal CO2 (ETCO2) in patients with neck and back pain. A muscle strategy problem was identified, and a manual therapy or motor control approach was implemented. Awareness training and biofeedback with capnography and manual therapy to restore mobility were used to retrain breathing. Significant improvement in pain, function, and ETCO2 after the intervention was noted. The study suggests assessing breathing dysfunction using capnography can be incorporated into a manual therapy approach which may in turn improve patient outcome [14]. In a pilot study conducted by Vikram Mohan et al., effects of respiratory exercises on chronic neck pain patients were assessed. Ten participants were divided into control and experimental groups. The control group received routine physiotherapy sessions which included electrotherapeutic modalities for pain, stretching of neck muscles, and range of motion exercises. The experimental group received routine physiotherapy sessions and a respiratory exercise program which included diaphragmatic breathing exercise, volume-oriented device incentive spirometer, and pursed lip breathing exercise. The exercises were carried out with supervision two times per week for a period of 8 weeks. The study concluded that respiratory exercise program significantly improved the endurance of respiratory muscles and reduced pain in patients having chronic neck pain [ 19 ]. Conclusion Patients having chronic neck pain present with altered chest mechanics, abnormalities in pulmonary function tests, and decreased strength of respiratory muscles. Neck pain was also found to be associated with neck disability, decreased cervical mobility, reduced strength of cervical flexors and extensors, and presence of forward head posture and psychological parameters like kinesiophobia and pain catastrophizing. Looking at the available literature, it is clear that there are very few studies that have extensively evaluated the effect of respiratory intervention in these patients. This seems to have been a largely ignored aspect of both assessment and management strategy of patients presenting with neck pain. Therefore, comprehensive protocol inclusive of assessment of respiratory function and incorporation of respiratory therapies in the form of breathing re-education and breathing retraining should be undertaken in these patients. This could certainly enhance the treatment outcomes and largely benefit the patients to achieve faster recovery. Abbreviations ROM: Range of motion; FVC: Forced vital capacity; PEF: Peak expiratory flow; MVV: Maximum voluntary ventilation; MIP: Maximal inspiratory pressure; MEP: Maximal expiratory pressure; VC: Vital capacity; FEV1: Forced expiratory volume in 1 second; FEF: Forced expiratory flow; IC: Inspiratory capacity; ERV: Expiratory reserve volume; FHP: Forward head posture; NHP: Normal head posture; RMET: Respiratory muscle endurance training; ETCO 2 : End-tidal CO 2 . Acknowledgements Not applicable. Authors' contributions SPN and VP have conceptualized the topic; SPN and CSP have done the literature search and prepared the content of the manuscript. SPN and VP have reviewed, edited, and approved the final draft. All authors have read and approved the final manuscript. Funding Not applicable. Availability of data and materials Not applicable. Declarations Ethics approval and consent to participate Not applicable. Consent for publication Not applicable. Competing interests The authors declare that they have no competing interests. Author details 1Department of Cardiovascular & Respiratory Physiotherapy, Mahatma Gandhi Mission's College of Physiotherapy, Vashi, Navi Mumbai 400705, India. 2 Department of Musculoskeletal Physiotherapy, Mahatma Gandhi Mission's College of Physiotherapy, Navi Mumbai, India. Received: 25 June 2021 Accepted: 5 March 2022 References 1. Tsang A, Von Korff M, Lee S, Alonso J, Karam E, Angermeyer MC, et al. Common chronic pain conditions in developed and developing countries: gender and age differences and comorbidity with depressionanxiety disorders. J Pain. 2008;9(10):883–91. 2. 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Effect of respiratory exercises on neck pain patients: a pilot study. Polish Ann Med. 2016;23(1):15–20. 20. Pez-de-Uralde-Villanueva I, Sollano-Vallez E, Del Corral T. Reduction of cervical and respiratory muscle strength in patients with chronic nonspecific neck pain and having moderate to severe disability. Disability and Rehabilitation. Disabil Rehabil. 2018;40(21):2495–504. 21. Cheon JH, Lim NN, Lee GS, Won KH, Lee SH, Kang EY, et al. Differences of spinal curvature, thoracic mobility, and respiratory strength between chronic neck pain patients and people without cervical pain. Ann Rehabil Med. 2020;44(1):58–68. 22. Solakoğlu Ö, Yalçın P, Dinçer G. The effects of forward head posture on expiratory muscle strength in chronic neck pain patients: a cross-sectional study. Turk J Phys Med Rehabil. 2020;66(2):161–8. 23. Awadallah MF, Sobh E, Shendy MA. Impaired pulmonary function in patients with chronic pain. J Med Sci. 2021;41(3):123–8. 24. Hailey D, Ohinmaa A, Roine R. Study quality and evidence of benefit in recent assessments of telemedicine. J Telemed Telecare. 2004;10(6):318–24. 25. Sanna A, Bertoli F, Misuri G, Gigliotti F, Iandelli I, Mancini M, et al. Chest wall kinematics and respiratory muscle action in walking healthy humans. J Appl Physiol (1985). 1999;87(3):938–46. 26. Graham BL, Steenbruggen I, Miller MR, Barjaktarevic IZ, Cooper BG, Hall GL, et al. Standardization of spirometry 2019 update. An Official American Thoracic Society and European Respiratory Society Technical Statement. Am J Respir Crit Care Med. 2019;200(8):e70–88. 27. Dimitriadis Z, Kapreli E, Konstantinidou I, Oldham J, Strimpakos N. Test/ retest reliability of maximum mouth pressure measurements with the MicroRPM in healthy volunteers. Respir Care. 2011 Jun;56(6):776-82. Pain. Ann Rehabil Med. 2020;44(1):58–68. 28. Koseki T, Kakizaki F, Hayashi S, Nishida N, Itoh M. Effect of forward head posture on thoracic shape and respiratory function. J Phys Ther Sci. 2019;31(1):63–8. Publisher's Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
RESEARCH NOTE Open Access Migration for obstetric care: the impact of regional Obstetric Care Facility Density disparities in Tanzania Projestine Selestine Muganyizi 1* , Edward Maswanya 2 , Stella Kilima 2 and Ahmad Makuwani 3 Abstract Objective:This is an extended analysis of the previously published data to demonstrate the relationship between high Obstetric Care Facility Density (OCFD) and migration for obstetric services in Tanzania. Results:Overall, regions with excess institutional deliveries had significantly higher OCFD compared to other regions. A consistent pattern was observed whereby regions with excess Institutional deliveries also exhibited the most outstanding OCFD of all the neighbouring regions. The observed patterns of Institutional deliveries and OCFD affirm the hypothesis of immigration for obstetric care services from low to high OCFD regions. Further research is suggested to prove this hypothesis in the field. Keywords:Obstetric care services, Facility density, Institutional delivery, Migration, Tanzania Introduction For the purpose of this analysis, Obstetric Care Facility Density (OCFD) is defined as the number of health facilities that provide obstetric care services per 500,000 population. This definition has been derived from the United Nations (UN) process indicators for availability and geographical distribution of Basic and Comprehensive Emergency Obstetric and Neonatal Care (EmONC) facilities per 500,000 population based on National or Sub-National's most recent population data [1, 2]. The UN process indicators have been blamed for inability to capture spatial aspects of EmONC service availability and failure in capturing an important role played by other obstetric care facilities in an area not qualifying as EmONC [3]. Although OCFD is not one of the UN process indicators, it is a proxy to spatial distribution of obstetric care services and encompasses the contribution of all obstetric care facilities in a geographical area regardless of their EmONC statuses [1, 3, 4]. In a National Survey of EmONC indicators in Tanzania in 2015, overall OCFD Correspondence: firstname.lastname@example.org Department of Obstetrics and Gynecology, Muhimbili University 1 of Health and Allied Sciences (MUHAS), Dar es Salaam, Tanzania Full list of author information is available at the end of the article was shown to be strongly correlated with institutional delivery [4]. Moreover, among the 25 regions, four had institutional deliveries in excess of 100% of the expected. These regions were Mara, Lindi, Pwani and Njombe [5]. Since the estimation of institutional deliveries was calculated based on regional population and its crude birth rate [6], deliveries in excess of 100% could be a reflection of migration of women from the low OCFD neighbourhood to seek obstetric care services in areas with high OCFD. This phenomenon of migration from low OCFD settings to high OCFD to seek care has not been demonstrated in literature. This article extends our previous work in Tanzania by further exploring the relationship between OCFD and excessive institutional deliveries. Main text Methods Institutional delivery rate was estimated as a percentage of all registered births in the region that took place in all the obstetric care facilities. In the survey, the numerator was obtained by recording all births that took place in obstetric care facilities during the past 1 year. The denominator was calculated for each region from the total population with its Crude birth rate, both obtained from Tanzania Bureau of Statistics based on the 2012 Population and Housing Census. The survey was conducted in all obstetric care facilities in Tanzania Mainland in 2015 whose details are given in the previous publications [4, 5]. Obstetric care facilities included dispensaries, health centres and hospitals responsible for provision of maternity care and delivery services. burden to obstetric care services in high OCFD regions are discussed. Results and discussion The aim of this extended analysis is to demonstrate statistically if the overall distribution of OCFD differs between regions with institutional deliveries equal or less than 100% and those with institutional deliveries greater than 100% (henceforth referred as to excessive deliveries). A two sided Mann–Whitney U test for independent samples is used to test the hypothesis. Further, mapping of institutional deliveries in the neighbourhood regions with excessive deliveries was done to help describe the connotation that regions with the highest OCFD in a zone attracts more deliveries from the neighbourhood leading to overcrowding of obstetric care facilities. The implications of Geographical inequity of OCFD on the The Mann–Whitney U test (Table 1) rejects the null hypothesis that the distribution of OCFD among regions with excessive deliveries and those with the expected normal burden of 100% or less is the same. Regions with more than 100% institutional deliveries were then located in a geographical map and OCFDs of the neighbouring regions studied (attached as extra files). The distribution of institutional deliveries and OCFD in the neighbourhood regions with excessive institutional deliveries is demonstrated in Tables2 and 3. Independent samples Mann–Whitney U test, p=0.000 thus rejecting the null hypothesis that the distribution of density is the same across regions with ID≤100% and ID > 100%. Table 1 Comparison of population obstetric care facility densities among regions with excess and normal institutional deliveries (ID) in Tanzania Table 2 Rates of institutional deliveries in the neighbourhood of regions with excessive institutional deliveries in Tanzania Table 3 Distribution of OCFD in the neighbourhood of regions with excessive institution deliveries in Tanzania Regions with excessive institutional deliveries (Table 2) also exhibited the most outstanding OCFD in their locations (Table3) which supports a high correlation of the two. This affirms the hypothesis that migration for obstetric care services from low OCFD to high OCFD regions could be an important driver for excessive institutional deliveries in high OCFD regions. Since OCFD is a proxy for distance a high OCFD improves geographical access to services thus promoting utilisation of maternity services [7–10]. Limitations and implications The regions with excessive institutional deliveries in Table 2 exhibit the most outstanding OCFD (Table 3) among the regions in their locations. Mara region was also neighbouring Tanzania-Kenyan border but the Institutional delivery rates, OCFD on the Kenyan side and the easiness to migrate across-border were not determined. It is unlikely that OCFD is the only factor that accounts for excessive institutional deliveries in the four regions. The OCFD disparities seen among the regions with excessive institutional deliveries and their neighbourhoods could be a manifestation of economic inequity among them, which could also lead to better quality of obstetric care services in these 4 regions. However, in the primary analysis of the survey data, measures of EmONC quality of care such as availability of functional basic EmONC functions, Case fatality rate and caesarean section rates were not consistent with these four compared to the neighbourhood. This underscores the importance of OCFD as a cause for migration rather than the quality of service provided by the facilities in the four regions. One of the limitations of this analysis is the failure to establish the threshold of OCFD disparity level that triggers migration for obstetric care services from the neighbourhood. Moreover, the 2015 survey did not interview service providers and women seeking obstetric care services in order to demonstrate the existence of crossborder migration and the motives behind it. Nevertheless, the implication is that, inequitable distribution of OCFD among regions can ultimately lead to overcrowded maternity services and delivery rooms and overwhelmed resources, thus defeating the primary intention of improved quality of obstetric care and this contradicts with UN process indicators that advocates for 500,000 population to served with 4 Basic and 1 Comprehensive EmONC facilities. Future studies should include surveys of Obstetric care facilities to confirm the migration for obstetric care services, other factors that contribute to excessive institutional deliveries in the four regions and the economic impact of this migration if it real exists. Abbreviations EmONC: Emergency Obstetric and Neonatal Care; ID: institutional deliveries; MOHCDGEC: Ministry of Health, Community Development, Gender, Elderly and Children; OCFD: Obstetric Care Facility Density; UN: United Nations. Authors' contributions PS developed the concept, reviewed the dataset, did the analysis, wrote the first draft and approved the paper for submission. EM, SK, and AM all participated in reviewing data analysis, writing the paper and approval for submission. All authors read and approved the final manuscript. Authors' information Projestine S. Muganyizi (MD, MMed, Ph.D.) is Associate Professor and consultant obstetrician/Gynecologist in the Department of Obstetrics and Gynecology at the Muhimbili University of Health and Allied Sciences (MUHAS); Edward S Maswanya MD, MPH, Ph.D. is Senior Research Scientist Fellow, Applied Research Department, National Institute for Medical Research; Stella Peter Kilima, (BA, MA, Ph.D.) is a senior research Scientist and Head of Policy Analysis and Advocacy department of the National Institute for Medical Research (NIMR) from 2014 to date. Before Ms Kilima was a head of Health Systems and Policy department (2012–2014); Ahmed Mohamed Makuwani (MD, MMed, Ph.D.) Consultant Obstetrician and Gynecologist and Assistant Director of the Reproductive Health Unit of the Ministry of Health, Community Development, Gender, Elderly and Children. Author details 1Department of Obstetrics and Gynecology, Muhimbili University of Health and Allied Sciences (MUHAS), Dar es Salaam, Tanzania. 2 National Medical Research Institute, Dar es Salaam, Tanzania. 3 Ministry of Health Community Development Gender Elderly and Children, Dar es Salaam, Tanzania. Acknowledgements Not applicable. Competing interests The authors declare that they have no competing interests. Availability of data and materials Data could be available on request from the Ministry of Health Community Development Gender Elderly and Children in Tanzania. Consent for publication Not applicable. Ethics approval and consent to participate Ethical Clearance was issued by the National Institute for Medical Research and the permission to carry out the survey was given by the Ministry of Health, Community Development, Gender, Elderly and Children (MOHCDGEC). Funding The survey was funded by the Government of the United Republic of Tanzania through the Ministry of Health Community Development, Gender, Elderly and Children. No funding was received for the secondary data analysis. Publisher's Note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. Received: 31 July 2018 Accepted: 19 September 2018 References 1. Alam B, Mridha MK, Biswas TK, Roy L, Rahman M, Chowdhury ME. Coverage of emergency obstetric care and availability of services in public and private health facilities in Bangladesh. Int J Gynaecol Obstet. 2015;131(1):63–9. 2. Paxton A, Bailey P, Lobis S. The United Nations Process Indicators for emergency obstetric care: reflections based on a decade of experience. Int J Gynaecol Obstet. 2006;95(2):192–208. 3. Vora KS, Yasobant S, Patel A, Upadhyay A, Mavalankar DV. Has Chiranjeevi Yojana changed the geographic availability of free comprehensive emergency obstetric care services in Gujarat, India? Glob Health Action. 2015;8:28977. 4. Muganyizi P, Maswanya E, Kilima S, Stanley G, Massaga J, Bakengesa V. Correlation of Obstetric Care Facility Density with standard emergency obstetric and neonatal care indicators in Tanzania Mainland. J Gynecol Obstet. 2017;5(5):9. 5. MOHCDGEC. Availability, utilisation and quality of Emergency Obstetric and Newborn Care (EmONC) services in Tanzania Mainland Report. Dar es Salaam: Ministry of Health Community Development, Gender, Elderly and Children; 2015. 6. WHO. Monitoring emergency obstetric care: a handbook. Geneva: World Health Organization; 2009. 7. Gething PW, Johnson FA, Frempong-Ainguah F, Nyarko P, Baschieri A, Aboagye P, Falkingham J, Matthews Z, Atkinson PM. Geographical access to care at birth in Ghana: a barrier to safe motherhood. BMC Public Health. 2012;12:991. 8. Grzybowski S, Stoll K, Kornelsen J. Distance matters: a population based study examining access to maternity services for rural women. BMC Health Serv Res. 2011;11:147. 9. Lori JR, Wadsworth AC, Munro ML, Rominski S. Promoting access: the use of maternity waiting homes to achieve safe motherhood. Midwifery. 2013;29(10):1095–102. 10. Pilkington H, Blondel B, Papiernik E, Cuttini M, Charreire H, Maier RF, Petrou S, Combier E, Kunzel W, Breart G, et al. Distribution of maternity units and spatial access to specialised care for women delivering before 32 weeks of gestation in Europe. Health Place. 2010;16(3):531–8. Ready to submit your research? Choose BMC and benefit from: * fast, convenient online submission * thorough peer review by experienced researchers in your ﬁeld * rapid publication on acceptance * support for research data, including large and complex data types * gold Open Access which fosters wider collaboration and increased citations maximum visibility for your research: over 100M website views per year • At BMC, research is always in progress. Learn more biomedcentral.com/submissions
ANNEX III Template pre-contractual disclosure for the financial products referred to in Article 9, paragraphs 1 to 4a, of Regulation (EU) 2019/2088 and Article 5, first paragraph, of Regulation (EU) 2020/852 Sustainable investment means an investment in an economic activity that contributes to an environmental or social objective, provided that the investment does not significantly harm any environmental or social objective and that the investee companies follow good governance practices. The EU Taxonomy is a classification system laid down in Regulation (EU) 2020/852, establishing a list of environmentally sustainable economic activities. That Regulation does not include a list of socially sustainable economic activities. Sustainable investments with an environmental objective might be aligned with the Taxonomy or not. Product name: UIV Fund I Coöperatief U.A. Legal entity identifier: N/A Sustainable investment objective Does this financial product have a sustainable investment objective? [tick and fill in as relevant, the percentage figure represents the minimum commitment to sustainable investments] Yes No It will make a minimum of sustainable investments with an environmental objective: 50% in economic activities that qualify as environmentally sustainable under the EU Taxonomy in economic activities that do not qualify as environmentally sustainable under the EU Taxonomy It promotes Environmental/Social (E/S) characteristics and while it does not have as its objective a sustainable investment, it will have a minimum proportion of ___% of sustainable investments with an environmental objective in economic activities that qualify as environmentally sustainable under the EU Taxonomy with an environmental objective in economic activities that do not qualify as environmentally sustainable under the EU Taxonomy It will make a minimum of sustainable investments with a social objective: % It promotes E/S characteristics, but will not make any sustainable investments with a social objective What is the sustainable investment objective of this financial product? The financial product's ('Fund') sustainable investment objective is to achieve measurable positive contributions to the sustainable transformation of cities through investments in companies that perform decarbonization and circular economy activities, while also supporting creation of decent jobs and an inclusive economic growth. The sustainable investment objective of the Fund will contribute to the realization of the following environmental objectives set out in Article 9 of Regulation (EU) 2020/852: * Climate change mitigation * Climate change adaptation Sustainability indicators measure how the sustainable objectives of this financial product are attained. * Sustainable use and protection of water * Transition to a circular economy * Pollution prevention and control The Fund has no designated EU Climate Transition / EU Paris -aligned index as a reference benchmark. Instead the Fund uses internally designed framework for impact measurement that: (1). Sets core targets for achievement of a materially positive contribution to the following five UN Sustainable Development Goals (SDGs) that are central to the sustainable transformation of the cities: SDG 6 (Clean water and sanitation); SDG 7 (Affordable and clean energy); SDG 9 (Industry, innovation and infrastructure); SDG 11 (Sustainable cities and communities); SDG 12 (Responsible consumption and production). At least one target on any of these five core goals is assigned to a portfolio company (investee) at the time the investment is made by the Fund. Progress is tracked annually through a pre-defined rating-based system (1 to 10). (2). Sets additional targets for achievement of a contribution to the SDGs that deal with the inclusive economic growth and decent work conditions (SDG 8), and the climate action (SDG 13). At least one target on any of these two additional goals is assigned to a portfolio company (investee) at the time the investment is made by the Fund. Progress is tracked annually and if there is at least 75% of achievement on the target(-s), a bonus 1 grade to the rating on the core targets is added. (3). Investment proposals are screened to ensure the "do no significant harm" criterion is complied with. Fund's Impact Rating, tracking the performance of the entire portolio against the upfront set impact targets, is calculated as an average of all investee's individual ratings, weighted by the size of invested amounts as part of the total size of the portfolio. The objective of reducing carbon emissions is ensured by design of the Fund, as its core goals are focused on decarbonization and promoting of circular economy practices and applications within the urban sustainability context. Thus, various specific core targets explicitly aim at reducing or avoiding greenhouse gas (GHG) emissions via investee's core product or service. Furthermore, the additional target(-s) on the climate action goal are set to decrease investee's own carbon footprint. What sustainability indicators are used to measure the attainment of the sustainable investment objective of this financial product? The sustainability indicators used are related to the SDGs and their individual targets that are in the focus of Fund's sustainable investment objective and impact thesis. In particular, these are: Core Goals Goal 6. Ensure availability and sustainable management of water and sanitation for all SDG 6.1 By 2030, achieve universal and equitable access to safe and affordable drinking water for all. SDG 6.3 By 2030, improve water quality by reducing pollution, eliminating dumping and minimizing release of hazardous chemicals and materials, halving the proportion of untreated wastewater and substantially increasing recycling and safe reuse globally. SDG 6.4 By 2030, substantially increase water-use efficiency across all sectors and ensure sustainable withdrawals and supply of freshwater to address water scarcity and substantially reduce the number of people suffering from water scarcity. SDG 6.5 By 2030, implement integrated water resources management at all levels, including through transboundary cooperation as appropriate. SDG 6.b Support and strengthen the participation of local communities in improving water and sanitation management. Goal 7. Ensure access to affordable, reliable, sustainable and mode rn e ne rgy forall SDG 7.1 By 2030, ensure universal access to affordable, reliable and modern energy services. SDG 7.2 By 2030, increase substantially the share of renewable energy in the global energy mix. SDG 7.3 By 2030, double the global rate of improvement in energy efficiency. Goal 9 . Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation SDG 9.1 Develop quality, reliable, sustainable and resilient infrastructure, including regional and trans-border infrastructure, to support economic development and human well-being, with a focus on affordable and equitable access for all. SDG 9.4 By 2030, upgrade infrastructure and retrofit industries to make them sustainable, with increased resource-use efficiency and greater adoption of clean and environmentally sound technologies and industrial processes, with all countries taking action in accordance with their respective capabilities. SDG 9.5 Enhance scientific research, upgrade the technological capabilities of industrial sectors in all countries, in particular developing countries, including, by 2030, encouraging innovation and substantially increasing the number of research and development workers per 1 million people and public and private research and development spending. Goal 11. Make cities and human settlements inclusive, safe, resilient and sustainable SDG 11.2 By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons. Principal adverse impacts are the most significant negative impacts of investment decisions on sustainability factors relating to environmental, social and employee matters, respect for human rights, anti‐ corruption and anti‐ bribery matters. SDG 11.6 By 2030, reduce the adverse per capita environmental impact of cities, including by paying special attention to air quality and municipal and other waste management. Goal 12. Ensure sustainable consumption and production patterns SDG 12.2 By 2030, achieve the sustainable management and efficient use of natural resources. SDG 12.4 By 2020, achieve the environmentally sound management of chemicals and all wastes throughout their life cycle, in accordance with agreed international frameworks, and significantly reduce their release to air, water and soil in order to minimize their adverse impacts on human health and the environment. SDG 12.5 By 2030, substantially reduce waste generation through prevention, reduction, recycling and reuse. SDG 12.8 By 2030, ensure that people everywhere have the relevant information and awareness for sustainable development and lifestyles in harmony with nature. Additonal Goals Goal 8. Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Goal 13. Take urgent action to combat climate change and its impacts Every target of the SDGs has indicators assigned to it for measurement of impact. The Fund uses these indicators where possible and meaningful. In all other cases – and depending on the specific impact(-s) created by the individual portfolio companies – indicators for measurement are sought from well-established and widely used repositories such as the IRIS+ System (incl. IRIS Catalog of Metrics), SDG Compass, HIPSO, Eurostat SDG Indicators, etc. In the rare cases when no adequate measurement indicator could be found within the aforementioned databases, the Fund Manager's investment and impact team will design appropriate indicator(-s) for measurement of the realized impact over the holding period of the respective investment based on relevant academic research and in collaboration with portfolio company's team and third party subject matter experts. How do sustainable investments not cause significant harm to any environmental or social sustainable investment objective? How have the indicators for adverse impacts on sustainability factors been taken into account? The indicators on principle adverse impacts of investment decisions, as listed in Annex I to the Commission Delegated Regulation (EU) 2022/1288, supplementing Regulation (EU) 2019/2088 of the European Parliament and of The investment investment strategy guides decisions based on investment factors such as objectives and risk tolerance. the Council, are applied to Fund's portfolio with. Portfolio companies are required to report on quarterly basis on the metrics. How are the sustainable investments aligned with the OECD Guidelines for Multinational Enterprises and the UN Guiding Principles on Business and Human Rights? The Fund invests in companies that comply with Fund Manager's essential investment principles. This minimum standard is defined by environmental, social and governance (ESG) principles that are fundamental to climate-neutral and sustainable living, good citizenship, good corporate governance, and the fulfilment of our fiduciary duties towards society at large. The principles are agreed upon in international treaties, conventions, and best practices. Each investee is expected to have or required to develop its own ESG policy that aligns with (including, but not limited to): - UN Global Compact Principles; - UN Guiding Principles on Business & Human Rights; - UN 2030 Agenda for Sustainable Development; - OECD Guidelines for Multinational Enterprises; - Paris Climate Agreement (UNFCCC); - Declaration of the International Labour Organisation on Fundamental Principles and Rights at Work; - International Bill of Human Rights; - Regulation (EU) 2020/852 of the European Parliament and of the Council. Does this financial product consider principal adverse impacts on sustainability factors? Yes The Fund requires quarterly reporting from its portfolio companies on the metrics used for calculating of the indicators on principle adverse impacts, listed in Annex I to the Commission Delegated Regulation (EU) 2022/1288, supplementing Regulation (EU) 2019/2088 of the European Parliament and of the Council. Calculated indicators on portfolio (Fund) level are presented on the website of the Fund Manager (www.uiventures.com; section Sustainability Disclosures). No What investment strategy does this financial product follow? The Fund is a venture capital investment vehicle with a specific objective to achieve measurable net positive impact on the urban quality of life through its investments in Good governance practices include sound management structures, employee relations, remuneration of staff ad tax compliance. Asset allocation describes the share of investments in specific assets. Taxonomy-aligned activities are expressed as a share of: - capital expenditure (CapEx) showing the green investments made by investee a transition to a - turnover reflecting the share of revenue from green activities of investee companies companies, e.g. for green economy. - operational expenditure (OpEx) reflecting green operational activities of investee companies. early-stage and expansion-stage private companies offering scalable innovative and transformative products or services. What are the binding elements of the investment strategy used to select the investments to attain the sustainable investment objective? When selecting investments the Fund weights equally the quality of the business potential and the expected positive impact on the urban sustainability of each prospective portfolio company. What is the policy to assess good governance practices of the investee companies? Investees should fully comply with Fund Manager's Sustainability Policy (available at: www.uiventures.com; section Sustainability Disclosures). What is the asset allocation and the minimum share of sustainable investments? The Fund employs by design a strategy for investing in early-stage and expansion-stage companies that exhibit substantial potential for a material positive impact on people or the planet via their core product or service. Investee companies are also required to comply with strict ESG principles. Therefore, target allocation of Fund's assets is 100% in sustainable investments as defined under SFDR. Investments #1 Sustainable Environmental Taxonomy-aligned Other Social #1 Sustainable covers sustainable investments with environmental or social objectives. Note: Occasionally the Fund may hold cash / cash equivalents for short periods of time in preparation for participation in actual investment transactions. How does the use of derivatives attain the sustainable investment objective? The Fund does not use derivative financial instruments. To what minimum extent are sustainable investments with an environmental objective aligned with the EU Taxonomy? The current EU Taxonomy regulation is subject to further development. At this point in time, it is not yet possible to assess the level of taxonomy alignment of the Fund. As as result we put the minimum extent of alignment of the sustainable investments with an environmental objective at 0%. UIV continues to monitor developments and Enabling activities directly enable other activities to make a substantial contribution to an environmental objective. Transitional activities are activities for which low-carbon alternatives are not yet available ad among others have greenhouse gas emission levels corresponding to the best performance. are environmentally sustainable investments that do not take into account the criteria for environmentally sustainable economic activities under the EU Taxonomy. will amend the EU Taxonomy alignment percentage as soon as sufficient data is available. The two graphs below show in green the minimum percentage of investments that are aligned with the EU Taxonomy. As there is no appropriate methodology to determine the taxonomy-alignment of sovereign bonds, the first graph shows the Taxonomy alignment in relation to all the investments of the financial product including sovereign bonds, while the second graph shows the Taxonomy alignment only in relation to the investments of the financial product other than sovereign bonds. 1. Taxonomy-alignment of investments including sovereign bonds Taxonomy-aligned Other investments 100% 2. Taxonomy-alignment of investments excluding sovereign bonds* Taxonomy-aligned Other investments 100% *For the purpose of these graphs, 'sovereign bonds' consist of all sovereign exposures Note: The Fund does not invest in sovereign bonds. What is the minimum share of investments in transitional and enabling activities? The Fund does not target investments in transitional activites and has not set a target minimum share for enabling activities. The dynamic nature of Fund's portfolio provides for varying shares of such investments over time and only the acceptable combination of business scalability and materially postive environmental impact potential should be the rationale behind the portfolio composition. What is the minimum share of sustainable investments with an environmental objective that are not aligned with the EU Taxonomy? The Fund does not target a minimum share of sustainable investments with an environmental objective not in alignment with the EU Taxonomy. Rather, there might be periods of time when certain share of the investments with environmental objective do not take into account all the criteria for environmentally sustainable activities under the EU Taxonomy. What is the minimum share of sustainable investments with a social objective? The Fund does not target a minimum share of sustainable investments with a social objective. What investments are included under "#2 Not sustainable", what is their purpose and are there any minimum environmental or social safeguards? The Fund does not invest in economic activities that are not environmentally sustainable, as it will be against the principles of its Sustainability Policy. Even when investing in other activities which are not directly aligned with the EU Taxonomy but contribute to other goals for sustainable development, like those in the social area, the Fund assesses the environmental sustainability of the activities and may impose targets for improvement if necessary. Reference benchmarks are indexes to measure whether the financial product attains the sustainable investment objective. Is a specific index designated as a reference benchmark to meet the sustainable investment objective? No such index designated. How does the reference benchmark take into account sustainability factors in a way that is continuously aligned with the sustainable investment objective? Not applicable. How is the alignment of the investment strategy with the methodology of the index ensured on a continuous basis? Not applicable. How does the designated index differ from a relevant broad market index? Not applicable. Where can the methodology used for the calculation of the designated index be found? Not applicable. Where can I find more product specific information online? More product-specific information can be found on the website: https://uiventures.com/home-page/our-mission-and-approach/
United Nations Report of the United Nations Conference on Sustainable Development Rio de Janeiro, Brazil 20–22 June 2012 Report of the United Nations Conference on Sustainable Development Rio de Janeiro, Brazil 20–22 June 2012 Note Symbols of United Nations documents are composed of capital letters combined with figures. The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers. Contents Page Chapter I Resolutions adopted by the Conference Resolution 1* Outcome document: "The future we want The United Nations Conference on Sustainable Development, Having met in Rio de Janeiro, Brazil, from 20 to 22 June 2012, 1. Adopted the outcome document entitled, "The future we want", which is annexed to the present resolution; 2. Recommended to the General Assembly that it endorse the outcome document as adopted by the Conference. Annex - from A/66/L.56 The future we want I. Our common vision 1. We, the Heads of State and Government and high-level representatives, having met at Rio de Janeiro, Brazil, from 20 to 22 June 2012, with the full participation of civil society, renew our commitment to sustainable development and to ensuring the promotion of an economically, socially and environmentally sustainable future for our planet and for present and future generations. 2. Eradicating poverty is the greatest global challenge facing the world today and an indispensable requirement for sustainable development. In this regard we are committed to freeing humanity from poverty and hunger as a matter of urgency. 3. We therefore acknowledge the need to further mainstream sustainable development at all levels, integrating economic, social and environmental aspects __________________ * Adopted as orally corrected, at the 6th plenary meeting, on 22 June 2012. 1 and recognizing their interlinkages, so as to achieve sustainable development in all its dimensions. 4. We recognize that poverty eradication, changing unsustainable and promoting sustainable patterns of consumption and production and protecting and managing the natural resource base of economic and social development are the overarching objectives of and essential requirements for sustainable development. We also reaffirm the need to achieve sustainable development by promoting sustained, inclusive and equitable economic growth, creating greater opportunities for all, reducing inequalities, raising basic standards of living, fostering equitable social development and inclusion, and promoting integrated and sustainable management of natural resources and ecosystems that supports, inter alia, economic, social and human development while facilitating ecosystem conservation, regeneration and restoration and resilience in the face of new and emerging challenges. 5. We reaffirm our commitment to make every effort to accelerate the achievement of the internationally agreed development goals, including the Millennium Development Goals by 2015. 6. We recognize that people are at the centre of sustainable development and in this regard we strive for a world that is just, equitable and inclusive, and we commit to work together to promote sustained and inclusive economic growth, social development and environmental protection and thereby to benefit all. 7. We reaffirm that we continue to be guided by the purposes and principles of the Charter of the United Nations, with full respect for international law and its principles. 8. We also reaffirm the importance of freedom, peace and security, respect for all human rights, including the right to development and the right to an adequate standard of living, including the right to food, the rule of law, gender equality, women's empowerment and the overall commitment to just and democratic societies for development. 9. We reaffirm the importance of the Universal Declaration of Human Rights, as well as other international instruments relating to human rights and international law. We emphasize the responsibilities of all States, in conformity with the Charter of the United Nations, to respect, protect and promote human rights and fundamental freedoms for all, without distinction of any kind as to race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth, disability or other status. 10. We acknowledge that democracy, good governance and the rule of law, at the national and international levels, as well as an enabling environment, are essential for sustainable development, including sustained and inclusive economic growth, social development, environmental protection and the eradication of poverty and hunger. We reaffirm that to achieve our sustainable development goals we need institutions at all levels that are effective, transparent, accountable and democratic. 11. We reaffirm our commitment to strengthen international cooperation to address the persistent challenges related to sustainable development for all, in particular in developing countries. In this regard, we reaffirm the need to achieve economic stability, sustained economic growth, promotion of social equity and protection of the environment, while enhancing gender equality, women's empowerment and equal opportunities for all, and the protection, survival and development of children to their full potential, including through education. 12. We resolve to take urgent action to achieve sustainable development. We therefore renew our commitment to sustainable development, assessing the progress to date and the remaining gaps in the implementation of the outcomes of the major summits on sustainable development and addressing new and emerging challenges. We express our determination to address the themes of the United Nations Conference on Sustainable Development, namely, a green economy in the context of sustainable development and poverty eradication, and the institutional framework for sustainable development. 13. We recognize that opportunities for people to influence their lives and future, participate in decision-making and voice their concerns are fundamental for sustainable development. We underscore that sustainable development requires concrete and urgent action. It can only be achieved with a broad alliance of people, governments, civil society and the private sector, all working together to secure the future we want for present and future generations. II. Renewing political commitment A. Reaffirming the Rio Principles and past action plans 14. We recall the Stockholm Declaration of the United Nations Conference on the Human Environment adopted at Stockholm on 16 June 1972. 15. We reaffirm all the principles of the Rio Declaration on Environment and Development, including, inter alia, the principle of common but differentiated responsibilities, as set out in principle 7 of the Rio Declaration. 16. We reaffirm our commitment to fully implement the Rio Declaration on Environment and Development, Agenda 21, the Programme for the Further Implementation of Agenda 21, the Plan of Implementation of the World Summit on Sustainable Development (Johannesburg Plan of Implementation) and the Johannesburg Declaration on Sustainable Development of the World Summit on Sustainable Development, the Programme of Action for the Sustainable Development of Small Island Developing States (Barbados Programme of Action) and the Mauritius Strategy for the Further Implementation of the Programme of Action for the Sustainable Development of Small Island Developing States. We also reaffirm our commitment to the full implementation of the Programme of Action for the Least Developed Countries for the Decade 2011-2020 (Istanbul Programme of Action), the Almaty Programme of Action: Addressing the Needs of Landlocked Developing Countries within a New Global Framework for Transit Transport Cooperation for Landlocked and Transit Developing Countries, the political declaration on Africa's development needs, and the New Partnership for Africa's Development. We recall as well our commitments in the outcomes of all the major United Nations conferences and summits in the economic, social and environmental fields, including the United Nations Millennium Declaration, the 2005 World Summit Outcome, the Monterrey Consensus of the International Conference on Financing for Development, the Doha Declaration on Financing for Development, the outcome document of the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals, the Programme of Action of the International Conference on Population and Development, the key actions for the further implementation of the Programme of Action of the International Conference on Population and Development and the Beijing Declaration and Platform for Action. 17. We recognize the importance of the three Rio conventions for advancing sustainable development and in this regard we urge all parties to fully implement their commitments under the United Nations Framework Convention on Climate Change, the Convention on Biological Diversity and the United Nations Convention to Combat Desertification in Those Countries Experiencing Serious Drought and/or Desertification, Particularly in Africa, in accordance with their respective principles and provisions, as well as to take effective and concrete actions and measures at all levels and to enhance international cooperation. 18. We are determined to reinvigorate political will and to raise the level of commitment by the international community to move the sustainable development agenda forward, through the achievement of the internationally agreed development goals, including the Millennium Development Goals. We further reaffirm our respective commitments to other relevant internationally agreed goals in the economic, social and environmental fields since 1992. We therefore resolve to take concrete measures that accelerate implementation of sustainable development commitments. B. Advancing integration, implementation and coherence: assessing the progress to date and the remaining gaps in the implementation of the outcomes of the major summits on sustainable development and addressing new and emerging challenges 19. We recognize that the 20 years since the United Nations Conference on Environment and Development in 1992 have seen uneven progress, including in sustainable development and poverty eradication. We emphasize the need to make progress in implementing previous commitments. We also recognize the need to accelerate progress in closing development gaps between developed and developing countries, and to seize and create opportunities to achieve sustainable development through economic growth and diversification, social development and environmental protection. To this end, we underscore the continued need for an enabling environment at the national and international levels, as well as continued and strengthened international cooperation, particularly in the areas of finance, debt, trade and technology transfer, as mutually agreed, and innovation, entrepreneurship, capacity-building, transparency and accountability. We recognize the diversification of actors and stakeholders engaged in the pursuit of sustainable development. In this context, we affirm the continued need for the full and effective participation of all countries, in particular developing countries, in global decision-making. 20. We acknowledge that since 1992 there have been areas of insufficient progress and setbacks in the integration of the three dimensions of sustainable development, aggravated by multiple financial, economic, food and energy crises, which have threatened the ability of all countries, in particular developing countries, to achieve sustainable development. In this regard, it is critical that we do not backtrack from our commitment to the outcome of the United Nations Conference on Environment and Development. We also recognize that one of the current major challenges for all countries, particularly for developing countries, is the impact from the multiple crises affecting the world today. 21. We are deeply concerned that one in five people on this planet, or over 1 billion people, still live in extreme poverty, and that one in seven — or 14 per cent — is undernourished, while public health challenges, including pandemics and epidemics, remain omnipresent threats. In this context, we note the ongoing discussions on human security in the General Assembly. We acknowledge that with the world's population projected to exceed 9 billion by 2050 with an estimated two thirds living in cities, we need to increase our efforts to achieve sustainable development and, in particular, the eradication of poverty, hunger and preventable diseases. 22. We recognize examples of progress in sustainable development at the regional, national, subnational and local levels. We note that efforts to achieve sustainable development have been reflected in regional, national and subnational policies and plans, and that Governments have strengthened their commitment to sustainable development since the adoption of Agenda 21 through legislation and institutions, and the development and implementation of international, regional and subregional agreements and commitments. 23. We reaffirm the importance of supporting developing countries in their efforts to eradicate poverty and promote empowerment of the poor and people in vulnerable situations, including removing barriers to opportunity, enhancing productive capacity, developing sustainable agriculture and promoting full and productive employment and decent work for all, complemented by effective social policies, including social protection floors, with a view to achieving the internationally agreed development goals, including the Millennium Development Goals. 24. We express deep concern about the continuing high levels of unemployment and underemployment, particularly among young people, and note the need for sustainable development strategies to proactively address youth employment at all levels. In this regard, we recognize the need for a global strategy on youth and employment building on the work of the International Labour Organization (ILO). 25. We acknowledge that climate change is a cross-cutting and persistent crisis and express our concern that the scale and gravity of the negative impacts of climate change affect all countries and undermine the ability of all countries, in particular, developing countries, to achieve sustainable development and the Millennium Development Goals and threaten the viability and survival of nations. Therefore we underscore that combating climate change requires urgent and ambitious action, in accordance with the principles and provisions of the United Nations Framework Convention on Climate Change. 26. States are strongly urged to refrain from promulgating and applying any unilateral economic, financial or trade measures not in accordance with international law and the Charter of the United Nations that impede the full achievement of economic and social development, particularly in developing countries. 27. We reiterate our commitment, expressed in the Johannesburg Plan of Implementation, the 2005 World Summit Outcome and the outcome document of the High-level Plenary Meeting of the General Assembly on the Millennium Development Goals of 2010, to take further effective measures and actions, in conformity with international law, to remove the obstacles to the full realization of the right of self-determination of peoples living under colonial and foreign occupation, which continue to adversely affect their economic and social development as well as their environment, are incompatible with the dignity and worth of the human person and must be combated and eliminated. 28. We reaffirm that, in accordance with the Charter of the United Nations, this shall not be construed as authorizing or encouraging any action against the territorial integrity or political independence of any State. 29. We resolve to take further effective measures and actions, in conformity with international law, to remove obstacles and constraints, strengthen support and meet the special needs of people living in areas affected by complex humanitarian emergencies and in areas affected by terrorism. 30. We recognize that many people, especially the poor, depend directly on ecosystems for their livelihoods, their economic, social and physical well-being, and their cultural heritage. For this reason, it is essential to generate decent jobs and incomes that decrease disparities in standards of living in order to better meet people's needs and promote sustainable livelihoods and practices and the sustainable use of natural resources and ecosystems. 31. We emphasize that sustainable development must be inclusive and peoplecentred, benefiting and involving all people, including youth and children. We recognize that gender equality and women's empowerment are important for sustainable development and our common future. We reaffirm our commitments to ensure women's equal rights, access and opportunities for participation and leadership in the economy, society and political decision-making. 32. We recognize that each country faces specific challenges to achieve sustainable development and we underscore the special challenges facing the most vulnerable countries and in particular African countries, least developed countries, landlocked developing countries and small island developing States, as well as the specific challenges facing the middle-income countries. Countries in situations of conflict also need special attention. 33. We reaffirm our commitment to take urgent and concrete action to address the vulnerability of small island developing States, including through the sustained implementation of the Barbados Programme of Action and the Mauritius Strategy, and underscore the urgency of finding additional solutions to the major challenges facing small island developing States in a concerted manner so as to support them in sustaining momentum realized in implementing the Barbados Programme of Action and the Mauritius Strategy and achieving sustainable development. 34. We reaffirm that the Istanbul Programme of Action outlines the priorities of least developed countries for sustainable development and defines a framework for renewed and strengthened global partnership to implement them. We commit to assist the least developed countries with the implementation of the Istanbul Programme of Action as well as in their efforts to achieve sustainable development. 35. We recognize that more attention should be given to Africa and the implementation of previously agreed commitments related to its development needs that were made at major United Nations summits and conferences. We note that aid to Africa has increased in recent years. However, it still lags behind commitments that were previously made. We underscore the key priority for the international community of supporting Africa's sustainable development efforts. In this regard, we recommit to fully implement the internationally agreed commitments related to Africa's development needs, particularly those contained in the United Nations Millennium Declaration, the United Nations Declaration on the New Partnership for Africa's Development, the Monterrey Consensus, the Johannesburg Plan of Implementation and the 2005 World Summit Outcome, as well as the 2008 political declaration on Africa's development needs. 36. We recognize the serious constraints to achieving sustainable development in all its three dimensions in landlocked developing countries. In this regard, we reaffirm our commitment to address the special development needs and the challenges faced by landlocked developing countries through the full, timely and effective implementation of the Almaty Programme of Action as contained in the declaration on the midterm review of the Almaty Programme of Action. 37. We recognize the progress made by middle-income countries in improving the well-being of their people, as well as the specific development challenges they face in their efforts to eradicate poverty, reduce inequalities and achieve their development goals, including the Millennium Development Goals, and to achieve sustainable development in a comprehensive manner integrating the economic, social and environmental dimensions. We reiterate that these efforts should be adequately supported by the international community, in various forms, taking into account the needs and the capacity to mobilize domestic resources of these countries. 38. We recognize the need for broader measures of progress to complement gross domestic product in order to better inform policy decisions, and in this regard we request the United Nations Statistical Commission, in consultation with relevant United Nations system entities and other relevant organizations, to launch a programme of work in this area building on existing initiatives. 39. We recognize that planet Earth and its ecosystems are our home and that "Mother Earth" is a common expression in a number of countries and regions, and we note that some countries recognize the rights of nature in the context of the promotion of sustainable development. We are convinced that in order to achieve a just balance among the economic, social and environmental needs of present and future generations, it is necessary to promote harmony with nature. 40. We call for holistic and integrated approaches to sustainable development that will guide humanity to live in harmony with nature and lead to efforts to restore the health and integrity of the Earth's ecosystem. 41. We acknowledge the natural and cultural diversity of the world and recognize that all cultures and civilizations can contribute to sustainable development. C. Engaging major groups and other stakeholders 42. We reaffirm the key role of all levels of government and legislative bodies in promoting sustainable development. We further acknowledge efforts and progress made at the local and subnational levels, and recognize the important role that such authorities and communities can play in implementing sustainable development, including by engaging citizens and stakeholders and providing them with relevant information, as appropriate, on the three dimensions of sustainable development. We further acknowledge the importance of involving all relevant decision makers in the planning and implementation of sustainable development policies. 43. We underscore that broad public participation and access to information and judicial and administrative proceedings are essential to the promotion of sustainable development. Sustainable development requires the meaningful involvement and active participation of regional, national and subnational legislatures and judiciaries, and all major groups: women, children and youth, indigenous peoples, non-governmental organizations, local authorities, workers and trade unions, business and industry, the scientific and technological community, and farmers, as well as other stakeholders, including local communities, volunteer groups and foundations, migrants and families as well as older persons and persons with disabilities. In this regard, we agree to work more closely with the major groups and other stakeholders and encourage their active participation, as appropriate, in processes that contribute to decision-making, planning and implementation of policies and programmes for sustainable development at all levels. 44. We acknowledge the role of civil society and the importance of enabling all members of civil society to be actively engaged in sustainable development. We recognize that improved participation of civil society depends upon, inter alia, strengthening access to information and building civil society capacity and an enabling environment. We recognize that information and communications technology is facilitating the flow of information between governments and the public. In this regard, it is essential to work towards improved access to information and communications technology, especially broadband networks and services, and bridge the digital divide, recognizing the contribution of international cooperation in this regard. 45. We underscore that women have a vital role to play in achieving sustainable development. We recognize the leadership role of women and we resolve to promote gender equality and women's empowerment and to ensure their full and effective participation in sustainable development policies, programmes and decision-making at all levels. 46. We acknowledge that the implementation of sustainable development will depend on the active engagement of both the public and the private sectors. We recognize that the active participation of the private sector can contribute to the achievement of sustainable development, including through the important tool of public-private partnerships. We support national regulatory and policy frameworks that enable business and industry to advance sustainable development initiatives, taking into account the importance of corporate social responsibility. We call on the private sector to engage in responsible business practices, such as those promoted by the United Nations Global Compact. 47. We acknowledge the importance of corporate sustainability reporting and encourage companies, where appropriate, especially publicly listed and large companies, to consider integrating sustainability information into their reporting cycle. We encourage industry, interested governments and relevant stakeholders with the support of the United Nations system, as appropriate, to develop models for best practice and facilitate action for the integration of sustainability reporting, taking into account experiences from already existing frameworks and paying particular attention to the needs of developing countries, including for capacitybuilding. 48. We recognize the important contribution of the scientific and technological community to sustainable development. We are committed to working with and fostering collaboration among the academic, scientific and technological community, in particular in developing countries, to close the technological gap between developing and developed countries and strengthen the science-policy interface as well as to foster international research collaboration on sustainable development. 49. We stress the importance of the participation of indigenous peoples in the achievement of sustainable development. We also recognize the importance of the United Nations Declaration on the Rights of Indigenous Peoples in the context of global, regional, national and subnational implementation of sustainable development strategies. 50. We stress the importance of the active participation of young people in decision-making processes, as the issues we are addressing have a deep impact on present and future generations, and as the contribution of children and youth is vital to the achievement of sustainable development. We also recognize the need to promote intergenerational dialogue and solidarity by recognizing their views. 51. We stress the importance of the participation of workers and trade unions in the promotion of sustainable development. As the representatives of working people, trade unions are important partners in facilitating the achievement of sustainable development, in particular the social dimension. Information, education and training on sustainability at all levels, including in the workplace, are key to strengthening the capacity of workers and trade unions to support sustainable development. 52. We recognize that farmers, including small-scale farmers and fisherfolk, pastoralists and foresters, can make important contributions to sustainable development through production activities that are environmentally sound, enhance food security and the livelihood of the poor, and invigorate production and sustained economic growth. 53. We note the valuable contributions that non-governmental organizations could and do make in promoting sustainable development through their well-established and diverse experience, expertise and capacity, especially in the area of analysis, sharing of information and knowledge, promotion of dialogue and support of implementation of sustainable development. 54. We recognize the central role of the United Nations in advancing the sustainable development agenda. We acknowledge as well, in this regard, the contributions of other relevant international organizations, including international financial institutions and multilateral development banks, and stress the importance of cooperation among them and with the United Nations, within their respective mandates, recognizing their role in mobilizing resources for sustainable development. 55. We commit ourselves to reinvigorating the global partnership for sustainable development that we launched in Rio de Janeiro in 1992. We recognize the need to impart new momentum to our cooperative pursuit of sustainable development, and commit to work together with major groups and other stakeholders in addressing implementation gaps. III. Green economy in the context of sustainable development and poverty eradication 56. We affirm that there are different approaches, visions, models and tools available to each country, in accordance with its national circumstances and priorities, to achieve sustainable development in its three dimensions which is our overarching goal. In this regard, we consider green economy in the context of sustainable development and poverty eradication as one of the important tools available for achieving sustainable development and that it could provide options for policymaking but should not be a rigid set of rules. We emphasize that it should contribute to eradicating poverty as well as sustained economic growth, enhancing social inclusion, improving human welfare and creating opportunities for employment and decent work for all, while maintaining the healthy functioning of the Earth's ecosystems. 57. We affirm that policies for green economy in the context of sustainable development and poverty eradication should be guided by and in accordance with all the Rio Principles, Agenda 21 and the Johannesburg Plan of Implementation and contribute towards achieving relevant internationally agreed development goals, including the Millennium Development Goals. 58. We affirm that green economy policies in the context of sustainable development and poverty eradication should: (a) Be consistent with international law; (b) Respect each country's national sovereignty over their natural resources taking into account its national circumstances, objectives, responsibilities, priorities and policy space with regard to the three dimensions of sustainable development; (c) Be supported by an enabling environment and well-functioning institutions at all levels with a leading role for governments and with the participation of all relevant stakeholders, including civil society; (d) Promote sustained and inclusive economic growth, foster innovation and provide opportunities, benefits and empowerment for all and respect of all human rights; (e) Take into account the needs of developing countries, particularly those in special situations; (f) Strengthen international cooperation, including the provision of financial resources, capacity-building and technology transfer to developing countries; (g) Effectively avoid unwarranted conditionalities on official development assistance (ODA) and finance; (h) Not constitute a means of arbitrary or unjustifiable discrimination or a disguised restriction on international trade, avoid unilateral actions to deal with environmental challenges outside the jurisdiction of the importing country, and ensure that environmental measures addressing transboundary or global environmental problems, as far as possible, are based on an international consensus; (i) Contribute to closing technology gaps between developed and developing countries and reduce the technological dependence of developing countries using all appropriate measures; (j) Enhance the welfare of indigenous peoples and their communities, other local and traditional communities and ethnic minorities, recognizing and supporting their identity, culture and interests, and avoid endangering their cultural heritage, practices and traditional knowledge, preserving and respecting non-market approaches that contribute to the eradication of poverty; (k) Enhance the welfare of women, children, youth, persons with disabilities, smallholder and subsistence farmers, fisherfolk and those working in small and medium-sized enterprises, and improve the livelihoods and empowerment of the poor and vulnerable groups in particular in developing countries; (l) Mobilize the full potential and ensure the equal contribution of both women and men; (m) Promote productive activities in developing countries that contribute to the eradication of poverty; (n) Address the concern about inequalities and promote social inclusion, including social protection floors; (o) Promote sustainable consumption and production patterns; (p) Continue efforts to strive for inclusive, equitable development approaches to overcome poverty and inequality. 59. We view the implementation of green economy policies by countries that seek to apply them for the transition towards sustainable development as a common undertaking, and we recognize that each country can choose an appropriate approach in accordance with national sustainable development plans, strategies and priorities. 60. We acknowledge that green economy in the context of sustainable development and poverty eradication will enhance our ability to manage natural resources sustainably and with lower negative environmental impacts, increase resource efficiency and reduce waste. 61. We recognize that urgent action on unsustainable patterns of production and consumption where they occur remains fundamental in addressing environmental sustainability and promoting conservation and sustainable use of biodiversity and ecosystems, regeneration of natural resources and the promotion of sustained, inclusive and equitable global growth. 62. We encourage each country to consider the implementation of green economy policies in the context of sustainable development and poverty eradication, in a manner that endeavours to drive sustained, inclusive and equitable economic growth and job creation, particularly for women, youth and the poor. In this respect, we note the importance of ensuring that workers are equipped with the necessary skills, including through education and capacity-building, and are provided with the necessary social and health protections. In this regard, we encourage all stakeholders, including business and industry, to contribute, as appropriate. We invite governments to improve knowledge and statistical capacity on job trends, developments and constraints and integrate relevant data into national statistics, with the support of relevant United Nations agencies within their mandates. 63. We recognize the importance of the evaluation of the range of social, environmental and economic factors and encourage, where national circumstances and conditions allow, their integration into decision-making. We acknowledge that it will be important to take into account the opportunities and challenges, as well as the costs and benefits, of green economy policies in the context of sustainable development and poverty eradication, using the best available scientific data and analysis. We acknowledge that a mix of measures, including regulatory, voluntary and others applied at the national level and consistent with obligations under international agreements, could promote green economy in the context of sustainable development and poverty eradication. We reaffirm that social policies are vital to promoting sustainable development. 64. We acknowledge that involvement of all stakeholders and their partnerships, networking and experience-sharing at all levels could help countries to learn from one another in identifying appropriate sustainable development policies, including green economy policies. We note the positive experiences in some countries, including in developing countries, in adopting green economy policies in the context of sustainable development and poverty eradication through an inclusive approach and welcome the voluntary exchange of experiences as well as capacity-building in the different areas of sustainable development. 65. We recognize the power of communications technologies, including connection technologies and innovative applications, to promote knowledge exchange, technical cooperation and capacity-building for sustainable development. These technologies and applications can build capacity and enable the sharing of experiences and knowledge in the different areas of sustainable development in an open and transparent manner. 66. Recognizing the importance of linking financing, technology, capacitybuilding and national needs for sustainable development policies, including green economy in the context of sustainable development and poverty eradication, we invite the United Nations system, in cooperation with relevant donors and international organizations, to coordinate and provide information upon request on: (a) Matching interested countries with the partners that are best suited to provide requested support; (b) Toolboxes and/or best practices in applying policies on green economy in the context of sustainable development and poverty eradication at all levels; (c) Models or good examples of policies on green economy in the context of sustainable development and poverty eradication; (d) Methodologies for evaluation of policies on green economy in the context of sustainable development and poverty eradication; (e) Existing and emerging platforms that contribute in this regard. 67. We underscore the importance of governments taking a leadership role in developing policies and strategies through an inclusive and transparent process. We also take note of the efforts of those countries, including developing countries, that have already initiated processes to prepare national green economy strategies and policies in support of sustainable development. 68. We invite relevant stakeholders, including the United Nations regional commissions, United Nations organizations and bodies, other relevant intergovernmental and regional organizations, international financial institutions and major groups involved in sustainable development, according to their respective mandates, to support developing countries upon request to achieve sustainable development, including through, inter alia, green economy policies in the context of sustainable development and poverty eradication, in particular in least developed countries. 69. We also invite business and industry as appropriate and in accordance with national legislation to contribute to sustainable development and to develop sustainability strategies that integrate, inter alia, green economy policies. 70. We acknowledge the role of cooperatives and microenterprises in contributing to social inclusion and poverty reduction in particular in developing countries. 71. We encourage existing and new partnerships, including public-private partnerships, to mobilize public financing complemented by the private sector, taking into account the interests of local and indigenous communities when appropriate. In this regard, governments should support initiatives for sustainable development, including promoting the contribution of the private sector to support green economy policies in the context of sustainable development and poverty eradication. 72. We recognize the critical role of technology as well as the importance of promoting innovation, in particular in developing countries. We invite governments, as appropriate, to create enabling frameworks that foster environmentally sound technology, research and development, and innovation, including in support of green economy in the context of sustainable development and poverty eradication. 73. We emphasize the importance of technology transfer to developing countries and recall the provisions on technology transfer, finance, access to information, and intellectual property rights as agreed in the Johannesburg Plan of Implementation, in particular its call to promote, facilitate and finance, as appropriate, access to and the development, transfer and diffusion of environmentally sound technologies and corresponding know-how, in particular to developing countries, on favourable terms, including on concessional and preferential terms, as mutually agreed. We also take note of the further evolution of discussions and agreements on these issues since the adoption of the Johannesburg Plan of Implementation. 74. We recognize that the efforts of developing countries that choose to implement green economy policies in the context of sustainable development and poverty eradication should be supported through technical and technological assistance. IV. Institutional framework for sustainable development A. Strengthening the three dimensions of sustainable development 75. We underscore the importance of a strengthened institutional framework for sustainable development which responds coherently and effectively to current and future challenges and efficiently bridges gaps in the implementation of the sustainable development agenda. The institutional framework for sustainable development should integrate the three dimensions of sustainable development in a balanced manner and enhance implementation by, inter alia, strengthening coherence, coordination, avoiding duplication of efforts and reviewing progress in implementing sustainable development. We also reaffirm that the framework should be inclusive, transparent and effective and that it should find common solutions related to global challenges to sustainable development. 76. We recognize that effective governance at the local, subnational, national, regional and global levels representing the voices and interests of all is critical for advancing sustainable development. The strengthening and reform of the institutional framework should not be an end in itself, but a means to achieve sustainable development. We recognize that an improved and more effective institutional framework for sustainable development at the international level should be consistent with the Rio Principles, build on Agenda 21 and the Johannesburg Plan of Implementation and its objectives on the institutional framework for sustainable development, contribute to the implementation of our commitments in the outcomes of United Nations conferences and summits in the economic, social, environmental and related fields and take into account national priorities and the development strategies and priorities of developing countries. We therefore resolve to strengthen the institutional framework for sustainable development, which will, inter alia: (a) Promote the balanced integration of the three dimensions of sustainable development; (b) Be based on an action- and result-oriented approach giving due regard to all relevant cross-cutting issues with the aim to contribute to the implementation of sustainable development; (c) Underscore the importance of interlinkages among key issues and challenges and the need for a systematic approach to them at all relevant levels; (d) Enhance coherence, reduce fragmentation and overlap and increase effectiveness, efficiency and transparency, while reinforcing coordination and cooperation; (e) Promote full and effective participation of all countries in decisionmaking processes; (f) Engage high-level political leaders, provide policy guidance and identify specific actions to promote effective implementation of sustainable development, including through voluntary sharing of experiences and lessons learned; (g) Promote the science-policy interface through inclusive, evidence-based and transparent scientific assessments, as well as access to reliable, relevant and timely data in areas related to the three dimensions of sustainable development, building on existing mechanisms, as appropriate; in this regard, strengthen participation of all countries in international sustainable development processes and capacity-building especially for developing countries, including in conducting their own monitoring and assessments; (h) Enhance the participation and effective engagement of civil society and other relevant stakeholders in the relevant international forums and in this regard promote transparency and broad public participation and partnerships to implement sustainable development; (i) Promote the review and stocktaking of progress in the implementation of all sustainable development commitments, including commitments related to means of implementation. B. Strengthening intergovernmental arrangements for sustainable development 77. We acknowledge the vital importance of an inclusive, transparent, reformed, strengthened and effective multilateral system in order to better address the urgent global challenges of sustainable development today, recognizing the universality and central role of the United Nations and reaffirming our commitment to promote and strengthen the effectiveness and efficiency of the United Nations system. 78. We underscore the need to strengthen United Nations system-wide coherence and coordination, while ensuring appropriate accountability to Member States, by, inter alia, enhancing coherence in reporting and reinforcing cooperative efforts under existing inter-agency mechanisms and strategies to advance the integration of the three dimensions of sustainable development within the United Nations system, including through exchange of information among its agencies, funds and programmes, and also with the international financial institutions and other relevant organizations such as the World Trade Organization (WTO), within their respective mandates. 79. We emphasize the need for an improved and more effective institutional framework for sustainable development which should be guided by the specific functions required and mandates involved; address the shortcomings of the current system; take into account all relevant implications; promote synergies and coherence; seek to avoid duplication and eliminate unnecessary overlaps within the United Nations system; and reduce administrative burdens and build on existing arrangements. General Assembly 80. We reaffirm the role and authority of the General Assembly on global matters of concern to the international community, as set out in the Charter. 81. We further reaffirm the central position of the General Assembly as the chief deliberative, policymaking and representative organ of the United Nations. In this regard, we call for the Assembly to further integrate sustainable development as a key element of the overarching framework for United Nations activities and adequately address sustainable development in its agenda setting, including through periodic high-level dialogues. Economic and Social Council 82. We reaffirm that the Economic and Social Council is a principal body for policy review, policy dialogue and recommendations on issues of economic and social development and for the follow-up to the Millennium Development Goals and is a central mechanism for the coordination of the United Nations system and supervision of the subsidiary bodies of the Council, in particular its functional commissions, and for promoting the implementation of Agenda 21 by strengthening system-wide coherence and coordination. We also reaffirm the major role the Council plays in the overall coordination of funds, programmes and specialized agencies, ensuring coherence among them and avoiding duplication of mandates and activities. 83. We commit to strengthen the Economic and Social Council within its mandate under the Charter, as a principal organ in the integrated and coordinated follow-up of the outcomes of all major United Nations conferences and summits in the economic, social, environmental and related fields, and recognize its key role in achieving a balanced integration of the three dimensions of sustainable development. We look forward to the review of the implementation of General Assembly resolution 61/16 on the strengthening of the Economic and Social Council. High-level political forum 84. We decide to establish a universal intergovernmental high-level political forum, building on the strengths, experiences, resources and inclusive participation modalities of the Commission on Sustainable Development, and subsequently replacing the Commission. The high-level political forum shall follow up on the implementation of sustainable development and should avoid overlap with existing structures, bodies and entities in a cost-effective manner. 85. The high-level forum could: (a) Provide political leadership, guidance and recommendations for sustainable development; (b) Enhance integration of the three dimensions of sustainable development in a holistic and cross-sectoral manner at all levels; (c) Provide a dynamic platform for regular dialogue, and for stocktaking and agenda setting to advance sustainable development; (d) Have a focused, dynamic and action-oriented agenda, ensuring the appropriate consideration of new and emerging sustainable development challenges; (e) Follow up and review progress in the implementation of sustainable development commitments contained in Agenda 21, the Johannesburg Plan of Implementation, the Barbados Programme of Action, the Mauritius Strategy and the outcome of the present Conference and, as appropriate, relevant outcomes of other United Nations summits and conferences, including the outcome of the Fourth United Nations Conference on the Least Developed Countries, as well as their respective means of implementation; (f) Encourage high-level system-wide participation of United Nations agencies, funds and programmes and invite to participate, as appropriate, other relevant multilateral financial and trade institutions and treaty bodies, within their respective mandates and in accordance with United Nations rules and provisions; (g) Improve cooperation and coordination within the United Nations system on sustainable development programmes and policies; (h) Promote transparency and implementation through further enhancing the consultative role and participation of major groups and other relevant stakeholders at the international level in order to better make use of their expertise, while retaining the intergovernmental nature of discussions; (i) Promote the sharing of best practices and experiences relating to the implementation of sustainable development and, on a voluntary basis, facilitate sharing of experiences, including successes, challenges and lessons learned; (j) Promote system-wide coherence and coordination of sustainable development policies; (k) Strengthen the science-policy interface through review of documentation bringing together dispersed information and assessments, including in the form of a global sustainable development report, building on existing assessments; (l) Enhance evidence-based decision-making at all levels and contribute to strengthening ongoing efforts of capacity-building for data collection and analysis in developing countries. 86. We decide to launch an intergovernmental and open, transparent and inclusive negotiation process under the General Assembly to define the format and organizational aspects of the high-level forum with the aim of convening the first high-level forum at the beginning of the sixty-eighth session of the Assembly. We will also consider the need for promoting intergenerational solidarity for the achievement of sustainable development, taking into account the needs of future generations, including by inviting the Secretary-General to present a report on this issue. C. Environmental pillar in the context of sustainable development 87. We reaffirm the need to strengthen international environmental governance within the context of the institutional framework for sustainable development, in order to promote a balanced integration of the economic, social and environmental dimensions of sustainable development as well as coordination within the United Nations system. 88. We are committed to strengthening the role of the United Nations Environment Programme (UNEP) as the leading global environmental authority that sets the global environmental agenda, promotes the coherent implementation of the environmental dimension of sustainable development within the United Nations system and serves as an authoritative advocate for the global environment. We reaffirm resolution 2997 (XXVII) of 15 December 1972 which established UNEP and other relevant resolutions that reinforce its mandate, as well as the 1997 Nairobi Declaration on the Role and Mandate of UNEP and the 2000 Malmö Ministerial Declaration. In this regard, we invite the General Assembly, at its sixty-seventh session, to adopt a resolution strengthening and upgrading UNEP in the following manner: (a) Establish universal membership in the Governing Council of UNEP, as well as other measures to strengthen its governance as well its responsiveness and accountability to Member States; (b) Have secure, stable, adequate and increased financial resources from the regular budget of the United Nations and voluntary contributions to fulfil its mandate; (c) Enhance the voice of UNEP and its ability to fulfil its coordination mandate within the United Nations system by strengthening UNEP engagement in key United Nations coordination bodies and empowering UNEP to lead efforts to formulate United Nations system-wide strategies on the environment; (d) Promote a strong science-policy interface, building on existing international instruments, assessments, panels and information networks, including the Global Environment Outlook, as one of the processes aimed at bringing together information and assessment to support informed decision-making; (e) Disseminate and share evidence-based environmental information and raise public awareness on critical as well as emerging environmental issues; (f) Provide capacity-building to countries, as well as support and facilitate access to technology; (g) Progressively consolidate headquarters functions in Nairobi, as well as strengthen its regional presence, in order to assist countries, upon request, in the implementation of their national environmental policies, collaborating closely with other relevant entities of the United Nations system; (h) Ensure the active participation of all relevant stakeholders drawing on best practices and models from relevant multilateral institutions and exploring new mechanisms to promote transparency and the effective engagement of civil society. 89. We recognize the significant contributions to sustainable development made by the multilateral environmental agreements. We acknowledge the work already undertaken to enhance synergies among the three conventions in the chemicals and waste cluster (the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade and the Stockholm Convention on Persistent Organic Pollutants). We encourage parties to multilateral environmental agreements to consider further measures, in these and other clusters, as appropriate, to promote policy coherence at all relevant levels, improve efficiency, reduce unnecessary overlap and duplication, and enhance coordination and cooperation among the multilateral environmental agreements, including the three Rio conventions, as well as with the United Nations system in the field. 90. We stress the need for the continuation of a regular review of the state of the Earth's changing environment and its impact on human well-being and, in this regard, we welcome such initiatives as the Global Environment Outlook process aimed at bringing together environmental information and assessments and building national and regional capacity to support informed decision-making. D. International financial institutions and United Nations operational activities 91. We recognize that sustainable development should be given due consideration by the programmes, funds and specialized agencies of the United Nations system and other relevant entities such as international financial institutions and the United Nations Conference on Trade and Development, in accordance with their respective existing mandates. In this regard, we invite them to further enhance mainstreaming of sustainable development in their respective mandates, programmes, strategies and decision-making processes, in support of the efforts of all countries, in particular developing countries, in the achievement of sustainable development. 92. We reaffirm the importance of broadening and strengthening the participation of developing countries in international economic decision-making and normsetting, and in this regard, take note of recent important decisions on reform of the governance structures, quotas and voting rights of the Bretton Woods institutions, better reflecting current realities and enhancing the voice and participation of developing countries, and reiterate the importance of the reform of the governance of those institutions in order to deliver more effective, credible, accountable and legitimate institutions. 93. We call for the further mainstreaming of the three dimensions of sustainable development throughout the United Nations system, and request the SecretaryGeneral to report to the General Assembly, through the Economic and Social Council, on the progress made in this regard. We also call for and recognize the importance of the strengthening of policy coordination within key structures of the Secretariat of the United Nations so as to ensure system-wide coherence in support of sustainable development, while ensuring accountability to Member States. 94. We invite the governing bodies of the funds, programmes and specialized agencies of the United Nations development system to consider appropriate measures for integrating the social, economic and environmental dimensions across the operational activities of the United Nations system. We also emphasize that increasing the financial contributions to the United Nations development system is key to achieving the internationally agreed development goals, including the Millennium Development Goals, and in this regard we recognize the mutually reinforcing links among increased effectiveness, efficiency and coherence of the United Nations development system, achieving concrete results in assisting developing countries in eradicating poverty and achieving sustained economic growth and sustainable development. 95. We emphasize the need to strengthen operational activities for development of the United Nations system in the field that are well aligned with national sustainable development priorities of developing countries. In this regard, we emphasize that the fundamental characteristics and principles of United Nations operational activities set forth in the relevant General Assembly resolutions provide the overarching framework for all matters pertaining to the United Nations development assistance operations in the field. We recognize the importance of strengthening United Nations system coordination. We look forward to receiving the outcome of the independent evaluation of the Delivering as one initiative. 96. We call on the United Nations system to improve the management of facilities and operations, by taking into account sustainable development practices, building on existing efforts and promoting cost effectiveness, and in accordance with legislative frameworks, including financial rules and regulations, while maintaining accountability to Member States. E. Regional, national, subnational and local levels 97. We acknowledge the importance of the regional dimension of sustainable development. Regional frameworks can complement and facilitate effective translation of sustainable development policies into concrete action at the national level. 98. We encourage regional, national, subnational and local authorities as appropriate to develop and utilize sustainable development strategies as key instruments for guiding decision-making and implementation of sustainable development at all levels, and in this regard we recognize that integrated social, economic and environmental data and information, as well as effective analysis and assessment of implementation, is important in decision-making processes. 99. We encourage action at the regional, national, subnational and local levels to promote access to information, public participation and access to justice in environmental matters, as appropriate. 100. We emphasize that regional and subregional organizations, including the United Nations regional commissions and their subregional offices, have a significant role to play in promoting a balanced integration of the economic, social and environmental dimensions of sustainable development in their respective regions. We underscore the need to support these institutions, including through the United Nations system, in the effective operationalization and implementation of sustainable development, and to facilitate institutional coherence and harmonization of relevant development policies, plans and programmes. In this regard, we urge these institutions to prioritize sustainable development through, inter alia, more efficient and effective capacity-building, development and implementation of regional agreements and arrangements as appropriate, and exchange of information, best practices and lessons learned. We also welcome regional and cross-regional initiatives for sustainable development. We furthermore recognize the need to ensure effective linkage among global, regional, subregional and national processes to advance sustainable development. We encourage the enhancement of the United Nations regional commissions and their subregional offices in their respective capacities to support Member States in implementing sustainable development. 101. We underline the need for more coherent and integrated planning and decisionmaking at the national, subnational and local levels as appropriate and, to this end, we call on countries to strengthen national, subnational and/or local institutions or relevant multi-stakeholder bodies and processes, as appropriate, dealing with sustainable development, including to coordinate on matters of sustainable development and to enable effective integration of the three dimensions of sustainable development. 102. We welcome regional and cross-regional initiatives for sustainable development, such as the Green Bridge Partnership Programme, which is voluntary and open for participation by all partners. 103. We underscore the need to ensure long-term political commitment to sustainable development taking into account national circumstances and priorities and, in this regard, we encourage all countries to undertake the necessary actions and measures to achieve sustainable development. V. Framework for action and follow-up A. Thematic areas and cross-sectoral issues 104. We recognize that in order to achieve the objective of the Conference, namely to secure renewed political commitment for sustainable development, as well as to address the themes of a green economy in the context of sustainable development and poverty eradication and the institutional framework for sustainable development, we commit to address remaining gaps in the implementation of the outcomes of the major summits on sustainable development, to address new and emerging challenges and to seize new opportunities through the actions enumerated below in this framework for action, supported as appropriate through provision of means of implementation. We recognize that goals, targets and indicators, including where appropriate gender-sensitive indicators, are valuable in measuring and accelerating progress. We further note that progress in the implementation of the actions stipulated below can be enhanced by voluntarily sharing information, knowledge and experience. Poverty eradication 105. We recognize that, three years from the 2015 target date of the Millennium Development Goals, while there has been progress in reducing poverty in some regions, this progress has been uneven and the number of people living in poverty in some countries continues to increase, with women and children constituting the majority of the most affected groups, especially in the least developed countries and particularly in Africa. 106. We recognize that sustained, inclusive and equitable economic growth in developing countries is a key requirement for eradicating poverty and hunger and achieving the Millennium Development Goals. In this regard, we emphasize that national efforts of developing countries should be complemented by an enabling environment aimed at expanding the development opportunities of developing countries. We also emphasize the need to accord the highest priority to poverty eradication within the United Nations development agenda, addressing the root causes and challenges of poverty through integrated, coordinated and coherent strategies at all levels. 107. We recognize that promoting universal access to social services can make an important contribution to consolidating and achieving development gains. Social protection systems that address and reduce inequality and social exclusion are essential for eradicating poverty and advancing the achievement of the Millennium Development Goals. In this regard, we strongly encourage initiatives aimed at enhancing social protection for all people. Food security and nutrition and sustainable agriculture 108. We reaffirm our commitments regarding the right of everyone to have access to safe, sufficient and nutritious food, consistent with the right to adequate food and the fundamental right of everyone to be free from hunger. We acknowledge that food security and nutrition has become a pressing global challenge and, in this regard, we further reaffirm our commitment to enhancing food security and access to adequate, safe and nutritious food for present and future generations in line with the Five Rome Principles for Sustainable Global Food Security adopted in 2009, including for children under two, and through, as appropriate, national, regional and global food security and nutrition strategies. 109. We recognize that a significant portion of the world's poor live in rural areas, and that rural communities play an important role in the economic development of many countries. We emphasize the need to revitalize the agricultural and rural development sectors, notably in developing countries, in an economically, socially and environmentally sustainable manner. We recognize the importance of taking the necessary actions to better address the needs of rural communities through, inter alia, enhancing access by agricultural producers, in particular small producers, women, indigenous peoples and people living in vulnerable situations, to credit and other financial services, markets, secure land tenure, health care, social services, education, training, knowledge and appropriate and affordable technologies, including for efficient irrigation, reuse of treated wastewater and water harvesting and storage. We reiterate the importance of empowering rural women as critical agents for enhancing agricultural and rural development and food security and nutrition. We also recognize the importance of traditional sustainable agricultural practices, including traditional seed supply systems, including for many indigenous peoples and local communities. 110. Noting the diversity of agricultural conditions and systems, we resolve to increase sustainable agricultural production and productivity globally, including through improving the functioning of markets and trading systems and strengthening international cooperation, particularly for developing countries, by increasing public and private investment in sustainable agriculture, land management and rural development. Key areas for investment and support include sustainable agricultural practices; rural infrastructure, storage capacities and related technologies; research and development on sustainable agricultural technologies; developing strong agricultural cooperatives and value chains; and strengthening urban-rural linkages. We also recognize the need to significantly reduce post-harvest and other food losses and waste throughout the food supply chain. 111. We reaffirm the necessity to promote, enhance and support more sustainable agriculture, including crops, livestock, forestry, fisheries and aquaculture, that improves food security, eradicates hunger and is economically viable, while conserving land, water, plant and animal genetic resources, biodiversity and ecosystems and enhancing resilience to climate change and natural disasters. We also recognize the need to maintain natural ecological processes that support food production systems. 112. We stress the need to enhance sustainable livestock production systems, including through improving pasture land and irrigation schemes in line with national policies, legislation, rules and regulations, enhanced sustainable water management systems, and efforts to eradicate and prevent the spread of animal diseases, recognizing that the livelihoods of farmers, including pastoralists, and the health of livestock are intertwined. 113. We also stress the crucial role of healthy marine ecosystems, sustainable fisheries and sustainable aquaculture for food security and nutrition and in providing for the livelihoods of millions of people. 114. We resolve to take action to enhance agricultural research, extension services, training and education to improve agricultural productivity and sustainability through the voluntary sharing of knowledge and good practices. We further resolve to improve access to information, technical knowledge and know-how, including through new information and communications technologies that empower farmers, fisherfolk and foresters to choose among diverse methods of achieving sustainable agricultural production. We call for the strengthening of international cooperation on agricultural research for development. 115. We reaffirm the important work and inclusive nature of the Committee on World Food Security, including through its role in facilitating country-initiated assessments on sustainable food production and food security, and we encourage countries to give due consideration to implementing the Committee on World Food Security Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests in the Context of National Food Security. We take note of the ongoing discussions on responsible agricultural investment in the framework of the Committee on World Food Security, as well as the principles for responsible agricultural investment. 116. We stress the need to address the root causes of excessive food price volatility, including its structural causes, at all levels, and the need to manage the risks linked to high and excessively volatile prices in agricultural commodities and their consequences for global food security and nutrition, as well as for smallholder farmers and poor urban dwellers. 117. We underline the importance of timely, accurate and transparent information in helping to address excessive food price volatility, and in this regard take note of the Agricultural Market Information System hosted by the Food and Agriculture Organization of the United Nations (FAO) and urge the participating international organizations, private sector actors and Governments to ensure the public dissemination of timely and quality food market information products. 118. We reaffirm that a universal, rules-based, open, non-discriminatory and equitable multilateral trading system will promote agricultural and rural development in developing countries and contribute to world food security. We urge national, regional and international strategies to promote the participation of farmers, especially smallholder farmers, including women, in community, domestic, regional and international markets. Water and sanitation 119. We recognize that water is at the core of sustainable development as it is closely linked to a number of key global challenges. We therefore reiterate the importance of integrating water in sustainable development and underline the critical importance of water and sanitation within the three dimensions of sustainable development. 120. We reaffirm the commitments made in the Johannesburg Plan of Implementation and the Millennium Declaration regarding halving by 2015 the proportion of people without access to safe drinking water and basic sanitation and the development of integrated water resource management and water efficiency plans, ensuring sustainable water use. We commit to the progressive realization of access to safe and affordable drinking water and basic sanitation for all, as necessary for poverty eradication, women's empowerment and to protect human health, and to significantly improve the implementation of integrated water resource management at all levels as appropriate. In this regard, we reiterate the commitments to support these efforts, in particular for developing countries, through the mobilization of resources from all sources, capacity-building and technology transfer. 121. We reaffirm our commitments regarding the human right to safe drinking water and sanitation, to be progressively realized for our populations with full respect for national sovereignty. We also highlight our commitment to the 20052015 International Decade for Action, "Water for Life". 122. We recognize the key role that ecosystems play in maintaining water quantity and quality and support actions within respective national boundaries to protect and sustainably manage these ecosystems. 123. We underline the need to adopt measures to address floods, droughts and water scarcity, addressing the balance between water supply and demand, including, where appropriate, non-conventional water resources, and to mobilize financial resources and investment in infrastructure for water and sanitation services, in accordance with national priorities. 124. We stress the need to adopt measures to significantly reduce water pollution and increase water quality, significantly improve wastewater treatment and water efficiency and reduce water losses. In order to achieve this, we stress the need for international assistance and cooperation. Energy 125. We recognize the critical role that energy plays in the development process, as access to sustainable modern energy services contributes to poverty eradication, saves lives, improves health and helps provide for basic human needs. We stress that these services are essential to social inclusion and gender equality, and that energy is also a key input to production. We commit to facilitate support for access to these services by 1.4 billion people worldwide who are currently without them. We recognize that access to these services is critical for achieving sustainable development. 126. We emphasize the need to address the challenge of access to sustainable modern energy services for all, in particular for the poor, who are unable to afford these services even when they are available. We emphasize the need to take further action to improve this situation, including by mobilizing adequate financial resources, so as to provide these services in a reliable, affordable, economically viable and socially and environmentally acceptable manner in developing countries. 127. We reaffirm support for the implementation of national and subnational policies and strategies, based on individual national circumstances and development aspirations, using an appropriate energy mix to meet developmental needs, including through increased use of renewable energy sources and other low-emission technologies, the more efficient use of energy, greater reliance on advanced energy technologies, including cleaner fossil fuel technologies, and the sustainable use of traditional energy resources. We commit to promoting sustainable modern energy services for all through national and subnational efforts, inter alia, on electrification and dissemination of sustainable cooking and heating solutions, including through collaborative actions to share best practices and adopt policies, as appropriate. We urge governments to create enabling environments that facilitate public and private sector investment in relevant and needed cleaner energy technologies. 128. We recognize that improving energy efficiency, increasing the share of renewable energy and cleaner and energy-efficient technologies are important for sustainable development, including in addressing climate change. We also recognize the need for energy efficiency measures in urban planning, buildings and transportation, and in the production of goods and services and the design of products. We also recognize the importance of promoting incentives in favour of, and removing disincentives to, energy efficiency and the diversification of the energy mix, including promoting research and development in all countries, including developing countries. 129. We note the launching of the initiative by the Secretary-General on Sustainable Energy for All, which focuses on access to energy, energy efficiency and renewable energies. We are all determined to act to make sustainable energy for all a reality and, through this, help to eradicate poverty and lead to sustainable development and global prosperity. We recognize that the activities of countries in broader energyrelated matters are of great importance and are prioritized according to their specific challenges, capacities and circumstances, including their energy mix. Sustainable tourism 130. We emphasize that well-designed and managed tourism can make a significant contribution to the three dimensions of sustainable development, has close linkages to other sectors, and can create decent jobs and generate trade opportunities. We recognize the need to support sustainable tourism activities and relevant capacitybuilding that promote environmental awareness, conserve and protect the environment, respect wildlife, flora, biodiversity, ecosystems and cultural diversity, and improve the welfare and livelihoods of local communities by supporting their local economies and the human and natural environment as a whole. We call for enhanced support for sustainable tourism activities and relevant capacity-building in developing countries in order to contribute to the achievement of sustainable development. 131. We encourage the promotion of investment in sustainable tourism, including eco-tourism and cultural tourism, which may include creating small and mediumsized enterprises and facilitating access to finance, including through microcredit initiatives for the poor, indigenous peoples and local communities in areas with high eco-tourism potential. In this regard, we underline the importance of establishing, where necessary, appropriate guidelines and regulations in accordance with national priorities and legislation for promoting and supporting sustainable tourism. Sustainable transport 132. We note that transportation and mobility are central to sustainable development. Sustainable transportation can enhance economic growth and improve accessibility. Sustainable transport achieves better integration of the economy while respecting the environment. We recognize the importance of the efficient movement of people and goods, and access to environmentally sound, safe and affordable transportation as a means to improve social equity, health, resilience of cities, urban-rural linkages and productivity of rural areas. In this regard, we take into account road safety as part of our efforts to achieve sustainable development. 133. We support the development of sustainable transport systems, including energy efficient multi-modal transport systems, notably public mass transportation systems, clean fuels and vehicles, as well as improved transportation systems in rural areas. We recognize the need to promote an integrated approach to policymaking at the national, regional and local levels for transport services and systems to promote sustainable development. We also recognize that the special development needs of landlocked and transit developing countries need to be taken into account while establishing sustainable transit transport systems. We acknowledge the need for international support to developing countries in this regard. Sustainable cities and human settlements 134. We recognize that, if they are well planned and developed, including through integrated planning and management approaches, cities can promote economically, socially and environmentally sustainable societies. In this regard, we recognize the need for a holistic approach to urban development and human settlements that provides for affordable housing and infrastructure and prioritizes slum upgrading and urban regeneration. We commit to work towards improving the quality of human settlements, including the living and working conditions of both urban and rural dwellers in the context of poverty eradication so that all people have access to basic services, housing and mobility. We also recognize the need for conservation, as appropriate, of the natural and cultural heritage of human settlements, the revitalization of historic districts and the rehabilitation of city centres. 135. We commit to promote an integrated approach to planning and building sustainable cities and urban settlements, including through supporting local authorities, increasing public awareness and enhancing participation of urban residents, including the poor, in decision-making. We also commit to promote sustainable development policies that support inclusive housing and social services; a safe and healthy living environment for all, particularly children, youth, women and the elderly and disabled; affordable and sustainable transport and energy; promotion, protection and restoration of safe and green urban spaces; safe and clean drinking water and sanitation; healthy air quality; generation of decent jobs; and improved urban planning and slum upgrading. We further support sustainable management of waste through the application of the 3Rs (reduce, reuse and recycle). We underline the importance of considering disaster risk reduction, resilience and climate risks in urban planning. We recognize the efforts of cities to balance development with rural regions. 136. We emphasize the importance of increasing the number of metropolitan regions, cities and towns that are implementing policies for sustainable urban planning and design in order to respond effectively to the expected growth of urban populations in the coming decades. We note that sustainable urban planning benefits from the involvement of multiple stakeholders as well as from full use of information and sex-disaggregated data, including on demographic trends, income distribution and informal settlements. We recognize the important role of municipal governments in setting a vision for sustainable cities, from the initiation of city planning through to revitalization of older cities and neighbourhoods, including by adopting energy efficiency programmes in building management and developing sustainable, locally appropriate transport systems. We further recognize the importance of mixed-use planning and of encouraging non-motorized mobility, including by promoting pedestrian and cycling infrastructures. 137. We recognize that partnerships among cities and communities play an important role in promoting sustainable development. In this regard, we stress the need to strengthen existing cooperation mechanisms and platforms, partnership arrangements and other implementation tools to advance the coordinated implementation of the Habitat Agenda with the active involvement of all relevant United Nations entities and with the overall aim of achieving sustainable urban development. We further recognize the continuing need for adequate and predictable financial contributions to the United Nations Habitat and Human Settlements Foundation so as to ensure timely, effective and concrete global implementation of the Habitat Agenda. Health and population 138. We recognize that health is a precondition for and an outcome and indicator of all three dimensions of sustainable development. We understand the goals of sustainable development can only be achieved in the absence of a high prevalence of debilitating communicable and non-communicable diseases, and where populations can reach a state of physical, mental and social well-being. We are convinced that action on the social and environmental determinants of health, both for the poor and the vulnerable and for the entire population, is important to create inclusive, equitable, economically productive and healthy societies. We call for the full realization of the right to the enjoyment of the highest attainable standard of physical and mental health. 139. We also recognize the importance of universal health coverage to enhancing health, social cohesion and sustainable human and economic development. We pledge to strengthen health systems towards the provision of equitable universal coverage. We call for the involvement of all relevant actors for coordinated multi-sectoral action to address urgently the health needs of the world's population. 140. We emphasize that HIV and AIDS, malaria, tuberculosis, influenza, polio and other communicable diseases remain serious global concerns, and we commit to redouble efforts to achieve universal access to HIV prevention, treatment, care and support, and to eliminate mother-to-child transmission of HIV, as well as to renewing and strengthening the fight against malaria, tuberculosis and neglected tropical diseases. 141. We acknowledge that the global burden and threat of non-communicable diseases constitutes one of the major challenges for sustainable development in the twenty-first century. We commit to strengthen health systems towards the provision of equitable, universal coverage and promote affordable access to prevention, treatment, care and support related to non-communicable diseases, especially cancer, cardiovascular diseases, chronic respiratory diseases and diabetes. We also commit to establish or strengthen multi-sectoral national policies for the prevention and control of non-communicable diseases. We recognize that reducing, inter alia, air, water and chemical pollution leads to positive effects on health. 142. We reaffirm the right to use, to the full, the provisions contained in the agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS), the Doha Declaration on the TRIPS Agreement and Public Health, the decision of the WTO General Council of 30 August 2003 on the implementation of paragraph 6 of the Doha Declaration on the TRIPS Agreement and Public Health, and, when formal acceptance procedures are completed, the amendment to article 31 of the Agreement, which provides flexibilities for the protection of public health, and, in particular, to promote access to medicines for all, and encourage the provision of assistance to developing countries in this regard. 143. We call for further collaboration and cooperation at the national and international levels to strengthen health systems through increased health financing, recruitment, development and training and retention of the health workforce, through improved distribution and access to safe, affordable, effective and quality medicines, vaccines and medical technologies, and through improving health infrastructure. We support the leadership role of the World Health Organization as the directing and coordinating authority on international health work. 144. We commit to systematically consider population trends and projections in our national, rural and urban development strategies and policies. Through forwardlooking planning, we can seize the opportunities and address the challenges associated with demographic change, including migration. 145. We call for the full and effective implementation of the Beijing Platform for Action and the Programme of Action of the International Conference on Population and Development, and the outcomes of their review conferences, including the commitments leading to sexual and reproductive health and the promotion and protection of all human rights in this context. We emphasize the need for the provision of universal access to reproductive health, including family planning and sexual health, and the integration of reproductive health in national strategies and programmes. 146. We commit to reduce maternal and child mortality and to improve the health of women, youth and children. We reaffirm our commitment to gender equality and to protect the rights of women, men and youth to have control over and decide freely and responsibly on matters related to their sexuality, including access to sexual and reproductive health, free from coercion, discrimination and violence. We will work actively to ensure that health systems provide the necessary information and health services addressing the sexual and reproductive health of women, including working towards universal access to safe, effective, affordable and acceptable modern methods of family planning, as this is essential for women's health and advancing gender equality. Promoting full and productive employment, decent work for all and social protection 147. We recognize that poverty eradication, full and productive employment and decent work for all, and social integration and protection are interrelated and mutually reinforcing, and that enabling environments to promote these need to be created at all levels. 148. We are concerned about labour market conditions and widespread deficits of available decent work opportunities, especially for young women and men. We urge all governments to address the global challenge of youth employment by developing and implementing strategies and policies that provide young people everywhere access to decent and productive work, as over the coming decades decent jobs will need to be created to be able to ensure sustainable and inclusive development and reduce poverty. 149. We recognize the importance of job creation by investing in and developing sound, effective and efficient economic and social infrastructure and productive capacities for sustainable development and sustained, inclusive and equitable economic growth. We call on countries to enhance infrastructure investment for sustainable development and we agree to support United Nations funds, programmes and agencies to help assist and promote the efforts of developing countries, particularly the least developed countries, in this regard. 150. We recognize the importance of job creation by adopting forward-looking macroeconomic policies that promote sustainable development and lead to sustained, inclusive and equitable economic growth, increase productive employment opportunities and promote agricultural and industrial development. 151. We emphasize the need to enhance employment and income opportunities for all, especially for women and men living in poverty and, in this regard, we support national efforts to provide new job opportunities to the poor in both rural and urban areas, including support to small and medium-sized enterprises. 152. We recognize that workers should have access to education, skills, health care, social security, fundamental rights at work, social and legal protections, including occupational safety and health, and decent work opportunities. Governments, trade unions, workers and employers all have a role to play in promoting decent work for all, and all should help young people to gain access to needed skills and employment opportunities, including in new and emerging sectors. Women and men should have equal access to opportunities to acquire job skills as well as to worker protections. We recognize the importance of a just transition, including programmes to help workers adjust to changing labour market conditions. 153. We also recognize that informal unpaid work, performed mostly by women, contributes substantially to human well-being and sustainable development. In this regard, we commit to work towards safe and decent working conditions and access to social protection and education. 154. We recognize that opportunities for decent work for all and job creation can be generated through, inter alia, public and private investments in scientific and technological innovation, public works in restoring, regenerating and conserving natural resources and ecosystems, and social and community services. We are encouraged by government initiatives to create jobs for poor people in restoring and managing natural resources and ecosystems, and we encourage the private sector to contribute to decent work for all and job creation for both women and men, and particularly for young people, including through partnerships with small and medium-sized enterprises and cooperatives. In this regard, we acknowledge the importance of efforts to promote the exchange of information and knowledge on decent work for all and job creation, including green jobs initiatives and related skills, and to facilitate the integration of relevant data into national economic and employment policies. 155. We encourage the sharing of experiences and best practices on ways to address the high levels of unemployment and underemployment, in particular among young people. 156. We stress the need to provide social protection to all members of society, fostering growth, resilience, social justice and cohesion, including those who are not employed in the formal economy. In this regard, we strongly encourage national and local initiatives aimed at providing social protection floors for all citizens. We support global dialogue on best practices for social protection programmes that takes into account the three dimensions of sustainable development and, in this regard, we note ILO Recommendation 202 concerning national floors of social protection. 157. We call upon States to promote and protect effectively the human rights and fundamental freedom of all migrants regardless of migration status, especially those of women and children, and to address international migration through international, regional or bilateral cooperation and dialogue and a comprehensive and balanced approach, recognizing the roles and responsibilities of countries of origin, transit and destination in promoting and protecting the human rights of all migrants, and avoiding approaches that might aggravate their vulnerability. Oceans and seas 158. We recognize that oceans, seas and coastal areas form an integrated and essential component of the Earth's ecosystem and are critical to sustaining it, and that international law, as reflected in the United Nations Convention on the Law of the Sea, provides the legal framework for the conservation and sustainable use of the oceans and their resources. We stress the importance of the conservation and sustainable use of the oceans and seas and of their resources for sustainable development, including through their contributions to poverty eradication, sustained economic growth, food security and creation of sustainable livelihoods and decent work, while at the same time protecting biodiversity and the marine environment and addressing the impacts of climate change. We therefore commit to protect, and restore, the health, productivity and resilience of oceans and marine ecosystems, and to maintain their biodiversity, enabling their conservation and sustainable use for present and future generations, and to effectively apply an ecosystem approach and the precautionary approach in the management, in accordance with international law, of activities having an impact on the marine environment, to deliver on all three dimensions of sustainable development. 159. We recognize the importance of the United Nations Convention on the Law of the Sea to advancing sustainable development and its near universal adoption by States, and in this regard we urge all its parties to fully implement their obligations under the Convention. 160. We recognize the importance of building the capacity of developing countries to be able to benefit from the conservation and sustainable use of the oceans and seas and their resources and, in this regard, we emphasize the need for cooperation in marine scientific research to implement the provisions of the United Nations Convention on the Law of the Sea and the outcomes of the major summits on sustainable development, as well as for the transfer of technology, taking into account the Intergovernmental Oceanographic Commission Criteria and Guidelines on the Transfer of Marine Technology. 161. We support the Regular Process for Global Reporting and Assessment of the State of the Marine Environment, including Socioeconomic Aspects, established under the General Assembly, and look forward to the completion of its first global integrated assessment of the state of the marine environment by 2014 and its subsequent consideration by the Assembly. We encourage consideration by States of the assessment findings at appropriate levels. 162. We recognize the importance of the conservation and sustainable use of marine biodiversity beyond areas of national jurisdiction. We note the ongoing work under the General Assembly of an ad hoc open-ended informal working group to study issues relating to the conservation and sustainable use of marine biological diversity beyond areas of national jurisdiction. Building on the work of the ad hoc working group and before the end of the sixty-ninth session of the General Assembly we commit to address, on an urgent basis, the issue of the conservation and sustainable use of marine biological diversity of areas beyond national jurisdiction, including by taking a decision on the development of an international instrument under the United Nations Convention on the Law of the Sea. 163. We note with concern that the health of oceans and marine biodiversity are negatively affected by marine pollution, including marine debris, especially plastic, persistent organic pollutants, heavy metals and nitrogen-based compounds, from a number of marine and land-based sources, including shipping and land run-off. We commit to take action to reduce the incidence and impacts of such pollution on marine ecosystems, including through the effective implementation of relevant conventions adopted in the framework of the International Maritime Organization (IMO), and the follow-up of the relevant initiatives such as the Global Programme of Action for the Protection of the Marine Environment from Land-based Activities, as well as the adoption of coordinated strategies to this end. We further commit to take action to, by 2025, based on collected scientific data, achieve significant reductions in marine debris to prevent harm to the coastal and marine environment. 164. We note the significant threat that alien invasive species pose to marine ecosystems and resources and commit to implement measures to prevent the introduction, and manage the adverse environmental impacts, of alien invasive species, including, as appropriate, those adopted in the framework of IMO. 165. We note that sea-level rise and coastal erosion are serious threats for many coastal regions and islands, particularly in developing countries, and in this regard we call on the international community to enhance its efforts to address these challenges. 166. We call for support to initiatives that address ocean acidification and the impacts of climate change on marine and coastal ecosystems and resources. In this regard, we reiterate the need to work collectively to prevent further ocean acidification, as well as enhance the resilience of marine ecosystems and of the communities whose livelihoods depend on them, and to support marine scientific research, monitoring and observation of ocean acidification and particularly vulnerable ecosystems, including through enhanced international cooperation in this regard. 167. We stress our concern about the potential environmental impacts of ocean fertilization. In this regard, we recall the decisions related to ocean fertilization adopted by the relevant intergovernmental bodies, and resolve to continue addressing with utmost caution ocean fertilization, consistent with the precautionary approach. 168. We commit to intensify our efforts to meet the 2015 target as agreed to in the Johannesburg Plan of Implementation to maintain or restore stocks to levels that can produce maximum sustainable yield on an urgent basis. In this regard we further commit to urgently take the measures necessary to maintain or restore all stocks at least to levels that can produce the maximum sustainable yield, with the aim of achieving these goals in the shortest time feasible, as determined by their biological characteristics. To achieve this we commit to urgently develop and implement science-based management plans, including by reducing or suspending fishing catch and effort commensurate with the status of the stock. We further commit to enhance action to manage bycatch, discards and other adverse ecosystem impacts from fisheries, including by eliminating destructive fishing practices. We also commit to enhance actions to protect vulnerable marine ecosystems from significant adverse impacts, including through the effective use of impact assessments. Such actions, including those through competent organizations, should be undertaken consistent with international law, the applicable international instruments and relevant General Assembly resolutions and FAO guidelines. 169. We urge States parties to the 1995 Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks to fully implement that Agreement and to give, in accordance with part VII of the Agreement, full recognition to the special requirements of developing States. Furthermore, we call upon all States to implement the Code of Conduct for Responsible Fisheries and the FAO international plans of action and technical guidelines. 170. We acknowledge that illegal, unreported and unregulated fishing deprive many countries of a crucial natural resource and remain a persistent threat to their sustainable development. We recommit to eliminate illegal, unreported and unregulated fishing as advanced in the Johannesburg Plan of Implementation, and to prevent and combat these practices, including through the following: developing and implementing national and regional action plans in accordance with the FAO International Plan of Action to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing; implementing, in accordance with international law, effective and coordinated measures by coastal States, flag States, port States, chartering nations and the States of nationality of the beneficial owners and others who support or engage in illegal, unreported and unregulated fishing by identifying vessels engaged in such fishing and by depriving offenders of the benefits accruing from it; as well as cooperating with developing countries to systematically identify needs and build capacity, including support for monitoring, control, surveillance, compliance and enforcement systems. 171. We call upon States that have signed the FAO Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing to expedite procedures for its ratification with a view to its early entry into force. 172. We recognize the need for transparency and accountability in fisheries management by regional fisheries management organizations. We recognize the efforts already made by those regional fisheries management organizations that have undertaken independent performance reviews, and call on all regional fisheries management organizations to regularly undertake such reviews and make the results publicly available. We encourage implementation of the recommendations of such reviews and recommend that the comprehensiveness of those reviews be strengthened over time, as necessary. 173. We reaffirm our commitment in the Johannesburg Plan of Implementation to eliminate subsidies that contribute to illegal, unreported and unregulated fishing and overcapacity, taking into account the importance of this sector to developing countries, and we reiterate our commitment to conclude multilateral disciplines on fisheries subsidies that will give effect to the WTO Doha Development Agenda and the Hong Kong Ministerial Declaration mandates to strengthen disciplines on subsidies in the fisheries sector, including through the prohibition of certain forms of fisheries subsidies that contribute to overcapacity and overfishing, recognizing that appropriate and effective special and differential treatment for developing and least developed countries should be an integral part of the WTO fisheries subsidies negotiation, taking into account the importance of the sector to development priorities, poverty reduction and livelihood and food-security concerns. We encourage States to further improve the transparency and reporting of existing fisheries subsidies programmes through WTO. Given the state of fisheries resources, and without prejudicing the WTO Doha and Hong Kong ministerial mandates on fisheries subsidies or the need to conclude these negotiations, we encourage States to eliminate subsidies that contribute to overcapacity and overfishing, and to refrain from introducing new such subsidies or from extending or enhancing existing ones. 174. We urge the identification and mainstreaming of strategies by 2014 that further assist developing countries, in particular the least developed countries and small island developing States, in developing their national capacity to conserve, sustainably manage and realize the benefits of sustainable fisheries, including through improved market access for fish products from developing countries. 175. We commit to observe the need to ensure access to fisheries and the importance of access to markets, by subsistence, small-scale and artisanal fisherfolk and women fish workers, as well as indigenous peoples and their communities, particularly in developing countries, especially small island developing States. 176. We also recognize the significant economic, social and environmental contributions of coral reefs, in particular to islands and other coastal States, as well as the significant vulnerability of coral reefs and mangroves to impacts, including from climate change, ocean acidification, overfishing, destructive fishing practices and pollution. We support international cooperation with a view to conserving coral reef and mangrove ecosystems and realizing their social, economic and environmental benefits as well as facilitating technical collaboration and voluntary information-sharing. 177. We reaffirm the importance of area-based conservation measures, including marine protected areas, consistent with international law and based on best available scientific information, as a tool for conservation of biological diversity and sustainable use of its components. We note decision X/2 of the tenth Meeting of the Conference of the Parties to the Convention on Biological Diversity, that by 2020 10 per cent of coastal and marine areas, especially areas of particular importance for biodiversity and ecosystem services, are to be conserved through effectively and equitably managed, ecologically representative and well-connected systems of protected areas and other effective area-based conservation measures. Small island developing States 178. We reaffirm that small island developing States remain a special case for sustainable development in view of their unique and particular vulnerabilities, including their small size, remoteness, narrow resource and export base, and exposure to global environmental challenges and external economic shocks, including to a large range of impacts from climate change and potentially more frequent and intense natural disasters. We note with concern that the outcome of the five-year review of the Mauritius Strategy concluded that small island developing States have made less progress than most other groupings, or even regressed, in economic terms, especially in terms of poverty reduction and debt sustainability. Sea-level rise and other adverse impacts of climate change continue to pose a significant risk to small island developing States and their efforts to achieve sustainable development, and for many represent the gravest of threats to their survival and viability, including for some through the loss of territory. We also remain concerned that, while small island developing States have progressed in the areas of gender, health, education and the environment, their overall progress towards achieving the Millennium Development Goals has been uneven. 179. We call for continued and enhanced efforts to assist small island developing States in implementing the Barbados Programme of Action and the Mauritius Strategy. We also call for a strengthening of United Nations System support to small island developing States in keeping with the multiple ongoing and emerging challenges faced by these States in achieving sustainable development. 180. Building on the Barbados Programme of Action and the Mauritius Strategy, we call for the convening in 2014 of a third international conference on small island developing States, recognizing the importance of coordinated, balanced and integrated actions to address the sustainable development challenges facing small island developing States, and we invite the General Assembly at its sixty-seventh session to determine the modalities of the conference. Least developed countries 181. We agree to effectively implement the Istanbul Programme of Action and to fully integrate its priority areas into the present framework for action, the broader implementation of which will contribute to the overarching goal of the Istanbul Programme of Action of enabling half of the least developed countries to meet the criteria of graduation by 2020. Landlocked developing countries 182. We invite Member States, including development partners, organizations of the United Nations system and other relevant international, regional and subregional organizations, to speed up further the implementation of the specific actions in the five priorities agreed upon in the Almaty Programme of Action and those contained in the declaration on the midterm review of the Almaty Programme of Action, in a better coordinated manner, in particular for the construction, maintenance and improvement of their transport, storage and other transit-related facilities, including alternative routes, completion of missing links and improved communications and energy infrastructure, so as to support the sustainable development of landlocked developing countries. Africa 183. While we acknowledge that some progress has been made towards the fulfilment of international commitments related to Africa's development needs, we emphasize that significant challenges remain in achieving sustainable development on the continent. 184. We call on the international community to enhance support and fulfil commitments to advance action in areas critical to Africa's sustainable development and welcome the efforts by development partners to strengthen cooperation with the New Partnership for Africa's Development. We also welcome the progress made by African countries in deepening democracy, human rights, good governance and sound economic management, and encourage African countries to continue their efforts in this regard. We invite all Africa's development partners, in particular developed countries, to support African countries in strengthening human capacities and democratic institutions, consistent with their priorities and objectives, with a view to furthering Africa's development at all levels, including through facilitating the transfer of technology needed by African countries as mutually agreed. We recognize the continued efforts by African countries to create enabling environments for inclusive growth in support of sustainable development and for the international community to make continued efforts to increase the flow of new and additional resources for financing for development from all sources, public and private, domestic and foreign, to support these development efforts by African countries, and welcome the various important initiatives established between African countries and their development partners in this regard. Regional efforts 185. We encourage coordinated regional actions to promote sustainable development. We recognize, in this regard, that important steps have been taken to promote sustainable development, in particular in the Arab region, Latin America and the Caribbean and the Asia-Pacific region, through relevant forums, including within the United Nations regional commissions. While noting that challenges remain in several areas, the international community welcomes these efforts, and the results already achieved, and calls for actions at all levels for their further development and implementation. Disaster risk reduction 186. We reaffirm our commitment to the Hyogo Framework for Action 2005-2015: Building the Resilience of Nations and Communities to Disasters and call for States, the United Nations system, the international financial institutions, subregional, regional and international organizations and civil society to accelerate implementation of the Framework and the achievement of its goals. We call for disaster risk reduction and the building of resilience to disasters to be addressed with a renewed sense of urgency in the context of sustainable development and poverty eradication, and, as appropriate, to be integrated into policies, plans, programmes and budgets at all levels and considered within relevant future frameworks. We invite governments at all levels as well as relevant subregional, regional and international organizations to commit to adequate, timely and predictable resources for disaster risk reduction in order to enhance the resilience of cities and communities to disasters, according to their own circumstances and capacities. 187. We recognize the importance of early warning systems as part of effective disaster risk reduction at all levels in order to reduce economic and social damages, including the loss of human life, and in this regard encourage States to integrate such systems into their national disaster risk reduction strategies and plans. We encourage donors and the international community to enhance international cooperation in support of disaster risk reduction in developing countries, as appropriate, through technical assistance, technology transfer as mutually agreed, capacity-building and training programmes. We further recognize the importance of comprehensive hazard and risk assessments, and knowledge- and informationsharing, including reliable geospatial information. We commit to undertake and strengthen in a timely manner risk assessment and disaster risk reduction instruments. 188. We stress the importance of stronger interlinkages among disaster risk reduction, recovery and long-term development planning, and call for more coordinated and comprehensive strategies that integrate disaster risk reduction and climate change adaptation considerations into public and private investment, decision-making and the planning of humanitarian and development actions, in order to reduce risk, increase resilience and provide a smoother transition between relief, recovery and development. In this regard, we recognize the need to integrate a gender perspective into the design and implementation of all phases of disaster risk management. 189. We call for all relevant stakeholders, including Governments, international, regional and subregional organizations, the private sector and civil society, to take appropriate and effective measures, taking into account the three dimensions of sustainable development, including through strengthening coordination and cooperation to reduce exposure to risk for the protection of people, and infrastructure and other national assets, from the impact of disasters, in line with the Hyogo Framework for Action and any post-2015 framework for disaster risk reduction. Climate change 190. We reaffirm that climate change is one of the greatest challenges of our time, and we express profound alarm that emissions of greenhouse gases continue to rise globally. We are deeply concerned that all countries, particularly developing countries, are vulnerable to the adverse impacts of climate change, and are already experiencing increased impacts, including persistent drought and extreme weather events, sea-level rise, coastal erosion and ocean acidification, further threatening food security and efforts to eradicate poverty and achieve sustainable development. In this regard we emphasize that adaptation to climate change represents an immediate and urgent global priority. 191. We underscore that the global nature of climate change calls for the widest possible cooperation by all countries and their participation in an effective and appropriate international response, with a view to accelerating the reduction of global greenhouse gas emissions. We recall that the United Nations Framework Convention on Climate Change provides that parties should protect the climate system for the benefit of present and future generations of humankind on the basis of equity and in accordance with their common but differentiated responsibilities and respective capabilities. We note with grave concern the significant gap between the aggregate effect of mitigation pledges by parties in terms of global annual emissions of greenhouse gases by 2020 and aggregate emission pathways consistent with having a likely chance of holding the increase in global average temperature below 2° C, or 1.5° C above pre-industrial levels. We recognize the importance of mobilizing funding from a variety of sources, public and private, bilateral and multilateral, including innovative sources of finance, to support nationally appropriate mitigation actions, adaptation measures, technology development and transfer and capacity-building in developing countries. In this regard, we welcome the launching of the Green Climate Fund and call for its prompt operationalization so as to have an early and adequate replenishment process. 192. We urge parties to the United Nations Framework Convention on Climate Change and parties to the Kyoto Protocol to fully implement their commitments, as well as decisions adopted under those agreements. In this regard, we will build upon the progress achieved, including at the seventeenth session of the Conference of the Parties to the Convention and the seventh session of the Conference of the Parties serving as the Meeting of the Parties to the Kyoto Protocol, held in Durban, South Africa, from 28 November to 9 December 2011. Forests 193. We highlight the social, economic and environmental benefits of forests to people and the contributions of sustainable forest management to the themes and objective of the Conference. We support cross-sectoral and cross-institutional policies promoting sustainable forest management. We reaffirm that the wide range of products and services that forests provide creates opportunities to address many of the most pressing sustainable development challenges. We call for enhanced efforts to achieve the sustainable management of forests, reforestation, restoration and afforestation, and we support all efforts that effectively slow, halt and reverse deforestation and forest degradation, including, inter alia, promoting trade in legally harvested forest products. We note the importance of such ongoing initiatives as reducing emissions from deforestation and forest degradation in developing countries, and the role of conservation, sustainable management of forests and enhancement of forest carbon stocks in developing countries. We call for increased efforts to strengthen forest governance frameworks and means of implementation, in accordance with the non-legally binding instrument on all types of forests, in order to achieve sustainable forest management. To this end, we commit to improving the livelihoods of people and communities by creating the conditions needed for them to sustainably manage forests, including through strengthening cooperation arrangements in the areas of finance, trade, transfer of environmentally sound technologies, capacity-building and governance, as well as by promoting secure land tenure, particularly decision-making and benefit-sharing, in accordance with national legislation and priorities. 194. We call for urgent implementation of the non-legally binding instrument on all types of forests and the Ministerial Declaration of the high-level segment of the ninth session of the United Nations Forum on Forests on the occasion of the launch of the International Year of Forests. 195. We recognize that the United Nations Forum on Forests, with its universal membership and comprehensive mandate, plays a vital role in addressing forestrelated issues in a holistic and integrated manner and promoting international policy coordination and cooperation to achieve sustainable forest management. We invite the Collaborative Partnership on Forests to continue its support to the Forum and encourage stakeholders to remain actively engaged in the work of the Forum. 196. We stress the importance of integrating sustainable forest management objectives and practices into the mainstream of economic policy and decisionmaking, and to that end we commit to working through the governing bodies of member organizations of the Collaborative Partnership on Forests to integrate, as appropriate, the sustainable management of all types of forests into their strategies and programmes. Biodiversity 197. We reaffirm the intrinsic value of biological diversity, as well as the ecological, genetic, social, economic, scientific, educational, cultural, recreational and aesthetic values of biological diversity and its critical role in maintaining ecosystems that provide essential services, which are critical foundations for sustainable development and human well-being. We recognize the severity of the global loss of biodiversity and the degradation of ecosystems and emphasize that these undermine global development, affecting food security and nutrition, the provision of and access to water and the health of the rural poor and of people worldwide, including present and future generations. This highlights the importance of the conservation of biodiversity, enhancing habitat connectivity and building ecosystem resilience. We recognize that the traditional knowledge, innovations and practices of indigenous peoples and local communities make an important contribution to the conservation and sustainable use of biodiversity, and their wider application can support social well-being and sustainable livelihoods. We further recognize that indigenous peoples and local communities are often the most directly dependent on biodiversity and ecosystems and thus are often the most immediately affected by their loss and degradation. 198. We reiterate our commitment to the achievement of the three objectives of the Convention on Biological Diversity and call for urgent actions that effectively reduce the rate of, halt and reverse the loss of biodiversity. In this context, we affirm the importance of implementing the Strategic Plan for Biodiversity 2011-2020 and achieving the Aichi Biodiversity Targets adopted by the Conference of the Parties to the Convention at its tenth meeting. 199. We note the adoption of the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from Their Utilization to the Convention on Biological Diversity, and we invite parties to the Convention on Biological Diversity to ratify or accede to the Protocol, so as to ensure its entry into force at the earliest possible opportunity. We acknowledge the role of access and benefit-sharing arising from the utilization of genetic resources in contributing to the conservation and sustainable use of biological diversity, poverty eradication and environmental sustainability. 200. We welcome the strategy for resource mobilization in support of the achievement of the three objectives of the Convention on Biological Diversity, including the commitment to substantially increasing resources from all sources in support of biodiversity, in accordance with decisions taken at the Conference of the Parties at its tenth meeting. 201. We support mainstreaming the consideration of the socioeconomic impacts and benefits of the conservation and sustainable use of biodiversity and its components, as well as ecosystems that provide essential services, into relevant programmes and policies at all levels, in accordance with national legislation, circumstances and priorities. We encourage investments, through appropriate incentives and policies, which support the conservation and sustainable use of biological diversity and restoration of degraded ecosystems, consistent and in harmony with the Convention on Biological Diversity and other relevant international obligations. 202. We agree to promote international cooperation and partnerships, as appropriate, and information exchange, and in this context we welcome the United Nations Decade on Biodiversity, 2011-2020, for the purpose of encouraging active involvement of all stakeholders in the conservation and sustainable use of biodiversity, as well as access to and the fair and equitable sharing of benefits arising from the utilization of genetic resources, with the vision of living in harmony with nature. 203. We recognize the important role of the Convention on International Trade in Endangered Species of Wild Fauna and Flora, an international agreement that stands at the intersection between trade, the environment and development, promotes the conservation and sustainable use of biodiversity, should contribute to tangible benefits for local people, and ensures that no species entering into international trade is threatened with extinction. We recognize the economic, social and environmental impacts of illicit trafficking in wildlife, where firm and strengthened action needs to be taken on both the supply and demand sides. In this regard, we emphasize the importance of effective international cooperation among relevant multilateral environmental agreements and international organizations. We further stress the importance of basing the listing of species on agreed criteria. 204. We take note of the establishment of the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services, and invite an early commencement of its work, in order to provide the best available policy-relevant information on biodiversity to assist decision makers. Desertification, land degradation and drought 205. We recognize the economic and social significance of good land management, including soil, particularly its contribution to economic growth, biodiversity, sustainable agriculture and food security, eradicating poverty, women's empowerment, addressing climate change and improving water availability. We stress that desertification, land degradation and drought are challenges of a global dimension and continue to pose serious challenges to the sustainable development of all countries, in particular developing countries. We also stress the particular challenges this poses for Africa, the least developed countries and the landlocked developing countries. In this regard, we express deep concern for the devastating consequences of cyclical drought and famine in Africa, in particular in the Horn of Africa and the Sahel region, and call for urgent action through short-, medium- and long-term measures at all levels. 206. We recognize the need for urgent action to reverse land degradation. In view of this, we will strive to achieve a land-degradation neutral world in the context of sustainable development. This should act to catalyse financial resources from a range of public and private sources. 207. We reaffirm our resolve in accordance with the United Nations Convention to Combat Desertification to take coordinated action nationally, regionally and internationally, to monitor, globally, land degradation and restore degraded lands in arid, semi-arid and dry sub-humid areas. We resolve to support and strengthen the implementation of the Convention and the 10-year strategic plan and framework to enhance its implementation (2008-2018), including through mobilizing adequate, predictable and timely financial resources. We note the importance of mitigating the effects of desertification, land degradation and drought, including by preserving and developing oases, restoring degraded lands, improving soil quality and improving water management, in order to contribute to sustainable development and poverty eradication. In this regard, we encourage and recognize the importance of partnerships and initiatives for the safeguarding of land resources. We also encourage capacity-building, extension training programmes and scientific studies and initiatives aimed at deepening understanding and raising awareness of the economic, social and environmental benefits of sustainable land management policies and practices. 208. We stress the importance of the further development and implementation of scientifically based, sound and socially inclusive methods and indicators for monitoring and assessing the extent of desertification, land degradation and drought, as well as the importance of efforts under way to promote scientific research and strengthen the scientific base of activities to address desertification and drought in accordance with the United Nations Convention to Combat Desertification. In this respect, we take note of the decision of the Conference of the Parties to the Convention, at its tenth meeting, to establish an ad hoc working group, taking into account regional balance, to discuss specific options for the provision of scientific advice to its parties. 209. We reiterate the need for cooperation through the sharing of climate and weather information and forecasting and early warning systems related to desertification, land degradation and drought, as well as to dust storms and sandstorms, at the global, regional and subregional levels. In this regard, we invite States and relevant organizations to cooperate in the sharing of related information, forecasting and early warning systems. Mountains 210. We recognize that the benefits derived from mountain regions are essential for sustainable development. Mountain ecosystems play a crucial role in providing water resources to a large portion of the world's population; fragile mountain ecosystems are particularly vulnerable to the adverse impacts of climate change, deforestation and forest degradation, land use change, land degradation and natural disasters; and mountain glaciers around the world are retreating and getting thinner, with increasing impacts on the environment and human well-being. 211. We further recognize that mountains are often home to communities, including indigenous peoples and local communities, who have developed sustainable uses of mountain resources. These communities are, however, often marginalized, and we therefore stress that continued effort will be required to address poverty, food security and nutrition, social exclusion and environmental degradation in these areas. We invite States to strengthen cooperative action with effective involvement and sharing of experience of all relevant stakeholders, by strengthening existing arrangements, agreements and centres of excellence for sustainable mountain development, as well as exploring new arrangements and agreements, as appropriate. 212. We call for greater efforts towards the conservation of mountain ecosystems, including their biodiversity. We encourage States to adopt a long-term vision and holistic approaches, including through incorporating mountain-specific policies into national sustainable development strategies, which could include, inter alia, poverty reduction plans and programmes for mountain areas, particularly in developing countries. In this regard, we call for international support for sustainable mountain development in developing countries. Chemicals and waste 213. We recognize that the sound management of chemicals is crucial for the protection of human health and the environment. We further recognize that growing global production and use of chemicals and their prevalence in the environment calls for increased international cooperation. We reaffirm our aim to achieve, by 2020, the sound management of chemicals throughout their life cycle and of hazardous waste in ways that lead to minimization of significant adverse effects on human health and the environment, as set out in the Johannesburg Plan of Implementation. We also reaffirm our commitment to an approach for the sound management of chemicals and waste, at all levels, that responds in an effective, efficient, coherent and coordinated manner to new and emerging issues and challenges, and encourage further progress across countries and regions in order to fill the gaps in the implementation of commitments. 214. We call for the effective implementation and strengthening of the Strategic Approach to International Chemicals Management as part of a robust, coherent, effective and efficient system for the sound management of chemicals throughout their life cycle, including to respond to emerging challenges. 215. We are deeply concerned that many countries, in particular the least developed countries, lack the capacity for sound management of chemicals and waste throughout their life cycles. Additional efforts are needed to enhance work towards strengthening capacities, including through partnerships, technical assistance and improved governance structures. We encourage countries and organizations, which have made progress towards achieving the goal of sound management of chemicals by 2020 to assist other countries by sharing knowledge, experience and best practices. 216. We commend the increased coordination and cooperation among chemical and waste conventions, namely the Basel Convention, the Rotterdam Convention and the Stockholm Convention, and encourage continued enhanced coordination and cooperation among them and with the Strategic Approach to International Chemicals Management. We take note of the important role regional and coordinating centres of the Basel Convention and those of the Stockholm Convention. 217. We commend existing public-private partnerships and call for continued, new and innovative public-private partnerships among industry, governments, academia and other non-governmental stakeholders aiming to enhance capacity and technology for environmentally sound chemicals and waste management, including for waste prevention. 218. We recognize the importance of adopting a life cycle approach and of further development and implementation of policies for resource efficiency and environmentally sound waste management. We therefore commit to further reduce, reuse and recycle waste (3Rs), and to increase energy recovery from waste, with a view to managing the majority of global waste in an environmentally sound manner and, where possible, as a resource. Solid wastes, such as electronic waste and plastics, pose particular challenges, which should be addressed. We call for the development and enforcement of comprehensive national and local waste management policies, strategies, laws and regulations. 219. We urge countries and other stakeholders to take all possible measures to prevent the unsound management of hazardous wastes and their illegal dumping, particularly in countries where the capacity to deal with these wastes is limited, in a manner consistent with the obligations of countries under relevant international instruments. In this context, we welcome the relevant decisions taken at the tenth meeting of the Conference of the Parties to the Basel Convention. 220. We recognize the importance of science-based assessments of the risks posed by chemicals to human beings and the environment, and of reducing human and environmental exposure to hazardous chemicals. We encourage the development of environmentally sound and safer alternatives to hazardous chemicals in products and processes. To this end, we encourage, inter alia, life cycle assessment, public information, extended producer responsibility, research and development, sustainable design and knowledge-sharing, as appropriate. 221. We welcome the ongoing negotiating process on a global legally binding instrument on mercury to address the risks to human health and the environment and call for a successful outcome to the negotiations. 222. We recognize that the phase-out of ozone-depleting substances is resulting in a rapid increase in the use and release of high global-warming potential hydrofluorocarbons to the environment. We support a gradual phase-down in the consumption and production of hydrofluorocarbons. 223. We acknowledge that sustainable and adequate long-term funding is a key element for the sound management of chemicals and waste, in particular in developing countries. In this regard, we welcome the consultative process on financing options for chemicals and waste, initiated to consider the need for heightened efforts to increase the political priority accorded to sound management of chemicals and waste, and the increased need for sustainable, predictable, adequate and accessible financing for the chemicals and waste agenda. We look forward to the forthcoming proposals by the Executive Director of UNEP, which will be considered by the International Conference on Chemicals Management and at the twenty-seventh session of the Governing Council of UNEP. Sustainable consumption and production 224. We recall the commitments made in the Rio Declaration on Environment and Development, Agenda 21 and the Johannesburg Plan of Implementation on sustainable consumption and production and, in particular, the request in chapter 3 of the Plan of Implementation to encourage and promote the development of a 10-year framework of programmes. We recognize that fundamental changes in the way societies consume and produce are indispensable for achieving global sustainable development. 225. Countries reaffirm the commitments they have made to phase out harmful and inefficient fossil fuel subsidies that encourage wasteful consumption and undermine sustainable development. We invite others to consider rationalizing inefficient fossil fuel subsidies by removing market distortions, including restructuring taxation and phasing out harmful subsidies, where they exist, to reflect their environmental impacts, with such policies taking fully into account the specific needs and conditions of developing countries, with the aim of minimizing the possible adverse impacts on their development and in a manner that protects the poor and the affected communities. 226. We adopt the 10-year framework of programmes on sustainable consumption and production patterns, as contained in document A/CONF.216/5, and highlight that the programmes included in the 10-year framework are voluntary. We invite the General Assembly, at its sixty-seventh session, to designate a Member State body to take any necessary steps to fully operationalize the framework. Mining 227. We acknowledge that minerals and metals make a major contribution to the world economy and modern societies. We note that mining industries are important to all countries with mineral resources, in particular developing countries. We also note that mining offers the opportunity to catalyse broad-based economic development, reduce poverty and assist countries in meeting internationally agreed development goals, including the Millennium Development Goals, when managed effectively and properly. We acknowledge that countries have the sovereign right to develop their mineral resources according to their national priorities and responsibility regarding the exploitation of resources described in the Rio Principles. We further acknowledge that mining activities should maximize social and economic benefits, as well as effectively address negative environmental and social impacts. In this regard, we recognize that Governments need strong capacities to develop, manage and regulate their mining industries, in the interest of sustainable development. 228. We recognize the importance of strong and effective legal and regulatory frameworks, policies and practices for the mining sector that deliver economic and social benefits and include effective safeguards that reduce social and environmental impacts, as well as conserve biodiversity and ecosystems, including during postmining closure. We call on governments and businesses to promote the continuous improvement of accountability and transparency, as well as the effectiveness of the relevant existing mechanisms to prevent the illicit financial flows from mining activities. Education 229. We reaffirm our commitments to the right to education and in this regard, we commit to strengthen international cooperation to achieve universal access to primary education, particularly for developing countries. We further reaffirm that full access to quality education at all levels is an essential condition for achieving sustainable development, poverty eradication, gender equality and women's empowerment, as well as human development, for the attainment of the internationally agreed development goals, including the Millennium Development Goals, and for the full participation of both women and men, in particular young people. In this regard, we stress the need for ensuring equal access to education for persons with disabilities, indigenous peoples, local communities, ethnic minorities and people living in rural areas. 230. We recognize that the younger generations are the custodians of the future and the need for better quality and access to education beyond the primary level. We therefore resolve to improve the capacity of our education systems to prepare people to pursue sustainable development, including through enhanced teacher training, the development of sustainability curricula, the development of training programmes that prepare students for careers in fields related to sustainability, and more effective use of information and communications technologies to enhance learning outcomes. We call for enhanced cooperation among schools, communities and authorities in efforts to promote access to quality education at all levels. 231. We encourage Member States to promote sustainable development awareness among youth, inter alia by promoting programmes for non-formal education in accordance with the goals of the United Nations Decade of Education for Sustainable Development, 2005-2014. 232. We emphasize the importance of greater international cooperation to improve access to education, including through building and strengthening education infrastructure and increasing investment in education, particularly investment to improve the quality of education for all in developing countries. We encourage international educational exchanges and partnerships, including the creation of fellowships and scholarships to help achieve global education goals. 233. We resolve to promote education for sustainable development and to integrate sustainable development more actively into education beyond the United Nations Decade of Education for Sustainable Development. 234. We strongly encourage educational institutions to consider adopting good practices in sustainability management on their campuses and in their communities with the active participation of, inter alia, students, teachers and local partners, and teaching sustainable development as an integrated component across disciplines. 235. We underscore the importance of supporting educational institutions, especially higher educational institutions in developing countries, to carry out research and innovation for sustainable development, including in the field of education, to develop quality and innovative programmes, including entrepreneurship and business skills training, professional, technical and vocational training and lifelong learning, geared to bridging skills gaps for advancing national sustainable development objectives. Gender equality and women's empowerment 236. We reaffirm the vital role of women and the need for their full and equal participation and leadership in all areas of sustainable development, and decide to accelerate the implementation of our respective commitments in this regard as contained in the Convention on the Elimination of All Forms of Discrimination against Women, as well as Agenda 21, the Beijing Declaration and Platform for Action and the United Nations Millennium Declaration. 237. We recognize that, although progress on gender equality has been made in some areas, the potential of women to engage in, contribute to and benefit from sustainable development as leaders, participants and agents of change has not been fully realized, owing to, inter alia, persistent social, economic and political inequalities. We support prioritizing measures to promote gender equality and women's empowerment in all spheres of our societies, including the removal of barriers to their full and equal participation in decision-making and management at all levels, and we emphasize the impact of setting specific targets and implementing temporary measures, as appropriate, for substantially increasing the number of women in leadership positions, with the aim of achieving gender parity. 238. We resolve to unlock the potential of women as drivers of sustainable development, including through the repeal of discriminatory laws and the removal of formal barriers, ensuring equal access to justice and legal support, the reform of institutions to ensure competence and capacity for gender mainstreaming and the development and adoption of innovative and special approaches to address informal, harmful practices that act as barriers to gender equality. In this regard, we commit to creating an enabling environment for improving the situation of women and girls everywhere, particularly in rural areas and local communities and among indigenous peoples and ethnic minorities. 239. We commit to actively promote the collection, analysis and use of gendersensitive indicators and sex-disaggregated data in policy, programme design and monitoring frameworks, in accordance with national circumstances and capacities, in order to deliver on the promise of sustainable development for all. 240. We are committed to equal rights and opportunities for women in political and economic decision-making and resource allocation and to removing any barriers that prevent women from being full participants in the economy. We resolve to undertake legislative and administrative reforms to give women equal rights with men to economic resources, including access to ownership and control over land and other forms of property, credit, inheritance, natural resources and appropriate new technology. 241. We are committed to promote the equal access of women and girls to education, basic services, economic opportunities and health-care services, including addressing women's sexual and reproductive health, and ensuring universal access to safe, effective, affordable and acceptable modern methods of family planning. In this regard, we reaffirm our commitment to implement the Programme of Action of the International Conference on Population and Development and the key actions for the further implementation of that Programme of Action. 242. We recognize that gender equality and the effective participation of women are important for effective action on all aspects of sustainable development. 243. We support the work of the United Nations system, including the United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women), in promoting and achieving gender equality and women's empowerment in all aspects of life, including with respect to the linkages between gender equality and women's empowerment and the promotion of sustainable development. We support the work of UN-Women in leading, coordinating and promoting the accountability of the United Nations system in this regard. 244. We invite donors and international organizations, including the United Nations system organizations, as well as the international financial institutions, regional banks and major groups, including the private sector, to integrate fully commitments and considerations on gender equality and women's empowerment and to ensure the participation of women and effective gender mainstreaming in their decisionmaking and full programming cycle. We invite them to play a supportive role in the efforts of developing countries to integrate fully commitments and considerations on gender equality and women's empowerment and ensure the participation of women and effective gender mainstreaming in their decision-making, programme planning, budgeting and implementation, in accordance with national legislation, priorities and capacities. B. Sustainable development goals 245. We underscore that the Millennium Development Goals are a useful tool in focusing achievement of specific development gains as part of a broad development vision and framework for the development activities of the United Nations, for national priority-setting and for mobilization of stakeholders and resources towards common goals. We therefore remain firmly committed to their full and timely achievement. 246. We recognize that the development of goals could also be useful for pursuing focused and coherent action on sustainable development. We further recognize the importance and utility of a set of sustainable development goals, based on Agenda 21 and the Johannesburg Plan of Implementation, which fully respect all the Rio Principles, taking into account different national circumstances, capacities and priorities, are consistent with international law, build upon commitments already made, and contribute to the full implementation of the outcomes of all major summits in the economic, social and environmental fields, including the present outcome document. The goals should address and incorporate in a balanced way all three dimensions of sustainable development and their interlinkages. They should be coherent with and integrated into the United Nations development agenda beyond 2015, thus contributing to the achievement of sustainable development and serving as a driver for implementation and mainstreaming of sustainable development in the United Nations system as a whole. The development of these goals should not divert focus or effort from the achievement of the Millennium Development Goals. 247. We also underscore that sustainable development goals should be actionoriented, concise and easy to communicate, limited in number, aspirational, global in nature and universally applicable to all countries while taking into account different national realities, capacities and levels of development and respecting national policies and priorities. We also recognize that the goals should address and be focused on priority areas for the achievement of sustainable development, being guided by the present outcome document. Governments should drive implementation with the active involvement of all relevant stakeholders, as appropriate. 248. We resolve to establish an inclusive and transparent intergovernmental process on sustainable development goals that is open to all stakeholders, with a view to developing global sustainable development goals to be agreed by the General Assembly. An open working group shall be constituted no later than at the opening of the sixty-seventh session of the Assembly and shall comprise 30 representatives, nominated by Member States from the five United Nations regional groups, with the aim of achieving fair, equitable and balanced geographic representation. At the outset, this open working group will decide on its methods of work, including developing modalities to ensure the full involvement of relevant stakeholders and expertise from civil society, the scientific community and the United Nations system in its work, in order to provide a diversity of perspectives and experience. It will submit a report, to the sixty-eighth session of the Assembly, containing a proposal for sustainable development goals for consideration and appropriate action. 249. The process needs to be coordinated and coherent with the processes to consider the post-2015 development agenda. The initial input to the work of the working group will be provided by the Secretary-General, in consultation with national Governments. In order to provide technical support to the process and to the work of the working group, we request the Secretary-General to ensure all necessary input and support to this work from the United Nations system, including through establishing an inter-agency technical support team and expert panels, as needed, drawing on all relevant expert advice. Reports on the progress of work will be made regularly to the General Assembly. 250. We recognize that progress towards the achievement of the goals needs to be assessed and accompanied by targets and indicators, while taking into account different national circumstances, capacities and levels of development. 251. We recognize that there is a need for global, integrated and scientifically based information on sustainable development. In this regard, we request the relevant bodies of the United Nations system, within their respective mandates, to support the regional economic commissions in collecting and compiling national inputs in order to inform this global effort. We further commit to mobilizing financial resources and capacity-building, particularly for developing countries, to achieve this endeavour. VI. Means of implementation 252. We reaffirm that the means of implementation identified in Agenda 21, the Programme for the Further Implementation of Agenda 21, the Johannesburg Plan of Implementation, the Monterrey Consensus of the International Conference on Financing for Development and the Doha Declaration on Financing for Development are indispensable for achieving the full and effective translation of sustainable development commitments into tangible sustainable development outcomes. We reiterate that each country has primary responsibility for its own economic and social development and that the role of national policies, domestic resources and development strategies cannot be overemphasized. We reaffirm that developing countries need additional resources for sustainable development. We recognize the need for significant mobilization of resources from a variety of sources and the effective use of financing, in order to promote sustainable development. We acknowledge that good governance and the rule of law at the national and international levels are essential for sustained, inclusive and equitable economic growth, sustainable development and the eradication of poverty and hunger. A. Finance 253. We call on all countries to prioritize sustainable development in the allocation of resources in accordance with national priorities and needs, and we recognize the crucial importance of enhancing financial support from all sources for sustainable development for all countries, in particular developing countries. We recognize the importance of international, regional and national financial mechanisms, including those accessible to subnational and local authorities, to the implementation of sustainable development programmes, and call for their strengthening and implementation. New partnerships and innovative sources of financing can play a role in complementing sources of financing for sustainable development. We encourage their further exploration and use, alongside the traditional means of implementation. 254. We recognize the need for significant mobilization of resources from a variety of sources and the effective use of financing, in order to give strong support to developing countries in their efforts to promote sustainable development, including through actions undertaken in accordance with the outcome of the United Nations Conference on Sustainable Development and for achieving sustainable development goals. 255. We agree to establish an intergovernmental process under the auspices of the General Assembly, with technical support from the United Nations system and in open and broad consultation with relevant international and regional financial institutions and other relevant stakeholders. The process will assess financing needs, consider the effectiveness, consistency and synergies of existing instruments and frameworks, and evaluate additional initiatives, with a view to preparing a report proposing options on an effective sustainable development financing strategy to facilitate the mobilization of resources and their effective use in achieving sustainable development objectives. 256. An intergovernmental committee, comprising 30 experts nominated by regional groups, with equitable geographical representation, will implement this process, concluding its work by 2014. 257. We request the General Assembly to consider the report of the intergovernmental committee and take appropriate action. 258. We recognize that the fulfilment of all commitments related to ODA is crucial, including the commitments by many developed countries to achieve the target of 0.7 per cent of gross national product (GNP) for ODA to developing countries by 2015, as well as a target of 0.15 to 0.20 per cent of GNP for ODA to the least developed countries. To reach their agreed timetables, donor countries should take all necessary and appropriate measures to raise the rate of aid disbursements in order to meet their existing commitments. We urge those developed countries that have not yet done so to make additional concrete efforts towards the target of 0.7 per cent of GNP for ODA to developing countries, including the specific target of 0.15 to 0.20 per cent of GNP for ODA to the least developed countries, in accordance with their commitments. To build on progress achieved in ensuring that ODA is used effectively, we stress the importance of democratic governance, improved transparency and accountability, and managing for results. We strongly encourage all donors to establish, as soon as possible, rolling indicative timetables that illustrate how they aim to reach their goals, in accordance with their respective budget allocation process. We stress the importance of mobilizing greater domestic support in developed countries towards the fulfilment of their commitments, including through raising public awareness, providing data on the development impact of aid provided and demonstrating tangible results. 259. We welcome increasing efforts to improve the quality of ODA and to increase its development impact. We also recognize the need to improve development effectiveness, increase programme-based approaches, use country systems for activities managed by the public sector, reduce transaction costs and improve mutual accountability and transparency and, in this regard, we call upon all donors to untie aid to the maximum extent. We will further make development more effective and predictable by providing developing countries with regular and timely indicative information on planned support in the medium term. We recognize the importance of efforts by developing countries to strengthen leadership of their own development, national institutions, systems and capacity to ensure the best results for effective development by engaging with parliaments and citizens in shaping those policies and deepening engagement with civil society organizations. We should also bear in mind that there is no one-size-fits-all formula that will guarantee development effectiveness. The specific situation of each country needs to be fully considered. 260. We note that the aid architecture has significantly changed in the current decade. New aid providers and novel partnership approaches, which utilize new modalities of cooperation, have contributed to increasing the flow of resources. Further, the interplay of development assistance with private investment, trade and new development actors provides new opportunities for aid to leverage private resource flows. We reiterate our support for South-South cooperation, as well as triangular cooperation, which provide much needed additional resources to the implementation of development programmes. We recognize the importance and different history and particularities of South-South cooperation and stress that South-South cooperation should be seen as an expression of solidarity and cooperation between countries, based on their shared experiences and objectives. Both forms of cooperation support a development agenda that addresses the particular needs and expectations of developing countries. We also recognize that South-South cooperation complements rather than substitutes for North-South cooperation. We acknowledge the role played by middle-income developing countries as providers and recipients of development cooperation. 261. We invite the international financial institutions, within their respective mandates, to continue providing financial resources, including through specific mechanisms for the promotion of sustainable development and poverty eradication in developing countries. 262. We recognize that greater coherence and coordination among the various funding mechanisms and initiatives related to sustainable development are crucial. We reiterate the importance of ensuring that developing countries have steady and predictable access to adequate financing from all sources to promote sustainable development. 263. We recognize that ongoing serious global financial and economic challenges carry the possibility of undoing years of hard work and gains made in relation to the debt of developing countries. We further recognize the need to assist developing countries in ensuring long-term debt sustainability through coordinated policies aimed at fostering debt financing, debt relief and debt restructuring, as appropriate. 264. We stress the need for adequate funding for the operational activities of the United Nations development system, as well as the need to make funding more predictable, effective and efficient as part of wider efforts to mobilize new, additional and predictable resources to achieve the objectives that we have set forth in the present outcome document. 265. We recognize the important achievements of the Global Environment Facility (GEF) over the past 20 years in funding environmental projects and welcome important reform processes that GEF has carried out during recent years, and we call for its further improvement and encourage GEF to take additional steps, within its mandate, to make resources more accessible to meet country needs for the national implementation of their international environmental commitments. We support further simplification of procedures and assistance to developing countries, in particular in assisting the least developed countries, Africa and small island developing States in accessing resources from GEF, and enhanced coordination with other instruments and programmes focusing on environmentally sustainable development. 266. We stress that fighting corruption and illicit financial flows at both the national and international levels is a priority and that corruption is a serious barrier to effective resource mobilization and allocation and diverts resources away from activities that are vital for poverty eradication, the fight against hunger and sustainable development. We are determined to take urgent and decisive steps to continue to combat corruption in all its manifestations, which requires strong institutions at all levels, and urge all States that have not yet done so to consider ratifying or acceding to the United Nations Convention against Corruption and begin its implementation. 267. We consider that innovative financing mechanisms can make a positive contribution in assisting developing countries to mobilize additional resources for financing for development on a voluntary basis. Such financing should supplement and not be a substitute for traditional sources of financing. While recognizing the considerable progress in innovative sources of financing for development, we call for a scaling-up of present initiatives, where appropriate. 268. We recognize that a dynamic, inclusive, well-functioning, socially and environmentally responsible private sector is a valuable instrument that can offer a crucial contribution to economic growth and reducing poverty and promoting sustainable development. In order to foster private sector development, we shall continue to pursue appropriate national policy and regulatory frameworks in a manner consistent with national laws to encourage public and private initiatives, including at the local level, to foster a dynamic and well-functioning business sector, and to facilitate entrepreneurship and innovation, including among women, the poor and the vulnerable. We will work to improve income growth and distribution, inter alia through raising productivity, empowering women, protecting labour rights, and taxation. We recognize that the appropriate role of government in relation to the promotion and regulation of the private sector will vary from country to country depending on national circumstances. B. Technology 269. We emphasize the importance of technology transfer to developing countries and recall the provisions on technology transfer, finance, access to information and intellectual property rights as agreed in the Johannesburg Plan of Implementation, in particular its call to promote, facilitate and finance, as appropriate, access to and the development, transfer and diffusion of environmentally sound technologies and corresponding know-how, in particular to developing countries, on favourable terms, including on concessional and preferential terms, as mutually agreed. We also take note of the further evolution of discussions and agreements on these issues since the adoption of the Plan of Implementation. 270. We stress the importance of access by all countries to environmentally sound technologies, new knowledge, know-how and expertise. We further stress the importance of cooperative action on technology innovation, research and development. We agree to explore modalities in the relevant forums for enhanced access to environmentally sound technologies by developing countries. 271. We underline the need for enabling environments for the development, adaptation, dissemination and transfer of environmentally sound technologies. In this context, we note the role of foreign direct investment, international trade and international cooperation in the transfer of environmentally sound technologies. We engage in our countries as well as through international cooperation to promote investment in science, innovation and technology for sustainable development. 272. We recognize the importance of strengthened national, scientific and technological capacities for sustainable development. This can help countries, especially developing countries, to develop their own innovative solutions, scientific research and new, environmentally sound technologies, with the support of the international community. To this end, we support building science and technology capacity, with both women and men as contributors and beneficiaries, including through collaboration among research institutions, universities, the private sector, governments, non-governmental organizations and scientists. 273. We request relevant United Nations agencies to identify options for a facilitation mechanism that promotes the development, transfer and dissemination of clean and environmentally sound technologies by, inter alia, assessing the technology needs of developing countries, options to address those needs and capacity-building. We request the Secretary-General, on the basis of the options identified and taking into account existing models, to make recommendations regarding the facilitation mechanism to the sixty-seventh session of the General Assembly. 274. We recognize the importance of space-technology-based data, in situ monitoring and reliable geospatial information for sustainable development policymaking, programming and project operations. In this context, we note the relevance of global mapping and recognize the efforts in developing global environmental observing systems, including by the Eye on Earth Network and through the Global Earth Observation System of Systems. We recognize the need to support developing countries in their efforts to collect environmental data. 275. We recognize the importance of strengthening international, regional and national capacities in research and technology assessment, especially in view of the rapid development and possible deployment of new technologies that may also have unintended negative impacts, in particular on biodiversity and health, or other unforeseen consequences. 276. We recognize the need to facilitate informed policy decision-making on sustainable development issues and, in this regard, to strengthen the science-policy interface. C. Capacity-building 277. We emphasize the need for enhanced capacity-building for sustainable development and, in this regard, we call for the strengthening of technical and scientific cooperation, including North-South, South-South and triangular cooperation. We reiterate the importance of human resource development, including training, the exchange of experiences and expertise, knowledge transfer and technical assistance for capacity-building, which involves strengthening institutional capacity, including planning, management and monitoring capacities. 278. We call for the continued and focused implementation of the Bali Strategic Plan for Technology Support and Capacity-building, adopted by UNEP. 279. We encourage the participation and representation of men and women scientists and researchers from developing and developed countries in processes related to global environmental and sustainable development assessment and monitoring, with the purpose of enhancing national capabilities and the quality of research for policy- and decision-making processes. 280. We invite all relevant agencies of the United Nations system and other relevant international organizations to support developing countries and, in particular, the least developed countries in capacity-building for developing resource-efficient and inclusive economies, including through: (a) Sharing sustainable practices in various economic sectors; (b) Enhancing knowledge and capacity to integrate disaster risk reduction and resilience into development plans; (c) Supporting North-South, South-South and triangular cooperation for the transition to a resource-efficient economy; (d) Promoting public-private partnerships. D. Trade 281. We reaffirm that international trade is an engine for development and sustained economic growth, and also reaffirm the critical role that a universal, rules-based, open, non-discriminatory and equitable multilateral trading system, as well as meaningful trade liberalization, can play in stimulating economic growth and development worldwide, thereby benefiting all countries at all stages of development, as they advance towards sustainable development. In this context, we remain focused on achieving progress in addressing a set of important issues, such as, inter alia, trade-distorting subsidies and trade in environmental goods and services. 282. We urge the members of WTO to redouble their efforts to achieve an ambitious, balanced and development-oriented conclusion to the Doha Development Agenda, while respecting the principles of transparency, inclusiveness and consensual decision-making, with a view to strengthening the multilateral trading system. In order to effectively participate in the work programme of WTO and fully realize trade opportunities, developing countries need the assistance and enhanced cooperation of all relevant stakeholders. E. Registry of commitments 283. We welcome the commitments voluntarily entered into at the United Nations Conference on Sustainable Development and throughout 2012 by all stakeholders and their networks to implement concrete policies, plans, programmes, projects and actions to promote sustainable development and poverty eradication. We invite the Secretary-General to compile these commitments and facilitate access to other registries that have compiled commitments, in an Internet-based registry. The registry should make information about the commitments fully transparent and accessible to the public, and it should be periodically updated. Resolution 2* - from A/CONF.216/L.2 Expression of thanks to the people and Government of Brazil The United Nations Conference on Sustainable Development, Having met in Rio de Janeiro, Brazil, from 20 to 22 June 2012, at the invitation of the Government of Brazil, 1. Expresses its deep appreciation to Her Excellency Dilma Rousseff, President of the Federative Republic of Brazil, for her outstanding contribution, as President of the United Nations Conference on Sustainable Development, to the successful outcome of the Conference; 2. Expresses its profound gratitude to the Government of Brazil for having made it possible for the Conference to be held in Brazil and for the excellent facilities, staff and services so graciously placed at its disposal; 3. Requests the Government of Brazil to convey to the people of Brazil and to the city of Rio de Janeiro the gratitude of the Conference for the hospitality and warm welcome extended to the participants. __________________ * Adopted at the 6th plenary meeting, on 22 June 2012. Resolution 3* Credentials of representatives to the United Nations Conference on Sustainable Development The United Nations Conference on Sustainable Development, Having considered the report of the Credentials Committee and the recommendation contained therein 1 , Approves the report of the Credentials Committee. __________________ * Adopted at the 6th plenary meeting, on 22 June. 1 A/CONF.216/6, para. 13. Chapter II Organization of work and other organizational matters A. Date and place of the Conference 1. The United Nations Conference on Sustainable Development was held in Rio de Janeiro, Brazil, from 20 to 22 June 2012, pursuant to General Assembly resolution 66/197. During that period, the Conference held 6 plenary meetings. B. Opening of the Conference 2. The United Nations Conference on Sustainable Development was opened on 20 June 2012 by the Secretary-General of the United Nations. 3. At the formal opening, during the 1st plenary meeting, on 20 June, after procedural and organizational matters, a statement was made by the President of the Economic and Social Council, His Excellency Miloš Koterec (Slovakia). 4. At the same meeting, statements were made by the representatives of the following major groups: women, children and youth, indigenous people, non-governmental organizations, local authorities, workers and trade unions, business and industry, the scientific and technological community, and farmers. 5. At the ceremonial opening, during the 2nd plenary meeting, on 20 June, statements were made by Her Excellency Dilma Rousseff, President of the Conference; His Excellency Ban Ki-moon, Secretary-General of the United Nations; His Excellency Nassir Abdulaziz Al-Nasser, President of the sixty- sixth session of the General Assembly; and Mr. Sha Zukang, Secretary- General of the Conference. C. Election of the President and other officers of the Conference 6. At its 1st, 2nd and 5th plenary meetings, on 20 and 22 June 2012, the Conference elected the following officers: President of the Conference H.E. Ms. Dilma Rousseff, President of Brazil, was elected President of the Conference by acclamation. Vice-Presidents African States: Botswana, Congo, Kenya, Nigeria and Tunisia; Asia-Pacific States: Bangladesh, Japan, Kazakhstan, Nepal and Tajikistan; Eastern European States : Armenia, Belarus, Czech Republic, Latvia and Poland; 57 58 Latin American and Caribbean States: Ecuador and Jamaica; Western European and other States: Canada, Israel, Italy, New Zealand and Norway. Election of ex officio Vice-President 7. Brazil was elected, by acclamation, as ex officio Vice-President of the Conference. Election of the Rapporteur-General 8. Ms. Tania Valerie Raguž (Croatia) was elected, by acclamation, as Rapporteur-General of the Conference. D. Adoption of the rules of procedure 9. At its 1st plenary meeting, on 20 June 2012, the Conference decided to function on the basis of the provisional rules of procedure, as contained in document A/CONF.216/2. E. Adoption of the agenda and other organizational matters 10. Also at its 1st plenary meeting, the Conference adopted the agenda as contained in document A/CONF.216/1. The agenda read as follows: 1. 2. 3. Opening of the Conference. Election of the President. Adoption of the rules of procedure. 4. Adoption of the agenda of the Conference. 5. Election of officers other than the President. 6. Organization of work, including the establishment of subsidiary bodies, and other organizational matters. 7. Credentials of representatives to the Conference: (a) Appointment of the members of the Credentials Committee; (b) Report of the Credentials Committee. 8. General debate. 9. Reports of the round tables. 10. Outcome of the Conference. 11. Adoption of the report of the Conference. 12. Closure of the Conference. F. Accreditation of intergovernmental organizations 11. At the same plenary meeting, the Conference, recalling General Assembly decision 66/561 of 16 May 2012 and the decisions taken by the Preparatory Committee at its second and third sessions, and in accordance with rule 62 of its provisional rules of procedure, approved the requests for accreditation of the following four organizations to participate with observer status in the Conference: the Intergovernmental Oceanographic Commission, the Central American Bank for Economic Integration, the Central African Forests Commission and the Mekong River Commission. 60 G. Organization of work, including the establishment of the Main Committee 12. Also at the same plenary meeting, the Conference established a Main Committee, in accordance with rule 46 of its provisional rules of procedure. 13. At the 1st plenary meeting, the Conference elected, by acclamation, H.E. Mr. John Ashe (Antigua and Barbuda) as Chair of the Main Committee of the Conference. H. Credentials of representatives to the Conference 14. Also at its 1st plenary meeting, the Conference, in accordance with rule 4 of its provisional rules of procedure, appointed the following States as members of the Credentials Committee, on the basis of the composition of the Credentials Committee of the General Assembly at its sixty-sixth session, namely: China, Costa Rica, Egypt, Italy, Maldives, Panama, the Russian Federation, Senegal and the United States of America. I. Documentation 15. The list of documents before the Conference is contained in annex ___ to the report. J. Attendance 16. The list of participants to the Conference is issued in document A/CONF.216/____. Chapter III General debate A. Opening statements pursuant to resolution 66/197 17. At its 1st plenary meeting held on 20 June, the Conference approved the organization of work as set out in document A/CONF.216/3 and decided to hear opening statements by the President of the Economic and Social Council and representatives of nine major groups. 18. At the same meeting, statements were made by His Excellency Milŏs Koterec (Slovakia), President of the Economic and Social Council; Ms. Hala Yousry, Desert Research Center, on behalf of the Women major group; Ms. Karuna Rana, One Young World, on behalf of the Children and Youth major group; Ms. Joji Cariño, Tebtebba, on behalf of the Indigenous Peoples major group; Mr. Wael Hmaidan, Climate Action Network International, on behalf of the NonGovernmental Organizations major group; Mr. David Cadman, ICLEI – Local Governments for Sustainability, on behalf of the Local Authorities major group; Ms. Trine-Lise Sundnes, International Trade Union Confederation, on behalf of the Workers and Trade Unions major group; Mr. Kris Gopalakrishnan, Business Action for Sustainable Development, on behalf of the Business and Industry major group; Professor Yuan Tseh Lee, International Council for Science, on behalf of the Scientific and Technological Community major group; and Mr. Harry Saragih, La Vía Campesina, on behalf of the Farmers major group. B. General statements by high-level officials 19. The Conference held its general debate, under agenda item 8, at its 1st to 6th plenary meetings, from 20 to 22 June. 20. At the 1st plenary meeting, on 20 June, the Conference heard addresses by His Excellency Emomali Rahmon, President of the Republic of Tajikistan; His Excellency Robert Mugabe, President of the Republic of Zimbabwe; His Excellency Mohamed Waheed, President of the Republic of Maldives; His Excellency Mahinda Rajapaksa, President of the Democratic Socialist Republic of Sri Lanka; His Excellency Al Haj Adam Yousuf, Vice-President of the Republic of the Sudan; His Excellency Abdelkader Bensalah, President of the Council of Nation of the People's Democratic Republic of Algeria; His Excellency Willy Telavi, Prime Minister of Tuvalu; His Excellency Baburam Bhattarai, Prime Minister of the Federal Democratic Republic of Nepal; His Excellency Freundel Jerome Stuart, Prime Minister of Barbados; His Excellency Commodore Josaia Voreqe Bainimarama, Prime Minister of the Republic of Fiji; His Excellency Lyonchoen Jigmi Yoezer Thinley, Prime Minister of the Kingdom of Bhutan; His Excellency Dileïta Mohamed Dileïta, Prime Minister of the Republic of Djibouti; and His Excellency Winston Baldwin Spencer, Prime Minister and Minister for Foreign Affairs of Antigua and Barbuda. 21. Also during the meeting, statements were made by Her Excellency Amy Adams, Minister for the Environment of New Zealand; His Excellency Jorge Lara Castro, Minister for Foreign Affairs of Paraguay; Her Excellency La Celia Prince, Chairman of Delegation of Saint Vincent and the Grenadines; and His Excellency Hamza Rafeeq, Chairman of Delegation of Trinidad and Tobago. 22. At the 2nd plenary meeting, on 20 June, the Conference heard addresses by Her Excellency Laura Chinchilla Miranda, President of the Republic of Costa Rica; His Excellency Mahmoud Ahmadinejad, President of the Islamic Republic of Iran; His Excellency Alpha Condé, President of the Republic of Guinea; His Excellency Lee Myung-bak, President of the Republic of Korea; His Excellency Wen Jiabao, Premier of the State Council of the People's Republic of China; His Excellency Mwai Kibaki, President of the Republic of Kenya; His Excellency Mahamadou Issoufou, President of the Republic of the Niger; His Excellency Ollanta Humala Tasso, President of the Republic of Peru; His Excellency François Hollande, President of the French Republic; His Excellency Sebastian Piñera Echeñique, President of the Republic of Chile; His Excellency General Idriss Déby Itno, President of the Republic of Chad; His Excellency Denis Sassou-Nguesso, President of the Republic of the Congo; His Royal Highness Grand Duke Henri, Head of State of the Grand Duchy of Luxembourg; Her Excellency Dalia Grybauskaitė, President of the Republic of Lithuania; His Excellency Hifikepunye Pohamba, President of the Republic of Namibia; His Excellency Boni Yayi, President of the Republic of Benin; His Excellency János Áder, President of Hungary; His Excellency Anote Tong, President of the Republic of Kiribati; His Excellency José Mujica Cordano, President of the Eastern Republic of Uruguay; His Excellency José Manuel Durão Barroso, President of the European Commission; His Excellency Fernando da Piedade Dias dos Santos, Vice-President of the Republic of Angola; His Excellency Mariano Rajoy Brey, Prime Minister of the Kingdom of Spain; His Excellency Meltek Sato Kilman Livtuvanu, Prime Minister of the Republic of Vanuatu; and His Excellency Faustin Archange Touadéra, Prime Minister of the Central African Republic. 23. Also at the same meeting, statements were made by His Excellency Mihai Moldovanu, Deputy Prime Minister of the Republic of Moldova; His Excellency Jean Couldiaty, Minister of Environment and Sustainable Development of Burkina Faso; His Excellency Koichiro Gemba, Minister for Foreign Affairs of Japan; His Excellency Frederick Mitchell, Minister for Foreign Affairs and Immigration of the Bahamas; His Excellency Jafar Abed Hassan, Minister of Planning and International Cooperation of Jordan; His Excellency Nurlan Kapparov, Minister of Environment Protection of Kazakhstan; His Excellency Edward Nalbandyan, Minister for Foreign Affairs of Armenia; Her Excellency Vera Kobalia, Minister of Economy and Sustainable Development of Georgia; His Excellency Alemayehu Tegenu, Minister of Water and Environment of Ethiopia; His Excellency Zandanshatar Gombojav, Minister for Foreign Affairs and Trade of Mongolia; and His Excellency Mirko Šarović, Minister of Foreign Trade and Economic Relations of Bosnia and Herzegovina. 24. At its 3rd plenary meeting, on 21 June, the Conference heard addresses by His Excellency Donald Rabindranauth Ramotar, President of the Republic of Guyana; His Serene Highness Prince Albert II, Head of State of the Principality of Monaco; His Excellency Juan Manuel Santos Calderón, President of the Republic of Colombia; His Excellency Evo Morales Ayma, President of the Plurinational State of Bolivia; His Excellency Rafael Correa, President of the Republic of Ecuador; His Excellency Emanuel Mori, President of the Federated States of Micronesia; His Excellency Ali Bongo Ondimba, President of the Gabonese Republic; His Excellency Michel Joseph Martelly, President of the Republic of Haiti; Her Excellency Isatou Njie-Saidy, Vice-President of the Republic of the Gambia; His Excellency Rosen Plevneliev, President of the Republic of Bulgaria; His Excellency Susilo Bambang Yudhoyono, President of the Republic of Indonesia; His Excellency Gurbanguly Berdimuhamedov, President of Turkmenistan; His Excellency Jorge Carlos de Almeida Fonseca, President of the Republic of Cape Verde; His Excellency Raúl Castro Ruz, President of the Republic of Cuba; His Excellency Danny Faure, Vice-President of the Republic of Seychelles; His Excellency Mohamed Gharib Bilal, Vice-President of the United Republic of Tanzania; His Excellency Igor Lukšić, Prime Minister of Montenegro; His Excellency Pedro Passos Coelho, Prime Minister of the Portuguese Republic; His Excellency Jens Stoltenberg, Prime Minister of the Kingdom of Norway; Her Excellency Portia Simpson Miller, Prime Minister of Jamaica; His Excellency Tillman Thomas, Prime Minister of Grenada; His Excellency Dmitry Medvedev, Prime Minister of the Russian Federation; His Excellency Abdelilah Benkirane, Prime Minister of the Kingdom of Morocco; His Excellency Sheikh Hamad bin Jassim bin Jabr Al-Thani, Prime Minister of the State of Qatar; and His Excellency Gordon Darcy Lilo, Prime Minister of Solomon Islands. 25. Also at the same meeting, statements were made by His Excellency Arturo Corrales Álvarez, Minister for Foreign Affairs of Honduras; His Excellency Urmas Paet, Minister for Foreign Affairs of Estonia; His Excellency Franc Bogovič, Minister of Agriculture and the Environment of Slovenia; His Excellency Devanand Virahsawmy, Minister of Environment and Sustainable Development of Mauritius; His Excellency Erkki Tuomioja, Minister for Foreign Affairs of Finland; His Excellency Mohammad Javed Malik, Federal Secretary, Ministry of Climate Change of Pakistan; His Excellency Fatmir Mediu, Minister for Environment, Forests and Water Administration of Albania; His Excellency Pierre Moukoko Mbonjo, Minister of External Relations of Cameroon; His Excellency Herman Humberto Rosa Chávez, Minister of Environment and Natural Resources of El Salvador; His Excellency Riad Malki, Minister for Foreign Affairs of Palestine; and His Excellency Moustafa Hussein Kamel, Minister of Environment of Egypt. 26. At its 4th plenary meeting, on 21 June, the Conference heard addresses by His Excellency Jacob Zuma, President of the Republic of South Africa; His Excellency Michael Chilufya Sata, President of the Republic of Zambia; His Excellency Goodluck Ebele Jonathan, President of the Federal Republic of Nigeria; His Excellency Ikililou Dhoinine, President of the Union of the Comoros; His Excellency Christopher Loeak, President of the Republic of the Marshall Islands; His Excellency Andry Nirina Rajoelina, President of the Transition of the Republic of Madagascar; His Excellency Leonel Fernández Reyna, President of the Dominican Republic; His Excellency Sai Mauk Kham, Vice-President of the Republic of the Union of Myanmar; His Excellency Gervais Rufyikiri, Vice-President of the Republic of Burundi; His Excellency Manmohan Singh, Prime Minister of the Republic of India; His Excellency Najib Mikati, Prime Minister of the Lebanese Republic; His Excellency Recep Tayyip Erdoğan, Prime Minister of the Republic of Turkey; Her Excellency Julia Gillard, Prime Minister of Australia; His Excellency Jeannot KouadioAhoussou, Prime Minister of the Republic of Côte d'Ivoire; and Her Excellency Doris Leuthard, Prime Minister of the Swiss Confederation. 27. Also at the same meeting, statements were made by His Excellency Somsavat Lengsavad, Deputy Prime Minister of the Lao People's Democratic Republic; His Excellency Nick Clegg, Deputy Prime Minister of the United Kingdom; His Excellency Nguyen Thien Nhan, Deputy Prime Minister of Viet Nam; His Excellency Vladimir Peshevski, Deputy Prime Minister for Economic Affairs of The former Yugoslav Republic of Macedonia; Her Highness Sheikha Amthal Al Ahmad Al Jaber Al Sabah, Deputy Prime Minister of Kuwait; His Excellency Djoomart Otorbayev, Deputy Prime Minister of Kyrgyzstan; His Excellency Edmunds Sprūdžs, Minister for Environmental Protection and Regional Development of Latvia; Her Excellency Izabella Teixeira, Minister of the Environment of Brazil; His Excellency O.K. Mokaila, Minister of Environment of Botswana; His Excellency Brahim Ould M'bareck Ould Mohamed El Moctar, Minister of Rural Development of Mauritania; His Excellency Gilad Erdan, Minister of Environmental Protection of Israel; His Excellency Ben Knapen, Minister for European Affairs and International Cooperation of the Netherlands; His Excellency Mohammad Yasmin Umar, Minister of Energy of Brunei Darussalam; His Excellency Raymond N'tungamulongo Tshibanda, Minister for Foreign Affairs, International Cooperation and Francophonie of the Democratic Republic of the Congo; His Excellency Phil Hogan, Minister for the Environment, Community and Local Government of Ireland; His Excellency Sergei Martynov, Minister for Foreign Affairs of Belarus; His Excellency Tesfai Ghereselasie Sebhatu, Minister of Land, Water and Environment of Eritrea; His Excellency Paul Magnette, Minister for Development Cooperation of Belgium, His Excellency Alpha Bocar Nafo, Minister of Energy, Water and Environment of Mali; His Excellency Eduard Stavytskyi, Minister of Ecology and Natural Resources of Ukraine; Her Excellency Amara Konneh, Minister of Finance of Liberia; His Excellency Wolfgang Waldner, State Secretary of Foreign Affairs of Austria; Her Excellency Hani Sherry Ayittey, Minister of Environment, Science and Technology of Ghana; His Excellency Juan Rafael Elvira Quesada, Minister of Environment and Natural Resources of Mexico; Her Excellency Mamia Elbanna Zayani, Minister of Environment of Tunisia; His Excellency Abdoul Razaz Saleh, Minister of Water and Environment of Yemen; His Excellency Ginmardo Kromosoeto, Minister for Spatial Planning, Land and Forest Management of Suriname; His Excellency Mohammad Khaddour, Chairman of Delegation of the Syrian Arab Republic, His Excellency Dimitri Alexandrakis, Chairman of Delegation of Greece; Mrs. Egly Pantelakis, Chairperson of Delegation of Cyprus; and Ms. Palesa Mokete, Chairperson of Delegation of Lesotho. 28. At its 5th plenary meeting, on 22 June, the Conference heard addresses by His Majesty King Mswati III, Head of State of the Kingdom of Swaziland; His Excellency Armando Emílio Guebuza, President of the Republic of Mozambique; His Excellency Teodoro Obiang Nguema Mbasogo, President of the Republic of Equatorial Guinea; His Excellency Macky Sall, President of the Republic of Senegal; His Excellency Tomislav Nikolić, President of the Republic of Serbia; Her Excellency Helle Thorning-Schmidt, Prime Minister of Denmark; His Excellency Fredrik Reinfeldt, Prime Minister of the Kingdom of Sweden; and His Excellency Tuilaepa Sailele Malielegaoi, Prime Minister of the Independent State of Samoa. 29. Also at the same meeting, statements were made by Her Excellency Hillary Rodham Clinton, Secretary of State of the United States of America; His Excellency Neven Mimica, Deputy Prime Minister of Croatia; Her Royal Highness Princess Chulabhorn Mahidol, Deputy Prime Minister of Thailand; His Eminence Cardinal Odilo Pedro Scherer, Special Envoy of His Holiness Pope Benedict XVI of the Holy See; His Excellency Peter Ziga, Minister for Environment of Slovakia; His Excellency Peter Kent, Minister of Environment of Canada; His Excellency Tomas Chalupa, Minister of Environment of the Czech Republic; His Excellency Ali Yousif Abdulnabi Alshukri, Minister of Planning of Iraq; His Excellency The Honourable James Fletcher, Minister for Sustainable Development, Energy, Science and Technology of Saint Lucia; Her Excellency Svandis Svavarsdottir, Minister for the Environment of Iceland; His Excellency Douglas Uggah Embas, Minister of Natural Resources and Environment of Malaysia; His Excellency Saleh Amnissi, Minister of Environment of Libya; Her Excellency Rovana Plumb, Minister for Environment and Forests of Romania; His Excellency Mario De Marco, Minister for Tourism, Culture and the Environment of Malta; Her Excellency Lisel Alamilla, Minister of Forestry, Fisheries and Sustainable Development of Belize; His Excellency Arsenio Balisacan, Minister of Socioeconomic Planning of the Philippines; His Excellency Nariman Umarov, Minister of the State Committee for Nature Protection of Uzbekistan; His Excellency Peter Altmaier, Federal Minister for the Environment, Nature Conservation and Nuclear Safety of Germany; His Excellency Hasan Mahmud, Minister for Environment and Forest of Bangladesh; His Excellency Marcin Korolec, Minister of Environment of Poland; Her Excellency Vivian Balakrishnan, Minister for the Environment and Water Resources of Singapore; Her Excellency Catherine Gotani Hara, Minister of Environment and Climate Change Management of Malawi; His Excellency Corrado Clini, Minister of the Environment of Italy; His Excellency Stanislas Kamanzi, Minister of Natural Resources of Rwanda; His Excellency Zalmai Rassoul, Minister for Foreign Affairs of Afghanistan; Her Excellency Roxana Sobenes, Minister for Environment and Natural Resources of Guatemala; His Excellency Kossivi Ayikoe, Minister of Environment and Forestry of Togo; His Excellency Francisco Álvarez de Soto, Vice-Minister for Foreign Affairs of Panama; Her Excellency Claudia Sarleno, Vice-Minister for Foreign Affairs of the Bolivarian Republic of Venezuela; and Her Excellency Mrs. Silvia Merega, Under-Secretary of Environment and Sustainable Development of Argentina. 30. At its 6th plenary meeting, on 22 June, statements were made by His Excellency Yagub Eyyubov, Deputy Prime Minister of Azerbaijan; Her Excellency Sheikha Lubna Al Qassimi, Minister of Foreign Trade of the United Arab Emirates; His Excellency Mohammed Al-Tobi, Minister of Environment and Climate Affairs of Oman; Her Excellency Maria Mutagamba, Minister of Water and Environment of Uganda; His Excellency Joseph Samesay, Minister of Agriculture, Forestry and Food Security of Sierra Leone; His Excellency Mok Mareth, Minister of Environment of Cambodia; His Excellency Juma Bin Ahmed Alkaabi, Minister of Municipality and Urban Planning of Bahrain; His Excellency Rayburn Blackmoore, Minister for Public Works, Energy and Ports of Dominica; His Excellency The Honourable Lieutenant General Alfred Ladu-Gore, Minister of Environment of South Sudan; His Excellency Miguel d'Escoto Brockmann, Minister Adviser on International Relations and Borders of Nicaragua and President of the sixty-third session of the General Assembly; His Excellency José Ramos-Horta, Special Envoy of Timor-Leste; His Excellency Martin Frick, Director of the Office of Foreign Affairs of Liechtenstein; His Excellency Sebastian Marino, National Environmental Planner of the Office of the President of the Republic of Palau; His Excellency Robert Aisi, Chairperson of the delegation of Papua New Guinea; Her Excellency Marlene Moses, Chairperson of the delegation of Nauru; His Excellency Sonatane Taumoepeau-Topou, Chairperson of the delegation of Tonga; and His Excellency Elmi Dualeh, Chairperson of the delegation of Somalia. Chapter IV High-level round tables, Partnerships Forum, Sustainable Development Learning Centre and other events In accordance with General Assembly resolution 66/197, the Conference held four round-table discussions on the theme "Looking at the way forward in implementing the expected outcomes of the Conference", from 20 to 22 June 2012. A background note prepared by the Secretariat for the round tables (A/CONF.216/4). An account of the round tables is set out below. Roundtable 1 On 20 June 2012, the Co-Chair of round table 1, His Serene Highness Prince Albert II of Monaco, opened the round table and made a statement. The round table was co-chaired by His Excellency Armando Emílio Guebuza, President of the Republic of Mozambique. His Excellency Nurlan Kapparov, Minister of Environmental Protection of Kazakhstan, served as Rapporteur of the round table. Statements were made by the representatives of Tajikistan, China, Thailand, Morocco, Mauritania, Ireland, Italy, India, Nepal, South Africa, Latvia, Norway, Montenegro, Malaysia, Serbia, the United Arab Emirates, 76 the Plurinational State of Bolivia, Finland, Gabon, Slovenia, the Dominican Republic and Cyprus. Statements were also made by Rapporteurs of the Sustainable Development Dialogues and on behalf of the Nobel Laureate Symposium/United Nations Secretary-General's High-level Panel on Global Sustainability. The representative of the African Development Bank made a statement. Representatives of the following entities of the United Nations system made statements: World Trade Organization; United Nations Human Settlements Programme; United Nations Conference on Trade and Development; United Nations Educational, Scientific and Cultural Organization; Economic and Social Commission for Asia and the Pacific; and United Nations High Commissioner for Human Rights. Representatives of the following Major Groups made statements: Women in Europe for a Common Future International (Women); International Trade Union Confederation (Workers and Trade Unions); Global Voices Australia (Children and Youth); and Confederation of Indigenous Nationalities of the Ecuadorian Amazon (Indigenous Peoples). The summary prepared by the Rapporteur, an advance version which was read out at the 6th plenary meeting on 22 June 2012, read as follows: "Participants saw Rio+20 as a new opportunity for sustainable development. "Much progress has been made since the UN Conference on Environment and Development held in Rio in 1992 and the World Summit on Sustainable Development in Johannesburg in 2002. But much more must be done in order to meet challenges of today. "The discussions pointed to strong support for the Rio Principles. Many participants said that the principle of common but differentiated responsibilities is particularly critical at a time when billions of people still live in poverty and the world is reaching an ecological tipping point. "Participants warmly welcomed the agreement on the outcome document. While some said it could have been stronger, the discussions also pointed to many strengths of this document. "A strong message was that the focus should now be on implementation. All actors must work together to achieve the objectives agreed at Rio+20. "Other key messages from the Round table included: "• Sustainable Development Goals (SDGs) should provide a foundation for sustainable development policies and effective participation in the green economy. The SDGs should be universal while allowing for national differences. They should be time-bound and measurable – and their achievement should be kept under review. Goals could be identified on food, water, energy, agriculture and oceans. But the SDGs should not detract from ongoing efforts to achieve the MDGs. SDGs for the post-2015 agenda should integrate all three pillars of sustainable development: economy, social and environmental. The most vulnerable populations, including children and indigenous peoples, must receive continued special attention. "• An inclusive green economy has the potential to generate economic growth, create decent jobs, and encourage small and medium-size enterprises. It can also spur the development of renewable energy technologies and bolster more sustainable consumption and production patterns. "• Support needs to be provided to ease the transition to a green economy in developing countries. Eliminating distorting fossil fuel subsidies, better harmonizing trade and environmental regulations and engaging in green procurement are also important in this regard. Scientific and technical education also prepares people for the green jobs of the future. "• The Rio+20 outcome document will not deliver on its promises unless adequate means are provided to support its implementation. Meeting ODA 80 commitments would go a long way. Innovative sources of financing should also be mobilized. The transfer and diffusion of affordable green technologies is also critical. There is also need for capacity building and the sharing of knowledge, expertise and best practice. "• The private sector and innovative partnerships have an important role in the transition towards sustainable development. "• One concern pervading some interventions was the need to avoid unilateral measures when dealing with environmental challenges. "• Sustainable development requires strong bilateral, regional and global cooperation. It requires North-South as well as South-South and triangular partnerships. "• The high level political forum on sustainable development expected to be created by the General Assembly should be geared towards action. It should help to keep the compass on commitments made. It should allow to share best practices and experiences and build partnerships. The provisions of the outcome document on strengthening the coordination role of the Economic and Social Council are also welcomed. "• The dialogue days organized by Brazil with the support of the United Nations from 16 to 19 June 2012 called notably for: (a) Restoring 150 million hectares of deforested and degraded lands by 2020 and acheiving Zero Net Deforestation by 2020; (b) Ensuring universal, equitable and affordable access to sustainable energy services to all by the next decade; and (c) Eliminating food subsidies." Roundtable 2 In the morning of 21 June 2012, the Co-Chair of round table 2, His Excellency Denzil L. Douglas, Prime Minister of Saint Kitts and Nevis, opened the round table and made a statement. The round table was cochaired by Her Excellency María Ignacia Benítez, Minister of Environment of Chile. His Excellency Marcin Korolec, Minister of Environment of Poland, served as Rapporteur of the round table. Statements were made by the representatives of Hungary, the Republic of Moldova, Kuwait, Germany, Canada, Egypt, Barbados, the United Kingdom, Poland, Chile, the Marshall Islands, Viet Nam, Luxembourg, Sudan, Portugal, Israel, Ghana, the Lao People's Democratic Republic, Brunei Darussalam, Samoa, the Philippines, Nigeria, Angola, Liechtenstein, Croatia, Australia and Belarus. The representative of the European Union made a statement. Statements were also made by Rapporteurs of the Sustainable Development Dialogues and on behalf of the Nobel Laureate Symposium/United Nations Secretary-General's High-level Panel on Global Sustainability. The representatives of the following intergovernmental organizations made statements: Organisation for Economic Co-operation and Development; and International Organization for Migration. The representatives of the following entities of the United Nations system made statements: World Health Organization; International Labour Organization; United Nations Children's Fund; and International Maritime Organization. The representative of the following Major Groups made statements: Canadian Federation of Agriculture (Farmers); and Stockholm Environment Institute (Scientific and Technological Community). The summary prepared by the Rapporteur, an advance version which was read out at the 6th plenary meeting on 22 June 2012, read as follows: "Governance and participation are critical to keep the momentum for the implementation of the sustainable development agenda after Rio. At national level, parliaments will have a critical role to translate the outcome document into action. Multi-stakeholder bodies can also provide sound advice on sustainable development policies. Strengthening civil society is also a way to spur greater transparency in public policies. "Women have a critical role in sustainable development, such as in agriculture. Sustainable development can only be achieved if women are empowered and gender equality is achieved. "Speakers hailed the balanced agreement reflected in the outcome document regarding the institutional framework for sustainable development. Several countries supported the proposal for a UN environmental organization, as part of strengthening the institutional framework for sustainable development. "Intergovernmental organizations and UN entities that took the floor confirmed their commitment to deliver on the outcomes of the conference. It was believed that the "One UN" approach bolsters UN support to the SDGs. Regional and sub-regional organizations also have a role to help Member States implement the Rio+20 outcomes. "Participants were generally satisfied with the Rio+20 outcome document. Many considered that it provided a framework to develop national green economy strategies. "At the same time, there was a clear message that individual countries must be able to choose appropriate strategies in relation to their national priorities and capacities. There are many examples of good practices and experiences in implementing national solutions. Those should not only be supported but also be shared among countries and development cooperation actors. A transition to a green economy will probably entail major changes in the nature of jobs. Where there are downside effects, social protection floors and social multi-stakeholder dialogues can help ease such transition. "Sustainable Development Goals (SDGs) are one of the critical outcomes of Rio. SDGs can have a long-term impact on the path of humanity. They can be reflected in national development strategies. They can also provide a common metric to assess progress on sustainable development. They could relate to areas such as food, water, waste, energy, health, education and increasing the self reliance of vulnerable groups. "Oceans and seas must receive special attention. As efforts are being made to "green" development, there is need to evolve towards a "blue economy". The vulnerability of Small Island Developing States to climate change cannot be left unattended. The 2014 conference on Small Island Developing States will be an important opportunity to address this issue. "Some speakers said that is important to make progress in defining alternative indicators to the commonly understood and used definition of GDP. The UN has a role to play in this regard. "Given its role in sustainable development, the private sector should enhance its impact and responsibilities regarding sustainability. This requires the development of adequate tools and methodologies. "Development cooperation is critical to achieving sustainable development. The financing strategy mentioned in the outcome document will hopefully help to mobilize finance from all sources. "Some ideas were presented on how to finance sustainable development commitments and the transition to a green economy. "The Dialogue Days organized by Brazil and the United Nations prior to the Conference recommended tax reforms for environmental protection and for helping the poor. They also called for an international financial transaction tax whose proceeds might contribute to a fund for green jobs and green technology. Mobilizing resources from pension funds was also mentioned. "It is important to establish regional and sub-regional financing facilities and funds and remove trade barriers for developing countries. Technology transfer and capacity development are also essential to support sustainable development in developing countries." 86 Roundtable 3 In the afternoon of 21 June 2012, the Co-Chair of round table 3, Her Excellency Dalia Grybauskaitė, President of the Republic of Lithuania, opened the round table and made a statement. The round table was co-chaired by Her Excellency Laura Chinchilla Miranda, President of the Republic of Costa Rica who also made a statement. Her Excellency Catherine Gotani Hara, Minister of Environment nd Climate Change Management of Malawi, served as Rapporteur of the round table. Statements were made by the representatives of Denmark, Burkina Faso, Japan, Malta, Romania, Afghanistan, Equatorial Guinea, Solomon Islands, Tuvalu, Togo, United States, Bangladesh, Uzbekistan, Iceland, Gambia, Russian Federation, the Czech Republic, Slovakia, the Congo, Cuba, Guyana, Trinidad and Tobago, Grenada, Greece and the Bahamas. Statements were also made by Rapporteurs of the Sustainable Development Dialogues and on behalf of the Nobel Laureate Symposium/United Nations Secretary-General's High-level Panel on Global Sustainability. Representatives of the following intergovernmental organizations made statements: International Union for Conservation of Nature; International Federation of Red Cross and Red Crescent Societies; Sahara and Sahel Observatory; and Regional Environment Center. Representatives of the United Nations Entity for Gender Equality and the Empowerment of Women and the Convention on Biological Diversity made statements. Representatives of the following Major Groups made statements: Oxfam GB (United Kingdom) (Non-Governmental Organizations); Lonxanet (Farmers); International Trade Union Confederation (Workers and Trade Unions); Development Alternatives with Women for a New Era (Women); Tebtebba (Indigenous Peoples); Swedish Association of Local Authorities (Local Authorities); and World Federation of Engineering Organizations (Scientific and Technological Community). The summary prepared by the Rapporteur, an advance version which was read out at the 6th plenary meeting on 22 June 2012, read as follows: "Major themes from the discussions in the Round table included: "• Sustainable development is the only possible future. To embark on this path, strong political will is necessary – as is the involvement of both state and non-state actors. 88 "• Respecting cultures, local communities and indigenous peoples is an integral part of sustainable development. One idea was that it would be important to understand better and conceptualize the link between nature and living. "• Sustainable Development Goals (SDGs) can help to bolster sustainable development and to keep track of progress. The SDGs should build on the MDGs and be included in the UN development agenda after 2015. "• Transitioning to a green economy requires transfer of clean technologies, promotion of renewable energy and spurring more sustainable patterns of consumption and production. A market for green products also needs to be developed. Some delegations cautioned that a green economy needs to be adapted to national circumstances. It should not be a pretext for introducing new conditionalities. "• New and additional financing is also essential to support the transition to a green economy as well as to sustainable development. It is essential to respect international commitments in this area. It was also suggested to create a financial transaction tax to leverage funds for a Green Fund for addressing climate change. New and innovative partnerships also have to be spurred. "• There is need to invest more in scientific research on sustainable development. Exchanging knowledge and sharing lessons learned can also go a long way. "• Regarding the institutional framework for sustainable development, a number of participants mentioned the importance of upgrading UNEP and strengthening its regional presence. "• Coherence and coordination also need to be stepped up at the international level to better support institutions at regional and national levels. "• The Rapporteurs of the Dialogue Days on sustainable development organized by Brazil and the UN before the Conference recommended to: (a) promote food systems that are sustainable and contribute to the improvement of health; (b) develop policies for the sustainable production of food supplies; (c) empower women farmers, small holder farmers, young farmers and indigenous people to eliminate poverty-related malnutrition "• Participants also shared their vision and concerns on aspects such as: oceans and seas; the nexus between water, food and energy; access to clean water, sanitation and adequate housing; sustainable cities, sustainable tourism and sustainable transport. Some representatives of civil society and major groups said that the outcome document should have included more concrete action plans. "• It was suggested to create additional specific mechanisms to follow-up on the conference. One proposal was to set up national mechanisms to this end. Another was to create an intergovernmental committee with civil society representatives and to convene a summit in five years." Roundtable 4 On 22 June 2012, the Co-Chair of round table 4, His Excellency Winston Baldwin Spencer, Prime Minister of Antigua and Barbuda opened the round table and made a statement. The round table was co-chaired by His Excellency Baburam Bhattarai, Prime Minister of the Federal Democratic Republic of Nepal who also made a statement. Her Excellency Flavia Munaana, Minister of State for Environment of Uganda, served as Rapporteur of the round table. Statements were made by the representatives of Vanuatu, the Central African Republic, Cape Verde, New Zealand, Spain, Madagascar, the Republic of Korea, Indonesia, Jamaica, Colombia, Eritrea, Mauritius, the Bolivarian Republic of Venezuela, Sri Lanka, Suriname and Turkey. The observer of Palestine made a statement. Statements were also made by the Rapporteurs of the Sustainable Development Dialogues and on behalf of the Nobel Laureate Symposium/United Nations Secretary-General's High-level Panel on Global Sustainability. Representatives of the following intergovernmental organizations made statements: Global Environment Facility; Organization of the Petroleum Exporting Countries; Pacific Islands Forum; and Community of Portuguese-Speaking Countries. Representatives of the following entities of the United Nations system made statements: United Nations International Strategy for Disaster Risk Reduction; United Nations Convention to Combat Desertification; International Monetary Fund; World Bank; and United Nations Institute for Training and Research. Statements were made by representatives of the following Major Groups: World Business Council (Business and Industry); South African National Biodiversity Institute (Scientific and Technological Community); International Council for Adult Education (Women); Green Economy Task Force (Children and Youth); Indigenous Environmental Network (Indigenous Peoples); IBON International (Non-Governmental Organizations); and International Federation of Organic Movements (Farmers). The summary prepared by the Rapporteur, an advance version which was read out at the 6th plenary meeting on 22 June 2012, read as follows: "Participants generally welcomed the outcome document. Rio+20 has brought a wealth of ideas and commitments. Some, however, felt that outcome document should have been more ambitious. The Conference showed that the Rio Principles continue to serve as the overarching framework for sustainable development, including the principle of common but differentiated responsibilities. Concrete actions are needed to address the vulnerabilities of Small Island Developing States and LDCs. "There is a strong commitment to develop and pursue Sustainable Development Goals (SDGs). The SDGs must be an integral part of a unified post 2015 development agenda. They should be defined through an inclusive and transparent process, drawing on expert advice and stakeholder participation. Possible priority areas for SDGs include poverty eradication, social protection, climate change and biodiversity, oceans, food, water, waste, energy, health, gender, education, special vulnerabilities of Small Island Developing States, consumption and production patterns as well as human rights and peace and security. "The outcome document provides a common understanding of the green economy and lays the basis for implementing this concept. Green economy is a means for achieving sustainable development. There is no one size fits all: Governments should implement green economy policies in accordance with their national circumstances. Community based green growth strategies help to create jobs and provide social protection, thereby reconciling preservation of the environment with development. Concerns about the costs and risks associated with green economy policies were raised. Collaboration, knowledge sharing and international support are essential. Multilateralism remains the preferred approach to address the global challenge to move towards more sustainable development paths. It is hoped that the new High-Level Political Forum on sustainable development will secure high-level political engagement. Several participants called for upgrading UNEP to a fully-fledged UN organization. "There is a need to mobilize resources from all sources, promote technology transfer, and build the capacity of all countries for achieving the SDGs and a green economy. Actions in this regard should go hand in hand with good governance and effective monitoring and use of funds. "It was noted that global costs of disasters were 25-times larger than ODA flows since 1992. "Some recommendations emanating from the Sustainable Development Dialogue days were presented. They included notably a global call for education; decent green jobs; water, sanitation and clean energy for all; sustainable cities as well as food production and security. 94 "Overall, the international community must now: "• Secure high-level political engagement in the follow-up to the sustainable development agenda. "• Engage all actors to concrete actions at all levels and honour commitments. "• Build a robust monitoring system to assess progress. "• And, critically, go above and beyond the commitments in the outcome document." Sustainable Development Dialogue The Government of Brazil organized, with the support of the United Nations, the Sustainable Development Dialogues, a forum for civil society. from 16 to 19 June 2012, in the context of the United Nations Conference on Sustainable Development - Rio+20. In the four days prior to the High Level Segment, representatives from civil society, including private sector, NGOs, scientific community, and major groups, contributed in the Dialogue. They engaged in an open and action-oriented debate on key topics related to sustainable development. Three recommendations emanating from each of the Dialogues, conveyed directly to the Heads of State and Government present at the Summit, are as follows: Recommendations Unemployment, Decent Work and Migration 1. Put education in the core of the Sustainable Development Goals agenda. 2. Commit to a Decent Work for All goal by 2030, including the right to bargain collectively, unemployment reduction, elimination of precarious work, gender equality at the workplace and promotion of green and decent jobs, taking into account the special needs of women and youth; as well as to a Social Protection for All goal by 2030, guaranteeing social protection, at least at the level of national floors, including minimum wages and guarantees for access to health care, and income support for unemployed, aged, disabled, children and pregnant women. 3. Compel national governments to respect the human rights of all migrant workers and their families including those in Temporary Foreign Worker programs and those climate refugees who will be displaced by environmental impacts. Sustainable Development as an Answer to the Economic and Financial Crises 1. Promote tax reforms that encourage environmental protection and benefit the poor. 2. Create a tax on international financial transactions with a view to contributing to a Green Fund in charge of promoting decent jobs and clean technologies. 3. The world will adopt shared sustainable development goals (SDGs) that will be embraced by business, civil society and the public sector. These goals will include innovative metrics, public disclosure, public awareness, education at all levels, and problem solving from local to global level to map the pathways to achieve the goals. The five critical areas that we have discussed: 1) empowering every place in the world to ensure that every individual meets their basic needs of health, safe water, sanitation, and dignity of decent lives; 2) sustainable development energy system; 3) sustainable food supply locally and globally; 4) sustainable urban environments, including initiatives on water systems, sewage and other smart infrastructure; and 5) sustainable industry that is committed and required to clean up after itself. These sustainable development goals will be met through a shared set of principles and methods that will apply for all, including taxes where we all see a very strong possibility to steer in the right direction, financial reform, including innovative financing for green development and a shift to sustainable technologies in general. Sustainable Development for Fighting Poverty 1. Promote global education to eradicate poverty and to achieve sustainable development. 2. Ensure universal health coverage to achieve sustainable development. 3. Promote equitable access to information, participation, representation and justice in local, national and global level decision-making on sustainable development and promote grassroots innovation. The economics of sustainable development, including sustainable patterns of production and consumption 1. Phase out harmful subsidies and develop green tax schemes. 2. Include environmental damages in the Gross National Product (GNP) and complement it with measures of social development. 3. Promote sustainable public procurement worldwide as a catalyst for sustainable patterns, taking into account the need for a holistic approach to sustainable development and principles for a sustainable and fair economy. Forests 1. Restore 150 million hectares of deforested and degraded lands by 2020. 2. Promote science, technology, innovation and traditional knowledge in order to face forests main challenge: how to turn them productive without destroying them. 3. Zero Net Deforestation by 2020, respecting the rights and knowledge of peoples living in and from the forests and responding to their sustainable development needs. Food and Nutrition Security 1. Promote food systems that are sustainable and contribute to improvement of health. 2. Develop policies to encourage sustainable production of food supplies directed to both producers and consumers. 3. Eliminate misery and poverty-related malnutrition. Empower women farmers, small holder farmers, young farmers and indigenous people. Ensure their access to land, water and seed as well as their full involvement in public decision making regarding food production and food and nutrition security. Sustainable Energy For All 1. Take concrete steps to eliminate fossil fuel subsidies. 2. Establish ambitious targets for moving towards renewable energy. 3. Scale up investments and political will to ensure universal, equitable and affordable access to sustainable energy services to all by the next decade through clear strategies and actions. Water 1. Secure water supply by protecting biodiversity, ecosystems and water sources. 2. Implement the right to water. 3. Adopt more ambitious global policies asserting the importance of integrated water, sanitation, energy and land use planning, development, conservation and management at all scales, taking into account specific gender and cultural needs and with the full and effective participation of civil society. Sustainable Cities and Innovation 1. Promote the use of waste as a renewable energy source in urban environments. 2. Plan in advance for sustainability and quality of life in cities. 3. Each head of state should identify a sustainable city to develop a network for knowledge sharing and innovation. Governments should channel resources to develop people-centered sustainable cities with timed and measurable goals, in such way that empowers local communities, promotes equality and accountability. Oceans 1. Avoid ocean pollution by plastics through education and community collaboration. 2. Launch a global agreement to save high seas marine biodiversity. 3. Take immediate action to develop a global network of international marine protected areas, while fostering ecosystem based fisheries management, with special consideration for small-scale fishing interests. Full details of the Sustainable Development Dialogue, list of panelists and facilitators are available at <http://www.uncsd2012.org/sddialoguedays.html>. Partnerships Forum The United Nations Conference on Sustainable Development - Rio +20 - featured a Partnerships Forum as requested by General Assembly resolution 66/197. The Partnerships Forum took place during 20, 21 and 22 June 2012. The overall objective of the Partnerships Forum was to reenergize and strengthen partnerships as a critical mechanism to implement sustainable development. The Forum had five interactive sessions which were co-organized by the UNDESA in cooperation with the SEED Initiative, the Public Health Institute, REEEP, IUCN and UNEP. The discussions highlighted the significant contributions of partnerships to the implementation of sustainable development. They allowed to: * Discuss how partnerships can advance the implementation of the agreements reached at Rio+20; * Showcase practical experiences and best practices and identify successful models and opportunities for replication and scaling up; * Announce new partnerships and initiatives and spur new collaborative efforts; * Promote discussions on more effective accountability measures. The first session was entitled "Delivering Sustainable Development at the Entrepreneurial and Grassroots Levels: challenges, lessons learned and opportunities". It reflected on how to respond better to the needs of entrepreneurs and grassroots initiatives wishing to enhance their contribution to the implementation of Rio+20. New partnerships involving and supporting small, micro, and medium-sized enterprises were launched. There was also a discussion on the need for a new on-line platform to bring together entrepreneurs and grassroots organizations. Such a platform would provide more coordinated support to these actors as well as to report on their achievements and lessons learned. It would be hosted by the United Nations Department of Economic and Social Affairs. Session 2 was entitled "Partnerships for the Integration of Food and Nutrition Security, Health, and Gender Equality". It discussed the interlinkages between food and nutrition security, health, gender equality, environmental degradation and climate change. The session emphasized that participation, transparency and accountability principles are critical for making development more inclusive, equitable and sustainable. A Policy Brief on "Food and Nutrition Security, Health and Gender Equality: partnerships for climate-resilient sustainable development" was launched. Session 3 was entitled "Partnerships for Advancing Gender Equality and Sustainability". It showcased how partnerships can help to mainstream gender in critical areas, such as Agriculture, Cities, Oceans, Jobs, Forests, Energy, Disaster Reduction and Water. An interactive "marketplace" on such partnerships produced concrete recommendations on gender-sensitive goals and indicators – which should contribute to the definition of Sustainable Development Goals. The launch of a Knowledge Platform or Community of practice was also discussed. The meeting recommended that the United Nations Department of Economic and Social Affairs launch a consultative process to discuss the details of this Platform among different stakeholders, taking into account existing efforts. Session 4 was entitled "Speed-Brokering for Partnerships: Scaling Up and Replicating Best Practices in Sustainable Development". It focused on three themes: energy, sustainable cities, and water. Governments, international organizations, major groups' representatives, financiers, and key leaders were able to forge strategic contacts with each other as well as with sustainable development partnerships. This exchange provided opportunities for creating, scaling-up and replicating partnerships. Session 5 was entitled "Partnerships Contributing to the Future We Want". It offered the opportunity for a forward-looking reflection and identified concrete guidance on how partnerships can be best positioned to help expedite the implementation of agreements reached at Rio+20 as well as contribute to the post-2015 development agenda. A more detailed account of the issues discussed, deliverables from each session, background documents, video interviews and organizing partners is available at http://www.uncsd2012.org/partnerships.html List of Keynote Speakers and Panelists H.E. Mr. Villy Søvndal, Minister of Foreign Affairs of Denmark; H.E. Ms Lena Ek, Minister of Environment of Sweden; H.E. Mr. Christian Friis Bach, Minister for Development Cooperation of Denmark; H.E. Ms. Zenebu Tadesse, Minister of Women, Children and Youth Affairs of Ethiopia; Mr. Ben Knapen, Minister for European Affairs and International Cooperation of The Netherlands; H.E. Adriana Soto, Vice-Minister of Environment of Colombia; Professor Zhou Hanmin, Municipal Government of Shanghai; Professor József Pálinkás, President of the Academy of Sciences of Hungary; Dr. Ashok Khosla, Founder of Development Alternatives, India; Mr. Robert Orr, Assistant Secretary General for Policy Coordination and Strategic Planning, Office of the UN SG; Dr. Helen Marquard, Executive Director of the SEED Initiative; Ms. Teresa Fogelberg, Deputy CEO of the Global Reporting Initiative; Mr. Vijay Chaturvedi, Senior Programme Director of Development Alternatives; Ms. Camilla Toulmin, Director of the International Institute for Environment and Development; Mr. Peter Poschen, Director of Job Creation and Enterprise Development, International Labour Organisation (ILO); Mr. Blessing Manale, Deputy Director General of the Department of Environmental Affairs, South Africa; Ms. Monika Weber-Fahr, Global Business Line Leader of Sustainable Business Advisory Services of the International Finance Corporation; Ms. Cristina Tirado, Director of the Centre of Public Health and Climate Change at the Public Health Institute; Ms. Ertharin Cousin, Executive Director of the World Food Program; Ms. Ann Tutwiler, FAO Deputy Director General; Ms. Mary Robinson, Mary Robinson Foundation for Climate Justice (MRFCJ); Ms. Maria Neira, WHO Director of Public Health and Environment Department; Mr. Carlos Seré, Chief Development Strategist, International Fund for Agricultural Development IFAD; Ms. Barbara Stocking, Director of Oxfam Great Britain; Mr. Paul Larsen, Director Multilateral and NGO Relations Division, World Food Programme; Mr. Olav Kjorven, ASG and Director of UNDP's Bureau for Development Policy; Ms. Lorena Aguilar, Global Senior Gender Adviser, IUCN; Mr. François Rogers, Special Adviser on Gender Issues, IUCN; Ms. Amina Mohammed, Deputy Executive Director, UNEP; Mr. Saber Hossain Chowdhury, Member of Parliament, Bangladesh; Ms. Margareta Wahlström, Special Representative of the Secretary General for Disaster Risk Reduction; Mr. Thomas Stelzer, ASG for Policy Coordination and Inter-Agency Affairs, UNDESA; Mr. Martin Hiller, Director General of REEEP; Mr. Marvin Nala and Ms. Esther Agbarakwe, The Youngers; Ms. Afaf Konja, South South News Anchor and Ms. Patricia Chaves, Senior Sustainable Development Officer, UNDESA - DSD. Moderators 1. Ms. Elizabeth Thompson, Executive Coordinator Rio+20 Conference 2. Mr. Nitin Desai, Deputy Secretary-General of the Rio Conference (1992) and Secretary-General of the World Summit on Sustainable Development (2002) 3. Mr. David Nabarro, UN SG's Special Representative for Food Security and Nutrition 4. Mr. Martin Hiller, Director General of REEEP Presentations of registered partnerships and organizations (Session 5 – Partnerships for the Future We Want) 1. African Wildlife Foundation 2. Eco Agriculture Partners 3. Partnership on Sustainable, Low Carbon Transport (SloCat) 4. Vinyl Plus 5. Global Partnership for Capacity Building to Implement the Globally Harmonized System for Chemical Classification and Labeling (GHS Partnership) 6. International Partnership for Expanding Waste Management Services of Local Authorities (IPLA) 7. The SEED Initiative 8. Microsoft 9. The Mountain Partnership 10. Renewable Energy and Energy Efficiency Partnership (REEEP) 11. International Institute for Environment and Development (IIED) 12. The Nature Conservancy (TNC) 13. Energy and Environment Partnership in Central America (EEP) 14. Programme for South-South Cooperation Benin, Bhutan and Costa Rica 15. Clean Air Initiative for Asian Cities Centre (CAI-Asia) Sustainable Development Learning Centre During ten consecutive days of the Conference, the Learning Centre offered 17 courses related to the Conference's two themes "green economy in the context of sustainable development and poverty eradication" and "institutional framework for sustainable development". Participants had the opportunity to gain knowledge, acquire practical know - how, share national experiences and discuss best practices in areas related to social and environmental protection, sustainable consumption and production, sustainable cities, sustainable transport, renewable energies, health, water, natural resources, organic agriculture and energy planning. The main purpose of the courses was capacity development and to exchange knowledge. The courses employed a variety of tools, including videos, case-studies as well as interactive discussions. The instructors represented various universities, research institutions, non-governmental organizations and international institutions. More than 800 participants from national delegations, NGOs, international organizations and other institutions attended the courses. A number of High-Level Speakers including the Prime Minister of Bhutan, H.E. Mr. Lyonchoen Jigmi Yoezer Thinley, Mr. Rolph A. Payet, Minister for Environment and Energy of Seychelles, Mr. Gilad Erdan, Minister of Environmental Protection of Israel, Mr. Luis Henrique Paiva, Head of Brazil's National Secretariat of Citizenship Income, Ms. Haddijatou Jallow, Head of Sierra Leone's Environment Protection Agency, Mr. Kandeh K. Yumkella, Director General of UNIDO, Dr. Joan Clos, Executive Director, UN-Habitat and Mr. Nitin Desai, Deputy Secretary-General of the Rio Conference and Secretary General of the Johannesburg Summit on Sustainable Development, introduced the courses. Details of the courses are available at the UNCSD website: <http://www.uncsd2012.org/rio20/meetings_sdlearning.html>. Side events More than 500 on-site side events organized by Governments, Major Groups, Organizations from the UN system and other International Organizations were held in RioCentro along the margins of the Third Prepcom (13-15 June), the Sustainable Development Dialogue Days (16-19 June) and the Conference (20-22 June). More detailed information on these side events is available at <http://www.uncsd2012.org/meetings_sidevents.html>. Chapter V Adoption of the Outcome Document At its 6th plenary meeting, on 22 June 2012, under agenda item 10, the Conference considered the draft outcome as contained in document A/CONF.216/L.1, entitled "The future we want". The President made a statement, in the course of which he orally corrected the draft resolution. At the same meeting, the Conference adopted the outcome as contained in document A/CONF.216/L.1, as orally corrected (for the text, see chap. I, resolution 1, annex). Statements in explanation of position after the adoption were made by the representatives of Algeria (on behalf of the Group of 77 and China), the Plurinational State of Bolivia 2 , the European Union, Ecuador, the Bolivarian Republic of Venezuela 3 , Iceland (also on behalf of Norway), Peru, Canada 4 , the United States 5 , Kenya, Switzerland, the Congo, Chile and Nicaragua. The observer of the Holy See also made a statement. __________________ 2 See Document A/CONF.216/8 3 See Document A/CONF.216/11 4 See Document A/CONF.216/12 5 See Document A/CONF.216/14 Chapter VI Report of the Credentials Committee At its 1st plenary meeting, on 20 June 2012, the Conference, in accordance with rule 4 of its provisional rules of procedure, appointed a Credentials Committee having the same composition as that of the Credentials Committee of the General Assembly of the United Nations at its sixty-sixth session, namely, China, Costa Rica, Egypt, Italy, Maldives, Panama, Russian Federation, Senegal and United States of America. The Credentials Committee held one meeting, on 21 June 2012. Mr. Juan Carlos Espinosa (Panama) was unanimously elected Chair. The Committee had before it a memorandum by the secretariat of the Conference dated 21 June 2012 on the credentials of representatives of Member States participating in the Conference. A representative of the Office of Legal Affairs of the United Nations Secretariat made a statement relating to the memorandum by the secretariat of the Conference, in which, inter alia, he updated the memorandum to indicate credentials and communications received subsequent to its preparation. As noted in paragraph 1 of the memorandum and in the statement relating thereto, formal credentials of representatives to the Conference, in the form required by rule 3 of the provisional rules of procedure of the Conference, had been received as of the time of the meeting of the Credentials Committee from the following 69 Member States: Algeria, Angola, Argentina, Armenia, Austria, Belarus, Belgium, Brunei Darussalam, Bulgaria, Burkina Faso, Chile, China, Costa Rica, Croatia, Cyprus, Czech Republic, Democratic Republic of the Congo, Djibouti, Egypt, Finland, Germany, Guyana, Hungary, Iceland, India, Indonesia, Iraq, Israel, Italy, Jamaica, Japan, Kuwait, Liechtenstein, Lithuania, Luxembourg, Madagascar, Malawi, Maldives, Mali, Mauritius, Mexico, Mongolia, Montenegro, New Zealand, Norway, Pakistan, Panama, Paraguay, Poland, Portugal, Republic of Moldova, Romania, Russian Federation, Sao Tome and Principe, Senegal, Serbia, Slovakia, Slovenia, South Sudan, Spain, Sri Lanka, Thailand, Trinidad and Tobago, Tuvalu, Uganda, United States of America, Uzbekistan, Viet Nam and Yemen. As noted in paragraph 2 of the memorandum and in the statement relating thereto, information concerning the appointment of representatives of Member States to the Conference had been communicated to the SecretaryGeneral of the Conference as at the time of the meeting of the Credentials Committee, by means of a cable or a telefax from the Head of State or Government or the Minister for Foreign Affairs, or by means of a letter or note verbale from the mission concerned, by the following 122 Member States: Afghanistan, Albania, Antigua and Barbuda, Australia, Azerbaijan, Bahamas, Bahrain, Bangladesh, Barbados, Belize, Benin, Bhutan, Bolivia (Plurinational State of), Bosnia and Herzegovina, Botswana, Brazil, Burundi, Cambodia, Cameroon, Canada, Cape Verde, Central African Republic, Chad, Colombia, Comoros, Congo, Côte d'Ivoire, Cuba, Democratic People's Republic of Korea, Denmark, Dominica, Dominican Republic, Ecuador, El Salvador, Equatorial Guinea, Eritrea, Estonia, Ethiopia, Fiji, France, Gabon, Gambia, Georgia, Ghana, Greece, Grenada, Guatemala, Guinea, Guinea-Bissau, Haiti, Honduras, Iran (Islamic Republic of), Ireland, Jordan, Kazakhstan, Kenya, Kiribati, Kyrgyzstan, Lao People's Democratic Republic, Latvia, Lebanon, Lesotho, Liberia, Libya, Malaysia, Malta, Marshall Islands, Mauritania, Micronesia (Federated States of), Monaco, Morocco, Mozambique, Myanmar, Namibia, Nauru, Nepal, Netherlands, Nicaragua, Niger, Nigeria, Oman, Palau, Papua New Guinea, Peru, Philippines, Qatar, Republic of Korea, Rwanda, Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, Samoa, Saudi Arabia, Seychelles, Sierra Leone, Singapore, Solomon Islands, Somalia, South Africa, Sudan, Suriname, Swaziland, Sweden, Switzerland, Syrian Arab Republic, Tajikistan, the former Yugoslav Republic of Macedonia, Timor-Leste, Togo, Tonga, Tunisia, Turkey, Turkmenistan, Ukraine, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United Republic of Tanzania, Uruguay, Vanuatu, Venezuela (Bolivarian Republic of), Zambia and Zimbabwe. As noted in paragraph 3 of the memorandum and the statement related thereto, the following two Member States invited to participate in the Conference had not, as at the time of the meeting of the Credentials Committee, communicated to the Secretary-General of the Conference any information regarding their representatives to the Conference: Andorra and San Marino. The Committee decided to accept the credentials of the representatives of all Member States listed in paragraphs 1 and 2 of the above-mentioned memorandum and the statement relating thereto, on the understanding that formal credentials for representatives of the Member States referred to in paragraph 7 of the present report would be communicated to the SecretaryGeneral of the Conference as soon as possible. The Committee adopted the following draft resolution without a vote: "The Credentials Committee, Having examined the credentials of the representatives to the United Nations Conference on Sustainable Development, Accepts the credentials of the representatives of the Member States referred to in paragraphs 1 and 2 of the above-mentioned memorandum." The Committee decided, without a vote, to recommend to the Conference the adoption of a draft resolution approving the report of the Committee. Action taken by the Conference At its 6th plenary meeting, on 22 June 2012, the Conference considered the report of the Credentials Committee (A/CONF.216/6). The Conference was informed that since the formal meeting of the Committee, credentials in due form had been received from the following States: Côte d'Ivoire, Eritrea, Republic of Korea, Switzerland, United Arab Emirates and Zambia. The Conference adopted the draft resolution recommended by the Committee in its report (for the text, see chap. I, resolution XX). Chapter VII Adoption of the report of the Conference At its 6th plenary meeting, on 22 June 2012, the Rapporteur-General, Ms. Tania Valerie Raguž (Croatia), introduced the draft report of the Conference (A/CONF.216/L.3). At the same meeting, the Conference adopted the draft report and authorized the Rapporteur-General to finalize the report. Chapter VIII Closure of the Conference At the 6th plenary meeting, on 22 June 2012, the Conference considered a draft resolution expressing its gratitude to the host country (A/CONF.216/L.2). At the same meeting, the Conference adopted the draft resolution (for text, see chap. I, resolution 2). Also at the same meeting, statements were made by the SecretaryGeneral of the Conference, the President of the sixty-sixth session of the General Assembly and the Secretary-General of the United Nations. At the same meeting, the President of the Conference made a statement and declared closed the Conference. Annex List of documents Symbol Agenda item Title or description
BEFORE THE PUBLIC UTILITIES COMMISSION OF OHIO In the Matter of the Application of Duke Energy Ohio, Inc. for an Adjustment to Rider MGP Rates. ) ) ) Case No. 14-0375-GA-RDR In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) Case No. 14-0376-GA-ATA In the Matter of the Application of Duke Energy Ohio, Inc. for an Adjustment to Rider MGP Rates. ) Case No. 15-0452-GA-RDR In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) ) Case No. 15-0453-GA-ATA In the Matter of the Application of Duke Energy Ohio, Inc. for an Adjustment to Rider MGP Rates. ) Case No. 16-0542-GA-RDR In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) ) Case No. 16-0543-GA-ATA In the Matter of the Application of Duke Energy Ohio, Inc. for an Adjustment to Rider MGP Rates. ) ) ) Case No. 17-0596-GA-RDR In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) Case No. 17-0597-GA-ATA In the Matter of the Application of Duke Energy Ohio, Inc. for an Adjustment to Rider MGP Rates. ) Case No. 18-0283-GA-RDR In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) Case No. 18-0284-GA-ATA In the Matter of the Application of Duke Energy Ohio, Inc. for Implementation of the Tax Cuts and Jobs Act of 2017. ) Case No. 18-1830-GA-UNC In the Matter of the Application of Duke Energy Ohio, Inc. for Approval of Tariff Amendments. ) Case No. 18-1831-GA-ATA In the Matter of the Application of Duke Energy Ohio, Inc. for an Adjustment to Rider MGP Rates. ) Case No. 19-0174-GA-RDR In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) Case No. 19-0175-GA-ATA In the Matter of the Application of Duke Energy Ohio, Inc. for Authority to Defer Environmental Investigation and Remediation Costs. ) Case No. 19-1085-GA-AAM In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) Case No. 19-1086-GA-UNC In the Matter of the Application of Duke Energy Ohio, Inc. for an Adjustment to Rider MGP Rates. ) Case No. 20-0053-GA-RDR In the Matter of the Application of Duke Energy Ohio, Inc. for Tariff Approval. ) Case No. 20-0054-GA-ATA DIRECT TESTIMONY OF JAMES H. CAWLEY ON BEHALF OF THE RETAIL ENERGY SUPPLY ASSOCIATION AND INTERSTATE GAS SUPPLY, INC. November 12, 2021 I. WITNESS BACKGROUND 1 3 4 5 6 7 8 4. On behalf of the Philadelphia Gas Works in its general rate increase proceeding at Docket No. R-2020-3017206. 5. On behalf of Pennsylvania-American Water Company in its general rate increase proceedings at Docket Nos. R-2020-3019369 (Water) and R2020-3019371 (Wastewater). 6. On behalf of the Pittsburgh Water and Sewer Authority in its general rate increase proceeding at Docket Nos. R-2020-3017951, R-20203017970, and P-2020-3019019. 9 II. PURPOSE OF TESTIMONY 10 Q6. WHAT IS THE PURPOSE OF YOUR TESTIMONY? 11 A6. The purpose of my testimony is to address the inclusion of the competitive retail 12 market provisions in Sections III.B and III.C of the stipulation filed on August 31, 13 2021 in these proceedings. My direct testimony will focus on several main areas. 14 15 (1) Unauthorized use of Rule 4901-1-30(A), O.A.C. 16 17 18 19 20 21 22 23 (2) Failure of the Stipulation to satisfy certain of the criteria for reasonableness. (3) The regulatory regret that will occur if the egregious behavior by the settlement signatories is condoned by the Public Utilities Commission of Ohio ("Commission" or "PUCO") by its approval of the Stipulation as filed, thus becoming a Commission precedent for all manner of cases. (4) Public policy reasons why the Commission should not permit the inclusion of alien provisions (i.e., those unsupported by evidence of record) in settlement stipulations. 3 (5) The danger of relieving the settlement parties of the burden of proving the reasonableness of the wholly unrelated provisions added to the Stipulation by wrongly shifting the burden to the intervenors. Q7. DO YOU HAVE ANY PRELIMINARY MATTERS TO ADDRESS? 4 24 decision. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 The Stipulation also proposes to resolve the above-captioned non-MGPrelated cases that involve passing back benefits to customers from the reduced corporate tax established by the Tax Cuts and Jobs Act of 2017 ("TCJA"). These TCJA cases were separately consolidated and litigated; the records were closed in 2019, and the cases await Commission decision. None of these cases involved any supplier-related issues, and therefore I would not expect suppliers to have had any reason to intervene in them. While wholly unrelated to the MGP and TCJA issues and cases, the Stipulation includes certain terms that will affect the natural gas industry, its customers and suppliers, and the Choice market in Ohio. These terms address agreements for (1) Duke's transition away from its gas cost recovery ("GCR") process and adoption of a natural gas auction process ("SSO" for Standard Service Offer) that will not include a standard choice offer; (2) a new bill format proposal to include an SSO price-to-compare message on natural gas bills; and (3) giving OCC 24-months of historic "shadow billing" data, which will include data comparing an aggregate of shopping customer costs with the GCR or SSO. In re Duke Energy Ohio, Case Nos. 14-375-GA-RDR, et al., Stipulation (Aug. 31, 2021), at pp. 16-19. Despite the obvious relevance and importance of these issues to suppliers, to Duke's customers, and to a properly functioning Choice market in Ohio, the Stipulation's supporting signatories (and other parties who participated in the discussions leading to the Stipulation—the Ohio Manufacturers' Association Energy Group, The Kroger Company, and Ohio Partners for Affordable Energy 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Although not binding on the Commission, the terms of such an agreement are accorded substantial weight. Consumers' Counsel v. Pub. Util. Comm., 64 Ohio St. 3d 123, 125, 592 N.E.2d 1370 (1992), citing Akron v. Pub. Util. Comm., 55 Ohio St.2d 155, 157, 378 N.E.2d 480 (1978). When considering the reasonableness of a stipulation, the ultimate issue is whether the agreement, which embodies considerable time and effort by the signatory parties, is reasonable and should be adopted. In considering the reasonableness of a stipulation, the Commission has used the following criteria (the "three-prong reasonableness criteria"): (1) Is the settlement a product of serious bargaining among capable, knowledgeable parties? (2) Does the settlement, as a package, benefit ratepayers and the public interest? (3) Does the settlement package violate any important regulatory principle or practice? The Ohio Supreme Court has endorsed the Commission's analysis using these criteria to resolve issues in a manner economical to ratepayers and public utilities. Indus. Energy Consumers of Ohio Power Co. v. Pub. Util. Comm., 68 Ohio St.3d 559, 561, 629 N.E.2d 423 (1994), citing Consumers' Counsel, supra, 64 Ohio St.3d at 126. The Court stated in that case that the Commission may place substantial weight on the terms of a stipulation, even though the stipulation does not bind the Commission. Q11. BASED ON YOUR SIXTEEN YEARS AS A COMMISSIONER OF THE PENNSYLVANIA PUBLIC UTILITY COMMISSION, ARE THAT COMMISSION'S STANDARDS OF REVIEW OF SETTLEMENT 1 STIPULATIONS SIMILAR TO THOSE OF THE PUBLIC UTILITIES 2 COMMISSION OF OHIO? 3 4 5 6 7 A11. Yes, they are. It is the policy of the Commission and the PaPUC to encourage settlements because the results are often preferable to those achieved at the conclusion of a fully litigated proceeding, and settlement may significantly reduce the time, effort, and expense of litigating a case. 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 To accept a settlement, both the Commission and the PaPUC must determine that the proposed terms and conditions are in the public interest. The settling parties have the burden to prove that a full or partial settlement is in the public interest, and they must file written Statements in Support of a proposed settlement. Opposing parties may object to the settlement and encourage the attorney examiner and Administrative Law Judge to reject or modify it in his or her recommended decision to the Commission and the PaPUC. Opposing parties may also take exceptions to the recommended decision. The PaPUC has not explicitly adopted the three-prong reasonableness test that the Ohio Commission has, but the PaPUC reviews and considers settlements by an expansive interpretation of the public interest, including the fairness and reasonableness of the settlement's provisions, the benefits to ratepayers, the inclusion and participation of affected interests and whether they support or oppose the settlement, compliance with applicable regulatory principles, and adherence by the parties and the Administrative Law Judge to the Commission's Rules of Practice and Procedure (52 Pa. Code Chapters 1, 3, and 5) and procedural due process of law. 3 Q12. ARE THERE ANY IMPORTANT DIFFERENCES BETWEEN THE TWO COMMISSIONS' SETTLEMENT RULES? 4 A.12. Yes, there is one important difference with respect to the disclosure of parties to a 5 settlement agreement. The PaPUC has promulgated a regulation regarding 6 settlements that has the effect of alerting it when essential parties have been 7 excluded from settlement negotiations. Section 5.232(b) (relating to settlement 8 petitions and stipulations of fact), 52 Pa. Code § 5.232(b), provides: 9 10 11 (b) Positions of the parties. A settlement agreement must specifically identify the parties: 12 13 14 15 16 17 18 19 20 21 22 23 (1) Supporting the settlement. (2) Opposing the settlement. (3) Taking no position on the settlement. (4) Denied an opportunity to enter into the settlement. (Emphasis added.) If persons or entities are absent from a proposed settlement because they were denied an opportunity to enter into a settlement, the Commission is always desirous of knowing why that is the case. Serious concerns arise when the Commission regards the person or entity as an essential or necessary party to a proposed settlement, because, for example, that party is obviously affected or is likely to add substantial expertise or experience to the settlement agreement's provisions. Q.15. WHY DO YOU BELIEVE THE EXTRANEOUS PROVISIONS ARE 1 UNAUTHORIZED BY RULE 4901-1-30(A), O.A.C.? 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 notoriously" opposed the concept, which the Stipulation signatories (both supporting and agreeing not to oppose) knew or should have known. See, e.g., In the Matter of the Commission's Review of its Rules for Electrical Safety and Service Standards Contained in Chapter 49-1:1-10 of the Ohio Administrative Code, Case No. 17-1842-EL-ORD (Feb. 26, 2020) at ¶ ¶ 159-162, 2020 Ohio PUC LEXIS 244, 53-56, and upon rehearing (Jan. 27, 2021) at ¶ ¶ 32-35, 2021 Ohio PUC LEXIS 20, 29-34 (rejecting upon the urging of RESA, Interstate Gas Supply, Inc., Direct Energy, and others OCC's shadow billing proposals and noting prior rejections of the same). It appears to me that the Stipulation signatories knew RESA and suppliers would oppose yet another attempt by OCC to end-run the Commission's precedents through deal making memorialized in settlement stipulations, so they simply excluded the naysaying essential parties and put forth the Stipulation to see if they could achieve success indirectly when direct attempts had failed. Thirdly, having voted on many thousands of cases as a public utility regulator, I can say with certainty that it is exceedingly valuable to have a broad spectrum of parties advocating an equally broad range of positions from which the Commission can pick and choose to arrive at a decision that is in the public interest. When, as here, egregious exclusion of essential parties occurs, the broad spectrum of parties and broad range of positions are likely to be absent. Such absence does not promote sound decision making. Fourthly, this case provides a poster child for why settlements may not be appropriate for formulating major policy positions. As is often the case in 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 affecting that customer class's interests, which was the factual predicate of the Ohio Supreme Court's admonition regarding exclusionary settlement processes in Time Warner Axs v. Pub. Util. Comm., 75 Ohio St.3d 229, 661 N.E.2d 1097 (1996), Footnote 2. See also, Constellation NewEnergy, Inc. v. Pub. Util. Comm., 104 Ohio St.3d 530, 2004-Ohio-6767, 820 N.E.2d 885 (2004). The Commission has found the first reasonableness criterion met when a broad range of diverse interests supports the stipulation. See, e.g., In the Matter of Ohio Edison Company, et al., No. 12-1230-EL-550 (July 18, 2012), 2012 WL 3038632 (Ohio P.U.C.), 299 P.U.R.4 th 1 (reasonableness criterion met where signatory parties represent diverse interests including the Companies, a municipality, competitive suppliers, commercial customers, industrial consumers, advocates for low and moderate-income customers, and Staff). Competitive suppliers need not be included in every Commission proceeding, but they certainly need to be given notice of and an opportunity to participate meaningfully in any Commission proceeding involving issues that may have a significant effect on the proper functioning of Ohio's competitive energy choice programs. Stated another way, competitive suppliers (or their designated representative, RESA) merit inclusion in such Commission proceedings because competitive suppliers were legislatively included as essential entities in Ohio's statutory Choice scheme. Therefore, I do not believe that the Commission's broad range of diverse interests standard can be met where all members of a group vital to the success of a legislatively-created scheme administered by the Commission has been 3 4 5 6 7 8 9 intentionally given no notice of and excluded from settlement negotiations involving obviously important Choice issues. Were I voting on the reasonableness of the Stipulation, I would find that (1) a broad range of diverse interests does not support the settlement, (2) the signatory parties acted in bad faith by excluding RESA and suppliers from the negotiating process and by conspiring to circumvent Commission precedents on an individual case basis by corrupting the stipulation procedure, and (3) the Stipulation is not in the public interest because of the inclusion of the competitive retail market provisions. 10 Q.18. IF THE COMMISSION APPROVES THE STIPULATION AS FILED, WOULD IT HAVE AN ADVERSE IMPACT ON OHIO'S COMPETITIVE 11 RETAIL NATURAL GAS MARKET? 12 13 14 15 16 17 18 A.18. Such an approval would soon engender bitter regulatory regret, a malady that public utility regulators occasionally suffer when they belatedly rue a bad decision they have made in good faith. It would adversely impact Ohio's competitive retail natural gas market by creating precedent on important issues for gas suppliers in proceedings which had nothing to do with such issues until such issues somehow appeared in the Stipulation. 19 20 21 22 23 The precedent created by approval of the Stipulation as filed would (i) encourage many more blatant attempts to end-run the Commission's established precedents, (ii) not promote sound decision making and the public interest, (iii) substantially increase the litigation time and expense of all parties before the Commission, and (iv) most heavily burden the Commission and its Staff. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 If the behavior displayed by the signatories to the Stipulation is not sternly forbidden, the Commission and its Staff, rather than being able to rely on Ohio's sufficient probative evidence rule requiring evidence of record, will be forced instead to laboriously compare every offered stipulation with the underlying record to ensure some evidence supports every stipulation provision. This needless additional work will extend way beyond stipulation reviews and competitive market cases. The precedent set here will apply to all settlements of public utility disputes within the Commission's jurisdiction, bounded only by an exhaustion of legal counsel's inventiveness. To the dismay of the Commission's attorney examiners, there soon will be a spike in late intervention motions filed by interested and aggrieved parties who had no earlier reason to intervene in cases. In short, I recommend that the shenanigans perpetrated here end here. If the Commission does not exercise its gatekeeper role to reign in such shenanigans, the amount and costs of litigation at the Commission will increase substantially for the foregoing reasons and parties will abuse settlements to promote their own extraneous interests that are not at issue in the subject proceedings. For all of the above reasons, my opinion is that the Stipulation as a package is not in the public interest. No matter how beneficial the MGP and TCJA resolutions are in the Stipulation, it cannot cure the deficiency created by what has happened in these proceedings with the inclusion of the retail market provisions. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Q.19. IS ANY HARM SUFFERED BY RESA AND COMPETITIVE SUPPLIERS CURED BY THEIR OPPORTUNITY TO CHALLENGE THE STIPULATION AFTER BEING GRANTED LIMITED INTERVENTION? A.19. The harm caused by RESA's and suppliers' exclusion may be somewhat mitigated by the limited intervention granted them, but the harm is far from cured. Having been wrongly excluded, they were forced to surmount the "extraordinary circumstances" standard for late intervention, with the time and expense attendant thereto. Even then, RESA and IGS were given only two weeks for discovery, and the hearing will occur in four weeks--scant time compared to the months that the other parties to the proceedings have had to bargain and scheme without RESA's and suppliers' participation. A very prejudicial reality is that, although the burden of proof is on settling parties to establish the reasonableness of the Stipulation, practically there will be a shifting of that burden to RESA and IGS, forcing them to prove the unreasonableness of the settlement. With Duke's witnesses having provided few and only conclusory statements to support the extraneous provisions in the Stipulation, my fear is that RESA and IGS will be made to counter with substance when Duke has provided none to begin with. Of particular interest is the Reply Brief by the Office of the Ohio Consumers' Counsel, In the Matter of the Application of Duke Energy Ohio, Inc. for Approval of its Energy Efficiency and Peak Demand Reduction Portfolio of Programs, Case No. 16-576-EL-POR (April 7, 2017) at p. 2 ("It is well-settled that the signatory parties to a settlement, and not Q.20. DOES THIS CONCLUDE YOUR DIRECT TESTIMONY? 10 A.20. Yes, but I reserve the right to modify my testimony. 11 11/12/2021 40582871 V.9 CERTIFICATE OF SERVICE The Public Utilities Commission of Ohio's e-filing system will electronically serve notice of the filing of this document on the parties referenced on the service list of the docket card who have electronically subscribed to the case. In addition, the undersigned certifies that a courtesy copy of the foregoing document is also being sent (via electronic mail) on the 12 th day of November 2021 on all persons/entities listed below: /s/ Michael J. Settineri Michael J. Settineri This foregoing document was electronically filed with the Public Utilities Commission of Ohio Docketing Information System on 11/12/2021 10:38:49 AM in Case No(s). 14-0375-GA-RDR, 14-0376-GA-ATA, 15-0452-GA-RDR, 15-0453GA-ATA, 16-0542-GA-RDR, 16-0543-GA-ATA, 17-0596-GA-RDR, 17-0597-GAATA, 18-0283-GA-RDR, 18-0284-GA-ATA, 18-1830-GA-UNC, 18-1831-GA-ATA, 19-0174-GA-RDR, 19-0175-GA-ATA, 19-1085-GA-AAM, 19-1086-GA-UNC, 200053-GA-RDR, 20-0054-GA-ATA Summary: Testimony Direct Testimony of James H. Cawley electronically filed by Mr. Michael J. Settineri on behalf of Retail Energy Supply Association and Interstate Gas Supply, Inc.
October 26, 2016 Dr. Paul Lewis, Standards Division National Organic Program USDA-AMS-NOP 1400 Independence Ave. SW Room 2646-So., Ag Stop 0268 Washington, DC 20250-0268 Re: AMS–NOP–16–0069; NOP–16–08 NOP 3012 Interim Instruction on Material Review Dear Dr. Lewis: Thank you for the opportunity to provide comments to the National Organic Program regarding the Interim Instruction on Material Review. The Accredited Certifiers Association (ACA) is a nonprofit educational organization and our membership includes 51 USDA Accredited Certification Agents. We convened a Working Group from our membership to develop our comments; additional comments were also solicited from all our members. Overview The ACA appreciates the work of the National Organic Program on 3012 Interim Instruction for Material Review. The ACA supports the NOSB 2011 & 2012 Recommendations on Evaluation of Materials Review Organizations and we believe that the long-term goal of the National Organic Program should be the development of a Materials Review Organization (MRO) accreditation scope. Accreditation would provide the necessary oversight and enforcement of MROs to ensure accuracy and transparency of material review decisions, thus encouraging confidence in their work. We encourage the NOP to continue the work of developing an accreditation scope for Material Review Organizations. There are several specific issues we have identified where additional clarification is requested. These are noted below. a) Definitions The definition of Material Review Organization (MRO) does not contain the requirement for ISO 17065 accreditation. However, in #4 under Policy, in order for an ACA to consult with an MRO, the MRO must be accredited to ISO 17065. As there are many ACAs that would meet the definition of MRO, but which do not have ISO 17065 accreditation, additional clarity would be provided if the definition of MRO also contained the requirement for ISO 17065 accreditation. b) Section 4, Policy Section 4, Policy lacks the clarity necessary to utilize this document properly as there is no distinction between the requirements for an ACA conducting their own review of a material and an ACA that accepts the decision of another ACA, an MRO or EPA. We believe that Section 4 Policy should be divided into the following topics: 4 a) Options for Material Review, beginning with "Certifiers have several options," retaining the current sections 1 -4. 4 b) Requirements for Certifiers (beginning at in all cases, a certifier must;) and that this be divided into two sections 1. ACA conducting their own review of the material for compliance 2. ACAs accepting the decision of another certifier, or MRO, or EPA The division will permit more detailed information to be applied to the various options for materials review determinations. Our detailed recommendations for revision of Section 4, Policy is attached in Appendix A. NOP Interim Instruction on Material Review ACA General Comments 4. Policy Certifiers must review all materials used by organic producers and handlers for compliance with the USDA organic regulations. See 7 CFR § 205.201(a)(2). All certifiers must verify that materials used by certified operations comply with the regulations, including the National List of Allowed and Prohibited Substances, and any annotations provided therein (see 7 CFR §§ 205.601-606). Certifiers have several options available for determining whether materials may be used in organic production or handling under the USDA organic regulations: 1. Certifiers can verify that the material complies with the regulations by evaluating the product, all of the ingredients within the product, and, if applicable, the manufacturing processes, source materials, and processing aids used to produce the ingredients or final product (e.g., contacting the supplier/ formulator/ manufacturer to obtain full disclosure of the ingredients in the product and manufacturing processes, including processing aids). We believe this section clearly states the requirements to be addressed when an ACA is reviewing a material for compliance. We also believe this is an area where further guidance from the NOP is needed to ensure consistent and accurate technical review of materials. 2. Certifiers may consult with another certifier who has already evaluated the product and accept that certifier's determination of the product's compliance with the regulations. The Washington State Department of Agriculture, as an accredited certifying agent, has a publicly available list of approved products available at http://agr.wa.gov/FoodAnimal/Organic/MaterialsLis ts.aspx. We are in support of this section. \| \| NOP Interim Instruction on Material Review \| \| ACA General Comments \| \|---\|---\|---\|---\| \| 3. Certifiers may accept pesticides that have been determined by the U.S. Environmental Protection Agency (EPA) to comply with the USDA organic regulations. \| \| We are in support of this section. \| \| \| 4. Certifying agents may consult with material review organizations accredited to ISO Guide 17065 (formerly ISO Guide 65). These material review organizations must abide by USDA Agricultural Marketing Service (AMS) guidance and policies on materials. The California Department of Food and Agriculture (CDFA) Organic Input Material (OIM) program may be consulted for their review of organic crop materials. The Organic Materials Review Institute (OMRI) may be consulted for crop and livestock materials, as well as for materials used in organic handling. \| \| If a new MRO obtains ISO 17065 accreditation, must that MRO also be officially recognized by NOP prior to ACAs consulting with them? This Guidance does not specifically state that an MRO, with ISO 17065 accreditation, must still be recognized by NOP prior to ACAs consulting with them. We ask that NOP include this recognition requirement. We ask the NOP to require that NOP recognized MROs include the scope of approval and use annotation for any published material approvals. We also believe there would be additional clarity if NOP stated that only OMRI and CDFA are currently recognized as MROs. \| \| NOP Interim Instruction on Material Review In all cases, a certifier must: 1. Maintain documentation to support its determinations about the status of a product's compliance with the regulations, including those products that are approved based on prior determination by another certifier, MRO, or the EPA; 2. Make synthetic vs. nonsynthetic or agricultural vs. nonagricultural determinations in compliance with the USDA organic regulations and NOP guidance regarding the classification of materials; ACA General Comments We request that NOP specify the type of documentation that is necessary for a certifier to maintain when accepting the decision of another certifier, MRO or EPA. This is a very gray area in the proposed Instruction. MROs and EPA each have different types of information available for certifiers to use for their documentation, and not all have certificates or published lists to reference. Certifiers also have widely differing methods of maintaining information on reviewed materials. If accepting the review of other certifiers, can the ACA simply maintain information on any restrictions and when a re-review is needed? Our members note that if the requirement to maintain documentation requires complete product documentation (e.g. full ingredient lists, labels), there is little incentive to accept other decisions, as the work requirement would be the same. We urge the NOP to identify specific types of information, keeping in mind the Sound and Sensible approach regarding duplicative work. The current statement: In all cases a certifier must seems to indicate that if a certifier accepts the decision of another certifier, MRO or EPA, the certifier must also make a synthetic or nonsynthetic and/or agricultural or nonagricultural determination. We request NOP clarify whether making these determinations is required when accepting the decisions of another certifier, MRO or EPA. These classification determinations are important during the technical review of individual ingredients within a material. However, when an ACA is accepting the determination of another body, certifier, MRO or EPA, complete ingredient information is often not available. If an ACA accepting the determination of an ACA, MRO, or EPA, is not required to make synthetic vs. nonsynthetic or agricultural vs. nonagricultural \| \| NOP Interim Instruction on Material Review \| \| ACA General Comments \| \|---\|---\|---\|---\| \| \| \| determinations of materials approved, we suggest this statement be moved & included in 4.1 on page 2. We also point out that the NOP Guidance regarding Classification of Materials is only in “draft” form. We urge NOP to complete the work to publish Final Guidance on Classification of Materials. This will result in more consistency in product review among certifiers. \| \| \| 3. Demonstrate appropriate education, training, and experience levels for personnel conducting material reviews; and \| \| NOP does not provide criteria for what may be “appropriate education, training and experience levels for personnel conducting material reviews”. We request that the NOP provide additional specific criteria on the education, training and experience requirements for staff. \| \| \| 4. Create clear written protocols and procedures outlining the expectations regarding the depth and frequency of the review, and providing clear direction for the evaluation of ingredients, sub- ingredients, processing aids, and manufacturing methodologies at all stages associated with the production of the formulated product. \| \| This statement provides several indicators for a material review process, but without more detailed guidance there will continue to be a lack of consistency among MROs, ACAs, and EPA. NOP does not provide specific, detailed criteria on how to conduct material review. Our members were expecting this type of information to be included in this document. We request that the NOP provide additional specific criteria how to conduct material review. The May 2012 NOSB Recommendation on Evaluation of Materials Review Organizations identifies the types of guidance and information needed by certification agencies in the materials review process to ensure consistency. We urge the NOP to begin implementation of this Recommendation. \| \| c) Products with multiple reviews The ACA is supportive of ACAs working together to resolve differing materials determinations, and we encourage NOP to support this plan also, rather than simply notifying NOP of the discrepancy as stated in # 1 of this section. Our members have noted that in several instances where there were differing determinations, discussions between the ACAs identified new information that enabled a resolution. The ACA is concerned with how the NOP has been communicating decisions on products with multiple reviews that reach different conclusions. ACA members discussed this issue at 2016 ACA Training and agreed that NOP needed to improve how they communicate with all certifiers and MROs on all products when NOP makes a decision on a product where certifiers have previously disagreed. In addition, the following have been identified as problematic with the process: - Timeliness of the NOP decision process: The NOP's decision on ZumSil was communicated over 2 years after the certifier submitted the product to NOP for consideration. Other members have indicated they submitted products over a year ago and are still awaiting a determination. - Whether the NOP's method of communicating decisions is consistent with the instructions (previously PM 11-4); examples include: An ACA submitted a disputed material question following the PM 11-4 guidance, but the decision was relayed orally from NOP staff, not in writing, and other ACAs were not informed of the results of the decision. A question was submitted to NOP regarding a compost product approved by 2 MROs, but only one had a restriction for raw manure. After discussion with one MRO, NOP relayed the information that certifiers would still need to review the proposed use to determine whether the product was in compliance with any restrictions/annotations in rule. Only the asking ACA was informed of this decision. - In some cases, the NOP notification identified a branded product and did not include information on the generic material in the product. This practice is not in compliance with PM 11-4 or NOP 3012 We are also suggest the following revision in the last sentence of the Section: A decision made by certifying agents about the status of a branded (formulated) product remains may remain in effect until the NOP notifies all certifying agents about the status of a material under the regulations. This sentence indicates that a wrong decision on the allowance of a product must remain in effect until NOP notifies all ACAs. The revision would allow an ACA the flexibility to revise its decision if additional information warrants a revision to the status. We thank you for the opportunity to provide comments on this document. Respectfully submitted, Patricia Kane ACA Coordinator Appendix A. ACA Suggested Revisions to Section 4. Policy Certifiers must review all materials used by organic producers and handlers for compliance with the USDA organic regulations. See 7 CFR § 205.201(a)(2). All certifiers must verify that materials used by certified operations comply with the regulations, including the National List of Allowed and Prohibited Substances, and any annotations provided therein (see 7 CFR §§ 205.601-606). a) Options for Material Review Certifiers have several options available for determining whether materials may be used in organic production or handling under the USDA organic regulations: 1. Certifiers can verify that the material complies with the regulations by evaluating the product, all of the ingredients within the product, and, if applicable, the manufacturing processes, source materials, and processing aids used to produce the ingredients or final product (e.g., contacting the supplier/ formulator/ manufacturer to obtain full disclosure of the ingredients in the product and manufacturing processes, including processing aids). 2. Certifiers may consult with another certifier who has already evaluated the product and accept that certifier's determination of the product's compliance with the regulations. The Washington State Department of Agriculture, as an accredited certifying agent, has a publicly available list of approved products available at http://agr.wa.gov/FoodAnimal/Organic/MaterialsLists.aspx. 3. Certifiers may accept pesticides that have been determined by the U.S. Environmental Protection Agency (EPA) to comply with the USDA organic regulations. 4. Certifying agents may consult with material review organizations accredited to ISO Guide 17065 (formerly ISO Guide 65). These material review organizations must abide by USDA Agricultural Marketing Service (AMS) guidance and policies on materials. The California Department of Food and Agriculture (CDFA) Organic Input Material (OIM) program may be consulted for their review of organic crop materials. The Organic Materials Review Institute (OMRI) may be consulted for crop and livestock materials, as well as for materials used in organic handling. b) Requirements for Certifiers 1. ACAs verifying material compliance must a. Maintain documentation to support its determinations about the status of a product's compliance with the regulations, b. Make synthetic vs. nonsynthetic or agricultural vs. nonagricultural determinations in compliance with the USDA organic regulations and NOP guidance regarding the classification of materials; c. Demonstrate appropriate education, training, and experience levels for personnel conducting material reviews; and d. Create clear written protocols and procedures outlining the expectations regarding the depth and frequency of the review, and providing clear direction for the evaluation of ingredients, sub-ingredients, processing aids, and manufacturing methodologies at all stages associated with the production of the formulated product. 2. ACAs accepting the decision of another certifier, or MRO, or EPA must: a. Maintain the following documentation to support a determination about the status of a product's compliance with the regulations made by another certifier, MRO or the EPA: Specific documentation should be identified by NOP and added to this section.
FA C T S H E E T TOXIC FASHION: REMOVE "FOREVER" PFAS CHEMICALS FROM OUR APPAREL Per- and polyfluoroalkyl substances, commonly known as PFAS, are a large family of an estimated 9,000 human-made chemicals. 1 In addition to being widely used in kitchen goods and cosmetics, they are applied to clothes, shoes, and accessories like purses and backpacks to make them more water and stain resistant while keeping the fabric breathable. 2 This use in apparel can expose us directly to PFAS through skin contact and accidental ingestion, as well as indirectly through the contamination of our environment. Studies have linked many PFAS chemicals to cancer, hormone disruption, liver and kidney damage, developmental and reproductive harm, and damage to the immune system (Figure 1). They can move quickly through water, air, and soil, making this dangerous contamination hard to control. 3 The chemicals are also extremely resistant to breaking down and can build up in the environment and in our bodies. Yet their wide use persists. A 2019 report published by the European Commission found that 20 percent of indoor and outdoor apparel products and 10 percent of sportswear and footwear products in Europe are coated in PFAS. The report also estimates that the European apparel industry uses between 19,800 and 30,200 tons of PFAS chemicals each year. 4 While PFAS use in the U.S. textile industry remains undisclosed, a 2018 study by the Commission for Environmental Cooperation, a government research collaboration among Canada, Mexico, and the United States, found PFAS chemicals in approximately 70 percent of the 137 articles of clothing it tested. 5 Immediately banning all PFAS from apparel is an important step in reducing exposure to these hazardous chemicals. FIGURE 1: SELECTED HEALTH IMPACTS OF PFAS Adapted from European Environment Agency, "Emerging Chemical Risks in Europe—'PFAS,'" https://www.eea.europa.eu/publications/emerging-chemical-risks-in-europe Thyroid disease Increased cholesterol levels Liver damage Breast cancer Kidney cancer Inflammatory bowel disease Testicular cancer Delayed mammary gland development Reduced response to vaccines Lower birth weight Obesity Early puberty onset Increased miscarriage risk Low sperm count and mobility Increased time to pregnancy Pregnancy induced hypertension/ pre-eclampsia High certainty Lower certainty. "As a consequence of this persistence, as long as PFAS continue to be released to the environment, humans and other species will be exposed to ever greater concentrations of PFAS. Even if all releases of PFAS would cease tomorrow, they would continue to be present in the environment, and humans, for generations to come." —European Chemicals Agency 6 TOXIC FASHION: REMOVE "FOREVER" PFAS CHEMICALS FROM OUR APPAREL Page 2 NRDC COATING CLOTHES WITH PFAS CAN POLLUTE OUR DRINKING WATER One of the biggest risks of applying PFAS to apparel is water contamination. Scientists estimate that at least 200 million Americans are drinking and cooking with water that may be contaminated with PFAS. 7 Coating clothes with these substances contributes to this water pollution in several ways. Manufacturing facilities that make PFAS or apply these chemicals to apparel, for instance, can release these toxic chemicals into local waterways through emissions and industrial waste. 8 Even if these facilities don't directly discharge water contaminated with PFAS, they often send their polluted water to a local wastewater treatment plant that is not equipped to filter out PFAS—and in the few treatment plants that do filter for PFAS, it results in solid PFAS waste that cannot be disposed safely. These solids are incinerated or sent to landfills from which runoff can contaminate nearby water bodies. PFAS-COATED APPAREL SPREADS PFAS BEYOND OUR WATER SYSTEMS PFAS used on apparel threatens public health in other ways as well. Workers can be exposed to dangerous levels of PFAS at chemical production sites and apparel-manufacturing facilities. 12 PFAS can be shed from treated clothing as it is worn and end up distributed throughout our homes, often carried by indoor dust that can coat carpets, furniture, and other surfaces. These chemicals then can be inhaled or ingested by young children crawling on carpets and putting their hands and other objects in their mouths. 13 If PFAScoated apparel is incinerated or dumped in a landfill, PFAS waste can pollute the air and soil and end up in the food chain, in addition to polluting water systems as noted above. 14 Finally, studies suggest that some PFAS from apparel is absorbed by the skin, contributing to additional exposure. 15 PFAS can also make its way into our drinking water sources through consumer use, when PFAS-coated apparel is washed or dry-cleaned. 9 When discarded apparel ends up in a landfill, PFAS can leach into nearby groundwater and waterways. 10 And PFAS released through air emissions during manufacturing, production, or incineration can also wind up in our water sources. 11 HOW THE APPAREL INDUSTRY CAN TURN OFF THE PFAS TAP Because PFAS are extremely resistant to breaking down, the best way to combat PFAS pollution is to stop making and using these chemicals. The European Union is in the process of phasing out all nonessential uses of PFAS. Here in the United States, states are beginning to eliminate uses as well. For example, recent legislation enacted in Maine requires a phaseout of all nonessential uses of these chemicals, and numerous other states have banned or proposed bans on PFAS use in specific consumer products. FIGURE 2: WAYS THAT PFAS-COATED APPAREL CAN POLLUTE OUR WATER SUPPLIES WAYS THAT PFAS-COATED APPAREL CONTAMINATES WATER SOURCES PFAS manufacturing sites pollute local water sources Apparel manufacturing sites pollute local water sources Washing or dry cleaning PFAS-coated clothing releases PFAS into water sources Dumping of PFAS-coated clothes in landﬁlls leaks PFAS into groundwater Incineration of PFAS-coated clothing can result in PFAS contamination of waterways Solid waste from wastewater treatment plants that receive contaminated water is spread on ﬁelds, sent to landﬁlls, or incinerated—further polluting our water, soil, and air TOXIC FASHION: REMOVE "FOREVER" PFAS CHEMICALS FROM OUR APPAREL Page 3 NRDC However, those working to put these crucial regulations in place often encounter opposition and other time-consuming impediments, and we don't have any time to waste. In the face of regulatory delays, individual apparel companies can and should take immediate action to turn off the PFAS pollution tap. Some, including Levi's, Jack Wolfskin, H & M, and Mark & Spencer, have already ended their use of all PFAS. In most cases, these companies decided that water and stain resistance was not necessary or that they could achieve these properties by other means. Companies should communicate this commitment clearly to suppliers and adopt a testing regime at manufacturing sites to ensure that PFAS is fully out of their supply chains. Apparel companies worldwide should follow suit and stop using PFAS in their clothes, shoes, and accessories. Consumers can help promote this change by refusing to buy apparel coated with PFAS. Because manufacturers are not required to indicate which of their products are coated with PFAS, consumers should research brands in advance, including by calling apparel companies for more information (and, at the same time, communicating to brands the importance of eliminating these chemicals fully from their shelves). Even those labels that do mention PFAS may be misleading, so consumers should educate themselves on what different labels mean (see the label guide below). CONSUMER GUIDE TO PFAS AND LABELS While apparel brands and retailers are not required to indicate whether their products contain PFAS, some do so voluntarily. This labeling, however, can be confusing and sometimes downright misleading. Many, for instance, don't include the presence of PTFE (polytetrafluoroethylene), a type of PFAS in widespread use in the apparel industry. Below is our guidance to help consumers understand the labeling of apparel related to this class of toxic chemicals. \| Labels to Watch For \| What It Really Means \| Recommended Action \| \|---\|---\|---\| \| Water-resistant, waterproof, stain-resistant, dirt-repellent, and/or DWR \| Products with these labels may indicate presence of PFAS. \| Ask the manufacturer if product contains any PFAS (including PTFE). If it does, avoid buying. \| \| PFOS and/or PFOA Free \| This product may contain PFAS. PFOS and PFOA refer to only two of thousands of PFAS chemicals that could be in the product. \| Ask the manufacturer if product contains any PFAS (including PTFE). If it does, avoid buying. \| \| PFC Free and/or PFCec Free \| This product may contain PFAS. PFC and PFCec could refer to only a subset of PFAS chemicals and not the many thousands that have been developed since the term PFC came into use. \| Ask the manufacturer if product contains any PFAS (including PTFE). If it does, avoid buying. \| \| PFAS Free \| This product could be PFAS free. Manufacturers, however, don’t always include a specific type of PFAS called PTFE in their definition of PFAS, so the product may not actually be PFAS free. \| Ask the manufacturer if product contains any PTFE. If it does, avoid buying. \| Page 4 TOXIC FASHION: REMOVE "FOREVER" PFAS CHEMICALS FROM OUR APPAREL NRDC ENDNOTES 1 U.S. Environmental Protection Agency, "PFAS Master List of PFAS Substances (Version 2) in DSSTox," CompTox, https://comptox.epa.gov/dashboard/chemical_ lists/PFASMASTER (accessed September 16, 2020). 2 Danish Ministry of the Environment, Environmental Protection Agency, Alternatives to Perfluoroalkyl and Polyfluoroalkyl Substances (PFAS) in Textiles, 2015, https://legislature.vermont.gov/Documents/2020/WorkGroups/House%20Human%20Services/Bills/S.295/Witness%20Testimony/S.295~Elena%20Mihaly~DKPFAS-AlternativesTextiles15~6-24-2020.pdf. 3 Ian T. Cousins et al., "The High Persistence of PFAS Is Sufficient for Their Management as a Chemical Class," Environmental Science: Processes & Impacts 22, no. 12 (December 16, 2020): 2307–12, https://doi.org/10.1039/D0EM00355G. 4 Amec Foster Wheeler Environment & Infrastructure GmbH (now part of Wood), The Use of PFAS and Fluorine-Free Alternatives in Textiles, Upholstery, Carpets, Leather and Apparel, October 2020. https://echa.europa.eu/documents/10162/13641/pfas_in_textiles_final_report_en.pdf/0a3b1c60-3427-5327-4a194d98ee06f041. 5 G. Munoz et al., Furthering the Understanding of the Migration of Chemicals from Consumer Products—A Study of Per- and Polyfluoroalkyl Substances (PFASs) in Clothing, Apparel, and Children's Items, Commission for Environmental Cooperation, December 2017, http://www3.cec.org/islandora/en/item/11777-furtheringunderstanding-migration-chemicals-from-consumer-products-en.pdf. 6 European Chemicals Agency, "Perfluoroalkyl Chemicals (PFAS)," https://echa.europa.eu/hot-topics/perfluoroalkyl-chemicals-pfas (accessed July 14, 2021). 7 David Q. Andrews and Olga V. Naidenko, "Population-Wide Exposure to Per- and Polyfluoroalkyl Substances From Drinking Water in the United States," Environmental Science & Technology Letters 7, no. 12 (December 8, 2020): 931–36, https://pubs.acs.org/doi/10.1021/acs.estlett.0c00713. 8 Rainer Lohmann et al., "Are Fluoropolymers Really of Low Concern for Human and Environmental Health and Separate From Other PFAS?," Environmental Science & Technology 54, no. 20 (October 20, 2020): 12820–28, https://pubs.acs.org/doi/10.1021/acs.est.0c03244 9 Munoz et al., "Furthering the Understanding of the Migration of Chemicals." 10 Lohmann et al., "Are Fluoropolymers Really of Low Concern?" 11 Environmental Working Group, "Feeding the Waste Cycle: How PFAS 'Disposal' Perpetuates Contamination, August 18, 2020, https://www.ewg.org/news-insights/ news/feeding-waste-cycle-how-pfas-disposal-perpetuates-contamination. 12 Gretta Goldenman et al., The Cost of Inaction: A Socioeconomic Analysis of Environmental and Health Impacts Linked to Exposure to PFAS (Copenhagen: Nordic Council of Ministers, 2019), https://doi.org/10.6027/TN2019-516. 13 Yan Wu et al., "Per- and Polyfluoroalkyl Substances in Paired Dust and Carpets From Childcare Centers." Chemosphere 251 (July 2020): article 126771, https://doi.org/10.1016/j.chemosphere.2020.126771. 14 Environmental Working Group, "Feeding the Waste Cycle." 15 Hillary L. Shane et al., "Immunotoxicity and Allergenic Potential Induced by Topical Application of Perfluorooctanoic Acid (PFOA) in a Murine Model," Food and Chemical Toxicology 136 (February 2020), article 111114, https://www.sciencedirect.com/science/article/abs/pii/S0278691520300016. Page 5 TOXIC FASHION: REMOVE "FOREVER" PFAS CHEMICALS FROM OUR APPAREL NRDC
I Smell A Rat Every time a story breaks the headlines claiming that the results of some research has indicated that red meat or saturated fat is linked to cancer, heart disease, diabetes, hemorrhoids, global warming, the war in the Middle East, murder, mayhem and mass genocide, you can bet your ass that 99% of the time the volunteers were buck-toothed little rats. Are rats that similar to humans and are they a reliable analog for the effects of our food on our body? Metabolically speaking, rats are very similar to human beings and many tests using them as subjects can be quite valuable. My concerns have less to do with drug testing and more to do with dietary effects. When looking at a rat study, I always take into consideration the digestive and dietary variance between humans and rodents, and how easily these experiments can be manipulated based on those differences. Assuming that most research is rarely unbiased, can the experiment be constructed to achieve a desired result? How are Mickey and Minnie different from humans? Though nobody likes to vomit, it is often a life-saving technique evolved to rid the body of undesirable toxins, pathogens or just overindulgence. Unfortunately for the rat, they lack that ability for three reasons: Rats have a powerful barrier between the stomach and the 1. esophagus. They don't have the esophageal muscle strength to overcome and open this barrier by force, which is necessary for vomiting. Vomiting requires that the two muscles of the diaphragm contract 2. independently, but rats give no evidence of being able to dissociate the activity of these two muscles. Rats don't have the complex neural connections within the brain 3. stem and between brain stem and viscera that coordinate the many muscles involved in vomiting. (For more details on why rats can't vomit) A study of food can be easily manipulated by feeding a rat an amount of food that a human would typically throw up. Feeding high quantities of a particular nutrient, even essential ones, can cause serious and even deadly results. This is no basis for vilifying a nutrient. An example would be iron. People who suffer from a gene mutation called, " Hemochromatosis " absorb iron at much higher levels than normal. The human body has no mechanism to get rid of excess iron, so it begins "iron overload" to store the iron surplus in the joints and organs . This ultimately leads to crippling arthritis, heart damage and cirrhosis of the liver. I could easily feed excessive iron to a rat and show definitive results that iron is a deadly nutrient. We all know that a small amount of iron is not only healthy, but essential. Without iron, we cannot make blood cells and become anemic (a life threatening condition). This same principle is true with nearly every nutrient. Sodium, potassium, zinc, copper, calcium are all essential for good health, yet are deadly in high concentrations. So the first question is how much red meat or fat was force-fed to the stinking rats? If you think they are wining and dining these varmints on prime rib, you're sadly mistaken. Every study I have read used highly processed meats in their experiments. That is fine if your final conclusion is going to read that bologna is linked to colon cancer, but that is never what they report. It will always proclaim that it was red meat that caused the problem. The equivalent to the type of "meat" used in these research experiments are more similar to Spam than steak. So the conclusion should read, "If you are eating Vienna Sausages for breakfast, lunch and dinner everyday, you may develop colon cancer". How many other compounds and chemicals are used in the processing of hot dogs, cold cuts or potted meats? Maybe it's the nitrates, nitrites, sulfur dioxide, monosodium glutamate, salts, sugar, cereal fillers or hydrogenated oils used in this embalming that triggered the disease. But the final report will always single out the meat or saturated fat. What about the fat? This is the second piece of chicanery perpetrated by rat researchers. Do you really believe they are slicing the fat from a nice T-bone for the rats? Think again. More often than not, when lard or coconut oil are used in rat experiments, they have historically been hydrogenated, creating a trans fat. Trans fats have been proven to lower HDLs and raise LDLs. Seed oils are liquid at room temperature and are hydrogenated to simulate saturated oils and make them solid. Unlike seed oils, coconut oil and lard are naturally saturated and solid at room temperature. There is no advantage to hydrogenate them, except to achieve a negative result. So, the next time you hear that researchers have linked saturated fat and heart disease, remember that the rats were most likely fed the equivalent of Crisco. Studies on dietary fat have other problems, namely the fact that rats have no gall bladder. Rats do produce bile from the liver, but the absence of a gall bladder would suggest that they didn't evolve on a high fat diet. Herbivores and omnivores that exist on mostly plant dominated diets, have either no gall bladder or very tiny ones. Meat-eating animals all have highly developed gall bladders to handle the load of fat in their diet. This fact alone makes any study on the effects of animal fat on rats irrelevant as far as I'm concerned. This explains why rats refuse to eat lard or other fats in these research experiments. In order for the researchers to get the rats to eat high quantities of fat, they have to mix it with sucrose. How are we to determine if the negative effects are from the fat or the sugar? Just another deception. Another favorite slight-of-hand by rat researchers is the isolation of animal proteins such as casein, and force feeding huge quantities to the test subjects. Any isolated protein can be toxic. People who consume protein in the absence of fat or carbohydrates suffer from "rabbit starvation", a life threatening illness. I could certainly kill a lot of rats if I fed them isolated gluten from wheat, but we never see researchers test that one, because the target is always animal products. Salt is a necessary nutrient, but isolating it and jamming large quantities down any animal's throat would result in their extermination, but wouldn’t prove that we should remove salt from our diet. Rodents are one of the few mammals that seem to do well eating grains. All livestock mammals become sick when fed grains and need antibiotics. There is mounting evidence that humans are more like the majority of mammals and become sick on grains, thereby making rodents a poor analog for humans in these experiments. It is my belief that you could target any particular food and adulterate it, feed it to rats in massive quantities and make the them sick. This is why it is so easy to poison rats. They are extreme opportunist and will eat just about anything. If what they consume is poisonous, they are unable to throw it up to reduce the amount of poison that will enter their bloodstream. I think that most people believe that an equivalent amount of studies are conducted on the effects of other foods, such as grains, vegetable oils, or high amounts of sugar. This is simply not true. Animal products are far less profitable than grain commodities and processed oils, so it is much easier to get funded for any study that will further denigrate animal foods. Laboratory research cost money and must be funded by someone with deep pockets. Many times they are funded by corporations on their own products. I certainly see no conflict of interest there. Many other studies are funded by government agencies. The USDA is committed to the marketing of grains. The more people are frightened about animal products, the more they will replace them with cereal-based foods. Gary Taubes, science writer for the New York Times wrote in his book, "Good Calories, Bad Calories": Scientists were believed to be free of conflicts if their only source of funding was a federal agency, but all nutritionists knew that if their research failed to support the government position on a particular subject, the funding would go instead to someone whose research did." There is an obvious bias, as a rule, in the majority of the research community. The customer is always right, and in this case, the customer is whoever is granting the funds. This is true in any occupation. I have worked in the commercial arts. I have had clients instruct me to do the most distasteful and hideous things to sculptures, but if I want to get paid, I did as they wanted. Oftentimes, I am embarrassed by the results and would not add the work to my portfolio, but I happily spent the money. So I can easily imagine that researchers also have mortgages to pay and mouths to feed. In conclusion, I am always skeptical of any dietary study performed on rodents because they can be force-fed, can't vomit, are naturally herbivores, but more so because they can't tattle. Though they may squeak, they can't squeal… on their researchers, that is. We're never going to read a rat's manifesto of their treatment as a research subject. This leaves us to rely on the integrity of the researcher, or more accurately, whoever is funding the study. I am way too cynical for that. So when I read a headline touting a study not involving human subjects specifically, I always smell a rat. Is Meat Eating Causing Global Warming? Here is another retarded soundbite recital I hear repeated all too often. The basic theory is that cattle emit methane gas as a result of digestion and those clouds of hydrocarbons rise up to the stratosphere and trap in heat. They claim that this is one of the major contributors to the recent warming. Of course, it's the fault us meat eaters! We have helped proliferate ruminant species beyond anything that the world has encountered before, which will ultimately lead to the destruction of all….. Bwaahahahaha…. Sorry, it's hard to keep that going. What kind of simpleton is convinced that there are more ruminants now than ever before? Let's break out our history books and take a look at a time, just 233 years ago. It was 1778; North America was in the throes of a revolution and the world was also suffering a mini ice age. As Washington's troops froze at Valley Forge, record low temperatures stretched across the globe. At this same period in time, North America also had a buffalo population estimated at over 75-100 million. The amount of cattle in North America presently is estimated to be a little less than 100 million. You also have to take into consideration that the population of moose, elk, caribou and deer were much higher than they are today. All of these animals are ruminating mammals, just like the cow, and create just as much methane pound for pound. That's right, they fart as much as cows and many of them are larger animals than cattle, so their gas emissions are considerably higher. So with all that methane being created on the prairies of North America at the time, how was there a mini ice age? Because this theory is a bigger load of crap than any cow pie gassing off in some pasture. Maybe it's the greenhouse emissions gassing off of all the piles of vegan bullshit that are destroying the environment. Let's all try to keep a straight face and pretend we agree that it's cow farts causing some type of global warming. Then how is the solution of not eating meat going to fix it? Are cows going to stop farting because we stop eating them? If we look at one of the nations with the highest number of vegetarians on earth, we would expect to see a reduction in cattle based on this vegan sales pitch – right? Well India has one of the highest populations of vegetarians, yet the estimated number of living cattle in that country are over 400 million! More than four times the meat-eating United States! Does PETA have a secret plot to destroy all of the cattle once they are set free? This would be the only way to put a stop to the emissions, and we all know that PETA are no strangers to the euthanization of animals. [article] And once the cattle genocide is completed to save the vegan from their fear of global warming, won't there be huge methane emissions from the decomposing cattle corpses? The reality is that the cow doesn't produce these gasses, but the bacteria within the cow. The same type bacteria will ultimately decompose a carcass, releasing methane as a by-product. When a grain field is harvested, it is only the seeds that are taken and the rest of the plant is composted; releasing tons of methane into the atmosphere as it decays. Around 22.8 billion gallons of diesel fuel is consumed annually by tractors, harvesters, irrigation pumps and other machinery for agriculture. Add that to the fact that rice paddies produce around 13% of global methane and I fail to see how a vegetarian diet lessens the emission of carbon gasses. Those numbers could ten-fold if the entire world changed to a solely plant diet. As usual, the perpetrators of this fabrication haven't thought this one out too far, but then again, the words "thinking" and "PETA" have never been synonymous. They react based on feelings, never critical thinking. And lastly, what about the increased emission from the vegan themselves? How is a vegan fart superior to a cow fart? Because of their high fiber diet, vegans are more flatulent than their omnivorous counterparts. If the entire human race become vegan and billions of colons struggle to digest bran fiber, soybeans and Kashi Gofart cereal, what will become of the atmosphere when they all unleash their cocktail of carbon dioxide, methane and hydrogen sulfide? At some point an entire vegan population would make an equivalent contribution to the carbon emissions as today's cattle. All propaganda and the Gore-y half truths aside, carbon elevation does not cause global warming, it is the warming that causes the rise in carbon emissions [source] [second source]. Proof of this is that the rise in CO2 levels always lag behind the rise in temperature by an average of two years, making the entire theory of carbon causing global warming complete bullshit. As temperatures rise from solar activity, organic matter decays and gasses off more quickly (does your garbage smell worse on a hot day than on a cold day? Of course it does.). Solar activity would explain why temperatures have risen equally on Earth, Mars and Venus within the last few decades. I guess it's time for the Martian and Venusian to "go green" and drive hybrids. It is nothing humans cause, nor can prevent – but is quite profitable to those who exploit the Gore -y lie. Can We Feed The World? "We could feed the world" is the anthem of everyone who supports the proliferation of massive mono-cropping of wheat and other grains. Vegetarians and vegans use this phrase as if it were the exclamation point ending every sentence. The theory is that if we didn't feed so much grain to livestock, we could feed the world with those grains. That's fine with me, because I don't consume products made from grains nor from livestock raised on grains. All livestock animals, including cattle, sheep, goats and even chickens didn't evolve to eat a grain based diet and their health suffers as a consequence. Feedlot animals require antibiotics to stay alive and render inferior food products. The reason grains are fed to livestock is simple – to fatten them up for slaughter quicker. Yet, somehow TPTB have convinced people that these same "Heart Healthy Grains" that make livestock fat and sick will somehow make humans lean and healthy. How's that working out for us so far? So if we were to allow livestock ruminants to thrive on their natural diets of grasses, would we truly feed the world with all that extra grain? We actually produce enough food now to feed the world, even in spite of the grains fed to farm animals. Excess grains are purchased to produce tons of processed foods, snacks and other confections. Corn is processed into high fructose corn syrup for sodas, juices and a whole host of processed swill. Wheat is used for the baking of snack cakes, cookies, pies, donuts and every other baked goodies you can think of. Tons of grains are used annually in the brewing and distillation of alcoholic beverages. Funny, I have never heard anyone reciting; "If we just gave up junk food, sodas and beer, we could feed the world.". And it goes far beyond edible products. Grains have thousands of industrial uses. Wheat is used to make industrial adhesives, soaps, cosmetics and many other products. So much grain is produced in the world, that inventors stay up nights designing more products that can utilize them – we even burn them as fuel. Why are they not being used to "feed the world"? The answer is simple economics. Selling grains to the impoverish is less profitable than selling Little Debbie Snack Cakes to people with money to burn. We also have the problem of dictatorships. Many starving people live in nations where their leaders are the cause of their starvation. These dictators and warlords can use hunger as a weapon to control their populace or sell grains on the world market in exchange for weapons, fuel or any other commodity that will empower them, rather than distribute the food to their people. When first world nations, such as the U.S., have sent tons of grains into starving countries, the cheaper cost of the imported grains only served to put the local farmers out of business. The poverty-stricken farmers cannot afford the huge tractors, combines, irrigation, petroleum fertilizers, pesticides, fungicides and herbicides that make agriculture more abundant in the U.S., not to mention the government subsidizing, which lowers the cost. They are often times driven out of work and have to abandon their farms. This huge inflow of grains to the market has historically proven to only cause more starvation and disruption of the local economy. Some people live in a fantasy world, where simply reducing or abstaining from animal products will somehow "feed the world". This is a pretty anemic effort which may somehow boost their self-righteousness, but does nothing to solve the problem. If there is no profit in raising grain crops, growers will simply stop raising them and go into a more lucrative venture. Plenty of U.S. Tax dollars go to shipping grains to third world nations only to make their governments fatter, not the people. How is dropping meat from your diet going to change that? Are those people suggesting that we overthrow every rogue government in the world and occupy their country? Should we behave as an empire? Truth is, such idealists have never given it enough thought to understand why there are starving people. They are the masters of "soundbite recital" and it becomes that much more laughable when it comes from a rotund individual. According to William Davis M.D., in his book "Wheat Belly", geneticists created a new hybrid of dwarf wheat that could yield more grain per acre less than 50 years ago. The mission statement of these scientists was the promise that it would "feed the world". They were successful in creating this frankenwheat and it increased the production of wheat in the western world. Did it feed the world? No, it only drove down the wheat prices and made flour cheaper and readily available for more junk food and confections. It was also successful in creating new strains of gluten protein, causing a quadrupling in celiac disease and a multitude of other gluten related illnesses. I'm not against feeding the world – it's a great idea. I just don't believe that abstaining from meat and increasing grain harvests will accomplish that. It will only create more products for consumption by the richer. World hunger is more of an economic and political issue than the lack of food. Excess production of grains only led to cheaper food prices which made it possible for people to gorge themselves into obesity. Maybe we could liposuction all the fat from overweight westerners and feed it to the poor. People are always more willing to give up their extra fat than their snack cakes and chips. Hell, I imagine even saturated human fat is healthier than grains. These foreign nations would most likely become more robust on human lipids than our lardbutt, sickly, grain-eating society and turn around and kick our ass. As far as I'm concerned, we can send every last grain grown here to the starving people of the world – I have no use for them. Is Air linked To Heart Disease? The most deceptive term in science and the media today is the usage of the phrase "linked", as in claiming that a particular food product is "linked" with a certain disease. Most people are left to assume that this association proves the causation of the illness. Nothing could be further from the truth. To pronounce that saturated fat is linked to heart disease, really says nothing of value. This just says that many people who consume saturated fat will suffer a heart attack. Well, everyone in the United States consumed saturated fat at some point in their life and nearly half of the U.S. population will develop heart disease. They will also consume many carbohydrates, proteins and a whole host of other garbage. If we're going to make this kind of connection, then could we not notice that all of them also consume lots of air? Therefore, air is "linked" with cardiovascular disease. Sounds pretty insane, but about as useful as the saturated fat theory. Why? Because not everyone who consumes air has heart disease nor does everyone who eats saturated fat. There are vegans and vegetarians that will develop heart disease and diabetes. But do people who eat the most saturated fat suffer more from heart disease? Well, according to William Castelli, MD, Director of the Framingham Study, one of the largest medical studies ever done on the effects of fat and cholesterol on the heart: "In Framingham, Massachusetts, the more saturated fat one ate, the more cholesterol one ate, the lower people's serum cholesterol. We found that people who ate the most cholesterol, ate the most saturated fat, ate the most calories weighed the least, and were the most physically active." George Mann, MD, Professor of Medicine and Biochemistry at Vanderbilt University and co-director of the Framingham Heart Study went as far as saying: "The diet-heart idea (the notion that saturated fats and cholesterol cause heart disease) is the greatest scientific deception of our times. This idea has been repeatedly shown to be wrong, and yet, for complicated reasons of pride, profit and prejudice, the hypothesis continues to be exploited by scientists, fund-raising enterprises, food companies and even governmental agencies. The public is being deceived by the greatest health scam of the century." Even Ancel Keys himself, father of the lipid hypothesis with his seven country study, was quoted in 1997: "There's no connection whatsoever between cholesterol in food and cholesterol in blood. And we've known that all along. Cholesterol in the diet doesn't matter at all unless you happen to be a chicken or a rabbit." The media loves to definitively accuse one nutrient for every disease, as if there are people whose diet are made up of just one food. For example, former president Bill Clinton was notorious for his love of fast food and especially McDonald's fries (parody on SNL). Remember, McDonald's fries are a high carbohydrate white potato, fried in hydrogenated vegetable oil (a trans fat) . There is also a bun made of white flour and some sugary ketchup, not to mention the large sweetened soda he probably washed it all down with, yet somehow the burger patty was singled out as the perpetrator of Clinton's heart problems. In 1993 Clinton sought out the tutelage of Dr. Dean Ornish to adjust his diet. Adopting the rather restrictive Ornish diet, extremely low in saturated fat, Clinton still required angioplasty and stent surgery in 2010. Even after seventeen years of this tasteless, bland diet that any self-respecting maggot would turn its nose up at, Clinton's atherosclerosis had worsened to the point of surgical intervention. Anyone short of an imbecile would realize that this lipophobic diet was unproductive because it only restricted fat, not the carbohydrates that Clinton was so fond of. Of course no one ever accused Dr. Ornish of being short of an imbecile, so Dr. Dean concluded that his fat restriction was not harsh enough and as a result, Bill Clinton announced that he has become a vegan. Actually, this might be a brilliant move on Bill's part. A vegan diet will lower his testosterone (a hormone made from cholesterol), thereby lowering his sex drive and could solve many of the problems that have plagued his legacy. Certainly high cholesterol is linked to heart disease? Yeah, so is air! If serum cholesterol is the obvious culprit, then why did a study published in The American Heart Journal (January 2009) analyzing nearly 137,000 patients admitted to hospitals in the United States with a heart attack demonstrate that almost 75% had "normal" to low cholesterol levels? [source] Not much of a link, is it? The cholesterol theory was born in 1910 when Adolph Windaus discovered that cholesterol was present in arterial plaque – but so too is calcium. I have never heard of anyone suggesting a diet low in calcium, nor any pharmaceutical company proposing a calcium lowering drug. If certain elements are elevated in the blood in association with an illness, are we always to assume that the elevated substance is the cause of the illness? For example, we will always notice that a fever is associated with an elevated white blood cell count. So based on the cholesterol hypothesis, are we to conclude that high levels of WBCs (White Blood Cells) are the cause of fever? Maybe we should develop a drug that reduces the body's ability to manufacture WBCs and we will reduce fevers. Why would we behave differently when it comes to an underlying cause that we cannot identify? An attempt to lower what may well be produced by the body to help combat the problem is an irresponsible and dangerous procedure. Our brains and nervous system are made of cholesterol, most of our hormones are derived from it (including vitamin D) and every cell membrane in your body depend on cholesterol to prevent it from leaking. Yet somehow, the media has demonized cholesterol as a toxin that must be stamped out in our lifetime. Low density lipoproteins(LDL) carry cholesterol to damaged arterial walls in an attempt to patch them. Inflammation is the problem, and the causes of inflammation can be numerous. High blood sugar is caustic to the arterial walls (which I will cover in an upcoming post), fat is not. Blaming cholesterol is like blaming doctors for causing all illness. After all, doctors are associated or "linked" to sick people. Maybe Pfizer will create a drug that reduces doctors! There is another association that is better "linked" to heart disease risk than cholesterol. As I mentioned earlier, high cholesterol is not always associated with heart attacks, but elevated homocysteine levels are a much better predictor of a problem. Dr. Kilmer McCully has studied and written extensively on this association. Dr. McCully reported that children born with a double gene mutation called homocystinuria causes their homocysteine levels to be very high. These unfortunate individuals often die of a heart attack or stroke at ages as young as their teen and twenties. But is homocysteine actually the cause? Researchers have known that treatment with high doses of folic acid significantly lowers homocysteine levels in the blood. Several clinical studies have been conducted using folic acid therapy and were extremely effective at lowering the homocysteine levels of the test subjects receiving it compared to the group receiving placebo. Unfortunately, the mortality rate of the subjects with the lowered homocysteine were no better than those on placebo. [source] We cannot single out homocysteine as the cause of the problem, because lowering the levels has not proven to cure the disease nor improve the outcome. In the same way, lowering cholesterol by use of statins has never proven to reduce the incidence of heart attacks, at least by that mechanism. There is some evidence that statins may prevent a second heart attack in victims who have previously had a cardiac event, but that protection happens too rapidly to be due to any cholesterol lowering effect. Since the broad use of statins was implemented, it's safe to say that americans have lower cholesterol now than ever in history. Has heart disease started to decline? The mechanism that leads to atherosclerosis is certainly more complicated and elusive than the media would lead us to believe. Settling on treatments and diets based on guesses has been unproductive and may have helped increase the development of heart disease in western societies. So the next time you read or hear how saturated fat or cholesterol, or anything else are "linked" to a particular disease, remember that hundreds of other things are "linked" also. It really just depends on what the researcher wants to accuse. Was it Kellogg's, General Mills, Nabisco or the USDA funding the study? If so, you can bet they never considered carbohydrates or they would have found an association there also. I really can't see how scaring people into swapping bacon and eggs for breakfast cereal and bagles could possibly profit those companies. And if it's the manufacturer of cholesterol lowering drugs putting up the bucks for the research, you can bet your ass they never considered anything other than cholesterol to blame. Unless you read or hear the word "causes" in place of the word "linked", the article or study has as much relevance as blaming air. The Magical Land Of Oz! Mehmet Oz once said that butter is solid at room temperature, so it solidifies in your arteries. That's funny, because butter melts to liquid in my hands. He is also the genius doctor who wrote in Time magazine that a low carb diet causes ketoacidosis. There is a big difference between ketosis and ketoacidosis, maybe Oz can read it here. He continues to hawk his high fiber diet as healthy for the intestines, in spite of the fact that he has had precancerous polyps removed from his own colon. Dr. Oz's diploma must be written in crayon. Yet, Oz has finally been awarded an honor befitting his service – I am referring to the not-so-coveted Pigasus award. This makes Oz the first person to receive the award for two consecutive years. For those who don't know, the Pigasus is an award given by world renown psychic investigator James Randi to any celebrity bozo advocating pseudoscientific or paranormal advice. Oz received the award for using his syndicated television show for promoting faith healing, "energy medicine," and other quack theories that have no scientific basis. Oz has given legitimacy to the claims of Brazilian faith healer "John of God," who uses old carnival tricks to take money from the seriously ill. He's hosted Ayurvedic guru Yogi Cameron on his show to promote nonsense "tongue examination" as a way of diagnosing health problems. In March 2011, Dr. Oz endorsed past Pigasus winner John Edward, who supposedly talks to dead people. Oz even suggested that bereaved families should visit psychic mediums to receive messages from their dead relatives as a form of grief counseling. A Dr. Oz medical clinic would look like a Coney Island side-show. How does anyone, other than his ringmaster, Oprah, take this buffoon serious? Did Dr. Oz serve his surgical fellowship performing alien autopsies? Can he bend scalpels with the power of his mind? Even if John Edwards could actually speak to the dead, I'm sure that Oz wouldn't want to hear what many of his dead patients would have to say to him. It's really not surprising that Oz believes in all this hocus-pocus bullshit, because I always felt that his dietary advice was less believable than a Miss Cleo cold reading. Is this just media sensationalism, or are there really doctors this ignorant? The largest misconception in medicine is the belief that doctors are scientists; Very few are. Doctors are more often simply practitioners, studying diagnosis of symptoms and treatment with drugs – researchers are the scientists with the biochemistry knowledge to create the drug, medical device or procedures. An analogy might be an automobile designer creates the car from the ground up, whereas the mechanic strictly diagnoses the problem and changes the faulty part. The doctor plays the role of the mechanic. It is not just alternative medicine that has turned into a performing monkey for profits, but it has encroached into mainstream medicine as well. It's getting harder and harder to find the blurred line between science and pseudoscience in modern medicine. James Randi , Mike Shermer , Brian Dunning and Penn Jillette like to brag in their ability to "spot the looney", but I have found them to be just as "taken in" by some of these charlatans, just because they "belong to the right club", so to say. Shermer, Randi, Dunning and especially that know-it-all Jillette, claim to be true skeptics, but in the larger picture, they tend to resemble that of a pseudoskeptics, because their faith in a particular science is not always based on the default position of disbelief until proven to be true (as is mine), but is contingent on whether the author of the thesis has a particular degree or follows what is deemed as "peer-reviewed" or backed by government regulators or researchers. "Blind faith" is blind faith. Their position assumes that there is no influence of money, power or corruption in mainstream science or government, which is wishful thinking at best and every bit as blind in its ideology as those that they criticize. (I would love to cover this in more detail in a future post). I am the only true skeptic that I know of. I have been more than shocked by some of the clueless utterings from some doctors I have encountered. For instance, my father had by-pass surgery about four years ago and has since been under the care of a cardiologist. This lipophobe is constantly badgering him to lower the saturated fat in his diet and focuses all his efforts on LDL levels. I explained to my father that the body synthesizes most of our cholesterol and saturated fat intake has little to do with it. His doctor replied that all cholesterol is acquired through diet and that vegetarians have NO cholesterol in their blood! What!? This doctor must have gotten his degree from the Ringling Brothers Clown College. The real kicker had to be this chucklehead who somehow achieved the rank of executive medical director at a hospital I had the misfortune of ending up at. I had been rushed there for a blood sepsis from a mediport line infection and was heavily treated with antibiotics. After a week-long bombardment of anti-bacterial agents, my sister inquired whether the doctors would use a prophylactic anti-fungal treatment? Even she was knowledgeable enough to realize that yeast would proliferate after such an aggressive antibiotic session. This doctor confidently stated that, "men do not get yeast infections – only women do"! This is no joke people! An M.D. actually said this! A week later I came down with a systemic candida infection that nearly killed me. Close to 45% of people who develop a systemic yeast infection die [source] (and closer to a 90% mortality rate among patients on TPN, as I was) and it could have been prevented if this moron hadn't skipped school on the day they taught that yeast can breed in places other than vaginas. Fortunately there are knowledgeable doctors, but never assume that everyone with an M.D. after their name has a superior knowledge of human biology or science. And certainly never trust a doctor dishing out advice from your television. Dr. Oz has earned his two Pigasus awards and the smart money is on him to win a third one. Frank Lloyd Wright once said, "A doctor can bury his mistakes, but an architect can only advise his clients to plant vines.".
MERC Journal of Renewable Energy and Environment Journal Homepage: www.jree.ir Research Article Optimal Location and Sizing of Wind Turbines and Photovoltaic Cells in the Grid for Load Supply Using Improved Genetic Algorithm Ming Hung Lin a , Jiun Hung Lin b , Mamdouh El Haj Assad c* , Reza Alayi d,e* , Seyed Reza Seyednouri f a Department of Electrical Engineering, Cheng Shiu University, 83347, Kaohsiung City, Taiwan, China. b College of Electrical Engineering and Computer Science, National Kaohsiung University of Science and Technology, 811, Kaohsiung City, Taiwan, China. d Department of Mechanics, Germi Branch, Islamic Azad University, P. O. Box: 5651763764, Germi, Ardabil, Iran. c Department of Sustainable and Renewable Energy Engineering, University of Sharjah, P. O. Box: 27272, Sharjah, United Arab Emirates. e Energy Research Center, Shahrekord Branch, Islamic Azad University, Shahrekord, Chaharmahal and Bakhtiari, Iran. f Young Researchers and Elite Club, Germi Branch, Islamic Azad University, P. O. Box: 5651763764, Germi, Ardabil, Iran. PAPER INFO ABSTRACT Paper history: Received: 30 January 2022 Revised in revised form: 19 June 2022 Scientific Accepted: 23 June 2022 Published: 12 January 2022 Keywords: Optimal Placement, Improved Genetic Algorithm, Distributed Production, Loss Reduction, Combined System The optimal combination of distributed generation units in recent years has been designed to improve the reliability of distributed generation systems as well as to reduce losses in electrical distribution systems. In this research, the improved Genetic Algorithm has been proposed as a powerful optimization algorithm for optimizing problem variables. The objective function of this paper includes power loss reduction, hybrid system reliability, voltage profile, optimal size of distributed generation unit, and finally improvement of the construction cost of combined wind and solar power plants. Therefore, the problem variables are subject to reliable load supply and the lowest possible cost during the optimization process. In order to achieve this goal in this study, the IEEE standard 30-bus network is examined. The results of the system simulation show the reduction of total system losses after DG installation compared to the state without DG and the improvement of other variable values in this network. This loss index after installing DG in the desired bus has a reduction of about 200 kWh during the year and has a value equal to 126.42 kWh per year. https://doi.org/10.30501/jree.2022.327250.1321 1. INTRODUCTION 1 Studies have shown that more than 70 % of the total power system losses are related to distribution networks, being more than 13 % of the total production capacity [1-3]. These electrical losses can be reduced by installing and controlling dispersed production devices. The use of distributed generation is widely used in distribution networks, the advantages of which include voltage regulation, loss reduction, power factor correction, and system capacity liberalization [4-6]. In order to determine the location, number, size, type, and control plan of distributed generation over a period of one to ten years, a complex optimization problem with conflicting objectives such as minimizing the cost of purchasing and installing distributed generation and reducing electrical losses can be addressed [7-9]. Since the 1960s, several methods have been proposed in this field. These methods can be divided into four groups: analytical, numerical programming, innovative methods, and artificial intelligence methods. Most of the research studies presented in this field have not considered a number of important aspects such as considering distributed generation in a discrete way with real prices and quantities available in the market [10-12], considering unbalanced load and network [13-15], presence of harmonic currents and voltages due to extensive use of harmonic generating loads and electronic power devices [16-18], reaction and coupling between harmonic voltages and currents created by nonlinear loads [19-21], increase of harmonic currents due to intensification [22-24], and IEEE power quality constraints [25, 26]. Power plants are used as distributed generation in distribution networks. The main purpose of this research is to determine the location and optimal capacity of distributed generation units by considering these five objectives: reducing losses, improving voltage profile, improving system reliability, the optimal size of DG unit, and reducing the construction cost of combined wind and solar power plants. Each of these individual goals has been transformed into a single-objective function using weighting coefficients. These coefficients are determined using the AHP method and applied to the objective function of the problem. Corresponding Authors' Email: firstname.lastname@example.org (M. El Haj Assad) and email@example.com (R. Alayi) URL: https://www.jree.ir/article_155023.html 2. MATERIAL AND METHOD Please cite this article as: Lin, M.H., Lin, J.H., El Haj Assad, M., Alayi, R. and Seyednouri, S.R., "Optimal location and sizing of wind turbines and photovoltaic cells in the grid for load supply using improved genetic algorithm", Journal of Renewable Energy and Environment (JREE), Vol. 10, No. 2, (2023), ??-??. (https://doi.org/10.30501/jree.2022.327250.1321). 2.1. Case study The intermittent behavior of the intensity of solar radiation has caused solar power plants to not have continuous and controllable characteristics. Wind power plants also do not have a uniform characteristic due to intermittent wind intensity. In this paper, in order to achieve uniform energy from renewable sources, a combination of wind and solar units is used. From the point of view of the power system, a solar power plant, which can include several photovoltaic panels with different capacities, is one of the sources of uncertainty in the system. In system studies in the presence of wind and solar power plants, their output power must first be determined. The output power of the combined wind and solar power plant depends on the intensity of the sun radiation and the intensity of the wind in the installation area. Therefore, the intensity of sunlight and wind in the study area must be calculated and then, the solar and wind panel model must be determined. The studies of this paper are based on the data of solar radiation intensity and wind, which are the daily average of the New Energy Organization of Iran (SANA) for the Meshkinshahr region located in northwestern Iran, and the data has been applied in system simulation. Graphs related to the intensity of solar radiation and wind intensity in the study area can be seen in Figures 1 and 2, respectively. Among the important issues that should be considered in the optimal placement of distributed generation sources in the distribution network is the existence of an unbalanced network and load and the effect of nonlinear and harmonic loads. Such network load is unbalanced. Therefore, it is necessary to optimize the house by considering the unbalanced load condition. This issue has not been considered in most of the research methods. 2.2. System model in harmonic frequencies At harmonic frequencies, accurate models are available for distribution lines and parallel capacitors. However, the exact harmonic model of the power supply system, distribution lines, transformer stations, and linearity and non-linearity is not available. If the skin effect is ignored, the capacitor and the lines can be shown as follows in the n th harmonic [27, 28]. where Ri,i+1 and Xi,i+1 show the values of the position and reactance of the line between the i and i + 1 buses, respectively. Power sources and transformers are usually denoted by short-circuit admittances, yc n and yc 1, and entering the scale of harmonics. With respect to linear loads, a general resistance model parallel to the inductor is used to show the active and reactive powers at the main frequency. If only (wi-1) which is the share of linear loads in the ith bus is assumed, the load admittance at the kth level is expressed as follows: Nonlinear loads are also usually considered as ideal current sources. Composite loads are modeled as an impedance (linear load share) parallel to a current source (nonlinear load share). It should be noted that under harmonic conditions, there are negative and zero sequence components of the current even in the balanced networks. In addition, the multiples of three all appear in zero sequences; thus, a fundamental factor in voltages and multiples includes a three-fold approach connecting capacitive banks, transformers, and loads. 2.3. Network modeling in the presence of harmonics The distribution network is modeled by considering the harmonic in the form of a single-line diagram shown in Figure 3. The distribution of the harmonic load after modeling the system is described below. Modeling a feeder is done according to the following steps: 1) The amplitude and angle of the voltage phase of each bus are obtained using the Backward/Forward Sweep Power Flow Method and based on the results, the resulting network losses are calculated. 2) At high frequencies, the power system is modeled as a combination of current sources and passive elements, because the admittance of system components changes with a harmonic order change. The admittance matrix must be modified in each harmonic order. 3) Linear loads are modeled as resistance and parallel reactance. Nonlinear loads are considered as current sources; thus, the harmonic current injected by the nonlinear loads in the ith bus is calculated according to Equation (4), and the index C(h) in each harmonic order is based on Fourier analysis. i i 4) The effective value of voltage at bus i is calculated by Equation 7 as follows: 1 where Pi and Qi are the active and reactive power of the 1 st load in the 1 st bus, respectively. R and X are the resistance and reactance between successive buses i and i + 1, respectively, and H is the highest harmonic order. 2.4. Power losses Power loss is considered as one of the important goals in studies related to distributed generation. It is considered as the most important single goal and is stated as follows: where Ii is the current passing through line i, n is the total number of lines, and R is the resistance of line i. P loss,i is the P loss value for the ith branch after DG installation and P loss,base is the initial value of P loss . 2.5. System reliability To show a more tangible view of the overall network status, system-related reliability indicators are used to show the behavior of the entire feeder. Some of these indicators that are used in this work are: where λi is the failure rate and Ni is the number of customers for location i. The System Average Interruption Duration Index (SAIDI): In the above relation, Ui is the annual outage time for location i (h/year). * The Average Energy Not Supplied (AENS): In the above relation, ENS is the Energy Not Supplied in terms of (kWh/year). The general system reliability index is examined through the following equation: where SAIFIi is the system average interruption frequency index after DG installation and SAIFIbase is the system average interruption frequency index for the primary network without DG installation. The other indicators of the above relationship are the same. 2.6. The optimal size of DG The optimal size of the DG can be calculated by the following index: where P DG i,j is the power on the bus j for the ith branch, P load ,j is the active power of the load point j, and NP is the total number of load points. 2.7. Network voltage profile The function F4 is the voltage profile index and is calculated as follows: In the above relation, Vi is the bus voltage at point j. 2.8. Cost of operating the hybrid system The function F5 is the index for the total cost of the wind and solar hybrid system, which is calculated by the following equation [29, 30]: CDG = ∑NPC(S) S = N × (CapitalCost + where the vector S is equal to CDG, s = (PV + WT) which is the base cost. In this case, it is equal to CDGT = 1000000. CRF is the capital recovery factor that is calculated by the following equation [29, 30]: where ir is the discount rate and R is the project lifetime. 2.9. Modeling of the studied equipment 2.9.1. Photovoltaic system The output power of photovoltaic panels can be calculated using Equations (19) to (21). This model includes the effects of solar radiation and panel temperature on its output power. These relationships at the maximum output power point are as follows [4, 9]: where PPV is the panel power, Vmpp is the potential voltage, Vmpp, ref is the same as Vmpp in standard operating conditions (V), Impp is the panel current, ISC, ref is the short circuit current in standard operating conditions, GT is the average daily radiation (W/m 2 ), and Gref is equivalent to 1000 W/m 2 for operation under standard conditions. PV, oc, and PI, SC are the temperature coefficients for open-circuit voltage (V/°C) and short circuit current (A/°C), respectively. T C,ref is the temperature of the photovoltaic panel under standard operating conditions, which is considered to be 25 °C, and T C (t) is the operating temperature of the photovoltaic panel, which is calculated as follows: where Ta(t) is the ambient temperature (°C), NOCT (Nominal Operating Cell Temperature) is defined for the operation of the irradiated panel at 800 W/m 2 and a temperature of 20 °C and is usually considered between 40 °C and 46 °C. Photovoltaic panels in series are defined using DC bus voltage and the nominal voltage of the panel as: where Npv,nom is the nominal voltage of the photovoltaic panel. It should be noted that NPN,S is not an optimized target and the number of connected panels in parallel is the optimized targets. 2.9.2. Wind turbine The wind speed at the reference height hr is used as the daily average to determine the wind speed colliding with the wind turbine in the model below. The wind turbine model is described as follows: where V(t) is the wind speed at height h, Vr is the wind speed recorded at height h, and γ is called the legal power view, which is between 0.14 and 0.25. This formula of wind speed calculation is used to calculate the turbine output power PWT (t) as follows [4, 9]: where Pr is the allowable power. Vco, Vr, and VCi are the low cut-off speed, nominal speed, and high cut-off speed of the turbine, respectively. 2.9.3. DC/AC converter The DC/AC converter is used to convert the total DC power from the hybrid power plant into AC power at the desired frequency. In order to investigate the converter losses on the output power of the hybrid power plant, the following equation is used: where ηinv is the converter efficiency. Costs related to investment, maintenance, replacement of parts, and operating costs of the system are shown in actual values in Table 1. Table 1. Technical specifications of the used equipment \| Equipment \| Investment cost ($/unit) \| Replacement cost ($/unit) \| Annual fee (Repair and maintenance) ($/unit-yr) \| Life-time (yr) \| Accessibility (%) \| \|---\|---\|---\|---\|---\|---\| \| PV \| 7000 \| 6000 \| 20 \| 20 \| 96 \| \| WG \| 19400 \| 15000 \| 75 \| 20 \| 96 \| \| DC/AC \| 800 \| 750 \| 8 \| 15 \| 99/89 \| 2.10. Optimization 2.10.1. Improved GA algorithm Considering the advantages and disadvantages of each of the real and binary coding methods and considering that there are both continuous and discrete variables in the problem of optimal placement of scattered products, the proposed genetic algorithm uses the combined coding method. In this coding method, each chromosome is divided into two parts: continuous variables and discrete variables. This coding method significantly reduces the length of the string and reduces the computational volume. Moreover, in this method, it is possible to use the advantages of both real and binary coding methods and no approximation is required to execute the obtained answer. 2.10.2. Genetic operators Since in the proposed genetic algorithm, each chromosome is divided into two parts, continuous and discrete, it is necessary to define the genetic operators of mating and mutation in accordance with this coding. 2.10.3. Coupling The genetic operator function selects the length of the binary and real parts of the operators proportional to the selected strings as the parent. The advantage of this method is that operators that respond better to continuous variables can be used for the real part while operators that work better for discrete variables can be used for the binary part. The mating operator presented in this dissertation is a scatteredexploration operator. This operator uses the scattered operator for the binary part and the more efficient exploration operator for the real part. The sparse operator first generates a random string of zeros and ones along the binary portion of the chromosome and then, replaces one of the corresponding genes of the first parent and zero of the corresponding genes of the second parent. The exploration operator generates a point from the pairing of the parent points that is on the line connecting these two points and closer to the better parent. If we assume that parent one is better than parent two, the resulting child will be as follows: Child = R × (Parent 2 - Parent 1) where R is the ratio of the child to the better parent. The following figure shows how the sporadic genetic operator works and generates a new string of selected parents. Figure 5. Scattered-exploration operator mutation The mutation operator for the proposed method first generates a random string of zeros and ones in which the probability of one is equal to the probability defined for the mutation operator. Then in genes corresponding to one, if they are in the binary part, it converts zero to one and one to zero, and if it is in the real part, it puts a random number in the allowable range for that variable instead of the corresponding number. The function of the mutation operator can be seen in the figure below. Execution steps of GA-improved algorithm: 1) Obtain the value of t = 1 2) Produce x chromosome randomly in the desired range 3) Determine the fitness value of the function f (x) and assign this variable value as the best child (xbest) 4) Calculate the child of the new generation using Equation (1) 5) Take the value t = tmax 6) Check the condition of completion of steps and determine xoptimal based on the following command: If t=tmax go to step(2) else xoptimal= xbest 7) The end Figure 7 shows the GA-improved algorithm process. 2.10.4. Optimal placement of distributed generation In this section, the objective function of the problem of optimal placement of distributed generation with equal and unequal constraints is expressed. In this formulation, the effect of harmonic distortion of voltage sources on the network is considered. improving voltage profile, improving system reliability, the optimal size of DG unit, and construction cost of combined wind and solar power plant. Each of these individual goals has been transformed into a single-objective function using weighting coefficients. These coefficients are determined using the AHP method and applied to the objective function of the problem. The AHP model was first used by Thomas L. Saaty in the 1970s. AHP is a simple computational method based on the main operation on the matrix, which calculates its specific values by creating a suitable hierarchy and processing step by step and constructing adaptive matrices at different levels, and in the vector of final weight coefficients, the relative importance of each option is determined according to the purpose of the hierarchy. The first step in calculating weighting coefficients is to prioritize the problem criteria. These values are applied as five priorities in this research in the following relation. The criteria and sub-criteria used to evaluate sustainable energy options are summarized in the conceptual model shown in Figure 8. The statistical population of this research dwell in Meshkinshahr. After determination of the potential of renewable energy and economic analysis, the level of prevention of environmental pollutants in comparison is determined with fossil resources. Then, using the analytical network process (ANP) for each of the sub-indicators of the economic dimension, the environmental dimension is assigned to each of the weighted renewable energies. Using the multicriteria decision method of PROMETHEE, renewable energy (solar, wind) is used from the economic viewpoint and the environmental dimension is scored. Also, free R programming software is used for data analysis, which is an implementation of the ANP weighting method. The ANP method, which is a generalization of the Analytic Hierarchy Process (AHP) method, does not require a hierarchical structure and, therefore, shows the relationship between different levels of a decision in a network. The preference linear function p (d) is considered and a net superiority value Φ (∙) is obtained. The linear function p(d) is obtained as follows: The main purpose of this research is to determine the optimal location and capacity of distributed generation units by considering the five objectives of reducing losses, Figure 8. Conceptual model of influential factors of renewable energy And and wj's are the weights assigned by the AHP method to each of the indicators of urban prosperity in terms of infrastructure. Now, if Φ (b) < Φ (a), region a has less urban flourishing than region b, and vice versa . Also, to make it easier to interpret the values of superiority between -1 and 1, it can be converted into a score between 0 and 100 using the following conversion: According to the score presented by Equation (30), the status of operation of five types of renewable energy in Meshkinshahar studied is classified into (0-1) as: In the second step, the compatibility coefficient is calculated by the following equation: In the above equation, RI is random index and CI is obtained using the following relation: According to the above relations, the value of weighting coefficients in this problem is calculated according to the preference and the order of importance is equal to W1=0.388, W2=0.2186, W3=0.1943, W4=0.1564, and W5=0.043. In general, the objective function of the problem is to minimize the following equation: 2.10.5. Constraints Problem constraints are applied in system simulation as follows: 1 * Power balance constraint: * Restrictions on active and reactive power: * The number of photovoltaic (PV) panels and wind turbines (WT): * Voltage and bus current: 3. RESULTS AND DISCUSSION In order to demonstrate the accuracy and precision of the GAImproved algorithm, the IEEE standard 30-bus network, which is shown in Figure 9, has been studied and evaluated. Taking into account the network losses before installing DG and the resulting voltage drop in the power system, the selected DG capacity for the network is equal to 3.43 MW. Considering that the purchase price of electricity by renewable units to the network in Iran is equal to 0.045 $/kW, the rate of return on equity is equal to 7.6 years during the operation period of the system. The values obtained for system losses before and after DG installation and the rate of improvement of the network voltage profile after DG installation are seen in Figures 11, 12, and 13, respectively. According to Figure 11, with the placement of DG in bus 8 of the study network, system losses have been significantly reduced compared to the case of no DG installation and have a value equal to 72.48 kW. However, this amount of losses before installing DG had a value of 172.64 kW. The rate of reactive system losses in the two cases before and after the installation of DG is also seen in Figure 12. According to Figure 12, the reactive loss rate after DG installation has a lower value than the case of no DG installation. According to the results of optimal placement of DG in the desired bus, the system reactive losses from the amount of 126.17 MVAR before installing DG have reached 37.46 MVAR after installing DG in the desired bus. Significant reduction of these losses for the installation of one DG unit with the aim of achieving the least losses is one of the important achievements of this study. Figure 13, which is related to the voltage profile of the studied network, shows the acceptable improvement of the system voltage profile after DG installation. According to Figure 13, the rate of the reduction of voltage profile in the case without using DG has a value equal to 0.7346 P.u, while after installing DG with a capacity of 3.43 MW in the bus 8 of the above network, this index reached 0.9424 P.u. The results of the system simulation are also presented numerically in Table 2. According to Table 2, the total grid voltage profile improved by 0.2078 (P.u) after DG installation. The optimal reduction of system reliability values according to the values obtained for SAIDI, SAIFI, and AENS indices can be seen in the table. The required capacity of the network for the design and installation of DG is equal to the amount of 3.43 MW, which includes 24 photovoltaic panels, 5 wind turbines, and 11 inverters at a cost of 1.552 M$/MW. Table 2. Results of the GA-improved algorithm \| Parameter \| Population size \| Bus bar \| Total capacity DG \| Power losses (kW) \| lowest voltage (P.u.) \| SAIDI (h/yr.cent) \| SAIFI (h/yr.cent) \| AENS (kWh/yr) \| PV (kW) \| WT \| Conv. (kW) \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Without DG \| 50 \| - \| - \| 172/64 \| 0.7346 \| 19/8 \| 6/45 \| 328/79 \| - \| - \| - \| \| With DG \| 50 \| 8 \| 3/43 \| 72/48 \| 0.9424 \| 4/36 \| 1/04 \| 126/42 \| 24 \| 5 \| 11 \| According to the results related to system reliability, the index SAIFI has a value equal to 1.04 times of shutdown during the year and this means that this index, which indicates the average shutdown frequency of the entire network, has a value of 1.04 during the year, which is a very desirable amount in the design of distributed generation systems. It should be noted that the value of this index, as seen in Table 2, had a value of 6.45 times a year without the use of DG. By improving the reliability index of the second system, the SAIDI index was formed and calculated in this research and had an average value of 4.36 hours per year, while this index for the system without the use of DG was calculated and it accounted for 19.8 hours per year, which was a decrease in the indicator of the usefulness and obligation to install DG in the network during the operation period. Then, the third index of the system reliability, AENS is calculated for both cases before and after DG installation and is applied in the table resulting from the system simulation. This loss index after installing DG in the desired bus has a reduction of about 200 kWh during the year and has a value equal to 126.42 kWh per year. According to the results, the total amount of losses after installing DG was reduced to 72.48 KW. The construction cost of the DG power plant, in this case, was quite smaller than that in previous studies, which was due to the selection of the optimal combination of wind and solar units to ensure the desired load in the study network. 4. CONCLUSIONS In this research, the location and determination of the optimal capacity of distributed generation units for the IEEE standard network were done by the GA improved algorithm. The high accuracy and precision of the proposed algorithm was one of the main reasons for choosing this algorithm due to the lack of need for many control parameters. The objective function modeling of the problem included power losses, voltage profiles, reliability, DG size, and construction cost of the combined wind and solar combined generation unit in this study. The results of optimization show a 61.23 % reduction of total system losses after DG installation and improvement of system reliability indices, especially the SAIFI, from 6.45 (h/year) to 1.04 (h/year) after installing DG. Reducing the construction cost of DG unit, an optimal increase of network reliability, and significant reduction of power losses were the advantages of choosing the combined wind and solar mode in the studied network. The rate of return on capital was also calculated for the proposed hybrid system in this paper and had a rate of 7.6 years during the operation period of the system. According to the results, the total amount of losses after installing DG was reduced to 72.48 kW. The construction cost of DG power plant, in this case, was quite smaller than that in previous studies due to the selection of the optimal combination of wind and solar units, thus ensuring the desired load in the study network. 5. ACKNOWLEDGEMENT The authors appreciatively acknowledge the Islamic Azad University of Germi Branch. NOMENCLATURE R Resistance (Ω) X Reactance (Ω) Y Harmonic V Voltage (V) Q Reactive power (VA) P Active power (kW) I Current (A) 𝜆 Failure rate 𝑁 Number of customers U Annual outage time Ir Discount rate T Temperature (k) GT Average daily radiation (W/m 2 ) h Hour REFERENCES 1. Adebayo, T.S., Coelho, M.F., Onbaşıoğlu, D.Ç., Rjoub, H., Mata, M.N., Carvalho, P.V., Rita, J.X. and Adeshola, I., "Modeling the dynamic linkage between renewable energy consumption, globalization, and environmental degradation in South Korea: Does technological innovation matter?", Energies, Vol. 14, No. 14, (2021), 4265. (https://doi.org/10.3390/en14144265). Research, Vol. 9, No. 1, (2020), 34-45. (https://doi.org/10.18488/journal.13.2020.91.34.45). 7. 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GENE THERAPY DEFINED: What is gene therapy? Gene therapy is a treatment where new working genes are introduced into a person's cells to fight disease. In the case of hemophilia, the new genes give the body instructions on how to make factor. There are different kinds of gene therapy, including gene transfer, gene editing, and cell therapy. How does gene therapy work in hemophilia? A working gene has clear directions that tells the cell how to make factor. In gene therapy, a working gene is carried into the liver cells of a person with hemophilia. Once the working gene reaches the cells, they should begin producing factor. What is a vector? At this time, gene therapy focused on treating hemophilia uses viral vectors. A vector is a virus that has been changed to remove the illness causing (viral) material. It is used as a carrier to bring the new, working genes into a person's cells. Viral vectors are used in gene therapy because they are very effective at getting into cells. What vectors are being used in gene therapy for hemophilia? The most commonly used vectors in hemophilia are called adeno-associated viruses, or AAV. These vectors do not carry any infectious material, meaning they do not cause viral infections. They are used to deliver working genes into liver cells in the body so that they can start producing clotting factor. What are the differences between gene editing, gene transfer and cell therapy? Gene transfer puts genetic information into a vector, which then carries the working copy of a gene to a person's cells. Once inside the cell, the new, working gene allows the cell to start making factor. Gene editing tries to "fix" the part of a gene that isn't working. By editing the genetic directions, the cell can then start to make factor. Cell therapy transfers cells FREQUENTLY ASKED QUESTIONS ON GENE THERAPY that work well into a person to treat disease. These cells are created to produce clotting factors. They are contained in specific materials that prevent them from attack by the patient's immune system. These cells are implanted inside the body and will help the individual make their own factor. What is CRISPR? CRISPR stands for Clustered Regularly Interspaced Short Palindromic Repeats. CRISPR is a way to edit a non-working gene. Instead of bringing new copies of the working gene using a vector, as in gene transfer, CRISPR actually tries to fix the patient's non-working gene within the cell. One way to think about the difference between gene transfer and CRISPR is to pretend you have a table with two broken legs. With gene transfer, someone would bring a new, unbroken table. The old table would remain without being of any use. With CRISPR, someone would fix the two broken legs still attached to the table. The table would be still be the original table but now improved and working. While CRISPR is exciting science, federal laws currently prevent the use of CRISPR in humans. ELIGIBILITY: Who can undergo gene therapy? At this time, gene therapy for hemophilia A and B is being studied in clinical trials to determine how well it works and how safe it is. This means only people who are part of a research study can receive it. In general, individuals able to participate in this type of study are: * 18 and older * Male * Have severe hemophilia A or B (factor levels of less than 1%) without inhibitors * Have no evidence of liver dysfunction (such as abnormal liver enzymes or abnormal liver biopsy) * Have no evidence of hepatitis and if they have HIV, it must be under good control * Have no detectable neutralizing antibodies against the vector. Antibodies are created by the body to protect us against potentially harmful things such as viruses and germs. Once our bodies make antibodies against something they neutralize or destroy that target as soon as it gets in contact with them. * Otherwise healthy (no diabetes, history of cancer, heart disease, glaucoma, high blood pressure, etc.) Your healthcare provider can help you decide if participating in a study to receive gene therapy is right for you. Can my child undergo gene therapy? At this time, gene therapy for hemophilia is not available for people under 18 years of age. Gene therapy for hemophilia targets the liver cells. Children's livers continue to grow until, at least, age 12. As the liver grows, the effects of gene therapy is reduced. As we learn more about gene therapy safety, there may be opportunities for enrollment of children. Can women with hemophilia receive gene therapy? At this time, gene therapy is not being studied in women with hemophilia. WHAT CAN I EXPECT: Is gene therapy a cure for hemophilia? Current studies have shown that patients with hemophilia who undergo gene therapy may see their factor levels increase – sometimes to normal levels. They may also be able to avoid some factor infusions for a long period of time. However, studies are still ongoing to determine how long these benefits will last. As with many other treatments and medications, each patient that receives gene therapy may have different results, meaning some patients may reach higher factor levels than others. Are there gene therapy treatments for both hemophilia A and hemophilia B? Yes, currently there are several different clinical trials for both types of hemophilia. What can I expect my factor level to be once I undergo gene therapy? This depends on many things. Response to gene therapy varies from person to person and can decrease over time. So far, clinical trials have shown an increase in factor levels after gene therapy. However, we still don't know if it will work on everyone, how high the resulting factor levels will be, and how long these higher levels will last. Will my factor levels change in the future if I undergo gene therapy? Current clinical trials data have shown a reduction in factor levels over time. This means that factor levels may increase soon after you receive gene therapy but decrease over time. When will gene therapy for hemophilia be available to everyone without enrolling in a clinical trial? How long can I expect the effects of gene therapy to last? Currently, several ongoing clinical trials for both hemophilia A and B are showing promising results. Clinical trials are done to ensure that gene therapy, or any other treatment is safe and effective. Gene therapies are currently in phase 2 and 3. NHF will continue to closely monitor the progress of these trials. At this time, no one really knows the answer to this question. There are several clinical trials underway that have shown increased factor levels lasting more than seven years. Will I still need factor if I receive gene therapy? What if I have an accident, injury or need surgery? The need for factor after undergoing gene therapy will depend on how much factor your body makes and how long it lasts. Each person's response to gene therapy will likely be different and will require an approach that is specific to them. This is a topic you should discuss with your provider. If I undergo gene therapy and it stops working, can I try again in the future? Not currently. At present, gene therapy for hemophilia can only be done once. It is possible that this could change in the future. Once I undergo gene therapy will I still need annual checkups at my HTC? Yes. It is very important that you continue seeing your healthcare team after undergoing gene therapy. They will need to monitor the effects of this new therapy long term to make sure that it works as expected and to monitor any problems that may arise. Can I stop or turn off gene therapy? No. Once you undergo gene therapy the changes made to your cells cannot be undone. It cannot be reversed or stopped. RISKS ASSOCIATED WITH GENE THERAPY: What are the risks associated with gene therapy? Some possible risks associated with gene therapy include a strong immune system reaction, that it goes to another cell instead of the liver cell, that it causes liver damage, that it gets inserted into the genes of the cells and exposing others to the vector. There are also many unknown risks that we do not understand at this time. What is vector shedding? It is the process by which the viral vector leaves the body once it is no longer needed. The virus is released through urine, feces, blood, saliva and semen. What happens if I undergo gene therapy and my factor levels get really high? In some cases, gene therapy has led to factor levels above the normal range. If this happens, you will need to be closely monitored by your hemophilia treatment center. Although high factor levels may be linked to the development of dangerous clots, this side effect has not been reported in clinical trials. GENE THERAPY AND REPRODUCTION: Can I pass the effects of gene therapy to my children? No. Gene therapy to treat hemophilia corrects the non-working gene only in the person who receives it. The viral vector carries a working copy of the factor VIII (8) or factor IX (9) gene to the liver cells, providing them with the instructions of how to produce the missing factor. Gene therapy does not correct genes passed on to children. Should patients who undergo gene therapy bank sperm? After undergoing gene therapy, the body can take up to several months to get rid of the vector used. This process is called viral shedding. The vector leaves the body through different bodily fluids such as semen, blood, urine, feces and saliva. Although the risk for the vector to affect sperm is low, men who undergo gene therapy are asked to use a barrier contraceptive method such as condoms to prevent pregnancies for an extended period of time after receiving gene therapy. If you are considering having a child soon after receiving gene therapy, you should discuss banking sperm with your doctor before doing so. Will gene therapy affect my ability to have children? No, gene therapy will not affect your ability to have children. However, because the vector is present in semen for a long period of time after receiving gene therapy, it is recommended that men use a barrier contraceptive method, such as condoms, to prevent pregnancies until the vector is no longer there. GENE THERAPY CLINICAL TRIALS: Can I get gene therapy today outside a clinical trial? Not right now. There are no gene therapy treatments for hemophilia A or B that have been approved by the FDA. At this time, your doctor cannot prescribe gene therapy treatments until the FDA determines they are safe and effective. How can I find out about on-going gene therapy clinical trials for hemophilia? You can find information on clinical trials at www. ClinicalTrials.gov. Enter "hemophilia" in the text box labeled "condition or disease" and "gene therapy" in the one labeled other "terms". If you want to only find trials available in the United States, then select that option in the text box labeled "Country". And then select the blue button that says Search. Once you get presented with the options you can use the filters on the left to select trials based on recruitment status, age, and sex. In addition, your HTC provider can also direct you to current clinical trials and answer specific questions you may have. GENE THERAPY AND INHIBITORS: Will gene therapy cause me to develop an inhibitor to my factor? Probably not, but this is not yet known. Although current gene therapy trials have not studied persons with a higher risk of getting an inhibitor, they have not shown a higher risk for those who have. Can I receive gene therapy if I have an inhibitor? No. At this time, clinical trials are not enrolling individuals with an active inhibitor or those who might still be at risk to develop one. That is, those who have had less than 150 exposure days to factor replacement therapy. PSYCHOSOCIAL ISSUES AND GENE THERAPY: What are the psychosocial issues that I should expect if I undergo gene therapy? You may have conflicting feelings after you undergo gene therapy or any other major life change. Examples could include guilt, feeling of not belonging to the community or fear of how the therapy might impact you in the future. This is completely normal. It is important that you speak with your HTC or primary care provider who can help you understand these feelings. Your HTC may also be able to put you in touch with another patient who is also enrolled in a gene therapy trial. Will I still be part of the bleeding disorders community? The bleeding disorders community is warm and welcoming, regardless of a change in your health status. You will always be a member of the community. You have much to offer, and your experience and knowledge can be very beneficial to others. Will I still have hemophilia if I have normal factor levels after undergoing gene therapy? Yes. Because gene therapy is relatively new, we don't know how high your factor levels will be and how long will they last. Factor levels may end up in the mild, moderate, or normal range and, even so, may change over time. While you may rarely need infusions of factor, you may still need it for surgeries, procedures, or after an accident. For that reason, you will need to stay in touch with your hemophilia treatment center and your community. Will I still be able to go to the HTC? Yes, please do! It is very important to be monitored for changes in overall physical health, including laboratory tests, as well as emotional health. Also, any issues you had prior to gene therapy (ex. joint issues) will need to be monitored as well. Your hemophilia treatment center will always be an important partner before and after gene therapy. GENERAL INFORMATION: How is gene therapy given? Gene therapy is a one-time intravenous (IV) infusion done in a medical facility by doctors and nurses. Patients receiving their infusion are always under close supervision. The infusion can last anywhere from minutes to a few hours. Where will I receive gene therapy? At this time, gene therapy is only available to people who are enrolled in a clinical trial. Infusions only occur in hemophilia treatment centers participating in clinical trials. Will my insurance company pay for gene therapy? NHF supports access to all FDA approved treatments and therapies, and has been engaged from early on with payers, developers and other interested organizations, to be a voice for consumers who wish to receive these novel therapies may do so. NHF strives to assure payers recognize these treatments should be delivered by expert providers found within HTC's, the only recognized center of excellence model purposely established to care for patients with bleeding and clotting disorders. Social Media: Stay connected to the latest gene therapy news on social media by following NHF on social media: @NationalHemophiliaFoundation NHF_Hemophilia NHF_Hemophilia www.linkedin.com/company/ national-hemophilia-foundation National Hemophilia Foundation - YouTube _________________________________________________ HemAware: Stay up to date with the latest gene therapy news by subscribing to NHF's free print magazine, HemAware. Sign up online at https://hemaware.org/subscribe _____________________________________________________ CVR: Share your experiences as a member of the inheritable blood disorders community by joining Community Voices in Research. Learn more and sign up at hemophilia.org/cvr _____________________________________________________ Steps for Living: The go-to online resource for life-stages education. With resources and tools divided by age groups, there are age-appropriate tips and tools for everyone. Visit hemophilia.org/SFL to learn more.
THE SNIPE The Newsletter of the Audubon Society of Central Arkansas Charles Mills What's Inside? President's Column Page 2 Upcoming Programs Page 5 Arkansas State List Page 3 Upcoming Field Trips Page 6 Remembering Fellow Birders Page 4 Field Trip Reports Page 7 __________________________________________________________________________________________________ Volume 47 Issue 2 www.ascabird.org March – May 2013 White River Recognized as National Blueway Zoie Clift Arkansas Department of Parks & Tourism Great news for Arkansas, on January 9, 2013, the Deputy Secretary of the Interior David Hayes announced the White River was named the nation's second National Blueway. National Blueway's are nationally significant rivers (and their watersheds) that are highly valued for the recreational, cultural, and ecological assets for the communities that depend on them. As part of the America's Great Outdoors Initiative, the designation recognized the innovative partnerships that are working to conserve the White River across its watershed from the Ozarks to the Mississippi. Federal leaders also announced a series of new initiatives aimed at supporting the new National Blueway. The White River hosts some impressive numbers. It flows for 772 miles from its headwaters in the Ozarks to its mouth at the Mississippi River and drains a watershed spanning 17.8 million acres across 60 counties in two states. It is a vital part of the wildlife-related economies of both Arkansas and Missouri. And in short, healthy rivers and watersheds are vital-providing not only outdoor recreation, but also clean water and flood and drought protection. In a press conference held at the Peabody in Little Rock, representatives from various federal, state, local, and conservation agencies met to hear the announcement and learn more about the initiatives that are being created to support this important river. Present at the designation were federal partners from the Department of the Interior, U.S. Army Corps of Engineers, Senator Mark Pryor, Arkansas Department of Parks and Tourism Executive Director Richard Davies, who made a speech on behalf of Arkansas Governor Mike Beebe, the mayor of Clarendon, and leaders from the National Wildlife Refuge Association, The Nature Conservancy, Ducks Unlimited, Arkansas Canoe Club, Arkansas Game and Fish Commission, and more. All together 26 groups came together in a partnership to make the designation a reality. Along with this announcement, the U.S. Fish and Wildlife Service also said they have approved a 101,110-acre expansion to the Cache River National Wildlife Refuge – one of the White River's main tributaries – that will protect floodplain habitat. Another announcement was from the U.S. Army Corps of Engineers, who said they are moving forward with the Lower Cache River Basin Restoration Project, which will increase fish and wildlife habitat. The National Blueways System was created in 2012 by Ken Salazar of the Department of the Interior. The goal of the system is to advance a watershed-wide approach to conservation, outdoor recreation, and other economic opportunities that rivers provide. The Connecticut River and its watershed in New England was designated the first National Blueway. ASCA Officers President Jane Gulley 501-225-2072 firstname.lastname@example.org Vice-president Dan Scheiman 501-280-9024 email@example.com Recording Secretary Vacant Treasurer Jim Dixon 501-258-1914 firstname.lastname@example.org Newsletter Editor Dottie Boyles 501-224-0302 email@example.com Board Members Robert Bays firstname.lastname@example.org Edie Calaway 501-228-7180 email@example.com Samantha Dixon firstname.lastname@example.org D. DeLynn Hearn 501-472-8769 email@example.com Bill Shepherd 501-375-3918 firstname.lastname@example.org Rob Weiss email@example.com Christmas Bird Count Compiler Dan Scheiman 501-280-9024 firstname.lastname@example.org Conservation Barry Haas 501-821-4097 email@example.com Hospitality Doris Boyles firstname.lastname@example.org 501-224-0302 Karen Holliday 501-920-3246 email@example.com Rare Bird Alert D. DeLynn Hearn 501-472-8769 firstname.lastname@example.org ASCA Webmaster J. Lyndal York 501-663-2192 email@example.com Field Trip Coordinator Karen Holliday 501-920-3246 firstname.lastname@example.org President's Column Taking Care of Feathered Friends I hope everyone made it through the ice and snowstorm that left many of us without electricity. It was a terrible sight to witness all the tree and shrub damage in our yards. I know most of us were concerned about our "feathered friends" and where they would go to get cover, food, and water. I have tried to plant locally native plants in my yard in order to make it more diverse and bird friendly. I was unpleasantly surprised to see our native Yaupon hollies were some of the plants most damaged by the ice and snow. It was especially sad to see one of the Yaupons bent almost to the ground and the Northern Mockingbird that claims it as his personal tiptop perch in which to view the neighborhood, flying back and forth surveying the damage. like to know more about the unusual sightings you can visit the Audubon Society of Central Arkansas's (ASCA) website at www.ascabird.org. Click on "Birding" in the left hand column and then click on "Rare Bird Reports." If you want another option you can call ASCA's Rare Bird Alert hotline at 501-753-5853 for the latest sightings. You can also check out our monthly field trips and see where the group is going next and what birds are likely to be seen. It makes for a wonderful family outing and you are most welcome to join the group – no experience needed! According to Google, the Yaupon fruit is an important food source for many birds, including: American Black Duck, Mourning Dove, Ruffed Grouse, Northern Bobwhite, Wild Turkey, Northern Flicker, Cedar Waxwing, Eastern Bluebird, American Robin, Gray Catbird, Northern Mockingbird, and White-throated Sparrow. Native Americans used the leaves and stems to brew a tea for male-only purification and unity rituals. The ceremony included vomiting, and that is how the Yaupon Holly got its Latin name, Ilex vomitoria. Only the female plants have the gorgeous red berries that both birds and people find desirable. One good thing resulting from the storm was the number of rare birds reported in the state that normally we would not have the opportunity to see. The last few years have been exciting for "stray" birds. If you would By the time you have the opportunity to read this, February will be over and Arkansas weather will be changing. Actually Arkansas's weather is always changing, but by early March spring will be lurking just around the corner. I hope my plants are standing up after being weighted down by the snow and ice, and the broken branches I pruned have started to sprout new growth. I bet by then my beautiful, sometimes aggressive, always vocal, mockingbird will have adjusted to the change in his territory. I hope you will join us on a field trip or a monthly meeting. For information about the where and when of meetings, click "Meetings" in the left-hand column when you visit the website. For field trip information click on "Birding," then click on "Field Trips," to see a list of proposed trips. You can choose what looks interesting to you and plan to attend. And you might have an opportunity to see one of those "stray" birds visiting Arkansas. Jane Gulley ASCA President ________________________________________________________________________ ASCA Membership Renewal Just a reminder, ASCA membership renewals were due January 1, 2013. It's not too late to renew. Pay on-line via PayPal or Google Wallet through the Membership page of www.ascabird.org or checks can be mailed to Jim Dixon, Treasurer, 11805 Birchwood Drive, Little Rock, AR 72211. Arkansas State List Charles Mills According to my records, the Arkansas state list currently totals 413 species. In Arkansas Birds-Their Distribution and Abundance, James and Neal, 1986, UA Press, treated 366 species. Subsequently, 47 species have been added to the Arkansas state list. Of those, one species (Royal Tern) was inadvertently omitted from Arkansas Birds and 3 species (Cackling Goose, Spotted Towhee and Bullock's Oriole) were restored as the result of "splits" by the AOU. The remaining 43 new species for Arkansas include: Brant, Barnacle Goose, Eurasian Wigeon, Mottled Duck, Tufted Duck, Barrow's Goldeneye, Pacific Loon, Yellow-billed Loon, Least Grebe, Brown Booby, Northern Gannet, Neotropic Cormorant, Wilson's Plover, Curlew Sandpiper, Black-headed Gull, Thayer's Gull, Lesser Black-backed Gull, California Gull, Gullbilled Tern, Eurasian Collared-Dove, White-winged Dove, Magnificent Hummingbird, Black-chinned Hummingbird, Anna's Hummingbird, Broad-tailed Hummingbird, Calliope Hummingbird, Broad-billed Hummingbird, Buff-bellied Hummingbird, Ash-throated Flycatcher, Couch's Kingbird, Gray Kingbird, Forktailed Flycatcher, Northern Shrike, Cave Swallow, Northern Wheatear, Varied Thrush, McCown's Longspur, Black-throated Gray Warbler, Cassin's Sparrow, Brewer's Sparrow, Lark Bunting, Graycrowned Rosy-Finch, and Scott's Oriole. Since 1986 (and excluding Cackling Goose and Spotted Towhee), at least 1 new species has been added to the Arkansas list each year except for 1992, 1998, 2000 and 2006. The busiest year for new species was 2005 when 5 (Northern Gannet, Broad-billed Hummingbird, Cave Swallow, Black-throated Gray Warbler, and Scott's Oriole) were added. The busiest months for new additions have been December (8), May (7), January (6), October (5), August (4), and November (4). The months of February, March, April, June, July and September added 0 to 2 species each. None of this bears any great significance, but it was interesting to see the distribution of new state birds by months and years. __________________________________________________________________________________________ Little Rock and Lonoke Christmas Bird Count Results Dan Scheiman, Compiler For the Little Rock CBC held Saturday, December 15, 2012, 40 birders plus 8 feeder-watchers tallied 161,741 birds of 99 species during a collective 78 hours and 392 miles. This is the highest participant count on record! Rare birds on this count were a male Spotted Towhee (4 th occurrence), a Black-crowned Night-Heron (3 rd occurrence), and the Ruby-throated/Black-chinned Hummingbird at Cindy Franklin and Bill Burnham's house (2 nd occurrence). High counts were obtained for Mallard, Great Egret, and American Woodcock (13). Virginia Rail, Horned Lark, Chipping Sparrow, and Lincoln's Sparrow were notable misses. Due to a recent snowstorm, the Lonoke CBC was delayed a day to Sunday, December 30. Yet when count day came, 18 birders tallied 125,642 birds of 99 species during a collective 57.5 hours and 319.5 miles. Notable birds were a Harris's Sparrow (20th occurrence), an American Woodcock (11th occurrence), and a flock of 13 Tree Swallows (photographed by Dale Provost). This was just the third time that Tree Swallows had been found on this CBC and seemingly the only half-hardy lingerer on the count. The snowstorm might have kept away other half-hardy species, but it also may have led to a high count of high counts - 8 species: Greater White-fronted Goose, Ross's Goose, Lesser Scaup, Ruddy Duck, Great Egret, Cooper's Hawk (tied for high), Sedge Wren, and American Pipit (854); the latter blew away the previous high count of 274! Great Horned Owl, Pileated Woodpecker, Brown Thrasher, and Vesper Sparrow were notable misses. Thanks to all volunteers for your help in this season's counts! Join us again next season. Dottie Boyles Remembering Fellow Birders Dennis Martin Eagle, 64, of Beebe, died December 23, 2012. He was born February 16, 1948 in Little Rock, Arkansas, to the late Douglas and Mildred Eagle. He is survived by his wife of 37 years, Janet; two sons, James Austin Eagle (Carol), of Redfield, Michael Todd Jackson (Gina), of Vilonia; one daughter, Courtney Dawn Eagle of Beebe; six grandchildren, Sara Elizabeth Eagle, Ryan Austin Eagle and James Andrew Shannon of Redfield, Thomas Justin Jackson and Gina Shay Jackson of Little Rock, Jordan Breann Shook of Beebe; two sisters, Susan Johnston (John), of Maumelle, Tracy Eagle of Denver, CO; one brother, Haydon Eagle of Belleville. Dennis graduated from the University of Arkansas at Monticello in 1970 with a degree in Forestry. He retired after 36 years in the forestry business. He enjoyed hunting, fishing, trapping, and bird watching, and shared his knowledge in these areas by writing articles for various outdoor magazines. Dennis enjoyed being outdoors and fell in love with nature at an early age. His grandmother and mine were sisters and lived "next door" to each other, as farms go, on top of Wye Mountain. During weekend and summer visits to his grandparents, Dennis spent much of his time walking the hills, pastures, and woodlands of both properties. We teamed up during the last four Little Rock Christmas Bird Counts. He had a keen eye for spotting birds, especially ducks. He was a great team member and will be missed. Terry Butler remembered, "I first met Dennis a few years back at the ASCA field trip to Bald Knob NWR. We were the first two to arrive and we talked and birded together until the others arrived. I enjoyed getting to know him. He loved birding and people and it is sad to all for this loss. Dennis was a member of AAS joining in 2001." Gail Northcutt stated, "During my brief encounters with Dennis, it was obvious he was a true gentleman...who deeply cared for feathered creatures." "Dennis joined me on several Christmas Bird Counts and we always had a great time. Dennis was one of the best at anticipating certain species based on the terrain and being able to identify species based on behavior. And it wasn't just birds. His years of time in the field gave him an understanding of nature few people possess. I learned a lot from Dennis and I'm sure others did as well," Ed Laster said. __________________________________________________________________________________________________ Jeff R. (Ol' Coot) Wilson The birding community was shocked to hear of the death of Jeff R. Wilson (Ol' Coot), 74, of Memphis, TN, who passed away unexpectedly at his home on February 11, 2013. A celebration of his life and love of nature was held February 15th, at the Lichterman Nature Center. Born in Canton, MS, Jeff was preceded in death by his parents Robert Connor and Ruth Wilson, his brother John Wilson, and sisters Ruth Wilson, Mary Jane Wilson and Martha Baker. He is survived by his son, Scott Wilson (Phyllis); daughter, Holly Thompson (Mark); brother, Robert C. Wilson, Jr. (Bobbylee); and sisters, Dorothy Schrader, Elizabeth Carter, and Kay Grisanti (Ronnie). He also leaves behind his grandchildren Brad and Ryne Wilson, Kelly Jones (Dustin), Austin and Cameron Graeter; two great-grandchildren Chloe and Olivia Jones, and many nieces, nephews, and friends. Known to many in the birding community as Ol' Coot, Jeff spent much of his time outdoors searching for rare birds, conducting Christmas Bird Counts or leading groups on birding expeditions all over the world. He was a member of the Audubon Society and American Ornithological Society. Jeff was also a member of the Tennessee Watercolor Society. His artwork has been shown at the Brooks Museum of Art and featured in The Commercial Appeal. Jeff attributed his interest for birding began when a male Blackburnian Warbler landed in his boat while fishing one day. He was so intrigued with the beauty of the bird that he put down his rod and picked up a pair of binoculars. After that Jeff spent endless hours watching and studying birds. His attention to detail was incredible. It would be hard to add up the number of 1st, 2nd, and 3rd state records Jeff found, not only in TN, but surrounding states as well. He was always willing to share his knowledge to help others. Mike Todd of McKenzie, TN said it best, "Time spent with Jeff was always a lot of fun, whether birding, or just swapping stories." Jeff posted many of his photos online at: http://www.pbase.com/ol_coot/. There are 88 galleries and 2,787 images. At the time of his death, these pages had been viewed a total of 1,024,226 times. Upcoming Programs ASCA meets at 7:00 PM, the second Thursday of each month at the John Gould Fletcher Library (except where noted), located at 823 Buchanan Street, on the corner of Buchanan and H Streets, just off North University Ave. The programs are free and open to the public. __________________________________________________________ March 14, 2013 – Beating the Heat With Cool Birds During the Month of June in Southeastern Arizona Speakers: Edie Calaway and Kelly Chitwood Arkansas birders/photographers Edie Calaway and Kelly Chitwood visited birding hotspots in southeastern Arizona during June 2012. From Madera Canyon to Mount Lemmon they saw specialties such as Redfaced Warbler, Elegant Trogon, and Broad-billed Hummingbird. Attend this program and be inspired to plan your own birding trip to Arizona. Edie Calaway lives in Little Rock with her husband, and two rescue dogs. Her son currently attends the University of Arkansas in Fayetteville. Edie is a part-time physical therapist at Arkansas Specialty Orthopedics clinics. She also serves on the board of ASCA. Kelly Chitwood lives in El Dorado with her husband, daughter, and four rescued pets. She serves as editor of Arkansas Birds for the Arkansas Audubon Society. She is employed by MultiMedia Graphics, Inc. as a senior graphic artist and IT. Her photographs have been nationally publicized by Audubon, Cornell, Birds and Blooms, as well as Arkansas Game & Fish Commission, and Arkansas State Parks. __________________________________________________________ April 11, 2013 – Woolsey Wet Prairie Speaker: Bruce Shackleford Woolsey Wet Prairie is an excellent birding site for numerous wetland and open country birds. Its growing list includes: Least Bittern, Shorteared Owl, Sedge Wren, Spotted Towhee, Nelson's Sparrow, and even extreme rarities - Cassin's Sparrow, Brewer's Sparrow, and Northern Shrike. It began as a wetland mitigation site constructed to offset wetlands lost from construction of the City of Fayetteville's West Side Wastewater Treatment Facility. Bruce Shackleford, co-designer of the restoration, will describe how he turned a fescue pasture into a tallgrass prairie and a birding hotspot. Bruce Shackleford is president and principal project director of Environmental Consulting Operations, Inc., of Benton, Arkansas. He has over 30 years of experience as an environmental professional with expertise in NPDES and Section 404 permitting, endangered species, wetland delineations and mitigation, ecological restoration, bioassay/toxicity reduction evaluation consulting, storm water Best Management Practices, environmental site assessments, NEPA regulations, and aquatic biological assessments. He has served as the environmental consultant for the City of Fayetteville's Wastewater System Improvements Project, and developed environmental regulatory compliance programs for multiple construction contracts. _________________________________________________________ May 2012 – No Regular Meeting Please note: ASCA does not hold a meeting in May. Audubon Photo Awards On January 4, 2013, Gail Miller received a message from Audubon magazine that every nature photographer loves to hear: "Congratulations! One of the photos you entered made it into the Audubon Magazine Photo Awards Top 100." "These photos are pretty darn amazing, so I feel more than honored!" stated Gail, who lives in Conway. The photo she submitted was of a Ruby-throated Hummingbird. Gail has taken some amazing photos over the years of the hummingbirds that visit her yard. Congratulations again to Gail Miller on an award winning photo! ___________________________________ Gail Miller snapped a photo of a juvenile Black-crowned Night-Heron while visiting Lake Overcup on Feb. 8, 2013. According to Charles Mills the bird is rare for the season. "There are only about a dozen records for Arkansas in the Arkansas Audubon Society Online Database (1985 forward) for the winter months (January and February) and most of these were reported from locations well in the southern half of the state." Rare Birds Visit State While Rufous Hummingbirds have become quite common during winter months in Arkansas, an unusual number of other species have been turning up in yards, country clubs, state parks and various other locations around The Natural State, causing birders to pack up their binoculars and get on the move. Here are just a few of the species reported this winter. A Lesser Goldfinch and an apparent Black-chinned Hummingbird took up residence at a yard in Mabelvale. A Neotropic Cormorant has been enjoying the sun at Lake Conway. Four Townsend's Solitaires were enjoying cedar berries at Mount Magazine State Park. A Common Redpoll is bullying House Finches at a feeder in Little Rock. Lesser Black-backed and Glaucous Gulls are savoring handouts from a fisherman on Lake Dardanelle. Prairie Falcons and Say's Phoebe's have been spotted from one end of the state to the other. And a Vermillion Flycatcher prefers the country club way of life in DeWitt as does a large flock of Red Crossbills in Fayetteville. Common Redpoll Photographed by Lyndal York in his backyard in Little Rock. Red Crossbill Photographed by Jim Dixon at the Fayetteville Country Club. ASCA Field Trip Schedule ASCA sponsors numerous field trips throughout the year. The trips are open to all and carpooling is available for trips outside of Little Rock. This is a great opportunity for novice birders to meet and learn more about birds from experienced birders, or perhaps a chance to see a lifebird for those who list. For more information visit www.ascabird.org or contact Karen Holliday, ASCA Field Trip Coordinator, at email@example.com or 501-920-3246. Always bring plenty of water with you. _______________________________________________________________ March 16, 2013 Lake Maumelle and WinRock Grass Farm Meet at 7:30 a.m. in the parking lot of the Jolly Rogers Marina on Lake Maumelle. We'll check various points on Lake Maumelle to look for loons and other waterfowl, Brown-headed Nuthatch, Golden-crowned Kinglet, and woodpeckers. From there we'll caravan to the WinRock Grass Farm on Higginbotham Rd. The grass farm is a mix of sod grass fields, old fields, woodlands, and riparian areas. Sturdy shoes or boots are recommended. This will be a morning trip. Directions to Jolly Rogers Marina—the marina is approximately 10 miles west of Little Rock on Hwy. 10. Turn right at the white and black Jolly Rogers Marina entrance sign and drive down to the boat launch area. The marina address is 11800 Maumelle Harbour Rd., Roland. The GPS coordinates for the Grass Farm are 34.875172, -92.716715. _______________________________________________________________ April 27, 2013 Wapanocca National Wildlife Refuge Meet at 6:30 a.m. at the Prothro Junction commuter lot off I-40 East, at Exit 157, on the southeast side of the interstate. Bring, water, snacks, and lunch. This will be an allday trip. Located 20 miles northwest of Memphis, TN., Wapanocca NWR literally stands as a wildlife oasis in an agricultural sea. An excellent diversity of habitat comprised of agricultural land, bottomland hardwood forest, open water and flooded cypress/willow swamp. Located along the Mississippi Flyway, the refuge is a major stopping place for migrating warblers. Bald Eagles and Anhingas nest on the refuge. Visit www.fws.gov/wapanocca/ for more information. Directions—GPS: 35.345833, -90.216667. From I-55, take Exit 23 (Turrell), travel southeast on Hwy. 77 two miles, turn east on Hwy. 42, go under the railroad overpass and turn right at the top of the hill (refuge entrance). From I-55 heading north, take Exit 21 (Hwy. 42), travel east 1 ½ miles on Hwy. 42, cross Hwy. 77, go under the railroad overpass and turn right at the top of the hill (refuge entrance). _______________________________________________________________ May 11, 2013 Holland Bottoms Wildlife Management Area-AGFC Meet at 7:00 a.m. at the boat launch and fishing pier area of Lake Pickthorne at Holland Bottoms WMA. May 11 is International Migratory Bird Day (IMBD). Our group will serve as citizen scientists and record and submit the number of birds and species seen while there. This will be a joint endeavor with ASCA, Audubon Arkansas, and the AR Game & Fish Commission. About 87% of the WMA is bottomland hardwoods. Our target birds will be spring migrants. Bring boots it may be muddy in places. This will be a morning trip. Directions—GPS: 34.9127, -92.075. Take Exit 11 east off Hwy. 67/167 between Jacksonville and Cabot. Go north on the frontage road approximately 2.5 miles. Turn right onto E. Coffelt Rd. at the brown Holland Bottoms sign. Go 1/3 mile and turn right on to Holland Bottoms Rd. At the fork just before the lake, turn left and go to the boat ramp. Field Trip Reports Lake Dardanelle and Holla Bend National Wildlife Refuge January 26, 2013 Forty-two birders, including several ornithology students from the University of Central Arkansas, met at Lake Dardanelle. Our first stop was the inlet at James Creek where Kenny Nichols had reported the Barrow's Goldeneye. We easily found the male Barrow's mixed in with several Common Goldeneyes. The next stop was the boat launch at Delaware Recreation Area where approximately 75 Ring-billed Gulls were sitting on the water or soaring overhead. Included in the flock were one Glaucous Gull and one Lesser Blackbacked Gull. Other species seen on the lake included: American White Pelican, Horned and Pied-billed Grebes, Common Loon, Bufflehead, American Coot and a Belted Kingfisher. The UCA students were astounded at the sight of over 1,200 Snow Geese resting on the water. Several of the experienced birders shared scopes, bird books, and bird knowledge with the students as they worked diligently, recording all of the species being spotted; getting the correct spelling of the bird names, and looking at field guides to get a better understanding of the differences in the plumages of the gulls, as well as differences in the male and female Buffleheads, scaup, and goldeneyes. the Lodge Lake loop trail hoping for the Golden Eagle that had been seen recently. No luck with the eagle, but several Yellow-rumpled Warblers were spotted. We continued to bird our way around the rest of the refuge. At the observation deck we found Ring-necked Ducks, Northern Shovelers, Gadwalls, and Mallards, but no Trumpeter Swans. In the field across from the observation deck, the group spread out in a line. Within minutes several LeConte's Sparrows flushed in all directions! Some birds were very cooperative and ran out into open spaces and paused, giving everyone great looks. Also seen on the refuge were numerous Northern Harriers, American Kestrels, Red-tailed Hawks, and a pair of Bald Eagles on a nest. From there we caravanned to Holla Bend NWR. At the headquarters we spotted Red-headed, Red-bellied, and Downy Woodpeckers, Northern Flicker, Yellow-bellied Sapsucker, and heard Pileated Woodpeckers. We walked After we finished at the refuge, we drove to Country Loop Road to look for Harris's Sparrows. We found a mixed flock of Dark-eyed Juncos, White-crowned and Harris's Sparrows at their favorite hangout. Also moving around in the cedars were a Yellow-bellied Sapsucker, Ruby-crowned Kinglet, and Carolina Wren. The Bewick's Wren responded to play-back, but never came out in the open. In a nearby field was a small group of Rusty Blackbirds. At the end of the trip, all the students remarked how astonished they were by number of species observed in one day. Our total count for the trip was 63. --Karen Holliday __________________________________________________________________________________________________ Halowell Reservoir and the Wrape Plantation, Bayou Meto Wildlife Management Area February 23, 2013 Twenty-four birders, including several ornithology students from the University of Central Arkansas, met Karen Rowe with the Arkansas Game and Fish Commission (AGFC), at Bayou Meto WMA. Karen explained how water flowing through the WMA is controlled to provide resting areas for wintering waterfowl, and favorable conditions for Red Oaks to produce acorns, which birds and other animals use as a food source. We scanned the Halowell holding ponds and found American Coots, Northern Shovelers, Gadwalls, Ruddy Ducks, and a gorgeous male Northern Pintail. We also had three Buffleheads, a new sighting for the reservoir. In the muddy, plowed field next to the headquarters building, we found a large flock of Greater White-fronted Geese and Green-winged Teal. We caravanned 25 miles south to the Wrape WMA. This large, former plantation was also acquired by AGFC to provide sanctuary for wintering birds. The flooded soil units were full of ducks, plus a large flock of 3,000+ Snow Geese, with about 10 Ross's Geese mixed in. Five adult and juvenile Bald Eagles soared overhead. Also sighted were two FOS Tree Swallows. On the drive back to Halowell, we spotted a large group of Lesser Yellowlegs, with five Greater Yellowlegs, and 60+ Wilson's Snipe mixed in. In another field, we saw American Pipits and Brewer's Blackbirds. Back at the reservoir, we found an American Wigeon, several Redheads, eight American White Pelicans, and another huge flock of Snow Geese. Driving back to Little Rock, we stopped to see the Say's Phoebe that was recently found flycatching in a dirt pit. We ended the day with a total of 56 species. --Karen Holliday Audubon Society of Central Arkansas P. O. Box 6213 Sherwood, AR 72124 Forwarding and return postage guaranteed. Return service requested. A Lesser Goldfinch has been visiting the feeders of Lenore Gifford's home in Mabelvale since late December. photo by Michael Linz Audubon Society of Central Arkansas Chapter Only Membership Application Name _____________________________________________ Address ___________________________________________ City _______________________ State ______ Zip _______ E-mail address ______________________________________ ASCA Dues Proration for New Members *New Memberships paid in the last quarter (Oct-Dec), will include full membership for the following calendar year. All Membership renewals are due January 1 of each calendar year. Make check payable to ASCA and mail to: Jim Dixon, Treasurer, 11805 Birchwood Drive, Little Rock, AR 72211. Please note that "Chapter Only Members" will not receive Audubon magazine. To receive Audubon magazine, you need to join the National Audubon Society (NAS). 8 Address changes should be sent to the following: If Chapter Only Member, notify Leon Brockinton, c/o Brockinton Company, LLC at P. O. Box 6213, Sherwood, AR 72124. If NAS member, notify both Brockinton Company and NAS at P. O. Box 51001, Boulder, CO 80322-1001. First Class Presort U.S. Postage PAID Little Rock, AR Permit 588 The Snipe is published quarterly by the Audubon Society of Central Arkansas. Our mission is to encourage programs and activities supporting all things natural, wild, and free, especially birds, bird habitat stability and improvement, as well as to promote fellowship among members, educate and inspire the public, and champion the highest standards of ethical outdoor conduct. __________________________________________ Arkansas Rare Bird Alert (RBA) The RBA lists rare and unusual birds found throughout the state and if possible directions to these birds. To report or hear the latest sightings, call 501-753-5853. The number is listed as J.J. Audubon in the phone book. It is the only white page listing with the last name Audubon. __________________________________________ Find an Injured Bird? For a listing of an Arkansas Game and Fish Commission authorized Migratory Bird Rehabilitator in your area, you can visit their website at: http://www.agfc.com/species/Documents/migratorybird_r ehablist.pdf ______________________________________________ Reporting a Banded Bird To report a bird with a Federal Band or Color Marker you can visit the U.S. Geological Survey website at: http://www.reportband.gov/.
Read Online Fundamentals Of Neurois Information Systems And The Brain Studies In Neuroscience Psychology And Behavioral Economics Pdf For Free Fundamentals of NeuroIS Information Systems and Neuroscience Information Systems and Neuroscience Information Systems and Neuroscience Information Systems and Neuroscience Information Systems and Neuroscience Information Systems and Neuroscience Neuroscience in Information Systems Research Information Systems and Neuroscience Cyberpsychology and the Brain Neuroscience in Information Systems Research Information Systems and Neuroscience HCI International 2020 - Posters The Future of Digital Business Innovation HCI in Business, Government and Organizations. eCommerce and Consumer Behavior Information Systems and Neuroscience Alfred Adler: Problems of Neurosis Neurosis and Human Growth HCI International 2020 - Late Breaking Papers: User Experience Design and Case Studies Neurosis in Society Jimmy Neurosis Service-Oriented Perspectives in Design Science Research An Integrative Guide to Consumer Neuroscience Essential Papers on Character Neurosis & Treatment Neurosis in the Ordinary Family The Routledge Companion to Behavioural Accounting Research Neurosis and Modernity Neurosis The Homosexual Neurosis The Psychoanalytic Theory of Neurosis The Neurosis Of Man A Survey of War Neurosis and Its Aftermath ... An Enquiry into Prognosis in the Neurosis Shell Shock Neurosis Problems of Neurosis Genitality in the Theory and Therapy of Neurosis Historical Origins of the Concept of Neurosis Medical and Health Related Sciences Thesaurus Personal Styles in Neurosis (RLE: Group Therapy) This book presents the proceedings of the NeuroIS Retreat 2021, June 1-3, virtual conference, reporting on topics at the intersection of information systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. Presents Reich's second revised edition of his clinical findings on the significance of genitality to neurosis The three-volume set CCIS 1224, CCIS 1225, and CCIS 1226 contains the extended abstracts of the posters presented during the 21st International Conference on Human-Computer Interaction, HCII 2020, which took place in Copenhagen, Denmark, in July 2020.* HCII 2020 received a total of 6326 submissions, of which 1439 papers and 238 posters were accepted for publication in the pre-conference proceedings after a careful reviewing process. The 238 papers presented in these three volumes are organized in topical sections as follows: Part I: design and evaluation methods and tools; user characteristics, requirements and preferences; multimodal and natural interaction; recognizing human psychological states; user experience studies; human perception and cognition. -AI in HCI. Part II: virtual, augmented and mixed reality; virtual humans and motion modelling and tracking; learning technology. Part III: universal access, accessibility and design for the elderly; smartphones, social media and human behavior; interacting with cultural heritage; human-vehicle interaction; transport, safety and crisis management; security, privacy and trust; product and service design. *The conference was held virtually due to the COVID-19 pandemic. Behavioural research is well established in the social sciences, and has flourished in the field of accounting in recent decades. This far-reaching and reliable collection provides a definitive resource on current knowledge in this new approach, as well as providing a guide to the development and implementation of a Behavioural Accounting Research project. The Routledge Companion to Behavioural Accounting Research covers a full range of theoretical, methodological and statistical approaches relied upon by behavioural accounting researchers, giving the reader a good grounding in both theoretical perspectives and practical applications. The perspectives cover a range of countries and contexts, bringing in seminal chapters by an international selection of behavioural accounting scholars, including Robert Libby and William R. Kinney, Jr. This book is a vital introduction for Ph.D. students as well as a valuable resource for established behavioural accounting researchers. The Psychoanalytic Theory of Neurosis, Fenichel's classic text, summarized the first half century of psychoanalytic investigation into psychopathology and presented a general psychoanalytic theory of neurosis. When Otto Fenichel died, Anna Freud mourned the loss of 'his inexhaustible knowledge of psychoanalysis and his inimitable way of organizing and presenting his facts'. These qualities shine through The Psychoanalytic Theory of Neurosis which has been a standard reference for generations of psychoanalysts. For this anniversary edition, Leo Rangell has written an introduction that sets Fenichel's work in context. He sees Fenichel as a worthy heir to Freud; both men influenced their followers by what Rangell calls 'the charisma of ideas'. In his epilogue, Rangell describes the fate of Fenichel's ideas and of this book as 'a barometer of the place of psychoanalysis ... within the external intellectual world and, even more significantly, of the trends and shifting winds of opinion within the psychoanalytic field itself'. He traces those trends through the turbulent controversies of the field, concluding that Fenichel's observations are as fresh and relevant today as they were fifty years ago. In Neurosis and Human Growth, Dr. Horney discusses the neurotic process as a special form of the human development, the antithesis of healthy growth. She unfolds the different stages of this situation, describing neurotic claims, the tyranny or inner dictates and the neurotic's solutions for relieving the tensions of conflict in such emotional attitudes as domination, self-effacement, dependency, or resignation. Throughout, she outlines with penetrating insight the forces that work for and against the person's realization of his or her potentialities. First Published in 1950. Routledge is an imprint of Taylor & Francis, an informa company. Consumer neuroscience is a complex, interdisciplinary, and emerging field that cuts across psychology, neuroscience, and consumer research. The book provides a comprehensive overview of the foundations and applications of modern consumer neuroscience, exploring a wide range of established and emergent topics in the field, making it the ideal resource for anyone looking to broaden their knowledge base. The content provides a thorough, high-level guide to the mathematical, technological, and theoretical aspects of consumer neuroscience, alongside a wide range of specific applications situated within a scientific context. The book includes chapters on cognitive processes and behaviors, the human brain, mathematical concepts, and neuroscience technologies. It considers the difference of individual, social and commercial neuroscience through the lens of gender differences, aging and ethics, amongst other concepts, enabling the reader to adopt an holistic view of the field and discover new research directions. This is enhanced by the inclusion of consolidating questions and answers for each chapter alongside numerous images to enhance the reader's understanding of the topic. The book is an essential read for the aspiring researcher or practitioner striving for an in-depth understanding of the field and its ramifications. This book presents the proceedings of the virtual conference NeuroIS Retreat 2020, June 2–4, hosted in Austria, reporting on topics at the intersection of information systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. This book presents the proceedings of the NeuroIS Retreat 2022, June 14-16, Vienna, Austria, reporting on topics at the intersection of information systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. This two-volume set LNCS 11588 and 11589 constitutes the refereed proceedings of the 6th International Conference on Business, Government, and Organizations, HCIBGO 2019, held in July 2019 as part of HCI International 2019 in Orlando, FL, USA. HCII 2019 received a total of 5029 submissions, of which 1275 papers and 209 posters were accepted for publication after a careful reviewing process. The 63 papers presented in these two volumes are organized in topical sections named: Electronic, Mobile and Ubiquitous Commerce, eBanking and Digital Money, Consumer Behaviour, Business Information Systems, Dashboards and Visualization, Social Media and Big Data Analytics in B Indexing terms used in CRISP (Computer Retrieval of Information on Scientific Projects) and in Research grants index. Alphabetical arrangement. Cross references under terms. In western countries, paths to modernity created socio-cultural conditions conducive to the dissemination of the language of nerves. This book examines historically the ways in which neurosis became a contagious diagnosis in Sweden, attaining the status of a national malady. This book presents the proceedings of the NeuroIS Retreat 2019, held on June 4–6 in Vienna, Austria, reporting on topics at the intersection of information systems (IS) research, neurophysiology and the brain sciences. Featuring the latest findings from top scholars in the field, it offers detailed insights into the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as applying neuroscience and neurophysiological to advance IS theory. This book presents the proceedings of the NeuroIS Retreat 2022, June 14-16, Vienna, Austria, reporting on topics at the intersection of information systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. This authored volume presents the fundamentals of NeuroIS, which is an emerging subfield within the Information Systems discipline that makes use of neuroscience and neurophysiological tools and knowledge to better understand the development, use, and impact of information and communication technologies. This book is an initial guide to this new research domain. The target audience primarily comprises PhD students and researchers, but the book may also be beneficial for graduate students and practitioners. To the British soldiers of the Great War who heard about it, 'shell shock' was uncanny, amusing and sad. To those who experienced it, the condition was shameful, unjustly stigmatized and life-changing. The first full-length study of the British 'shell shocked' soldiers of the Great War combines social and medical history to investigate the experience of psychological casualties on the Western Front, in hospitals, and through their postwar lives. It also investigates the condition's origin and consequences within British culture. Originally published in 1981, the inadequacies of the 'medical model' for the understanding and psychological treatment of neuroses were widely recognized. A number of alternative approaches had arisen in response, but most of the models were theoretical, and little experimental support was documented. One of the most pressing needs at the time was for a system of classification which could predict the behaviour of different types of neurotic patient under different treatments, and thus provide a framework for the selection of patients for small group psychotherapy and for behaviour therapy. The authors of this title develop such a framework, involving the matching of patient, therapist and treatment according to certain adjustment strategies such as 'direction of interest', 'conservatism', 'convergent-divergent thinking', 'openness to inner experience' and 'control'. The 'personal style' of an individual is defined by these strategies, and by the patient's expectations from treatment. The authors collected a considerable amount of original research material over many years, and their evidence demonstrates the fundamental importance of 'personal style' in treatment allocation and response. The new approach which they propose will be of interest not only to academic psychologists but to those in the mental health professions actively engaged in psychotherapy and behaviour therapy. Written in 1949, this study is an effort to apply the methods of science to a study of the basic causes of human conflict. Using a research from over thirty years and addressed to the layman as well as the scientist it reports findings and formulations that emerged from investigations into man's inter-rational behaviour. Describing the inception and development of objective methods for evaluating and controlling human conflict. This study is based on the history of the author's and Clarence Shield's association with the The Lifwynn Foundation and work on the history of phylobiology. It discusses the investigations around: what man is overtly is not what man is basically; that the externals of man are not man and exploring human relations as psychosocial and not biological. Looking at the issue basic to human motivation and behaviour, the problem of self, the investigation comes to the conclusion that phylobiology is the application of scientific method to the field of human relations and this report presents an account of the enquiry into disorders of human behaviour. This book constitutes late breaking papers from the 22nd International Conference on HumanComputer Interaction, HCII 2020, which was held in July 2020. The conference was planned to take place in Copenhagen, Denmark, but had to change to a virtual conference mode due to the COVID-19 pandemic. From a total of 6326 submissions, a total of 1439 papers and 238 posters have been accepted for publication in the HCII 2020 proceedings before the conference took place. In addition, a total of 333 papers and 144 posters are included in the volumes of the proceedings published after the conference as "Late Breaking Work" (papers and posters). These contributions address the latest research and development efforts in the field and highlight the human aspects of design and use of computing systems. The 54 late breaking papers presented in this volume were organized in two topical sections named: User Experience Design and Evaluation Methods and Tools; Design Case Studies; User Experience Case Studies. This book gives a clear meaning to the term neurosis historically and in modern times. First Published in 1999. Routledge is an imprint of Taylor & Francis, an informa company. Tavistock Press was established as a co-operative venture between the Tavistock Institute and Routledge & Kegan Paul (RKP) in the 1950s to produce a series of major contributions across the social sciences. This volume is part of a 2001 reissue of a selection of those important works which have since gone out of print, or are difficult to locate. Published by Routledge, 112 volumes in total are being brought together under the name The International Behavioural and Social Sciences Library: Classics from the Tavistock Press. Reproduced here in facsimile, this volume was originally published in 1967 and is available individually. The collection is also available in a number of themed mini-sets of between 5 and 13 volumes, or as a complete collection. This book presents the proceedings of the Gmunden Retreat on NeuroIS 2016, reporting on topics at the intersection of Information Systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. This book presents the proceedings of the NeuroIS Retreat 2018, June 19-21, Vienna, Austria, reporting on topics at the intersection of Information Systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. A Lambda Literary Award Finalist From a celebrated figure of the food world comes a poignant, provocative memoir about being young and gay during the 1970s punk revolution in America Long before James Oseland was a judge on Top Chef Masters, he was a teenage rebel growing up in the pre–Silicon Valley, California, suburbs, yearning for a taste of something wild. Diving headfirst into the churning mayhem of the punk movement, he renamed himself Jimmy Neurosis and embarked on a journey into a vibrant underground world populated by visionary musicians and artists. In a quest that led him from the mosh pits of San Francisco to the pop world of Andy Warhol's Manhattan, he learned firsthand about friendship of all stripes, and what comes of testing the limits—both the joyous glories and the unanticipated, dangerous consequences. With humor and verve, Oseland brings to life the effervescent cocktail of music, art, drugs, and sexual adventure that characterized the end of the seventies. Through his account of how discovering his own creativity saved his life, he tells a thrilling and uniquely American coming-of-age story. This book shows how information systems (IS) scholars can effectively apply neuroscience expertise in ways that do not require neuroscience tools. However, the approach described here is intended to complement neuroscience tools, not to supplant them. Written by leading scholars in the field, it presents a review of the empirical literature on NeuroIS and provides a conceptual description of basic brain function from a cognitive neuroscience perspective. Drawing upon the cognitive neuroscience knowledge developed in non-IS contexts, the book enables IS scholars to reinterpret existing behavioral findings, develop new hypotheses and eventually test the hypotheses with non-neuroscience tools. At its core, the book conveys how neuroscience knowledge makes a deeper understanding of IS phenomena possible by connecting the behavioral and neural levels of analysis. Common mental illnesses have been diagnosed separately in recent years, but what is seldom understood is that they are all linked together, often much more closely than other disorders. In particular, combined anxiety and depression linked to personality disturbance, generally known as neuroticism, is very common. In the absence of awareness of its importance, this frequently leads to wrong clinical decisions and poor outcomes for patients. This book focuses on the concept of neurosis, tracing its history as a concept, its abolition from the DSM, the purpose and importance of the Nottingham Study of Neurotic Disorder, the re-definition of neurosis as the general neurotic syndrome, and its recently updated evidence base. Written for psychiatrists, psychologists and researchers, this book shows how recognising these combined common disorders is absolutely necessary for mental health practice, and urges that it is time that we reexamine our treatment priorities. This book constitutes the refereed proceedings of the 6th International Conference on Service-Oriented Perspectives in Design Science Research, DERIST 2011, held in Milwaukee, WI, USA, in May 2011. The 29 revised full papers presented together with 5 revised short papers were carefully reviewed and selected from 50 submissions. The papers are organized in topical sections on design theory, design science research strategies, design methods and techniques, design evaluation, design guidelines, service-oriented perspectives in design science, process design, neuroscience in design research, and designing for social media. Character refers to the unique aspects of behavior which make up each individual's patterns of thought, attitude, and effect. In this collection, Ruth Lax has put together the seminal papers which both define the contstuence of character and its disorders and elucidate some of the persistent controversy regarding the treatment of character neurosis. This book proposes a framework for integrating neuroscience and cyberpsychology for the study of social, cognitive, and affective processes. This book presents the proceedings of the Gmunden Retreat on NeuroIS 2017, reporting on topics at the intersection of Information Systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. Psychoanalysis began over a century ago as a treatment for neurosis. Rooted in the positivistic mindset of the medicine from which it stemmed, it trained its empiricist gaze directly upon the symptoms of the malaise, only to be seduced into attributing it to causes as numerous as there are aspects of human experience. Edifying as this was for our understanding of the life of the psyche, it left the sickness of the soul that was its actual subject matter, the neurosis which it was supposed to be about, out of its purview. The crux of this problem was of a conceptual nature. As psychology increasingly gave up on its constituting concept, its concept of soul, it succumbed to the same extent to treating its patients without an adequate concept of what both it and neurosis were about. Attention was paid to mishaps and traumas, the vicissitudes of development, and the Oedipus complex. But neurosis, according to the thesis of this ground-breaking book, comes from the soul, even is soul; the soul in its untruth. Indeed, both it and the modern field of psychology are successors of the soul-forms that preceded them, religion and metaphysics, with the difference that psychology's reluctance to recognize and take responsibility for its status as such has been matched by the neurotic soul's clinging to obsolete metaphysical categories even as the often quite ordinary life disappointments of its patients are inflated with absolute importance. The folie à deux has been on a massive scale. Owing their provenance to the supplement they each provide the other, psychology and neurosis are entwined in a Gordian knot, the cutting of which requires insight into the logic that pervades both. Taking up this sword, Giegerich exposes and critiques the metaphysics that neurosis indulges in even as he returns psychology to the soul, not, of course, to the soul as some no longer credible metaphysical hypostasis, but as the logically negative life of the mind and power of thought. Using several fairy tales as models for the logic of neurosis, he brilliantly analyses its enchanting background processes, exposing thereby, in a most lively and thoroughgoing manner, the spiteful cunning by which the neurotic soul, against its already existing better judgement, betrays its own truth. Topics include the historicity of neurosis, its soulful purpose as a general cultural phenomenon, its internal logic, functioning, and enabling conditions, as well as the Sacred Festival drama character of symptomatic suffering, the theology of neurosis, and 'the neurotic' as the figure of modernity's exemplary man. A collection of vignettes descriptive of various kinds of neurotic presentation routinely met with in the consulting Powered by TCPDF (www.tcpdf.org) room is also included in an appendix under the heading, 'Neurotic Traps.' This book identifies and discusses the main challenges facing digital business innovation and the emerging trends and practices that will define its future. The book is divided into three sections covering trends in digital systems, digital management, and digital innovation. The opening chapters consider the issues associated with machine intelligence, wearable technology, digital currencies, and distributed ledgers as their relevance for business grows. Furthermore, the strategic role of data visualization and trends in digital security are extensively discussed. The subsequent section on digital management focuses on the impact of neuroscience on the management of information systems, the role of IT ambidexterity in managing digital transformation, and the way in which IT alignment is being reconfigured by digital business. Finally, examples of digital innovation in practice at the global level are presented and reviewed. The book will appeal to both practitioners and academics. The text is supported by informative illustrations and case studies, so that practitioners can use the book as a toolbox that enables easy understanding and assists in exploiting business opportunities involving digital business innovation. This book presents the proceedings of the Gmunden Retreat on NeuroIS 2015, reporting on topics at the intersection of Information Systems (IS) research, neurophysiology and the brain sciences. Readers will discover the latest findings from top scholars in the field of NeuroIS, which offer detailed insights on the neurobiology underlying IS behavior, essential methods and tools and their applications for IS, as well as the application of neuroscience and neurophysiological theories to advance IS theory. This book shows how information systems (IS) scholars can effectively apply neuroscience expertise in ways that do not require neuroscience tools. However, the approach described here is intended to complement neuroscience tools, not to supplant them. Written by leading scholars in the field, it presents a review of the empirical literature on NeuroIS and provides a conceptual description of basic brain function from a cognitive neuroscience perspective. Drawing upon the cognitive neuroscience knowledge developed in non-IS contexts, the book enables IS scholars to reinterpret existing behavioral findings, develop new hypotheses and eventually test the hypotheses with non-neuroscience tools. At its core, the book conveys how neuroscience knowledge makes a deeper understanding of IS phenomena possible by connecting the behavioral and neural levels of analysis. Originally published in 1936, this book presents a detailed analysis of various types of neurosis and their treatment. The text was based on the histories of approximately 1,200 patients, all of whom were observed by the author in the Cassel Hospital for Functional Nervous Disorders at Swaylands, Kent. Numerous tables of case histories are included. This book will be of value to anyone with an interest in mental health and the history of psychology.
ANNOTATED AGENDA BERKELEY CITY COUNCIL MEETING TUESDAY, OCTOBER 30, 2012 7:00 P.M. COUNCIL CHAMBERS - 2134 MARTIN LUTHER KING JR. WAY TOM BATES, MAYOR Councilmembers: DISTRICT 1 – LINDA MAIO DISTRICT 5 – LAURIE CAPITELLI DISTRICT 2 – DARRYL MOORE DISTRICT 6 – SUSAN WENGRAF DISTRICT 3 – MAX ANDERSON DISTRICT 7 – KRISS WORTHINGTON DISTRICT 4 – JESSE ARREGUIN DISTRICT 8 – GORDON WOZNIAK Preliminary Matters Roll Call: 7:23 p.m. All present. Ceremonial Matters: 1. Stephanie Anne Johnson Day, October 30, 2012. City Manager Comments: 1. Halloween Activities at City of Berkeley Recreation Centers. 2. Traffic Advisory: Friday, November 2nd Cal Bears football game at 6:00 p.m. 3. Berkeley Project Day, Saturday, November 3, 2012. Public Comment on Non-Agenda Matters: 1 speaker. Public Comment on Consent Calendar and Information Items Only: 0 speakers. Consent Calendar Action: M/S/C (Moore/Worthington) to adopt Consent Calendar in one motion except as indicated. Vote: All Ayes. 1. Amendment to Affidavit of Residency Requirement for City Commissioners From: City Manager Recommendation: Adopt second reading of Ordinance No. 7,260-N.S. amending Berkeley Municipal Code Section 2.04.145 to modify the enforcement procedure for non-filing of the Affidavit of Residency by City commissioners. First Reading Vote: All Ayes Financial Implications: See report Contact: Mark Numainville, Acting City Clerk, 981-6900 Action: Adopted second reading of Ordinance No. 7,260–N.S. Consent Calendar 2. Amendment: FY 2013 Annual Appropriations Ordinance From: City Manager Recommendation: Adopt first reading of an Ordinance amending the FY 2013 Annual Appropriations Ordinance No. 7,254-N.S. for fiscal year 2013 based upon recommended re-appropriation of committed FY 2012 funding and other adjustments authorized since July 1, 2012, in the amount of $59,102,317 (gross) and $52,866,832 (net). Financial Implications: See report Contact: Teresa Berkeley-Simmons, Budget Manager, 981-7000 Action: Adopted first reading of Ordinance No. 7,261–N.S. Second reading scheduled for November 13, 2012. 3. Revised Conflict of Interest Code From: City Manager Recommendation: Adopt a Resolution adopting a revised Conflict of Interest Code for the City of Berkeley and rescinding Resolution No. 65,786-N.S. Financial Implications: None Contact: Mark Numainville, Acting City Clerk, 981-6900 Action: Adopted Resolution No. 65,921–N.S. 4. Donation to the Animal Shelter from the Ting Tsung and Wei Fong Chao Foundation From: City Manager Recommendation: Adopt a Resolution accepting a donation from the Ting Tsung and Wei Fong Chao Foundation in the sum of $5,000, at the direction of Elizabeth Chao. Financial Implications: Donation - $5,000 Contact: William Rogers, City Manager's Office, 981-7000 Action: Adopted Resolution No. 65,922–N.S. 5. Lease of City Van to 100 Black Men of the Bay Area Community School From: City Manager Recommendation: Adopt first reading of an Ordinance authorizing the City Manager to lease a surplus City vehicle to 100 Black Men of the Bay Area Community School for official school purposes, including the transport of students to the Oakland campus. Financial Implications: See report Contact: William Rogers, City Manager's Office, 981-7000 Action: Adopted first reading of Ordinance No. 7,262–N.S. Second reading scheduled for November 13, 2012. 6. Renewal of the Solano Avenue Business Improvement District for 2013 From: City Manager Recommendation: Adopt a Resolution: 1. Approving a report and preliminary budget on proposed improvements in the District for 2013; 2. Declaring the Council's intent to levy an assessment to finance improvements in the District for 2013; and Consent Calendar 3. Directing the City Clerk to schedule a public hearing on the renewal of the assessment for December 11, 2012. Financial Implications: See report Contact: Michael Caplan, Economic Development, 981-7530 Action: Adopted Resolution No. 65,923–N.S. 7. Abandoned Vehicle Abatement Program From: City Manager Recommendation: Adopt a Resolution approving the extension of the Abandoned Vehicle Abatement Program until May 31, 2023, and directing the City Manager to take any actions necessary, including executing any resultant agreements, to extend this Program and secure related funding. Financial Implications: See report Contact: Jane Micallef, Health, Housing and Community Services, 981-5400 Action: Adopted Resolution No. 65,924–N.S. 8. Memorandum of Understanding: Winter Homeless Shelter Programs From: City Manager Recommendation: Adopt a Resolution authorizing the City Manager to enter into a Memorandum of Understanding with the City of Oakland, Department of Human Services, in an amount not to exceed $76,000 for operation of the Winter Shelter Program at the Oakland Army Base. Financial Implications: General Fund - $76,000 Contact: Jane Micallef, Health, Housing and Community Services, 981-5400 Action: Adopted Resolution No. 65,925–N.S. 9. Revenue Contract: Abode Services to Expand the Square One Program From: City Manager Recommendation: Adopt a Resolution authorizing the City Manager to execute a revenue contract and any resultant agreements with Abode Services for funding in the amount of $70,560 to expand the capacity of the Square One Program by providing five tenant-based rental subsidies to chronically homeless individuals. Financial Implications: See report Contact: Jane Micallef, Health, Housing and Community Services, 981-5400 Action: Adopted Resolution No. 65,926–N.S. 10. Supplementary Retirement and Income Plan I, II, and III; Amending BMC Chapters 4.36, 4.38 and 4.39 From: City Manager Recommendation: Adopt the first reading of three separate Ordinances: 1. Amending Berkeley Municipal Code (BMC) Chapter 4.36, Supplementary Retirement and Income Plan I (SRIP I) by repealing and reenacting Sections 601 (Method of distribution), 604 (Payment of small benefits) and adding Section 605 (Rollover); and 2. Amending Berkeley Municipal Code (BMC) Chapter 4.38, Supplementary Retirement and Income Plan II (SRIP II) by repealing and reenacting Sections 106 (Employee), 107 (Employer), 108 (Fiduciary), 601 (Method of distribution), 604 (Payment of small benefits), 801 (General purpose), 803 (Limitation upon the right to amend); adding Section 605 (Rollover) and Section 606 (Purchase of Permissive Service Credit); and Consent Calendar 3. Amending Berkeley Municipal Code (BMC) Chapter 4.39, Supplementary Retirement and Income Plan III (SRIP III) by repealing and reenacting Sections 604 (Payment of small benefits); adding Section 605 (Rollover) and Section 606 (Purchase of Permissive Service Credit). The amendments to these Ordinances are intended to bring SRIP I, SRIP II, and SRIP III into compliance with technical changes to the Internal Revenue Code and other Federal laws, rules, and regulations. Financial Implications: None Contact: David Hodgkins, Human Resources, 981-6800 Action: Adopted first reading of Ordinance No. 7,263–N.S. (BMC 4.36); Ordinance No. 7,264–N.S. (BMC 4.38) and Ordinance No. 7,265–N.S. (BMC 4.39). Second reading scheduled for November 13, 2013. 11. Contract Amendment: CalPERS 3% at Age 55 Retirement Formula for Police Safety Employees and 3 Year Highest Average Compensation Earnable From: City Manager Recommendation: 1. Adopt a Resolution of Intention to amend the City's contract with the California Public Employees' Retirement System (hereinafter "CalPERS") to provide the 3% at Age 55 Retirement Formula for new employees hired after the effective date of the contract amendment as set forth in California Government Code Section 21363.1 with "final compensation" calculated on the highest average annual compensation earnable by a member during three consecutive years of employment as provided in Section 20037 for local police employees only; and 2. Adopt first reading of an Ordinance amending the City's contract with CalPERS to provide the 3% at Age 55 Retirement Formula for new employees hired after the effective date of the contract amendment as set forth in California Government Code Section 21363.1 with "final compensation" calculated on the highest average annual compensation earnable by a member during three consecutive years of employment as provided in Section 20037 for local sworn police employees only to be effective December 28, 2012. Financial Implications: See report Contact: David Hodgkins, Human Resources, 981-6800 Action: 1. Adopted Resolution No. 65,927–N.S.; 2. Adopted first reading of Ordinance No. 7, 266–N.S. Second reading scheduled for November 27, 2012. 12. Contract: Chrisp Company for Roadway Thermoplastic Markings From: City Manager Recommendation: Adopt a Resolution: 1. Rejecting the bid of $1,138,090 by Chrisp Company received on May 31, 2012; and 2. Authorizing the City Manager to renegotiate bid items quantities, contracts and any amendments with Chrisp Company in an amount not to exceed $750,000 to provide and install thermoplastic roadway markings for a period of 3 years. Financial Implications: Special Gas Tax Improvement Fund - $750,000 Contact: Andrew Clough, Public Works, 981-6300 Action: Adopted Resolution No. 65,928–N.S. Consent Calendar 13. Donation from Friends of Fountain Walk From: City Manager Recommendation: Adopt a Resolution accepting a donation of up to $40,000 from the Friends of Fountain Walk for repairs to the historic balustrades and railings along Fountain Walk from Marin Circle to Del Norte Street. Financial Implications: Donation up to $40,000 Contact: Andrew Clough, Public Works, 981-6300 Action: Adopted Resolution No. 65,929–N.S. 14. Sewer Easement Deed Agreement at 459/465 Boynton Avenue From: Public Works Recommendation: Adopt first reading of an Ordinance authorizing the City Manager to accept an Easement Deed Agreement for relocation of sewer pipe facilities with Ms. Susan Beauchamp and Mr. Robin Beauchamp of 459/465 Boynton Avenue, Berkeley. Financial Implications: None Contact: Andrew Clough, Public Works, 981-6300 Action: Adopted first reading of Ordinance No. 7,267-N.S. Second reading scheduled for November 13, 2012. 15. Sewer Easement Deed Agreement at 2705 Walker Street From: City Manager Recommendation: Adopt first reading of an Ordinance authorizing the City Manager to accept an Easement Deed Agreement for relocation of sewer pipe facilities with Ms. Maudelle Shirek of 2705 Walker Street, Berkeley. Financial Implications: None Contact: Andrew Clough, Public Works, 981-6300 Action: Adopted first reading of Ordinance No. 7,268-N.S. Second reading scheduled for November 13, 2012. Council Consent Items 16. Referral to the Community Environmental Advisory Commission Regarding the Fire at the Chevron Richmond Refinery of August 21, 2012 and the Resulting Health Advisory Communications with the City of Berkeley From: Councilmember Capitelli Recommendation: Request that the Community Environmental Advisory Commission (CEAC) research the aftermath of the recent fire at the Chevron Richmond Refinery of August 21, 2012 and the Bay Area Air Quality Management District's response to, and communications with the City of Berkeley regarding its citizens' alert system. Subsequent to those findings, CEAC is requested to report back to the City Council with recommendations for improved communications and/or procedures for future health advisories, if necessary. Financial Implications: None Contact: Laurie Capitelli, Councilmember, District 5, 981-7150 Action: Amended to include referral to the Community Health Commission. Approved recommendation. Action Calendar – Old Business 17. Residential Preferential Parking (RPP): Vehicle Registration Requirements (Continued from October 16, 2012) From: Councilmember Arreguín Recommendation: Refer to the City Manager and the Transportation Commission to evaluate and bring back for Council discussion alternatives to the requirement that vehicles must be registered at an address within an RPP area to qualify for a permit. Financial Implications: Unknown; possible increased revenue from additional permits issued. Contact: Jesse Arreguín, Councilmember, District 4, 981-7140 Action: Item removed from agenda by Councilmember Arreguin. 18. Coro Center for Civic Leadership: Relinquishment of Council Office Budget Funds to General Fund and Grant of Such Funds (Continued from October 16, 2012) From: Councilmember Worthington Recommendation: Adopt a Resolution approving the expenditure of an amount not to exceed $1,000 per Councilmember, including an amount not to exceed $1,000 from Councilmember Worthington, to the Coro Center for Civic Leadership with funds relinquished to the City's general fund for this purpose from the discretionary Council Office Budgets of Councilmember Worthington and any other Councilmembers who would like to contribute. Financial Implications: Councilmember's Discretionary Fund - $1,000 Contact: Kriss Worthington, Councilmember, District 7, 981-7170 Action: Item removed from agenda by Councilmember Worthington. Action Calendar – New Business 19. Consideration of Revisions to Policy Regarding Immigration Detainers in the Berkeley Jail From: City Manager Recommendation: Review and comment on an amended policy drafted pursuant to the Council's direction at its June 19, and September 18, 2012 meetings regarding Immigration Detainers (General Order J-1 [139]). Financial Implications: See report Contact: Michael Meehan, Police, 981-5900 Action: 8 speakers. M/S/C (Maio/Arreguin) to establish a City of Berkeley policy as follows: "The role of the City of Berkeley Police Department is to reduce crime and protect public safety while respecting civil rights and liberties. The Berkeley Police Department will follow its normal rules and procedures irrespective of the immigration status of the people with whom it has contact. The Berkeley Police Department will not honor requests by the United States Immigration and Customs Enforcement (ICE) to detain a Berkeley jail inmate for suspected violations of federal civil immigration law." Vote: Ayes - Maio, Moore, Anderson, Arreguin, Capitelli, Wengraf, Worthington, Wozniak, Mayor Bates; Noes - None. Action Calendar – New Business 20. Watershed Management Plan From: City Manager Recommendation: Adopt a Resolution adopting the proposed Mitigated Negative Declaration for the Watershed Management Plan, and adopting the Watershed Management Plan. Financial Implications: See report Contact: Andrew Clough, Public Works, 981-6300 Action: 0 speakers. M/S/C (Maio/Moore) to adopt Resolution No. 65,930–N.S. adopting the proposed Mitigated Negative Declaration for the Watershed Management Plan, and adopting the Watershed Management Plan. Vote: Ayes - Maio, Moore, Anderson, Arreguin, Capitelli, Wengraf, Worthington, Wozniak, Mayor Bates; Noes - None. Information Reports 21. Community Health Commission Accomplishments and Membership From: Community Health Commission Contact: Tasha Tervalon, Commission Secretary, 981-5400 Action: Received and filed. Public Comment – Including Items Not Listed on the Agenda – 1 speaker. Adjournment in memory of: 1. Randy Engle, Professor, District 4 resident Action: M/S/C (Moore/Wozniak) to adjourn the meeting. Vote: Ayes - Maio, Moore, Anderson, Arreguin, Capitelli, Wengraf, Worthington, Wozniak, Mayor Bates; Noes - None. Adjourned at 9:33 p.m. Communications Community Input on Proposed Projects 1. Steve Martinot San Rafael's Smoking Laws 2. Carol Denney - Referred to City Manager by Councilmember Worthington and Councilmember Anderson Municipal Bonds Article 3. Barbara Gilbert – Referred to City Manager by Councilmember Wozniak Supplemental Communications and Reports 1 -None Supplemental Communications and Reports 2 Item 17: Residential Preferential Parking (RPP): Vehicle Registration Requirements 4. Beverly Doane, on behalf of the Claremont-Elmwood Neighborhood Association (CENA) 5. Kathy Dittmer Item 19: Consideration of Revisions to Policy Regarding Immigration Detainers in the Berkeley Jail 6. Julia Mass 7. The Coalition for a Safe Berkeley Supplemental Communications and Reports 3 -None
FlashDetect: ActionScript 3 malware detection Timon Van Overveldt 1 , Christopher Kruegel 23 , and Giovanni Vigna 23 1 Katholieke Universiteit Leuven, Belgium, email@example.com 2 University of California, Santa Barbara, USA, {chris,firstname.lastname@example.org 3 Lastline, Inc. Abstract. Adobe Flash is present on nearly every PC, and it is increasingly being targeted by malware authors. Despite this, research into methods for detecting malicious Flash ﬁles has been limited. Similarly, there is very little documentation available about the techniques commonly used by Flash malware. Instead, most research has focused on JavaScript malware. This paper discusses common techniques such as heap spraying, JIT spraying, and type confusion exploitation in the context of Flash malware. Where applicable, these techniques are compared to those used in malicious JavaScript. Subsequently, FlashDetect is presented, an oﬀline Flash ﬁle analyzer that uses both dynamic and static analysis, and that can detect malicious Flash ﬁles using ActionScript 3. FlashDetect classiﬁes submitted ﬁles using a naive Bayesian classiﬁer based on a set of predeﬁned features. Our experiments show that FlashDetect has high classiﬁcation accuracy, and that its eﬃcacy is comparable with that of commercial anti-virus products. Keywords: Flash exploit analysis, malicious ActionScript 3 detection, Flash type confusion 1 Introduction Adobe Flash is a technology that provides advanced video playback and animation capabilities to developers through an advanced scripting language. The ﬁles played by Flash, called SWFs, are often embedded into webpages to be played by a browser plugin, or are embedded into a PDF ﬁle to be played by a copy of the Flash Player included in Adobe's Acrobat Reader. The technology is nearly ubiquitous on the desktop: over 99% of all PC users have the Flash browser plugin installed, according to Adobe [1]. However, over the last couple of years, the Flash Player has increasingly become the target of exploitation [18,23,10], with at least 134 high-severity vulnerabilities that have been identiﬁed in the Flash Player since January 2009 [15]. Since version 9 appeared in 2006, the Flash Player has supported two scripting languages, ActionScript 2 (AS2) and ActionScript 3 (AS3), each with its own virtual machine. Traditionally, exploits have targeted the older AS2 virtual machine. However, a number of critical vulnerabilities discovered in the AS3 virtual machine have resulted in an ever growing number of exploits targeting this virtual machine. Even exploits targeting the AS2 virtual machine increasingly turn to AS3 to perform part of the attack. For example, a heap spray might be performed in AS3 before running an AS2 script that exploits an old vulnerability. Despite the increasing importance of successful solutions to Flash exploit detection, academic research describing such solutions has been scarce. A lot of research has instead focused on JavaScript malware detection. However, without a sound detector for Flash malware, even the most advanced JavaScript malware detector could be circumvented by performing all or part of the attack in Flash. In this paper, we present FlashDetect , an oﬄine Flash ﬁle analyzer and malware detector. FlashDetect combines static bytecode analysis with dynamic analysis using an instrumented version of the Lightspark ﬂash player [19] to enable a high detection rate while maintaining a low false positive rate. The analysis of a Flash ﬁle is based on a set of simple yet eﬀective predeﬁned features. These features are used to classify a Flash ﬁle using a combination of a naive Bayesian classiﬁer and a single vulnerability-speciﬁc ﬁlter. FlashDetect is an evolution of OdoSwiff , presented by Ford et al. in [6]. However, in contrast to OdoSwiff , FlashDetect focuses solely on the analysis Flash ﬁles using AS3, while OdoSwiff mainly covered AS2 exploits. Given the signiﬁcant diﬀerences between AS2 and AS3, we had to develop an entire new set of features and detection techniques. Additionally, OdoSwiff did not employ a naive Bayesian classiﬁer, instead relying solely on threshold-based ﬁlters. The contributions made by this paper include: – Insight into common Flash exploit techniques. Techniques commonly used in malicious Flash ﬁles, such as obfuscation, heap spraying, and type confusion exploitation are discussed. – Detection based on a combination of static and dynamic analysis. A hybrid approach to analyzing Flash ﬁles is presented, in which the strengths of static and dynamic analysis are combined. – Classiﬁcation based on predeﬁned features. Classiﬁcation is performed by a combination of a naive Bayesian classiﬁer and a single vulnerability-speciﬁc ﬁlter. The naive Bayesian classiﬁer is based on a set of predeﬁned features. – Evaluation. The merits of our approach are conﬁrmed. Tests performed on 691 benign ﬁles and 1,184 malicious ﬁles show low false negative and false positive rates of around 1.87% and 2.01%, respectively. These rates are shown to be comparable with or better than those of commercial anti-virus products The rest of this paper is organized as follows. A number of common techniques employed by ActionScript 3 malware are outlined in Section 2. FlashDetect 's implementation details are discussed in Section 3, while Section 4 lists the set of features used for classiﬁcation. Section 5 presents the experimental results. Finally, FlashDetect 's limitations are discussed in Section 6, while Section 7 discusses related publications. 2 Common Flash exploit techniques This section provides a brief overview of some common techniques employed by Flash malware. Where applicable, comparisons are made with techniques common to JavaScript malware. 2.1 Obfuscation Obfuscation is often employed by malicious JavaScript or shellcode, and malicious Flash ﬁles are no exception. Obfuscation techniques diﬀer according to the technology available for obfuscation. For example, JavaScript is an interpreted language lacking a bytecode representation. Consequently, obfuscation in JavaScript often consists of identiﬁer mangling and/or repeated calls to eval(). Shellcode obfuscation, on the other hand, is often achieved by packing the binary data in a speciﬁc format, possibly using the XOR operation We have examined hundreds of malicious Flash ﬁles to determine if and how they perform obfuscation, and to develop ways of detecting such obfuscation. The description that follows is the result of that eﬀort. Flash ﬁles are created by compiling ActionScript 3 scripts into a bytecode representation and wrapping that bytecode in an SWF container. Because the ActionScript 3 virtual machine interprets bytecode, a JavaScript-style eval() function is not supported. Consequently, Flash obfuscation techniques have more in common with obfuscation techniques for shellcode than with those for JavaScript. Note that we distinguish two types of obfuscation. The ﬁrst type is sourcecode level obfuscation (e.g. identiﬁer renaming). This type of obfuscation is heavily used in JavaScript malware, but given that ActionScript is distributed in bytecode form, it is less prevalent in Flash malware. The second type of obfuscation consists of multiple levels of embedded code. Since our detector will analyze the bytecode of a Flash ﬁle, we are most interested in the latter form of deobfuscation. Though ActionScript 3 does not support eval(), it does support the runtime loading of SWF ﬁles. This is achieved by calling Loader.loadBytes() on a ByteArray containing the SWF's data. Using the DefineBinaryData SWF tag, arbitrary binary data can be embedded into an SWF ﬁle. At runtime, the data becomes available to ActionScript in the form of a ByteArray instance. The DefineBinaryData SWF tag is often used in combination with the Loader.loadBytes() method to implement a primitive form of obfuscation. However, given that static extraction of DefineBinaryData tags is fairly easy using a range of commercial or open-source tools, obfuscation almost never stops there. Instead, malicious Flash ﬁles often encode or encrypt the embedded binary data and decode it at runtime before calling Loader.loadBytes(). As is the case with JavaScript [8], obfuscation is actively used by both benign and malicious Flash ﬁles, as evidenced by commercial obfuscators such as DoSWF [5] and Kindi [11]. Thus, the mere presence of obfuscated code is not a good indicator of the maliciousness of a Flash ﬁle. Therefore, a need for a dynamic extraction method arises, allowing static analysis to be performed after deobfuscation. To this end, we have modiﬁed the Lightspark ﬂash player so that each time Loader.loadBytes() is called, the content of the ByteArray is dumped into a ﬁle for later analysis. This allows for reliable extraction of embedded SWFs, as long as the deobfuscation code path is reached. In cases where the deobfuscation code path is not reached and no ﬁles are dynamically extracted, we fall back to a simple static extractor. 2.2 Heap spraying Heap spraying is an extremely common technique found in contemporary malware, and as such, it is commonly employed in ActionScript 3 malware. As is the case with obfuscation techniques, the way a heap spray is performed depends on the environment in which it needs to be performed. For example, in JavaScript, heap sprays are often performed by creating a string, and repeatedly concatenating the string with itself. In ActionScript 3, the most common way to perform a heap spray is through the use of a ByteArray. The ByteArray class available in ActionScript 3 provides byte-level access to a chunk of data. It allows reading and writing of arbitrary bytes, and also allows the reading and writing of the binary representation of integers, ﬂoating point numbers, and strings. The implementation of the ByteArray class in the ActionScript 3 virtual machine uses a contiguous chunk of memory that is expanded when necessary to store the contents of the array. Therefore, the ByteArray class is a prime candidate for performing heap sprays. Heap spraying code often uses one ByteArray containing the shellcode to be written, and a second ByteArray to perform the actual heap spray on. A simple loop is then used to repeatedly copy the ﬁrst array's contents into the second. This results in the second array's memory chunk becoming very large, covering a large portion of the process's memory space with shellcode. Another common way to perform a heap spray is to use a string that contains the hexadecimal, base64, or some other encoding of the shellcode. This string is then decoded before being repeatedly written into a ByteArray, until it covers a large portion of the memory space. 2.3 JIT spraying The concept of JIT spraying in ActionScript 3 has been introduced in [2]. In that paper, the author shows how the JIT compiler in the ActionScript 3 virtual machine can be forced to generate executable blocks of code with almost identical semantics to some speciﬁed shellcode. It is shown that a chain of XOR operations performed on a set of specially crafted integers is compiled to native code in such a way that, when the code is jumped into at an oﬀset, it is semantically equivalent to the given shellcode. The concept of JIT spraying is signiﬁcant because it allows bypassing the Data Execution Protection (DEP) feature present in most modern operating systems. We have observed that exploits targeting the Flash Player and using JIT sprays are fairly common. It seems that the most common way in which a JIT spray is performed consists of repeatedly loading an embedded SWF ﬁle containing the bytecode that performs the repeated XOR operations. This repetition ensures that multiple blocks of executable shellcode are present in the memory of the Flash player. Furthermore, the shellcode itself often contains a NOP-sled to further enhance the chances of successful exploitation. 2.4 Malicious ActionScript 3 as exploit facilitator Although a range of vulnerabilities have allowed the ActionScript 3 virtual machine to be a target for exploitation, another common use of Flash malware seems to be that of a facilitator of other exploits. We have observed instances where a malicious Flash ﬁle merely performs a heap spray, without trying to gain control of execution. This seems to indicate that the malicious ﬁle is meant to facilitate another exploit, for example one targeting a JavaScript engine. The rationale behind this behavior is that Flash ﬁles are often embedded in other resources, and as such, they can facilitate exploits targeting the technologies related to those resources. For example, exploits targeting a JavaScript engine might use ActionScript 3 to perform a heap spray, after which the actual control of execution is gained through a vulnerability in the JavaScript engine. However, the value of such types of exploits is declining, as browsers are increasingly separating the browser from its plugins by running those plugins in separate processes. Another possible scenario in which a malicious Flash ﬁle acts as an exploit facilitator is that in which a Flash ﬁle is embedded in a PDF. In such a case, the Flash ﬁle might perform a heap spray, while the actual control of execution is gained through a vulnerability in the JavaScript engine in Adobe's Acrobat Reader. Finally, as mentioned in the previous section, ActionScript 3 is often used to facilitate exploits targeting the ActionScript 2 virtual machine. These examples illustrate that Flash is a versatile tool for malware authors, as Flash ﬁles can be used both to launch full-ﬂedged attacks, as well as to act as a facilitator for the exploitation of other technologies. 2.5 Type confusion exploitation A relatively recent development has been the exploitation of type confusion vulnerabilities present in both the ActionScript 2 and ActionScript 3 virtual machine. These types of exploits are interesting since they often allow an attacker to construct a very reliable exploit that completely bypasses both Data Execution Protection and Address Space Layout Randomization, without relying on heap or JIT spraying. There are a number of vulnerabilities for which the exploit code, or at least parts of it, have been published. Among these are CVE-2010-3654 and CVE-2011-0609 , which relate to the ActionScript 3 virtual machine, and CVE-2011-0611 , which relates to the ActionScript 2 virtual machine. Other ``` 1 class OriginalClass { 2 static public function getPointer (o:Object):uint { return 0; } 3 static public function tagAsNumber (u:uint):* { } 4 static public function fakeObject (p:uint):SomeClass { return null; } 5 } 6 7 class ConfusedClass { 8 static public function getPointer(o:Object):Object { return o; } 9 static public function tagAsNumber(p:uint):uint { return p \| 0x7 } 10 static public function fakeObject(p:uint):uint { return p; } 11 } 12 13 class SomeClass { 14 public function someMethod():* {} 15 } ``` Listing 1.1. Implementation of the 3 classes used to exploit CVE-2010-3654. security advisories, such as CVE-2012-0752 , are also known to relate to type confusion vulnerabilities, although their exploit code is not public yet. An exploit for CVE-2010-3654 is presented by Li in [13]. We present a slightly simpliﬁed adaption of this exploit, to illustrate the way in which a type confusion exploit works. ActionScript 3 virtual machine implementation The ActionScript 3 virtual machine operates on data types called 'atoms.' Atoms consist of 29 bits of data followed by a 3-bit type-tag. The data can either be an integer or an 8-byte-aligned pointer to some larger data (as is the case for atoms representing objects or ﬂoating point numbers). The type-tags allow the virtual machine to support runtime type detection when a variable's type is not speciﬁed in the source code. The ActionScript 3 virtual machine also contains a JIT compiler that compiles ActionScript 3 methods to native code. The native code for such a method works solely with native data types, not atoms. Thus, native code methods return ActionScript objects as pointers, integers as 32-bit integers, and ﬂoating point numbers as pointers to IEEE 754 double precision numbers. Code calling a native code method then wraps the result into a type-tag to form an atom, so that the result can be used by the virtual machine. The type-tag that is used when wrapping native code results depends on the method's return type, which is speciﬁed by the class deﬁnition. Elements of a CVE-2010-3654 exploit. An exploit for CVE-2010-3654 consists of three classes. Listing 1.1 lists the implementation of those three classes. To trigger the vulnerability, the list of identiﬁers in the compiled bytecode is modiﬁed such that the name of ConfusedClass's identiﬁer is changed 7 to OriginalClass. After this modiﬁcation, the list of identiﬁers will have two entries named OriginalClass. The result is that in vulnerable version of the Flash player, the ConfusedClass is 'type confused' with the OriginalClass. When ConfusedClass is confused with OriginalClass, calls to methods of OriginalClass instead end up calling the native code implementations of ConfusedClass's corresponding methods. However, when wrapping the results of these native code methods, the type-tag that is used depends on the return types deﬁned in OriginalClass. This mismatch, where on the one hand ConfusedClass's native code methods are called, while on the other hand OriginalClass's return types are used, results in an exploitable vulnerability. The following sections show how this vulnerability can be used to leak addresses of objects, read arbitrary memory and gain control of execution. Leaking objects' memory addresses. Because of the type confusion, the pointers to the Objects returned by ConfusedClass.getPointer are wrapped in uint type-tags (as speciﬁed by OriginalClass), exposing the pointer to the ActionScript 3 runtime. For example, OriginalClass.getPointer(new ByteArray()) will actually call ConfusedClass.getPointer and return the memory address of the ByteArray in the form of an integer. Reading arbitrary memory addresses. Similarly, the integers returned by ConfusedClass.tagAsNumber end being used as if they are atoms with a typetag. This is because the type of the returned value needs to be inferred at runtime, as no type is speciﬁed in OriginalClass. The 0x7 type-tag that is added by ConfusedClass.tagAsNumber is that of a ﬂoating point number atom. In the ActionScript 3 virtual machine, the data of a ﬂoating point number atom is an 8-byte-aligned pointer to an IEEE 754 double precision number. Thus, after a call to tagAsNumber, the given integer will be used as if it is an 8-byte-aligned pointer pointing to valid IEEE 754 data. This eﬀectively allows an attacker to read arbitrary memory locations by passing the memory location to tagAsNumber and then writing the 'fake' ﬂoating point number to a ByteArray. This results in the 8 bytes at the given location being written into the ByteArray. These bytes can then be read separately using the methods provided by the ByteArray class. Gaining control of execution. Finally, by passing a memory address to the fakeObject method, one can create a 'fake' object of type SomeClass whose representation is supposedly stored at the given memory location. When someMethod is called on this fake object, the virtual machine will access the object's vtable at a certain oﬀset from the given memory address, look up the method's address, and then jump to it. Thus, by speciﬁcally crafting the memory at the given memory location, the attacker can make the virtual machine hand over control of execution to a piece of memory under his control. Crafting such a chunk of memory can easily be done by using a ByteArray instance and then leaking the address of that ByteArray's data using a combination of the previous two techniques. Bypassing DEP. It is clear that by being able to leak pointers to objects, read arbitrary memory addresses and gain control of execution, one can easily create a basic exploit that bypasses ASLR. However, DEP still prevents such exploits from working, since any shellcode produced in ActionScript will be nonexecutable. There is, however, an important element that circumvents this last hurdle: the ﬁrst 4 bytes of an ActionScript object's representation point to a memory address in the Flash player DLL that is always at constant oﬀset to the start of the DLL. Thus, by reading these 4 bytes, an attacker can infer the base address of the Flash player DLL in the process's memory. Since the DLL contains a call to VirtualProtect, an attacker can use the information to discover the address of that function. Therefore, all an attacker needs to do to circumvent DEP is to create a return-oriented programming attack that calls VirtualProtect on some shellcode, using the gadgets available in the DLL. Afterwards, the shellcode, which can be arbitrarily large, can be jumped to and executed. 2.6 Environment-identifying code Environment-identifying code reads some property and compares it to some constant. The result is then used in a conditional branch. Such code is often used to selectively launch an exploit only if the Flash ﬁle is being executed by a vulnerable version of the Flash player. Therefore, a malicious Flash ﬁle might not exhibit distinctive behavior if such environment-identifying code fails to identify a vulnerable Flash player instance. From our observations we have concluded that environment-identifying code is fairly common in malicious Flash ﬁles. Since environment-identiﬁcation is often used to target speciﬁc versions of the Flash runtime, it is not possible to instrument the Lightspark player to return a single version string that is vulnerable to all exploits. To improve the detection rate and to maximize the chances of successfully deobfuscating any embedded SWF ﬁles, we have instrumented the Lightspark player to taint all environment-identifying properties. More precisely, all properties of the Capabilities class are tainted. These taint values are propagated through all basic ActionScript 3 operations (e.g., string concatenation). Subsequently, whenever an ifeq ('if equals') branch depends on a tainted value, that branch is forcibly, taken no matter what the actual result of the comparison operation is. On the other hand, complementary ifne ('if not equals') branches depending on tainted values are never taken. Listing 1.2 contains a simpliﬁed excerpt of a real malicious sample performing environment-identiﬁcation. The sample matches the Flash player's version (obtained from the Capabilities.version property) to a predeﬁned set of versions. Each version has an accompanying embedded SWF ﬁle containing an exploit targeting that version. With the original Lightspark player, chances are high that ``` 1 getlex flash.system::Capabilities 2 getproperty version 3 coerce String 4 setlocal 15 5 getlocal 15 6 pushstring "WIN 9,0,115,0" 7 ifne L1 8 9 // load exploit targeting Windows Flash Player version 9.0.115 10 11 L1: getlocal 15 12 pushstring "WIN 9,0,16,0" 13 ifne L2 14 15 // load exploit targeting Windows Flash Player version 9.0.16 16 17 L2: // this Flash player is not vulnerable, do not load any exploit ``` Listing 1.2. Excerpt of a sample using environment-identifying bytecode both ifne conditional branches would be taken, resulting in the malicious Flash ﬁle not launching any exploit. However, because of the use of taint-propagation, none of the ifne branches are taken in our analysis environment, resulting in the last exploit being loaded. Note that this simple approach works well, as most environment-identifying code uses inclusive rules to determine vulnerable Flash players. That is, instead of determining that a given Flash player instance is not vulnerable, most environment-identifying code determines that a given instance is vulnerable. However, it is clear that this approach can be circumvented, a scenario that is discussed in more detail in Section 6. 3 Detector implementation FlashDetect 's analysis of a Flash ﬁle is split into three phases. In the ﬁrst phase, the Flash ﬁle is dynamically analyzed using an instrumented version of the Lightspark ﬂash player. The second phase leverages a static analysis of the ActionScript 3 bytecode of the Flash ﬁle (including any bytecode found through deobfuscation during the dynamic analysis phase). Finally, in the last phase, the Flash ﬁle is classiﬁed using the set of features described in Section 4. 3.1 Phase I: dynamic analysis The dynamic analysis of submitted Flash ﬁles is performed by an instrumented version of the Lightspark ﬂash player that saves a trace of interesting events, such as the calling of methods, access to properties, or the instantiation of classes. After the dynamic analysis, this trace is analyzed to determine the values of the features used for classiﬁcation. Additionally, the instrumented Lightspark version saves every SWF ﬁle that is loaded at runtime. This allows the subsequent static analysis to take into account both the original SWF ﬁle and any other embedded, possibly obfuscated, SWF ﬁles that were loaded at runtime. During the dynamic analysis, as soon as the ﬁrst bytecode instruction is executed, a timer is started with a given timeout value. When the timer runs out, the dynamic analysis ends. This way, each Flash ﬁle is analyzed for more or less the same amount of time. At the same time, starting the timer only after the ﬁrst instruction has executed ensures that the time spent loading a Flash ﬁle has no eﬀect on the actual amount of time for which the ﬁle's scripted behavior is analyzed. 3.2 Phase II: static analysis After performing the dynamic analysis, we perform a static analysis of both the original SWF ﬁle as well as any deobfuscated SWF ﬁles. The majority of the static analysis phase is spent analyzing the ActionScript 3 bytecode found in the SWFs. However, a small part of the static analysis checks for commonly exploited vulnerabilities in the Flash player's SWF parser, such as integer overﬂows in SWF tags. As is the case with the dynamic analysis, the goal of the static analysis is to determine the values for the set of features used for classiﬁcation. Some feature values are determined during both the dynamic and static analysis phase. For example, the feature that captures a Flash ﬁle accessing the Capabilities.version property, commonly used for environment-identiﬁcation purposes, is detected during both analysis phases. Checking the same feature during both phases might seem redundant, but it has a practical advantage. As the Lightspark ﬂash player is a fairly recent project, it does not yet run all Flash ﬁles correctly. Hence, it is possible that the dynamic analysis phase will be cut short because of an unexpected error. However, because the same feature is also checked in the static analysis phase, chances are high that the feature will still be correctly detected. On the other hand, since it is possible to obfuscate property or method names, static analysis might fail to detect certain features. However, as long as the dynamic analysis succeeds, that feature will still be detected correctly. 3.3 Phase III: classiﬁcation A naive Bayesian classiﬁer is used to classify submitted samples using the set of features mentioned earlier. The classiﬁer accepts features with both a Boolean value domain and a continuous value domain. A Laplacian correction is applied to Boolean features to convert zero-probabilities to very small probabilities. As is common with naive Bayesian classiﬁers, the normal distribution is used to model continuous features. Thus, the probability of continuous features is estimated using the normal probability density function. Additionally, calculated probabilities are clamped to a minimum probability of 1e-10 , so as to prohibit any single feature from inﬂuencing the classiﬁcation decision too much. Finally, there is one feature that we consider a deﬁnitive indicator of maliciousness, and for which we bypass the naive Bayesian classiﬁer. This feature is discussed in Section 4. 4 Features used for classiﬁcation Our features can be grouped according to the type of behavior they characterize. Boolean features are marked by (B), while continuous features are marked by (C). Features related to embedded and obfuscated SWF ﬁles or shellcode. The group consists of the following features: – shellcode (B): indicates whether the sctest tool from the Libemu library detected shellcode embedded in the Flash ﬁle. – load-loadbytes, loader-load (B): indicate whether the Flash ﬁle uses the loadBytes or load methods of the Loader class to load SWF ﬁles at runtime. – obfuscation-method-ratio (C): represents the ratio of deobfuscationrelated method calls to the overall number of method calls; the methods are fromCharCode(), charCodeAt and slice() of the String class, in addition to parseInt. These methods are frequently used in deobfuscation in the wild. – bytearray-method-ratio (C): the ratio of ByteArray-related method calls to the total number method calls. A large ratio is indicative of deobfuscation and/or heap spraying. – bytearray-callprop-ratio (C): the ratio of ByteArray method-calling bytecode instructions to the total number method-calling instructions. A large ratio is indicative of deobfuscation and/or heap spraying. – avg-pushstring-char-range (C): the average range of characters in pushstring instructions; indicative of strings containing binary data such as shellcode. – avg-base64-pushstring-length (C): the average length of strings pushed by pushstring instructions that match the base64 character set; indicative of obfuscated data. Of the above features, the shellcode, bytearray-callprop-ratio, avg-pushstringchar-range and avg-base64-pushstring-length features are only checked during the static analysis phase. The obfuscation-method-ratio and bytearray-methodratio features are only checked during the dynamic analysis phase. The loaderloadbytes and loader-load features are checked during both phases of the analysis. Features related to environment-awareness. – checks-url (B): indicates whether the Flash ﬁle checks the URL of the webpage it is embedded in; the feature indicates access to the LoaderInfo.url property or access through the ExternalInterface class to the window.location property of the embedding HTML page. Most malicious ﬁles do not check the URL, while a lot of benign ﬁles do, so this feature is indicative of benign behavior rather than malicious behavior. – external-interface (B): indicates whether the Flash ﬁle uses any of the methods of the ExternalInterface class to communicate with the external host of the Flash plugin, such as the web browser. Most malicious ﬁles do not use ExternalInterface, while a lot of benign ﬁles do, so this feature is indicative of benign behavior rather than malicious behavior. – checks-capabilities (B): indicates whether the Flash ﬁle uses any of the properties of the Capabilities class; indicative of environment-identiﬁcation often used by malicious ﬁles in the wild. Additionally, there are ﬁve features that speciﬁcally indicate access to the version, playerType, and isDebugger properties of the Capabilities class. All features in this group are checked during both analysis phases. Features related to general runtime behavior. The features in this group all provide an indication how a given Flash ﬁle behaves in very general terms. For example, a very high amount of method calls or high ratio of push opcodes is often indicative of deobfuscation or heap spraying. – method-calls-per-second, method-calls-per-cpusecond (C): the number of built-in methods (provided by the Flash Player runtime) called during the dynamic analysis phase, normalized by the running time in terms of wall clock or CPU time, respectively. These features each have another variant in which the value is additionally normalized by the size of the bytecode present in the SWF ﬁle. – avg-opcode-ratio (C): a group of features that indicate the ratio of a certain opcode to the total number of opcodes. The opcodes for which ratios are determined are bitxor, the push opcodes used to push data on the stack, and the call opcodes used to call methods. The values to the avg-opcode-ratio features are determined during the static analysis phase, while the other features' values are determined during the dynamic analysis phase. Vulnerability-speciﬁc features. – bad-scene-count (B): indicates whether an invalid SceneCount value was detected inside the DefineSceneAndFrameLabelData SWF tag. This is indicative of an exploit targeting the CVE-2007-0071 vulnerability. The value to this feature is determined during the static analysis phase. This feature is used because some malicious ﬁles only trigger the CVE-20070071 vulnerability, without containing any other malicious content or bytecode. These ﬁles are probably meant to be embedded inside other ﬁles that do contain malicious content (e.g. shellcode), to act as exploit triggers. Given that these types of malicious ﬁles would not be detected by the other features, we use this vulnerability-speciﬁc feature, enabling a fair comparison with other detection products. Given that the presence of this feature is such a deﬁnitive sign of maliciousness, we immediately consider ﬁles exhibiting the feature to be malicious, bypassing the naive Bayesian classiﬁer, as mentioned earlier in Section 3.3. 5 Evaluation 5.1 Sample selection To evaluate the accuracy of FlashDetect , we tested the classiﬁer on a set of Flash ﬁles that are known to be malicious or benign. Benign samples. The benign samples were manually veriﬁed to be benign and were gathered by crawling the following sources: – Miniclips.com, an online games website. – Various websites oﬀering free Flash webdesign templates. – Google search results for the query filetype:swf. Additionally, the benign sample set includes Flash ﬁles submitted to Wepawet that, after manual veriﬁcation, were found to be benign. In total, the benign sample set consists of 691 Flash ﬁles. Malicious samples. The malicious samples were gathered from ﬁles submitted to Wepawet, and they were manually veriﬁed to be malicious. Hence, the samples were categorized according to their similarity, as shown in Table 1. The table also shows whether or not the ﬁles in each category contain embedded/obfuscated SWF ﬁles, and whether or not the environment-identifying Capabilities class is accessed. Note that 7 out of 12 categories use embedded, possibly obfuscated, SWFs, while 4 out of 12 categories perform environment-identiﬁcation. Table 2 shows the fraction of benign and malicious ﬁles that access the diﬀerent properties of the Capabilities class that are used for environmentidentiﬁcation, and that are also used as features for classiﬁcation. Table 1. Categorization of malicious samples with the number of samples. Also shown is whether or not embedded SWF ﬁles are used, and whether or not the environmentidentifying Capabilities class is accessed. Table 2. Fraction of ﬁles that access the diﬀerent properties of the Capabilities class. Finally, some of the categories are notable for the way the exploits work. – Zasder. Contains ﬁles that employ environment-identiﬁcation and multiple levels of obfuscation, and eventually try to exploit CVE-2007-0071 [14]. – Corrupt-obfuscated-avm1. Contains ﬁles that load an obfuscated ActionScript 2 Flash ﬁle with a corrupt structure that presumably triggers some vulnerability in the Flash player. As such, these ﬁles are good examples of ActionScript 3 being used as an ActionScript 2 exploit facilitator. – Woshi2bbd-jitspray. These ﬁles repeatedly load an obfuscated SWF that contains JIT spraying bytecode, after which a ﬁnal SWF is loaded that presumably tries to exploit some vulnerability. – Flashspray. These ﬁles only call a JavaScript function called FLASHSPRAY in the HTML page embedding the ﬁle. They are presumably used to circumvent JavaScript malware detectors. Again, these ﬁles are good examples of malicious ActionScript 3 in an exploit facilitating role, this time probably facilitating an exploit targeting a browser vulnerability. 5.2 Experimental results To test the eﬃcacy of the classiﬁer, we hand-picked a set of training samples from the malicious samples. This set of 47 samples includes at least one sample from each category. This way, no single category is over-represented in the training data, even if that category has many more samples than the others. For the benign training data, we randomly selected 47 benign samples. The classiﬁer was then trained on the training samples, and tested on the remaining 1781 samples. We repeated this test 20 times, each time with a diﬀerent set of randomly selected benign training samples. In addition to testing the classiﬁer using manually selected malicious training samples, we tested the classiﬁer using randomly selected samples. For this purpose, we partitioned the randomized malicious samples into 20 disjunct sets. Subsequently, we used each set in turn as the malicious training sample set. An equal number of benign training samples accompanying the malicious training samples were again randomly selected. By the pigeonhole principle, this setup ensures that for all but the three largest malicious categories, there is at least one test in which such a category is not represented in the training samples. This provides a way to test the classiﬁer's performance on malicious ﬂash ﬁles of a previously unknown category. Error rates. Figure 1 contains the ROC curves displaying the accuracy of our classiﬁer at various classiﬁcation thresholds, using both manually selected and randomly selected malicious training samples. These ROC curves show the true positive rate as a function of the false positive rate, visualizing the trade-oﬀs required to achieve a given accuracy. As shown in the plot, when using manually selected training samples, a false positive rate of 0% is reached at a true positive rate of around 91.5% (i.e. a false negative rate of around 8.5%). A true positive rate of more than 99.9% is reached at a false positive rate of around 16%. However, a true positive rate of exactly 100% is only reached at a false positive rate of around 88.7%. Also note that an equilibrium between false positive and false negative rates is achieved at around 2%, at a classiﬁcation threshold of 25 (marked with an 'x'). It is at this equilibrium that the classiﬁer's accuracy is most balanced, and as such, this is the threshold we use in the next experiment, comparing our performance to that of commercial anti-virus products. The plot also shows the performance of the classiﬁer using randomly selected training samples, as described earlier. It is clear that the classiﬁer is less accurate when using randomly selected samples than when using manually selected samples. However, the performance is not signiﬁcantly worse, with an equilibrium between false positive and false negatives at around 3%, compared to 2% when using manually selected samples. Thus, we conclude that while manual sample selection increases the classiﬁer's accuracy, it does not signiﬁcantly bias towards malicious ﬁles of known categories. Comparison with commercial anti-virus products. To support our claim that FlashDetect 's performance is comparable with or better than that of commercial anti-virus (AV) products, we include a comparison of FlashDetect 's eﬃcacy with that of AV products. We used the VirusTotal [24] service to run 43 commercial and open-source AV products on our test sample set. The results of the ﬁve best-performing AV products, as determined by the false negative rate, are compared to FlashDetect 's results, at a set classiﬁer threshold of 25. The ﬁrst row of Table 3 lists the false negative rates for the ﬁve bestperforming AV products, together with FlashDetect 's rates. As shown, FlashDetect 's average false negative rate is less than that of four out of the ﬁve best-performing AV products. It is also interesting to note that out of the 43 AV products we tested, 35 products had a false negative rate in excess of 65%, and 32 products had a false negative rate in excess of 90%. The second row of Table 3 lists the false positive rates. Note that FlashDetect 's false positive rate is worse than that of the top ﬁve AV products. This can be explained by the fact that these AV products probably use signaturebased detection methods (conﬁrmed for four out ﬁve). However, given that FlashDetect is able to reach a comparable false negative rate with a relatively low false positive rate, we conclude that FlashDetect 's performance is certainly competitive with that of commercial AV products. Table 3. FlashDetect 's false negative and false positive rates at a classiﬁer threshold of 25 compared to the ﬁve best-performing AV products. 6 Limitations Identifying the presence of FlashDetect . Malicious Flash ﬁles might try to identify the presence of FlashDetect . The Lightspark player is still a relatively young project, and thus, it still has a long way to go before its behavior perfectly matches that of the oﬃcial Flash player. This provides malware writers with a number of ways to detect the presence of Lightspark, and as a result, FlashDetect . This limitation is inherent to the implementation of FlashDetect 's dynamic analysis phase. However, we assume that as the Lightspark project matures it will become increasingly harder to diﬀerentiate Lightspark from the oﬃcial Flash player. Environment-identifying code circumvention. The method for handling environment-identifying code described in Section 2.6 is obviously not very robust. For example, the current method can easily be circumvented by using exclusive matching instead of inclusive matching. That is, matching against nonvulnerable version instead of vulnerable versions. Additionally, comparison instructions besides ifeq and ifne are not checked for environment-identiﬁcation. However, from our observations we conclude that, since most malicious Flash ﬁles currently found in the wild use inclusive environment-identiﬁcation based on direct equality instructions, the current method is quite eﬀective at enhancing detection rates. Nevertheless, in the future, a more robust method to handle environment-identifying code would be in order. Such a method could consist of a multi-execution virtual machine capable of simultaneously analyzing multiple code branches, such as described for JavaScript in [12]. Dependence of certain features on a measure of time. During the dynamic analysis phase, the Flash ﬁle is run for a limited amount of time. Therefore, the usefulness of the dynamic analysis phase inherently depends on the fact that, in general, malicious ﬁles will attempt exploitation as soon as possible. Additionally, certain dynamic features (e.g., method-calls-per-second) used for classiﬁcation are inherently dependent on a measure of time. The usefulness of time-dependent features and indeed, the dynamic analysis phase in general, could be reduced if malicious ﬁles were to delay the start of exploitation for a certain amount of time. Therefore, the dependence of certain features on a measure of time is an inherent limitation of our system. However, launching an exploit as soon as possible is advantageous to malware authors as it increases the chances of the exploit being successful. Consequently, one can argue that maximizing the number of successful exploitations is more important to malware authors than evading detection. Indeed, the complete lack of obfuscation in some of the malicious samples we have observed indicates that some malware authors do not even bother to evade detection anymore. Overall robustness of features. Some of the individual features used for classiﬁcation may not be very robust. Examples are the time-dependent dynamic 18 features. However, the combination of all features being used together results in a robust system. Indeed, the features used detect a number of diﬀerent types of behavior, such as obfuscation, JIT spraying, or environment-identiﬁcation. Most of these types of behavior are detected by more than one feature, and they are often detected during both the dynamic and static analysis phase. This results in a robust system capable of detecting a wide range of low-level exploits. 7 Related work 7.1 Exploit techniques Blazakis [2] discusses JIT spraying attacks against the ActionScript 3 virtual machine. Li [13] discusses the exploitation of the type confusion vulnerability CVE-2010-3654 , while [9] discusses a very similar vulnerability CVE-20110609 . An exploit using sophisticated obfuscation techniques that targets CVE2007-0071 is dissected by Liu in [14]. 7.2 Malware detection FlashDetect 's implementation is an evolution of OdoSwiff described by Ford et al. [6]. Additionally, [6] is one of only a very limited set of publications on the speciﬁc topic of malicious Flash ﬁle detection. Instead, most of the closest related research discusses malicious JavaScript detection approaches. Ratanaworabhan et al. [21] discuss Nozzle , a dynamic JavaScript analyzer that speciﬁcally focuses on detecting heap spraying code injection attacks. Nozzle 's approach consists of interpreting individual objects on the heap as code and statically analyzing that code for maliciousness. This approach diﬀers substantially from FlashDetect 's approach, as FlashDetect 's analysis is based on determining the general behavior of a Flash ﬁle through indicators such as the methods called by the ﬁle. Additionally, FlashDetect is not speciﬁcally focused on the detection of heap spraying exploits, but instead focuses on the more broader set of low-level exploits. Cova et al. describe JSAND [3], a tool for analyzing JavaScript with an approach that is related to FlashDetect 's approach, using classiﬁcation based on a set of dynamic and static features. However, JSAND and FlashDetect use diﬀerent features, due to the diﬀerent nature of JavaScript and ActionScript. Zozzle [4] is a static JavaScript analyzer by Curtsinger et al. that also uses a naive Bayesian classiﬁer to detect malicious ﬁles. However, the features used by Zozzle for classiﬁcation are automatically extracted from the JavaScript's abstract syntax tree. In contrast, FlashDetect 's static features are predeﬁned, and it also uses predeﬁned, dynamically extracted features. The recent work on Rozzle by Kolbitsch et al. [12] describes an implementation for multi-execution in JavaScript. Their approach to multi-execution could be applied to Lightspark to enable the robust handling of Flash ﬁles using environment-identiﬁcation. There are several malware detection systems that use low-interaction or high-interaction honeyclients. Examples are HoneyMonkey [25], CaptureHPC [22], Moshcuk et al. [16,17], Provos et al. [20], and Monkey-Spider [7]. FlashDetect diﬀers from such systems in that it does not automatically crawl websites. Instead, FlashDetect is designed to be used in conjunction with some other analyzer that feeds samples into FlashDetect for further analysis. Additionally, in contrast to high-interaction honeyclients, FlashDetect 's analysis provides more insight into how an exploit works. High-interaction honeyclients on the other hand provide more insight into the eﬀects of an exploit, something which FlashDetect does not currently do. However, in high-interaction honeypots, exploits must succeed for them to be detected, while this is not the case for FlashDetect . 8 Conclusion We discussed several techniques commonly used by Flash malware. We have discussed how malware using ActionScript 3 often takes on a role of exploit facilitator, showing that a successful solution to detecting malicious Flash ﬁles is crucial. Subsequently, we have introduced FlashDetect , which uses a novel approach combining static and dynamic analysis to examine Flash ﬁles. FlashDetect 's classiﬁcation is based on a combination of predeﬁned features. We have shown how these features, when used with a naive Bayesian classiﬁer and a single vulnerability-speciﬁc ﬁlter, allow for high classiﬁcation accuracy with a minimal amount of false negatives. References 1. Adobe: Statistics: PC penetration, http://www.adobe.com/products/ flashplatformruntimes/statistics.edu.html, accessed on 2012-06-15 2. Blazakis, D.: Interpreter exploitation: Pointer inference and JIT spraying (2010), http://www.semantiscope.com/research/BHDC2010/BHDC-2010-Paper.pdf, accessed on 2012-06-15 3. Cova, M., Kruegel, C., Vigna, G.: Detection and Analysis of Drive-by-Download Attacks and Malicious JavaScript Code. In: Proceedings of the World Wide Web Conference (WWW). Raleigh, NC (April 2010) 4. Curtsinger, C., Livshits, B., Zorn, B., Seifert, C.: Zozzle: Low-overhead mostly static JavaScript malware detection. In: Proceedings of the Usenix Security Symposium (Aug 2011) 5. DoSWF.com: DoSWF - Flash encryption, http://www.doswf.com/doswf, accessed on 2012-06-15 6. Ford, S., Cova, M., Kruegel, C., Vigna, G.: Analyzing and detecting malicious ﬂash advertisements. In: Proceedings of the 2009 Annual Computer Security Applications Conference. pp. 363–372. ACSAC '09, IEEE Computer Society, Washington, DC, USA (2009) 7. Ikinci, A., Holz, T., Freiling, F.: Monkey-spider: Detecting malicious websites with low-interaction honeyclients. In: In Proceedings of Sicherheit, Schutz und Zuverlässigkeit (2008) 8. JavaScript-Source.com: JavaScript obfuscator, http://javascript-source.com, accessed on 2012-06-15 9. Joly, N.: Technical Analysis and Advanced Exploitation of Adobe Flash 0-Day (CVE-2011-0609) (2011), http://www.vupen.com/blog/20110326.Technical_ Analysis_and_Win7_Exploitation_Adobe_Flash_0Day_CVE-2011-0609.php, accessed on 2012-06-15 10. 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4 ENTRANCE ANTIPHON: The Lord said: I think thoughts of peace and not of affliction. You will call upon me, and I will answer you, and I will lead back your captives from every place. (Jer 29:11,12,14) Alleluia, alleluia! Watch at all times, praying that you may have the strength to stand before the Son of man. Alleluia! This is the Word of the Lord. A reading from the Book of Malachi (4:1-2a) Behold, the day comes, burning like an oven, when all the arrogant and all evildoers will be stubble; the day that comes shall burn them up, says the Lord of hosts, so that it will leave them neither root nor branch. But for you who fear my name the sun of righteousness shall rise, with healing in its wings. Responsorial Psalm: Response: The Lord comes to rule the earth with justice. Sing psalms to the Lord with the harp, with the sound of music. With trumpets and the sound of the horn acclaim the King, the Lord. R./ Let the sea and all within it, thunder; the world, and all its peoples. Let the rivers clap their hands and the hills ring out their joy at the presence of the Lord. R./ For the Lord comes, comes to rule the earth. He will rule the world with justice and the peoples with fairness. R./ A reading from the Second Letter of St Paul to the Thessalonians(3:7-12) You yourselves know how you ought to imitate us; we were not idle when we were with you, we did not eat any one's bread without paying, but with toil and labour we worked night and day, that we might not burden any of you. It was not because we have not that right, but to give you in our conduct an example to imitate. For even when we were with you, we gave you this command: If any one will not work, let him not eat. For we hear that some of you are living in idleness, mere busy-bodies, not doing any work. Now such persons we command and exhort in the Lord Jesus Christ to do their work in quietness and to earn their own living. This is the Word of the Lord. A reading from the Holy Gospel according to St Luke (21:5-19) As some spoke of the temple, how it was adorned with noble stones and offerings, Jesus said, "As for these things which you see, the days will come when there shall not be left here one stone upon another that will not be thrown down." And they asked him, "Teacher, when will this be, and what will be the sign when this is about to take place?" And he said, "Take heed that you are not led astray; for many will come in my name, saying, 'I am he!' and, 'The time is at hand!' Do not go after them. And when you hear of wars and tumults, do not be terrified; for this must first take place, but the end will not be at once." Then he said to them, "Nation will rise against nation, and kingdom against kingdom; there will be great earthquakes, and in various places famines and pestilences; and there will be terrors and great signs from heaven. But before all this they will lay their hands on you and persecute you, delivering you up to the synagogues and prisons, and you will be brought before kings and governors for my name's sake. This will be a time for you to bear testimony. Settle it therefore in your minds, not to meditate beforehand how to answer; for I will give you a mouth and wisdom, which none of your adversaries will be able to withstand or contradict. You will be delivered up even by parents and brothers and kinsmen and friends, and some of you they will put to death; you will be hated by all for my name's sake. But not a hair of your head will perish. By your endurance you will gain your lives." The Gospel of the Lord. Communion Antiphon: To be near God is my happiness, to place my hope in God the Lord. (Ps 72:28) Entrance: GATHER US IN Final: Here in this place Communion: WE WILL RISE AGAIN new light is streaming, Offertory: BLESSED BE GOD Now is the darkness vanished away, and our dreamings See in this space our fears Brought here to you in the light of this day Gather us in the lost and forsaken, Gather us in the blind and the lame; Call to us now and we shall awaken, We are the young we are the old our lives are a mystery, who yearn for your face. We have been sung throughout all of history, Called to be light to the whole human race Gather us in the rich and the haughty Gather us in the proud and the strong Give us a heart so meek and so lowly, Give us the courage to enter the song Blessed are you Lord, Thanks to your goodness, God of all creation this bread we offer work of our hands Fruit of the earth, It will become the bread of life Refrain: Blessed be God Blessed be God, Blessed be God, Blessed be God, forever Amen Blessed be God Blessed be God, forever Amen Blessed are you Lord, Thanks to your goodness, God of all creation this wine we offer work of our hands Fruit of the vine, It will become the cup of joy Like a shepherd I will feed you; I will gather you with care. close to my heart. I will lead you and hold you We will run and not grow weary, for our God will be our strength, and we will fly like the eagle, we will rise again. I am strength to the weary; to the weak I am new life. I will be their hope. Though the young may grow weary, Lift up your eyes, and see who made the stars. I lead you, and I know you, I call you each by name. Fear not, I am with you; I am your God. I will strengthen you and help you; uphold you with my hand RED WEDNESDAY: WALK OF WITNESS Wednesday 20 November 2019, 8.30pm Begins at Birthplace of St Mary Mackillop,7 Brunswick St Fitzroy, finishes at St Patrick's Cathedral Prayers for persecuted Christians and a procession. It will conclude with the floodlighting of the Cathedral in red. RSVP: by Monday 19 November firstname.lastname@example.org GIVE THANKS Give thanks Give thanks with a grateful heart to the Holy One Give thanks because He's given (repeat) Jesus Christ, His Son And now let the weak say, "I am strong" "I am rich Because Let the poor say, of what the Lord (repeat) has done for us" Give thanks (give thanks) Give thanks (give thanks) Weekly Parish Newsletter Bollettino Parrocchiale Settimanale Volume XIII Issue 42nd - 33rd Sunday In Ordinary Time Year C 17th November 2019 The Parish Community of St. Brigid and St. Mark 378 Nicholson Street - North Fitzroy 3068 VIC - Phone No: 03 9489 6777 email@example.com - Website: http://pol.org.au/fitzroynorth/Home.aspx We acknowledge the Wurundjeri people, the traditional owners and custodians of the land on which we stand. We pay our respects to them for their care of the land. May we walk gently on this land. PRAYER IN THE CHRISTIAN LIFE LA PREGHIERA NELLA VITA CRISTIANA 550. All times are good for prayer. The Church, however, proposes special times to the faithful to stress and nurture continual prayer: morning and evening prayer, prayers before and after meals, the liturgy of the hours, the Sunday Eucharist, the Rosary and the feasts of the Liturgical Year. Christian prayer? What are the essential forms of blessing and adoration, the prayer of (2643-2644) They are Ogni momento e' buono per pregare. Tuttavia, la Chiesa incoraggia i fedeli a pregare in tempi particolari come espressine di fede e nutrimento alla vita: al mattino e alla sera, prima e dopo i pasti, la preghiera delle Ore Liturgiche, la celebrazione Eucaristica domenicale, il S. Rosario, e le Feste dell'Anno Liturgico. petition and intercession, thanksgiving and praise. The Eucharist contains and expresses all the forms of prayer. 550. Quali sono le forme essenziali 551. What is "blessing"? (2626-2627;2645) The prayer of blessing is man's response to God's gifts: we bless the Almighty who first blesses us and fills us with his gifts. della preghiera cristiana? (2643-2644) Sono la benedizione e l'adorazione, la preghiera di domanda e l'intercessione, il ringraziamento e la lode. L'Eucaristia contiene ed esprime tutte le forme di preghiera. 552. How can adoration be defined? (2628) Adoration is the humble acknowledgement by human beings that they are creatures of the thrice-holy Creator. 551. Che cos'è la Benedizione? (2626-2627;2645) La Benedizione è la risposta dell'uomo ai doni di Dio: noi benediciamo l'Onnipotente che per primo ci benedice e ci colma dei suoi doni. 553. What are the different forms of the prayer of petition? (2629-2633;2646) It can be a petition for pardon or also a humble and trusting petition for all our needs either spiritual or material. The first thing to ask for, however, is the coming of the Kingdom. 552. Come si può definire l'adorazione? (2628) L'adorazione è la prosternazione dell'uomo, che si riconosce creatura davanti al suo Creatore tre volte santo. 554. In what does the prayer of intercession consist? (26342636;2647) Intercession consists in asking on behalf of another. It conforms us and unites us to the prayer of Jesus who intercedes with the Father for all, especially sinners. Intercession must extend even to one's enemies. 553. Quali sono le diverse forme della preghiera di domanda? (2629-2633;2646) Può essere una domanda di perdono o anche una richiesta umile e fiduciosa per tutti i nostri bisogni sia spirituali che materiali. Ma la prima realtà da desiderare è l'avvento del Regno. 555. When is thanksgiving given to God? (26372638;2648) The Church gives thanks to God unceasingly, above all in celebrating the Eucharist in which Christ allows her to participate in his own thanksgiving to the Father. For the Christian every event becomes a reason for giving thanks. 554. In cosa consiste l'intercessione? (2634-2636;2647) L'intercessione consiste nel chiedere in favore di un altro. Essa ci conforma e ci unisce alla preghiera di Gesù, che intercede presso il Padre per tutti gli uomini, in particolare per i peccatori. L'intercessione deve estendersi anche ai nemici. 556. What is the prayer of praise? (2639-2643;2649) Praise is that form of prayer which recognizes most immediately that God is God. It is a completely disinterested prayer: it sings God's praise for his own sake and gives him glory simply because he is. 555. Quando si rende a Dio l'azione di grazie? (2637-2638;2648) La Chiesa rende grazie a Dio incessantemente, soprattutto celebrando l'Eucaristia, in cui Cristo la fa partecipare alla sua azione di grazie al Padre. Ogni avvenimento diventa per il cristiano motivo d'azione di grazie. 556. Che cos'è la preghiera di lode? (2639-2043;2649) La lode è la forma di preghiera che più immediatamente riconosce che Dio è Dio. É completamente disinteressata: canta Dio per se stesso e gli rende gloria perché egli è. MESSAGE FROM ARCHBISHOP OF MELBOURNE Dear Friends and Colleagues, To all those facing the uncertainty, danger and devastation of the fires to the north, please know that you are in our heartfelt prayers. We ask the Holy Spirit to bring renewed courage and strength to those who give so much of themselves at these critical times - our people at the fire fronts, those ministering and attending the injured, those caring for the homeless and displaced, those who will continue to bring support long after the last ember has gone out. We place our trust in you Lord, to shelter and protect our loved ones, friends, and all those who need your help. St Vincent de Paul are on the ground throughout our communities providing support in those life-giving ways that people need in times of disaster and tragedy. May I encourage our people of Melbourne and beyond to support the Vinnies Bushfire Appeal through www.vinnies.org.au or through your local parish. With every grace and blessing, I remain, Yours sincerely in Christ Jesus. Most Rev. Peter A Comensoli. (If you wish to donate to this appeal you can place your donation in the "OFFERTE" box at the entrance to the church (on the right) and we will send it to St. Vincent De Paul. At this time, we also remember those who have lost their lives in these devastating fires, may the Lord of Mercy welcome them into his heavenly home and give peace and comfort to their loved ones. The Missionaries of St. Charles Borromeo - Scalabrinians www. Scalabrini. org dignity of all children and vulnerable adults. Ministering to the Parish and Migrants in St. Brigid since 1959 Our Parish is committed to the safety, wellbeing and 2 Day of the Week Liturgical Calendar and activities Liturgical Celebration Intention St. Mark Intention St. Brigid Parish Activity SATURDAY/ SABATO 6.00pm Vinzi MONITTO endurance you Ermando IARRUSSI "By your \| SUNDAY/DOMENICA 17th November 2019 33rd Sunday In Ordinary Time Year “C” \| “Con la vostra perseveranza salverete la vostra vita” \| \| 8.30am Moya PERRETT D a n i e l Robert MURPHY N e l l i e & Lionel WALSH Deceased members of MOLERO, BAYOCO, GALLARDE, ARIGO, YLANAN, PAGNAMITAN & FOWLER families \| \| 9.45am Christina LING Gaetano CAFARELLA 11.00am V edere elenco prossima pagina 3.00pm Mass & Adoration (Spanish Chaplaincy) \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Monday/Lunedí 18th November 2019 1 Macc 1:10 -15,41-43, 54-57,62-64; Lk 18:35-43 \| Responsorial Psalm Give me life, O L ord, and I will do your commands. \| \| 8.00am For all departed brothers and sisters \| \| 9.15am 7.00pm Rosary for Giovanna CANILLA \| \| \| \| \| Tuesday/ Martedí 19th November 2019 2 Macc 6 18-31; Lk 19:1-10 \| Responsorial Psalm The Lord upholds me \| \| 8.00am Antonio e Maria MESIANO Michael VICINO Esme, Joe, Trish DOOLAN Joel DRESSLER \| \| 9.15am George & Antonia COSTANZO Lina & Giovanni ROLLO 1.00pm Funeral Mass for Giovanna CANILLA 7.30pm Maria Rosa LICASTRO (1mth) \| \| \| Our deepest sympa- thy to the family and friends of Giovanna CANILLA. May the Lord of mercy grant her eternal rest and give peace and comfort to her loved ones. \| \| Wednesday/Mercoledí 20th November 2019 2 Macc 7:1, 20-31; Lk 19:11-28 \| Responsorial Psalm Avró pienezza di vita alla tua presenza. Lord, when your glory appears, my joy will be full. \| \| 8.00am Deceased members of t he REBESCHINI family \| \| 9.15am Bruno RUGGIERO Francesco, Anna e Cristina MOBILIO - Vincenzo PERRI 7.30pm Antonio D'ALESSANDRI \| \| \| 7.30pm (Convent Chapel) Mass in honour to Our Lady of Perpetual Help (Filipino Chaplaincy) \| \| Thursday/Giovedí 21st November 2019 Presentation of B.V.M 1 Macc 2:15-29; Lk 19: 41-44 \| Responsorial Psalm To the upright I will show the saving power of God. \| \| 8.00am Presentation of Blessed V i rgin Mary \| \| 9.15am Presentation of Blessed Virgin Mary \| \| \| \| \| Friday/Venerdí 22nd November 2019 S.Cecilia, vergine, martire 1 Macc 4:36-37,52-59; Lk 19:45-48 \| Responsorial Psalm We praise your glorious name, O mighty God. \| \| 8.00am St. Cecilia \| \| 9.15am St. Cecilia \| \| \| \| \| Parish Community Parish Priest: Fr. Savino Bernardi, CS 0434 089 707 Assistant Parish Priest & Migrant Chaplain to the Italian Community: Fr. Vito Pegolo, CS Tel: 0419 736 890 \| \| Parish Office Monday to Friday 9.30am - 4.30pm Parish Secretary Giovanna Bellissimo Tel: (03) 9489-6777 \| \| Comunidad Pastoral De Habla Hispana Chaplain P. José Gutierrez, CS Tel: (03) 9482-5362 Mob: 0481 127 374 \| \| Comunidade Pastoral De Expressão Portuguesa Chaplain P. Fabio Esteban Duque Supulveda, CS Mob: 0410 001 462 \| Filipino Pastoral Community Chaplain Mons. Joselito Asis Tel: (03) 9482-5349 Mob: 0404 261 228 \| \| 16th November 2019 \| Parish News… Notizie di casa nostra... \| \| \| \| \| \| 3 \| \|---\|---\|---\|---\|---\|---\|---\| \| Liturgy of the Word 23rd &24th November 2019 \| 6.00pm Vigil St. Brigid \| 8.30am St. Mark \| 9.45am St. Brigid \| 11.00am St. Brigid \| Offertory Procession \| \| \| I Reading \| M. de Souza \| L. Murphy \| A. Atherton \| P. La Marca \| N. Ieraci / G. Moretti \| \| \| Responsorial Psalm \| M. de Souza \| L. Murphy \| C. Penitito \| T. Toscano \| N. Omenihu / J. Smith \| \| \| II Reading \| M. de Souza \| A. De Santis \| E. Elkins \| P. La Marca \| Toscano Family \| \| INTENZIONI PER I CARI DEFUNTI MESE DI NOVEMBRE: Sul tavolo all'ingresso della Chiesa e sui banchi, si trovano bustine per le intenzioni in ricordo dei defunti, scrivete i loro nomi con la vostra offerta e questi saranno ricordati durante il mese di Novembre e durante l'anno. Grazie. 11.00am Intenzioni FRIAR ALESSANDRO AUSTRALIAN TOUR 2019 NOVEMBER MASS ENVELOPES: For those who wish to remember their loved ones during November and throughout the year, there are envelopes available at the entrance to the church and on the pews. Please write the name of the person/s you wish to remember and place the envelope with your offering in the collection basket. Thankyou. MULTI-CULTURAL NATIVITY NOVENA MASSES (Simbang Gabi/ Misa de Aguinaldo) From 15 - 23 December 2019 7.30pm St. Brigid's Church. Each night a different Migrant Community comes together with the celebration of Holy Mass and Christmas Songs in their language, followed by fellowship. This event has been organized by the Filipino Chaplaincy and St. Brigid's Parish. All welcome. Maria RIGON (1mth) Angela CAVALLIN (1st annv) Angelo e Luigi CAVALLIN Sebastiana SALA - Alfonso CAPITO Nerso MAZZON e famiglia Sebastiano CALDERONE e famiglia Carmelo DI MAURO e famiglia Antonio e Rocchina TOCE Defunti membri della famiglia LAURIA Defunti membri delle famiglie TOSCANO, AIELLO e DIPIERI Chiara e Addolorata CASTELLANA Luigi RITUCCI - Gianna BOFFA Carlo VERLINGIERI Salvatore RITUCCI - Giovanni RULLO Michelina GAMMAROTA Giuseppe, Vito e Vitale RULLO Defunti membri della famiglia SORACE Giuseppe e Caterina SCHENA Joseph SCHENA - Maria CASE Umberto e Flora PETRINI 2020 COLUMBAN ART CALENDAR ON SALE NOW Includes beautiful artwork, Liturgical Information and Feasts days Cost $12.00 (inc GST and postage)To order contact: Columban Mission Centre (03) 9375 7475 www.columban.org.au PRESEPIO MUSICALE Venerdí 6 Dicembre alle 7.00pm nella Chiesa di St. Clement's, Egan Drive, Bulleen. Cantanti: Marco Cinque, Carmela De Losinno, Giuseppe Cacciapaglia. Banda Musicale Vincenzo Bellini. Coro Veneto e il Maestro Gianni Turcio. Maestro di cerimonia: Cav. Frank Di Blasi. Prenotazioni: Giorgio 0411662 oppure all'ufficio parrocchiale 9850 3262. Donazione $20 Entrata: Offertorio: NOI CANTEREMO GLORIA A TE Noi canteremo gloria a Te, Dio d'immensa carità, Padre che dai la vita, Trinità infinita. Tutto il creato vive in Te, tutta la storia ti darà segno della tua gloria; onore e vittoria. La tua Parola venne a noi, la tua Promessa porterà annuncio del tuo dono; salvezza e perdono. Vieni, Signore, in mezzo ai tuoi, dona la pace e l'unità, vieni nella tua casa: raduna la tua Chiesa. A TE NOSTRO PADRE A te, nostro Padre FRIAR ALESSANDRO at St. Patrick's Cathedral You are invited to an evening of Christmas music and readings with internationally acclaimed Franciscan singer Friar Alessandro. Friar is on his first ever tour to Australia and will be accompanied by Vivian Choi (Piano) and the Artes Christi Choir & Orchestra. Entry Free or By Donation With all donations supporting the Vinnies Christmas Appeal. Date & Venue: Saturday 7 December at 7.30pm St. Patrick's Cathedral, East Melbourne. Bookings Essential via www.voicefromassisi.org.au If you wish to attend, please write your name on the Booking Sheet on the table and the parish will book for you, or if you wish you can book directly via the above website. LOURDES DAY MASS Saturday 7 December, 10.30am St Patrick's Cathedral A blessing of the sick will follow the celebration of the Liturgy with water brought from the spring at the Shrine of Lourdes. On this occasion we celebrate Our Lady's appearance to a young girl, Bernadette, in 1858 in Lourdes, France. Through a set of private revelations, Mary revealed herself as 'the Immaculate Conception'. This is an occasion to come together in prayer with those who are sick, infirm or elderly and their carers. Each Mass participant will receive a gift pack containing a small bottle of Lourdes water (sourced from the Grotto), rosary beads and prayer materials. Individual blessings are Comunione TI RINGRAZIO, O MIO SIGNORE e nostro Signor, pane e vino oggi noi t'offriam sull'altar. Grano, diverrai vivo Pane del cielo l'alma fedel. Cibo per nutrire Rit.: Vino, diverrai fonte che disseta vivo Sangue di Cristo, l’arsura del cuor. Rit.: Ti ringrazio, o mio Signore, per le cose che sono nel mondo, per la vita che tu mi hai donato, per l'amore che tu nutri per me. Alleluia, O mioSignore! Alleluia, O Dio del Cielo! Alleluia, O Dio del Ciel! Alleluia, O mio Signore! Come il pane che abbiamo spezzato così unisci noi, sparsi nel mondo, Era sparso in grano sui colli, Rit. in un Corpo che sia solo per te. Quell'amore che unisce te al Padre Sia la forza che unisce i fratelli ed il mondo conosca la pace: Rit. la tua gioia regni sempre tra noi. St. Brigid & St. Mark Collections 1st Collection $675 - 00 2nd Collection $420 - 00 Envelopes $161 - 00 Fine NOME DOLCISSIMO Nome dolcissimo, nome d'amore, Frai cori angelici è l'armonia: tu sei rifugio al peccatore. (X 2) Ave Maria, ave Maria! Nel fosco esilio, fulgida stella, sei nostra gioia, Vergine bella. Ascolta il grido dell'alma mia: Ave Maria, ave Maria. (X2) Saldo mi tieni sul buon sentiero; Frai cori angelici è l'armonia: dei gaudi eterni al gran pensiero, (X2) Ave Maria, ave Maria!
Design of Different Cavity Add Drop Filter Using 2d Rectangular Lattice Photonic Crystal Ring Resonator Harshita Sharma Electronics and communication Govt. Women Engineering College Ajmer, India Vijay Laxmi Kalyani Electronics and Communication Govt. Women Engineering College Ajmer, India Abstract— In this paper, analysis and designing of different cavity based Add Drop Filter (ADF) which is formed using two Dimensional Photonic Crystal Ring Resonator (2D-PCRR) designed on rectangular lattice having silicon as a dielectric rods in air medium with Refractive Index (RI) value as 3.6730 and 1.0. Here we are designing different cavity based PCRR which are analyzed and investigated. The output efficiency of desired PCRRs are studied by varying the size of the rod radius and also by adding some defects. The transmission spectra of PCRR is calculated using Finite Difference Time Domain (FDTD) method and the Photonic Bandgap is calculated by Plane Wave Expansion (PWE) method. PBG of ADF is located in C and Lband which found its application in various satellite communication and for INMARSAT Satellite. The overall size of the PCRR is 10.5𝞵m X 10.5𝞵m i.e.110.25𝞵m2. Keywords— Photonic Crystal, Band Pass Filter, FDTD method, PWE Method, Photonic Band Gap I. INTRODUCTION The increasing interest in photonic integrated circuits (PIC's) and the increasing use of all-optical fiber networks as backbones for global communication systems have been based in large part on the extremely wide optical transmission bandwidth provided by dielectric materials. This has accordingly led to an increase demand for the practical utilization of the full optical bandwidth available [1, 2and 3]. Add drop filter consist of two waveguide one is bus waveguide and other is dropping waveguide. It basically consist of Arrayed Waveguide Grating (AWG) or Bragg grating structure to separate the incoming/outgoing wavelength. Many optical devices which based on Photonic integrated circuit (PIs) have high operating speed, high density, highly efficient. With a specific end goal to expand the total transmission transfer speed, it is for the most part favored that the separating of all the while transmitted optical information streams, or optical information channels, be firmly stuffed to oblige a bigger number of channels. As such, the distinction in wavelength between two adjoining channels is ideally limited [4, 5]. Photonic crystal is basically a periodic structure in optical medium which totally control the flow of light. As it forces light around sharp band and multiple reflection can be done from its surface. Photonic crystal is nanostructure whose refractive index changes with the dimensions, it is described using Maxwell's Equation, which can be solved by the application of massive computational power. Based upon the variation of the refractive index, photonic crystal is basically classified as One Dimensional, Two Dimensional, and Three Dimensional. Mainly we work on two dimensional (2D) photonic crystal, the reason behind using 2D is that in this we add some defect as same as we add doping in semiconductor to increase its conductivity, but in photonic crystal creating defect is to increase the overall efficiency of the design. The periodicity of the light is broken by adding defect, which may be classified as line defect and point defect. Photonic crystal have a photonic band gap (PBG) and different frequencies band is created which does not allow different frequency due to its periodic structure. In this paper, different cavity based add drop filter is designed with the feature that the resonant wavelength of ring resonator is changed while changing the dielectric constant. For calculating photonic band gap we use the Plane Wave Expansion (PWE) method, which is calculate without adding defects in the lattice structure. The analysis is done so as create quasi- square and circular Add Drop filter based PCRR with silicon as a dielectric material. Adding defects is of two type i.e. Line Defect and Point Defect. As Line defect is along the whole row of atom in solid and point defect is where the atom is missing. In this paper we are using combination of line defect (bus waveguide), point defect cavity and a single ring resonator between input and output line defect PC waveguide. The whole PCRR is designed on rectangular/ square lattice having silicon as a dielectric material with refractive index value 3.6730 Here effect of different cavity based ring resonator parameter on the resonant wavelength and transmission spectra of PCRRs are investigated. The proposed structure provides a possibility of optical channel drop filter and can be used in the future photonic integrated circuits [6, 7]. This paper is arranged as follow: In Section 'II' structural is designed. In section 'III' structural different cavity ad drop filter is designed. In section 'IV' Simulation result are discussed. In section 'V' conclude the paper. II. STRUCTURE DESIGN In this paper, different cavity PCRRs are designed on 2D rectangular lattice photonic crystal. The number of circular rods in X and Z direction is 19 X 19, respectively surrounded by the air medium. Here we are using silicon as a dielectric material with RI value 3.6730 and that of air is 1.0, respectively. The spacing between the two adjacent rod known as lattice constant (a) with value 543.1 nm and permittivity of the rod is 13.5( Refractive index = 3.6730). The radius of the rod is 0.1768 X a, which is close to 0.1 𝞵m. The ratio of the rod radius (r) to that of the lattice constant (a) is equal to 0.1768 𝞵m. Figure 1 show the band diagram of square lattice photonic crystal without creating any defect which give Transverse Electric (TE) and Transverse Magnetic (TM) mode. The analysis of PC is done by using TE and TM mode. In our proposed structure we are using TE mode. According to the figure 1, there are two PBGs in the band structure diagram. The frequency range of first and second band are 0.785158< a/𝞴<0.514857 and 1.36103< a/𝞴 <1.30499, in term of wavelength we write it as 1273.6 nm< 𝞴 <1942.2 nm and 734.7 nm <𝞴 <766.2 nm, as our required band lie in the bandgap first. As the bandgap first cover both the band i.e. the L-band and c-band ranging from (1565nm – 1625 nm) and (1530nm – 1565nm). Here we are using this PBG for designing our different cavity based PCBPFs for wavelength lie in L- band and C-band. In the photonic crystal the PBG is calculated using Plane Wave Expansion (PWE) method. When the defect introduce in the structure light propagate through the PBG region. III. STRUCTURAL CAVITY BASED ADD DROP FILTER USING PHOTONIC CRYSTAL RING RESONATOR In ideal add drop filter the ring resonator is sandwich between two parallel waveguide in which the upper waveguide behave as bus waveguide and lower waveguide behave as dropping waveguide. It basically consist of four port i.e. A, B, C, and D. electromagnetic signal is transmitted from input 'A', port 'C' and 'D' are forward and backward dropping terminal. Port 'B' is a forward transmission terminal for bus waveguide. Here we design three structural cavity i.e. Quasi- square and Circular cavity based PCPP They consist of two in- line quasi waveguide in X direction and three rings in resonant cavity that are positioned between them. The rods inside the resonant cavity is known as inner rods and the coupling rods is placed between in the bus waveguide and dropping waveguide. In figure 2, quasi- square PCRR is designed by removing the inner rods by introducing point defect. Here the, coupling rod is placed in between the bus waveguide and dropping waveguide. We take radius of the coupling rod as Rc= 0.12r so that we get the best dropping efficiency [8]. In figure 3, we design a circular cavity based PCRR by removing the inner radius and creating waveguide by using point and line defect. Rods from left side is shifted into the ring resonator so as to from a circular cavity with scattered rod radius value change to 0.11𝞵m The radius of the coupling rod is 0.08𝞵m so that we get the better efficiency. IV. SIMULATION RESULT In this paper, we are using continuous wave which is applied to the port 'a' and from port 'B' and 'c' we get the resultant output. In Figure 4, at resonant input signal of wavelength 1595nm is entered from point 'A' where the input port is coupled through quasi-square cavity and drop out from port 'D', whereas at "Off" resonant condition signal go straight from the bus waveguide and received from port' B' shown in figure5. In these figure, input signal is coupled with waveguide and output provide the output efficiency. In order to increase the efficiency we add defects by changing the rod radius. For calculating the simulation result, we are using Finite Difference Time Domain (FDTD) method. A 2d 32 bit simulation is done to obtain the simulation parameter. The simulation process run for 10000 time step. The resonating based circular cavity gives better performance. By varying the rod radius we design a band pass filter and also increase its overall efficiency. In Figure 6, at resonant input signal of wavelength 1567.95nm is entered from point 'A' where the input port is coupled through quasi-square cavity and drop out from port 'D', whereas at "Off" resonant condition at wavelength 1520nm signal go straight from the bus waveguide and received from port' B' shown in figure 7. In these figure, input signal is coupled with waveguide and output provide the output efficiency. In order to increase the efficiency we add defects by changing the rod radius. The transmission spectra for quasi-square cavity PCRR based add drop filter in shown by figure 8 for the resonant wavelength 1595nm and with coupling rod radius as 0.12𝞵m similarly for circular cavity PCRR based add drop filter, the transmission spectra is shown by figure 9 for the resonant wavelength 1569.75nm and coupling rod radius as 0.08𝞵m whereas scattered rod radius value is 0.11𝞵m. An OPTIFDTD method is used to simulate the design. V. CONCLUSION In this paper, Quasi-Square cavity and circular cavity PCRR based ADF are analyzed and investigated by using Finite Difference Time Domain Method. The whole system structure designed on 2D rectangular lattice having silicon as a dielectric material with RI value 3.6730. The photonic bandgap is calculated using Plane Wave Expansion (PWE) method. The above Quasi- Square cavity PCRR based ADF is optimized for 1595nm whereas Circular cavity is optimized for 1569.75nm. The proposed and suggested PCBPF is compact and overall size of the chip is 10.5𝞵m X 10.5 𝞵m i.e. 110.25𝞵m2As both the proposed design is optimized within the L-band so it find many application in various photonic integrated circuits and use in CWDM application ACKNOWLEDGMENT I would like to thank Mrs. Vijay Laxmi Kalyani, Assistant professor in Electronics and Communication department of Govt. Women Engineering College, Ajmer for the helpful contribution and guidance. REFERENCES (1) Joannopoulos JD, Meade RD, and Winn JN. Photonic Crystals: Molding the Flow of Light. Princeton University Press, Princeton, NJ, USA. 1995. (2) Mansouri-Birjandi MA, Moravvej-Farshi MK, and Rostami A. Ultrafast low threshold all-optical switch implemented by arrays of ring resonators coupled to a Mach–Zehnder interferometer arm: based on 2D photonic crystals. Appl. Optic. 2008; 47: 5041-5050. (3) Wang Q, Cui Y, Zhang H, Yan C, and Zhang L. The position independence of heterostructure coupled waveguides in photonic crystal switch. Optik. 2010; 121:684-688. (4) Selim R, Pinto D, and Obayya SSA. Novel fast photonic crystal multiplexer-demultiplexer switches. Optical and Quantum Electronics. 2011; 42:425-33. (5) Pennec Y, Vasseur JO, Djafari-Rouhani B, Dobrzyński L, and Deymier PA. Two-dimensional photonic crystals: Examples and applications. Surface Science Reports. 2010; 65: 229-291. (6) Djavid M, Abrishamian MS. Multi-channel drop filters using photonic crystal ring resonators. Optik. 2012; 123: 167-170. (7) Chu ST, Pan W, Sato S, Kaneko T, Kokubun Y, and Little BE. An eight-channel add/drop filter using vertically coupled microring resonators over a cross grid. IEEE Photonics Technology Letters. 1999; 11: 691-693. (8) F. Monifi, F. Monifi, A. Ghaffari, M. Djavid, and M. S. Abrishamian, "Three output port channel drop filter based on photonic crystals"; Applied Optics, 48(4), 804–809, 2009 (9) M. Djavid, A. Ghaffari, F. Monifi and M. S. Abrishamian, "Photonic crystal narrow band filters using biperiodic structures", Journal of Applied Science, vol. 8, no.10, pp. 1891-1897, 2008. (10) S. Robinson, and R. Nakkeeran, "A bandpass filter based on 2D circular photonic crystal ring resonator", 7th IEEE International Conference on WOCN'10, Colombo, Sri Lanka, Sep 6-8, 2010. (11) A. Lavrinenko, P. I. Borel, L. H. Frandsen, M. Thorhauge, A. Harpoth, M. Kristensen, T. Niemi, and H.M. H. Chong, "Comprehensive FDTD modeling of photonic crystal waveguide components", Opti. Express 12, pp. 234-248, 2004. (12) V. Dinesh Kumar, T. Srinivas, A. Selvarajan, "Investigation of ring resonators in photonic crystal circuits", Photonics and NanostructuresFundamentals and Applications, vol. 2, pp. 199-206, 2004.
AHIX8000 Capstone Advanced Project Session 2, Fully online/virtual 2021 Department of History and Archaeology Contents Disclaimer Macquarie University has taken all reasonable measures to ensure the information in this publication is accurate and up-to-date. However, the information may change or become out-dated as a result of change in University policies, procedures or rules. The University reserves the right to make changes to any information in this publication without notice. Users of this publication are advised to check the website version of this publication [or the relevant faculty or department] before acting on any information in this publication. Session 2 Learning and Teaching Update The decision has been made to conduct study online for the remainder of Session 2 for all units WITHOUT mandatory on-campus learning activities. Exams for Session 2 will also be online where possible to do so. This is due to the extension of the lockdown orders and to provide certainty around arrangements for the remainder of Session 2. We hope to return to campus beyond Session 2 as soon as it is safe and appropriate to do so. Some classes/teaching activities cannot be moved online and must be taught on campus. You should already know if you are in one of these classes/teaching activities and your unit convenor will provide you with more information via iLearn. If you want to confirm, see the list of units with mandatory on-campus classes/teaching activities. Visit the MQ COVID-19 information page for more detail. General Information Unit convenor and teaching staff Paul McKechnie email@example.com Lecturer Ian Worthington firstname.lastname@example.org Contact via Please use email Arts Precinct Level 1 By appointment Credit points 10 Prerequisites Admission to MAncHist(OUA) Corequisites Co-badged status Unit description This unit will be offered in the form of an advanced project directed towards integrating the knowledge and learning experiences gained across the Master of Ancient History program as a whole. Students will explore the significance of study of the ancient world through critical examinations of the work of recent (nineteenth/twentieth century) and living practitioners of ancient history, and then complete the project with an essay exploring the relevance of contemporary concerns to the study of the ancient world. Important Academic Dates Information about important academic dates including deadlines for withdrawing from units are available at https://www.mq.edu.au/study/calendar-of-dates Learning Outcomes On successful completion of this unit, you will be able to: ULO1: Acquire knowledge of how approaches to and methods of study of the ancient world have developed between the early nineteenth century and today. ULO2: Uncover and assimilate information in a context appropriate to postgraduate study. ULO3: Understand how scholars with varying outlooks and perspectives have combined investigating the ancient world with responding to and seeking to shape modern conditions. ULO4: Relate understanding of the ancient world to broad conceptual frameworks and modern contexts, with a view to integrating knowledge and learning experiences from the whole Master of Ancient History degree program. ULO5: Show in writing critical understanding of factual questions and judgements of likelihood and value. ULO6: Demonstrate in writing ability to reason persuasively from a question to a provisional answer, citing relevant evidence. General Assessment Information How to submit your work Written work must be submitted through Turnitin in the iLearn website for the unit. Extensions Please submit your work on time If you want an extension you must apply for special consideration (https://students.mq.edu.au/ study/my-study-program/specialconsideration). Unless a Special Consideration request has been submitted and approved, (a) a penalty for lateness will apply – 10 marks out of 100 credit will be deducted per day for assignments submitted after the due date – and (b) no assignment will be accepted seven days (incl. weekends) after the original submission deadline. No late submissions will be accepted for timed assessments – e.g. quizzes, online tests. Results Grading decisions for each assessment task will be moderated against the set criteria and standards before task results are released. Once approved, final results will be sent to your student email address and will be made available in eStudent. For more information visit ask.mq.edu.au. Assessment Tasks \| Name \| Weighting \| Hurdle \| \|---\|---\|---\| \| Online responses \| 20% \| No \| \| Essay \| 30% \| No \| \| Advanced Project \| 50% \| No \| Online responses Assessment Type 1 : Participatory task Indicative Time on Task 2 : 15 hours Due: 23:59 13/08/2021 Weighting: 20% Unit guideAHIX8000 Capstone Advanced Project In weeks 2 and 3, students will enter commentary and discussion in an online forum On successful completion you will be able to: * Acquire knowledge of how approaches to and methods of study of the ancient world have developed between the early nineteenth century and today. * Understand how scholars with varying outlooks and perspectives have combined investigating the ancient world with responding to and seeking to shape modern conditions. * Relate understanding of the ancient world to broad conceptual frameworks and modern contexts, with a view to integrating knowledge and learning experiences from the whole Master of Ancient History degree program. Essay Assessment Type 1 : Essay Indicative Time on Task 2 : 30 hours Due: 23:59 15/10/2021 Weighting: 30% Students will write an essay (word-limit 2000 words including footnotes but not including bibliography list) on one of the titles given in iLearn. On successful completion you will be able to: * Acquire knowledge of how approaches to and methods of study of the ancient world have developed between the early nineteenth century and today. * Uncover and assimilate information in a context appropriate to postgraduate study. * Understand how scholars with varying outlooks and perspectives have combined investigating the ancient world with responding to and seeking to shape modern conditions. * Show in writing critical understanding of factual questions and judgements of likelihood and value. * Demonstrate in writing ability to reason persuasively from a question to a provisional answer, citing relevant evidence. Advanced Project Assessment Type 1 : Project Indicative Time on Task 2 : 35 hours Due: 23:59 5/11/2021 Students will write an project (word-limit 2500 words including footnotes but not including https://unitguides.mq.edu.au/unit_offerings/131933/unit_guide/print 4 bibliography list) on the title given in iLearn On successful completion you will be able to: * Acquire knowledge of how approaches to and methods of study of the ancient world have developed between the early nineteenth century and today. * Uncover and assimilate information in a context appropriate to postgraduate study. * Understand how scholars with varying outlooks and perspectives have combined investigating the ancient world with responding to and seeking to shape modern conditions. * Relate understanding of the ancient world to broad conceptual frameworks and modern contexts, with a view to integrating knowledge and learning experiences from the whole Master of Ancient History degree program. * Show in writing critical understanding of factual questions and judgements of likelihood and value. * Demonstrate in writing ability to reason persuasively from a question to a provisional answer, citing relevant evidence. 1 If you need help with your assignment, please contact: * the academic teaching staff in your unit for guidance in understanding or completing this type of assessment * the Writing Centre for academic skills support. 2 Indicative time-on-task is an estimate of the time required for completion of the assessment task and is subject to individual variation Delivery and Resources Lectures and reading There are lectures in this unit, but not every week. 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Al-Iqtishad: Jurnal Ilmu Ekonomi Syariah (Journal of Islamic Economics) Volume 11 (2), July 2019 P-ISSN: 2087-135X; E-ISSN: 2407-8654 Page 341 - 356 Islamic Social Reporting (ISR) Analysis in Indonesia and Malaysia Wiwit Ayu Nofitasari 1 & Hikmah Endraswati 2 Abstract. The purposes of this study are to examine the effect of company size, profitability, the board of commissioners, proportion of independent commissioners, and frequency of meetings on the level of Islamic Social Reporting (ISR) in Indonesia and Malaysia and to test whether there are difference ISR systems in Indonesia and Malaysia. The sample of this study is ten companies that issued Sukuk at Indonesia Sharia Stocks Index and eight companies on Malaysia Stock Exchange in 20132017. Multiple regression and different tests are used in this research as analysis techniques. The results show that the size of the company affects the level of ISR positively in Indonesia, but not in Malaysia. Profitability, board size, and the proportion of independent commissioners do not affect ISR levels in both countries. The frequency of board of commissioner meetings affect ISR levels in Indonesia and Malaysia positively, and there is difference ISR system in the two countries. This research implies that there is a need for regulations considering ISR disclosure in Indonesia to improve the quality of ISR disclosure to the stakeholders. Keywords: Indonesia, Malaysia, Islamic Social Reporting Abstrak. Tujuan penelitian ini adalah untuk menguji pengaruh ukuran perusahaan, profitabilitas, dewan komisaris, proporsi komisaris independen, dan frekuensi rapat terhadap tingkat ISR (Islamic Social Reporting) di Indonesia dan Malaysia, dan untuk menguji apakah ada perbedaan ISR di Indonesia dan Malaysia. Sampel penelitian ini adalah 10 perusahaan yang menerbitkan Sukuk di Indeks Saham Syariah Indonesia dan 8 perusahaan di Bursa Saham Malaysia pada 2013-2017. Dalam analisis, penelitian ini menggunakan teknik regresi berganda (multiple regression) dan uji beda (difference tests). Hasil penelitian menunjukkan bahwa ukuran atau besarnya perusahaan berpengaruh positif secara signifikan terhadap tingkat ISR di Indonesia namun tidak terbukti di Malaysia. Sementara itu, profitabilitas, ukuran dewan komisaris, dan proporsi dewan komisaris independen tidak berpengaruh terhadap tingkat ISR di Indonesia dan Malaysia. Frekuensi rapat dewan komisaris berpengaruh positif secara signifikan terhadap tingkat ISR di Indonesia dan Malaysia; dan ada perbedaan tingkat ISR di Indonesia dan Malaysia. Implikasi dari penelitian ini adalah perlu adanya regulasi yang mengatur tentang ISR di Indonesia untuk meningkatkan kualitas penyajian ISR kepada stakeholder. Kata kunci: Indonesia, Malaysia, Islamic Social Reporting State Islamic Institute of Salatiga 1 2 E-Mail: State Islamic Institute of Salatiga Introduction According to the World Business Council on Sustainable Development (WBCSD), Corporate Social Responsibility (CSR) is a commitment from the company to implement ethics behavior; and to contribute to the sustainable economic development by paying attention to corporate social responsibility and focusing on the balance between economic, social and environmental aspects. The concept of CSR does not only exist in conventional economics but also develops in Islamic economics. Islamic measurement of CSR does not only cover material aspects but also includes spiritual and moral aspects. The fulfilment of corporate responsibility in the Islamic concept can be seen through the Islamic Social Reporting (ISR) disclosure. Islamic Social Reporting framework was developed by Haniffa (2002) and modified by Othman and Thani (2010), covering six themes namely, funding and investment, products and services, employees, society, environment, and corporate governance. The disclosure of corporate social responsibility in conventional context has been widely discussed in previous research, but research in ISR disclosure is still limited, so this study uses research from a conventional social responsibility disclosure context. ISR disclosure in the Indonesian context is still voluntary up until now, and there are no specific regulations governing the ISR index disclosure items (Jannah and Asrori, 2016). Based on previous research, company size, profitability, the board of commissioners and the proportion of independent commissioners influence ISR disclosure (Kurniawati and Yaya, 2017). This research supported Othman et al. (2009) and Ousama and Fatimah (2006) and was different from Murtanto and Elvina (2004). Othman et al. (2009) and Ousama and Fatimah (2006) stated that size has a significant positive effect on the level of ISR disclosure. There are differences in research results related to factors that influence the level of ISR disclosure. Lestari (2013) stated that profitability has a significant positive effect on ISR level disclosure, while Sunarsih and Ferdiyansyah (2017) stated that profitability does not affect ISR disclosure. Rizki et al. (2014) stated that the board of commissioners affect the disclosure of CSR positively, while Nur and Priantinah (2012) stated that the board of commissioners affect CSR disclosure negatively. Haribowo (2015) maintained that the composition of the board of commissioners and the frequency of commissioners meetings effect on CSR disclosure negatively, but Rizki et al. (2014) stated that the frequency of commissioner meetings has a positive effect on CSR disclosure. On the other hand, Othman et al. (2009) found that board composition has a significant positive effect on ISR disclosure index. The second purpose of this research is to study whether there is a difference ISR disclosure in Indonesia and Malaysia. Sofyani and Ulum (2012) argued that overall social performance of Islamic banking in Malaysia is higher than in Indonesia. Looking at those previous studies on the issue, this study becomes interesting, considering there are still many differences in research results about ISR. Besides, ISR disclosure is important because it could help investors to assess whether companies in the stock market maintain the principle of sharia in their operations. The differences between this research and previous studies are that: 1) this study uses data from companies that issued Sukuk at Indonesia Shariah Stocks Index and Malaysia Stock Exchange; 2) this research uses dummy variables to determine company size. 3) Another purpose of this research is to compare ISR levels in Indonesia and Malaysia. Literatur Review According to Freeman (2010), stakeholder theory stated that companies are not entities that are only responsible for their own interests (shareholders) but are also responsible and provide benefits to stakeholders (shareholders, creditors, consumers, suppliers, government, society, and other parties). Disclosure is to make something known or reveal something. The level of disclosure is strongly influenced by economic, political, and social circumstances (Haniffa, 2002). Based on the Financial Services Authority Regulation Number: 92/ POJK.04/2016, the disclosure of information in financial statements is divided into mandatory disclosure and voluntary disclosure. In the context in Indonesia, ISR is still voluntary disclosure. The ISR index is a benchmark for the implementation of sharia social responsibility that contains items of CSR disclosure. This was set by the AAOIFI (Accounting and Auditing Organization for Islamic Financial Institutions) and then was developed in sharia context by researchers (Soraya and Hartanti, 2010). ISR index measurement is the content analysis of the company's annual report to provide a checklist on every item that expresses social responsibility. If there is one item that is disclosed, it will get a score of '1', and if not, then it will get a score of '0'. Studies about company size and ISR were done by Othman et al. (2009) in 56 companies listed on Malaysia Stock Exchange in the period of 2004-2006; Lestari (2013) in 10 Indonesian Islamic Banks in the period of 2010-2011; Sirait and Bangun (2013) in non-financial companies listed in the Stock Exchange in the period of 2009 -2011; Rama (2014) in 8 Indonesia Sharia Banks in the period of 2010-2012, Sunarsih and Ferdiyansyah (2017) in 30 companies registered in the Indonesian Sharia Stock List in the period of 2012-2014. They found that company size has a significant positive effect on the level of disclosure of ISR. Based on these studies, the hypotheses of this particular research are: H1: The company size has a significant positive effect on the level of ISR in Indonesia. H2: The company size has a significant positive effect on the level of ISR in Malaysia. With regards to the relationship between profitability and ISR, Othman et al. (2009) studied the relationship between profitability and ISR disclosure in 56 companies listed in Malaysia Stock Exchange in 2004-2006. He found that profitability has a positive effect on ISR disclosure. This result is supported by Lestari (2013), Rama (2014), Kurniawati and Yaya (2017), and Taufik et al. (2015). They studied Indonesian Sharia Banks and sharia companies registered in Indonesian Sharia Stock List generally. Based on such finding, the hypotheses proposed are: H3: Profitability has a significant positive effect on the level of ISR in Indonesia. H4: Profitability has a significant positive effect on the level of ISR in Malaysia. Khoirudin (2013) studied the size of the board of commissioner and ISR disclosure on 10 Sharia Business Units in Indonesia, in 2010-2011. He found that the size of the board of commissioners has a positive effect on the level of ISR disclosure in Indonesia Islamic banks. The result is supported by the study of Sembiring (2005) in 78 companies listed in the Indonesian Stock Exchange in 2002; Rizki et al. (2014) in the companies listed by the Indonesian Stock Exchange in 2010-2012; and Haribowo (2015) in 10 Islamic Banks registered in Bank of Indonesia in 2012-2014. Referring to those studies, the hypotheses developed are: H5: Board of commissioners have a significant positive effect on the level of ISR in Indonesia. H6: Board of commissioners have a significant positive effect on the level of ISR in Malaysia. Othman et al. (2009) and Jizi (2014) found board composition has a significant positive effect on ISR Index. Othman et al. (2009) studied 56 companies listed in Malaysia Stock Exchange in the period 2004-2006. Jizi (2014), on the other hand, studied on 98 banks in the period 2009-2011. Based on those studies, the next hypotheses are: H7: Proportion of independent commissioners has a significant positive effect on the level of ISR in Indonesia. H8: Proportion of independent commissioners has a significant positive effect on the level of ISR in Malaysia. In terms of the commissioner meetings, Charles and Chariri (2012) found that the frequency of commissioner meetings has a positive effect on CSR disclosure at 10 Sharia Banks in the period of 2006- 2010. The research result from Rizki et al. (2014) in manufacturing companies listed on the Stock Exchange in 2010-2012 supported Charles and Chariri (2012). Based on the research, the hypotheses proposed are: H9 : Frequency of commissioners meetings has a significant positive effect on the level of ISR in Indonesia. H10: Frequency of commissioner meetings has a significant positive effect on the level of ISR in Malaysia. Sofyani and Ulum (2012) stated that the overall social performance of Islamic banks in Malaysia is higher than in Indonesia. Merina and Verawati (2016) stated that Islamic banks were better in ISR disclosures than the companies listed in Jakarta Islamic Index. Sunarto (2016), on the comparison of existing shariah banking governance in the period of 2010-2013, concluded that there was a difference between the average value of the index ISR with the average GR index value. Based on the research, the hypothesis is: H11: There are significant differences at the ISR disclosure level in Indonesia and Malaysia Methods This is quantitative descriptive research and uses secondary data for all variables, by analyzing the unit of Sukuk issuing companies listed in the Indonesian Sharia Stocks Index and Malaysia Stock Exchange in 2013-2017. The sampling technique in this study uses a purposive sampling method (Azwar, 2014). Criteria of the sample selection include: a) Companies listed on Indonesia Sharia Stocks Index in 2013 -2017; b) Companies listed on the Malaysia Stock Exchange in 2013 -2017; c) Companies that issue Sukuk; d) Companies with a complete annual report. The companies chosen as samples in this research do not include banks and capital companies. Based on the above criteria, there are ten samples of companies issued Sukuk in Indonesian Sharia Stocks Index and eight companies issued Sukuk in the Malaysian Stock Exchange. Table 1. Operational Def nition and Measurement of the Variables i The model used in this research is: Where: Y= β0 + β1 SIZE + β2 ROA + β3 BoC+ β4 PoIC + β5 FoCM+ Ɛ Y: Islamic Social Reporting (ISR) β 0 : Constant SIZE : Company Size ROA : Return on asset BoC : Board of Commissioners PoIC : Proportion of Independent Commissioners https://dx.doi.org/10.15408/aiq.v11i2.10630 FoCM : Frequency of Commissioners Meetings Ɛ : Prediction error Data are analyzed with regression analysis and different t-test after run classical assumption test. Result and Discussion Table 2. Statistic Descriptive in Indonesia Source: Data processed Based on Table 2, the minimum ISR level in Indonesia is 4.00, and the maximum amount is 28.00. The average ISSI ISR level is 19.16, with a standard deviation of 5.71. The company size has a minimum value of 0.00 and a maximum of 1.00. The average company size is 0.32, with a standard deviation of 0.47. Profitability minimum value of -0.14 and a maximum of 1.91. The average value of profitability is 0.067, with a standard deviation of 0.27. The minimum board of commissioner is two people and a maximum of 16 people. The average board of commissioner is four people with a standard deviation of 2.74. The minimum amount of the proportion of independent commissioners is 20%, and a maximum of 70%. The average proportion of independent commissioner is 39% with a standard deviation of 0.082. The lowest frequency of commissioners meetings is 0. It means that there are no meetings in one year and the maximum frequency of the meetings is 24 times a year. The average frequency of meetings in one year is six times with a standard deviation of 5,306. Table 3. Statistic Descriptive in Malaysia Source: Data processed Based on Table 3, the minimum ISR level in Malaysia is 12.00, and the maximum is 28.00. The average ISR in Malaysia Stock Exchange is 17.75, with a standard deviation of 3.66. The company size has a minimum value of 0.00 and a maximum of 1.00. The average company sizes are 0.37, with a standard deviation of 0.49. The minimum value of profitability is 0.00 and a maximum of 0.18. The average value of profitability is 0.036, with a standard deviation of 0.043. The minimum size of board of commissioner is seven people, and maximum is 16 people. The average size of board of commissioners is ten people with a standard deviation of 3.07. The minimum amount of the proportion of independent commissioners is 13%, and the maximum is 70%. The average proportion of independent commissioners is 38% with a standard deviation of 0.166. The lowest frequency of commissioner's meetings is 0. It means that there are no meetings in one year and the maximum frequency of the meetings is 21 times a year. The average frequency of meetings in one year is six times with a standard deviation is 5.07. Based on the results of the normality, multicollinearity, heteroscedasticity and autocorrelation test, it is known that the test results have met the classical assumption criteria. Table 4. ISR Regression Test in Indonesia Source: Data processed , , ** shows a significant level at α = 10 %, 5% and 1% Table 5. ISR Regression Test in Malaysia Based on Table 4 the adjusted R-squared is 16.6%, It means that 16.6% of the variation of ISR in Indonesia could be explained by SIZE, ROA, BoC, PoIC and FoCM while the remaining 83.4% is explained by other variables outside the model. The prob (F-statistic) value 0.02, so the variable SIZE, ROA, BoC, PoIC and FoCM effect ISR level in Indonesia. Source: Data processed , , ** shows a significant level at α = 10 %, 5% and 1% Based on table 5, the Adjusted R-squared is 21%. It means that 21% of the variation of ISR in Malaysia could be explained by SIZE, ROA, BoC, PoIC and FoCM while the remaining 79% is explained by other variables outside the model. The prob (F-statistic) value 0.02, so the variable SIZE, ROA, BoC, PoIC and FoCM affect ISR level in Malaysia. Based on table 4, the variable of company size has a significant positive effect on the level of ISR in Indonesia, the value of the t-statistic SIZE of 2.436623 with prob value of 0.0189. Prob value less than 0.05; it can be concluded that H1 is accepted. These results support the research of Sunarsih and Ferdiyansyah (2017) in 30 companies registered in Indonesia Sharia Stock List in the period of 2012-2014. They stated that the company size has a positive effect on ISR disclosure. It happened because large companies have large amounts of assets. Therefore, the companies will disclose more information than small companies. The study of Putri and Yuyetta (2014), in 142 companies registered in Indonesia Sharia Stocks Index in the period 2011-2012, found that the company size has a significant positive effect on ISR disclosure. They stated that large companies usually have more complex activities and have a greater impact on society, so the ISR disclosure increased. This result is supported by Hartini (2018) who studied in companies listed in Jakarta Islamic Index in the period 2011-2015. Based on Table 5, company size does not affect the level of ISR in Malaysia with a prob value is 0.4136. Prob value is more than 0.05, and it can be concluded that H2 is rejected. This result supports the research of Laksmitaningrum and Purwanto (2013), and Karina and Yuyetta (2013). It happened because disclosure of corporate social responsibility is voluntary. Based on Table 4, ROA does not affect the level of ISR in Indonesia with a prob value is 0.1897. Prob value is more than 0.05, and it can be concluded that H3 is rejected. These results support the research by Nugraheni and Wijayanti (2017) in companies listed on Sharia Securities. Nur and Priantinah (2012) have the same finding in 66 companies listed on the Indonesia Stock Exchange the period 20082010. This is because companies with high-profit rates are assumed to see a report of their social activities unnecessary. Based on Table 5, ROA does not affect the ISR level in Malaysia with a prob value of 0.6001. The prob value is more than 0.05, and it can be concluded that H4 is rejected. This result supports research by Sembiring (2005) on 38 companies listed on the Jakarta Stock Exchange in 2002 and Hartini (2018) in registered companies in JII in 2011-2015. This is because companies with high profitability do not necessarily carry out more social activities due to their profit orientation. Companies are more interested in focusing on the disclosure of financial information. Moreover, to these company, it is unnecessary to consider reporting matters that can disrupt information about a company's financial success such as ISR. The other reason is profits owned by the company are prioritized for operational purposes. Therefore, the use of funds for social activities is smaller. Based on Table 4, the board of commissioners does not affect the level of ISR in Indonesia with prob value is 0.4578. The prob value is more than 0.05, and it can be concluded that H5 is rejected. This result is in line with the research by Suaryana (2012) in 75 manufacturing companies listed in the Indonesia Stock Exchange in 2007-2009 and the study of Ramdhaningsih and Utama (2013) on property and real estate companies listed in the Indonesia Stock Exchange in 2009-2011. Baidok and Septiarini (2016) have the same result on BUS in the period 2010-2014. This is because in carrying out their duties, the board of commissioners (tend to be passive), and cannot monitor directly. Therefore, the board of commissioners does not support the ongoing ISR disclosure in the company. The result in Indonesia is the same as in Malaysia. Based on Table 5, the board of commissioners does not affect the level of ISR in Malaysia with prob value is 0.4148. The prob value is more than 0.05, and it can be concluded that H6 is rejected. Research by Paramita and Marsono (2014) in the mining sector listed on the IDX in 2010-2012 stated that the board of commissioners has no significant effect on social disclosure. The insignificant results can be caused by the ineffectiveness of the board of commissioners in suppressing company management to disclose social and environmental responsibility (Suaryana, 2012). Based on Table 4, the proportion of independent commissioners does not affect the level of ISR in Indonesia with prob value is 0.4192. The prob value is more than 0.05, and it can be concluded that H7 is rejected. This result supports the research by Gantyowati and Nugraheni (2014) on 114 non-financial companies listed in the Indonesia Stock Exchange in 2009-2011, which stated that independent commissioners would not affect the disclosure of voluntary information. This is because the independent board is a part-time member. It seems very difficult to do an in-depth understanding of the complexity of the company's operations, and ultimately it is impossible to influence the decision making. Paramita and Marsono (2014) supported that result, finding that the independent commissioners do not influence the decision making, because they are not involved in the company's operations. Based on Table 5, the proportion of independent commissioners does not affect the level of ISR in Malaysia with a prob value is 0.9478. The prob value is more than 0.05, and it can be concluded that H8 is rejected. This result is similar to the research by Ramdhaningsih and Utama (2013) on property and real estate companies listed on the Indonesian Stock Exchange in 2009-2011. The result shows that the proportion of independent commissioners does not have significant negative effects on social responsibility disclosures. Permanasari (2018) studied 100 companies listed in the Indonesia Stock Exchange in 2015-2016 and found that the proportion of independent commissioners did not affect voluntary disclosure. This insignificant result because the independent board of commissioners are not involved in the company's operations. Based on Table 4, the frequency of commissioner meetings affects the level of ISR in Indonesia with prob value is 0.0218. Prob values are less than 0.05, so it can be concluded that H9 is accepted. These results support research by Ullah et al. (2018) in 66 manufacturing companies listed on the Pakistan Stock Exchange in 2013-2015. Vafeas (2003) supported these result in manufacturing companies in the period 2000-2002. Vafeas (2003) stated that the more frequency of commissioners meeting, the more it will improve company performance. This is because the frequency of commissioner meeting makes supervision effective so that the company's performance gets better. If the company gets better, the disclosure of social responsibility is increasingly widespread. Research by Rizki et al. (2014) in manufacturing companies listed on the Stock Exchange in 2010-2012, revealed that the frequency of commissioner meetings has a significant positive effect on social responsibility disclosures. These results indicate that the number of board of commissioner meetings will give more time to discuss the implementation of corporate governance, including CSR disclosure. Based on Table 5, the frequency of commissioner meetings affect the ISR level in Malaysia with prob value is 0.0086. Prob values less than 0.05, so it can be concluded that H10 is accepted. These results support research by Brick and Chidambaran (2010) in companies listed on the Malaysia Stock Exchange in the period 2007-2008. This is because the more frequent meetings between the board of commissioners will help in making corporate decisions both in financial and social. According to Suhardjanto et al. (2012) the number of board of commissioner meetings as one form of supervision, so the number of meetings conducted by the board of commissioners gives more time to discuss the implementation of corporate governance. Table 6. Dif erent test f Source: data processed Based on a different test, t-test probability value is 0.0034. The value is less than 0.05, and it can be concluded that there is a difference between the level of ISR in Indonesia and Malaysia, then H 11 accepted. ISR disclosure in Malaysia is higher than in Indonesia. Because companies which issued Sukuk on Malaysia Stock Exchange are more to reveal ISR indicators totalling 43 items and focus on main core shariah business without combining conventional aspects, so it can be concluded that in Indonesia there is a need for regulations in ISR disclosure from the government to improve the quality of disclosure of social responsibility to stakeholders. Conclusions Based on the above results, it can be concluded that the company size has a significant positive effect on the level of ISR in Indonesia. This is because large companies have large amounts of assets so that companies will disclose more information than small companies. Meanwhile, in Malaysia, the size of the company does not affect the ISL level. Profitability, board of commissioners, and the proportion of independent commissioners do not affect ISR levels in Indonesia and Malaysia. On the other hand, the frequency of commissioner meetings has a significant positive effect on the level of ISR in Indonesia and Malaysia. This is because the frequency of commissioners meeting held regularly and weighted by the board of commissioners makes supervision more effective so that disclosure of social responsibility is getting better. 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Company: San Diego Gas & Electric Company (U 902 M) Proceeding: 2024 General Rate Case Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R REVISED WORKPAPERS TO PREPARED DIRECT TESTIMONY OF CHRISTINE FISCHER ON BEHALF OF SAN DIEGO GAS & ELECTRIC COMPANY BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA AUGUST 2022 San Diego Gas & Electric Miscellaneous Revenue Workpapers Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Summary (Thousands of Dollars ($000s) \| Tab \| RECORDED \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Dec 2017 \| Dec 2018 \| Dec 2019 \| Dec 2020 \| Dec 2021 \| Average \| 2022 \| 2023 \| \| ELECTRIC Service Establishment Fees 1 Collection Charges 2 Late Payment Charges 3 Return Check Charge 4 CCA and DA Fees 5 CO-GEN Reimbursement 6 Smart Meter Opt-Out 7 Net Energy Metering Fees 8 Other Service Revenue 9 \| 2 ,513 74 619 269 50 (74) 70 3 ,595 580 \| 2 ,583 57 721 309 44 141 74 2 ,022 544 \| 2 ,536 34 712 324 71 54 82 3 ,755 562 \| 2 ,228 3 150 288 58 59 68 3 ,397 592 \| 1 ,969 0 (0) 264 210 58 46 2 ,962 63 \| 2 ,099 45 684 291 87 47 75 3 ,146 468 \| 2,116 4 5 685 293 1,954 4 7 7 5 3,146 472 \| 2,136 4 5 687 293 3,636 4 7 7 5 3,146 476 \| \| Total Account 451 \| 7 ,696 \| 6 ,495 \| 8 ,128 \| 6 ,843 \| 5 ,571 \| 6 ,942 \| 8,835 \| 1 0,543 \| \| Rent 10 Special Facility Charges 11 CAC Revenue 12 Other - Misc Revenue 13 \| 1 ,190 1 ,961 174 46 \| 1 ,130 3 ,078 223 44 \| 1 ,811 2 ,590 320 25 \| 1 ,885 1 ,134 122 43 \| 1 ,982 2 ,070 87 27 \| 1 ,600 \| 2,042 1,459 185 7 7 \| 2,103 1,459 185 7 7 \| \| \| \| \| \| \| \| 2 ,167 \| \| \| \| \| \| \| \| \| \| 185 \| \| \| \| \| \| \| \| \| \| 37 \| \| \| \| Total Account 454 \| 3 ,371 \| 4 ,474 \| 4 ,746 \| 3 ,184 \| 4 ,166 \| 3 ,988 \| 3,763 \| 3,824 \| \| Revenue Cycle Service Credits 14 Pole Attachment Fees 15 Shared Asset 16 Energy Solutions Turnkey 17 \| ( 239) 2 ,389 4 ,177 2 ,567 \| ( 252) 3 ,230 2 ,676 ( 233) \| ( 245) 538 3 ,103 2 ,127 \| ( 240) 3 ,731 3 ,072 2 ,375 \| ( 240) 3 ,033 5 ,854 1 ,846 \| ( 243) \| (270) 3,524 1 0,187 479 \| (270) 4,124 1 1,288 802 \| \| \| \| \| \| \| \| 2 ,584 \| \| \| \| \| \| \| \| \| \| 3 ,776 \| \| \| \| \| \| \| \| \| \| 1 ,736 \| \| \| \| Total Account 456 \| 8 ,894 \| 5 ,420 \| 5 ,524 \| 8 ,938 \| 10,493 \| 7 ,854 \| 1 3,920 \| 1 5,944 \| \| Total Electric \| 19,961 \| 16,389 \| 18,398 \| 18,964 \| 20,230 \| 18,784 \| 2 6,518 \| 3 0,311 \| \| GAS Parts Replacement 18 Service Establishment Fees 19 Collection Charges 2 Late Payment Charges 20 Smart Meter Opt-Out 21 \| 88 1 ,159 32 64 38 \| 153 1 ,163 24 82 40 \| 201 1 ,151 14 56 44 \| 133 1 ,092 1 22 36 \| 147 1 ,001 0 (0) 25 \| \| 206 1,122 1 9 6 8 4 1 \| 203 1,132 1 9 6 8 4 1 \| \| \| \| \| \| \| \| 144 \| \| \| \| \| \| \| \| \| \| 1 ,113 \| \| \| \| \| \| \| \| \| \| 19 \| \| \| \| \| \| \| \| \| \| 67 \| \| \| \| \| \| \| \| \| \| 41 \| \| \| \| Total Account 488 \| 1 ,380 \| 1 ,462 \| 1 ,467 \| 1 ,285 \| 1 ,172 \| 1 ,385 \| 1,456 \| 1,463 \| \| Rent 22 \| 23 \| 33 \| 41 \| 8 \| 10 \| 23 \| 1 1 \| 1 1 \| \| Total Account 493 \| 23 \| 33 \| 41 \| 8 \| 10 \| 23 \| 1 1 \| 1 1 \| \| CAC Revenue 23 Energy Solutions Turnkey 24 Shared Asset 25 \| 40 135 1 ,705 \| 69 49 1 ,159 \| 56 469 1 ,453 \| 52 287 1 ,409 \| 53 466 2 ,477 \| 54 \| 5 4 4 7 4,230 \| 5 4 7 9 4,693 \| \| \| \| \| \| \| \| 281 \| \| \| \| \| \| \| \| \| \| 1 ,641 \| \| \| \| Total Account 495 \| 1 ,880 \| 1 ,278 \| 1 ,978 \| 1 ,748 \| 2 ,996 \| 1 ,976 \| 4,332 \| 4,827 \| \| Total Gas \| 3 ,283 \| 2 ,773 \| 3 ,486 \| 3 ,041 \| 4 ,179 \| 3 ,384 \| 5,798 \| 6,300 \| Page 3 of 28 San Diego Gas & Electric 2024 GRC - APP Micellaneous Revenues Workpapers SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 SERVICE ESTABLISHMENT FEES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenue collected from establishment or re-estabishment of electric service. The SEC fee structure is $5.85 as shown in Tariff Schedule SE. Disconections Rulemaking D.20-06-003 permanently eliminated reconeection fees for residential customers as of June 20, 2020. The COVID-19 customer protections eliminated reconnection fees for commercial and industrial customers. B) Forecast Methodology The forecast is calculated using the 2 year average of historical revenues multiplied by the estimated customer growth rate (2022-2024) for all customer types. The years 2020-2021 were used in the forecast as the reconnection fees for residential and small business residents were temporarily eliminated as a COVID-19 emergency customer protection and permanently eliminated reconnection fees for residential customers when the reconnection is the result of a disconnection for nonpayment. The temporary COVID-19 moratorium for residential and small business was extended to medium and large commercial and industrial customers pursuant to D.21-04-015. Reconnection fees were permanently eliminated pursuant to D. 20-06-003 and therefore 2020 and 2021 are the years best reflective of future revenues. Customer growth is presented by Mr. Schiermeyer (Ex. SDG&E-40). Service Establishment Orders Revenues Recorded (All Customer Classes) (000s) Forecasted Growth Rate - (All Customer Classes) \| 2022 \| 2023 \| 2024 \| \|---\|---\|---\| \| 0.83% \| 0.93% \| 0.99% \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 1,969 \| \| 2 \| 2022 Estimated \| 2,116 \| \| 3 \| 2023 Estimated \| 2,136 \| \| 4 \| 2024 Test Year \| 2,157 \| Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenue from charges assessed to customers to pay for the cost of delivering field collection notices and field disconnections. The fees are $9 and $15, respectively, pursuant to Tariff Rule 9. B) Forecast Methodology The forecast uses a two-year average of historical costs (2018-2019) for field collection notices and excludes the pandemic years 2020 and 2021. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 2 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 74 \| 57 \| 34 \| 3 \| 0 \| 45 \| \| 32 \| 24 \| 14 \| 1 \| 0 \| 19 \| \| Line \| Miscellaneous Revenue \| Total (000's) \| Total (000's) \| \|---\|---\|---\|---\| \| 1 \| 2021 Recorded \| 0 \| 0 \| \| 2 \| 2022 Estimated \| 45 \| 19 \| \| 3 \| 2023 Estimated \| 45 \| 19 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451/488 COLLECTION CHARGES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenue from the charges assessed to commercial customers for delinquent payments pursuant to Tariff Rule 9. B) Forecast Methodology The forecast is based on the calculation of the three-year historical average (2017-2019 recorded) adjusted by the estimated annual customer growth for the period 2022 - 2024 and excludes the pandemic years 2020 and 2021, as thse charges were temporarily eliminated pursuant to AL 3516-E-C/2854-G-C. Customer growth is presented by Mr. Schiermeyer (Ex. SDG&E-40). Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 3 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 619 \| 721 \| 712 \| 150 \| 0 \| 684 \| Forecast Growth Rate (000s) - (Commercial/Industrial) \| 2022 \| 2023 \| 2024 \| \|---\|---\|---\| \| 0.15% \| 0.30% \| 0.32% \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 0 \| \| 2 \| 2022 Estimated \| 685 \| \| 3 \| 2023 Estimated \| 687 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 LATE PAYMENT CHARGES SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 RETURNED CHECK SERVICE CHARGE Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R A fee of $7 is charged to customers for returned checks as stated in SDG&E's Tariff Rule 9. Fees were still collected during Covid. B) Forecast Methodology The forecast is based on the five-year average of the volume of charges assessed adjusted for the projected annual customer growth factors and multiplied by the current authorized rate of $7. Customer growth is presented by Mr. Schiermeyer (Ex. SDG&E-40). Gross Volume of Charges assessed by Service Type (in thousands) a 70/30 split is used to book in SAP (2 separate GLs) \| 188 \| 221 \| 231 \| 206 \| 248 \| 219 \| \|---\|---\|---\|---\|---\|---\| \| 81 \| 88 \| 93 \| 82 \| 16 \| 72 \| \| 269 \| 309 \| 324 \| 288 \| 264 \| 291 \| \| $ 7 .00 \| $ 7 .00 \| $ 7 .00 \| $ 7 .00 \| $ 7 .00 \| \| \| 38 \| 44 \| 46 \| 41 \| 38 \| 42 \| GRC Electric Acct Growth Rate Customer Growth on Count Return Check Charge C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 264 \| \| 2 \| 2022 Estimated \| 293 \| \| 3 \| 2023 Estimated \| 293 \| \| 4 \| 2024 Test Year \| 294 \| Page 7 of 28 SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 COMMUNITY CHOICE AGGREGATION AND DIRECT ACCESS (DA) FEES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenues from residential CCA fees include charges billed to the Community Choice Aggregators (CCAs) for mass enrollment services, consolidated billing and adjustment processing, customer enrollment and opt-out processing, and optional customer notification or other specialized services completed by SDG&E. CCA Fees also include reentry fees billed to CCA customers returning to bundled service. Revenues from residential Direct Access (DA) fees include charges billed to Energy Service Providers (ESP's) for late payments, rebilling and other miscellaneous billing requests completed by SDG&E on behalf of ESP's. In addition, DA fees include metering charges billed to DA customers for installation of meters and monthly maintenance of SDG&E-owned meters. CCA customers are increasing and account for the majority of the revenues. Residential DA fees have steadily decreased and monthly billing is very small. B) Forecast Methodology The forecasted CCA revenues are calculated by multiplying the estimated future CCA population counts by the CCA fees. DA fees are negligible. Recorded ($000) C) Summary of Results \| Line \| Miscellaneous Revenue \| \|---\|---\| \| 1 \| 2021 Recorded \| \| 2 \| 2022 Estimated \| \| 3 \| 2023 Estimated \| \| 4 \| 2024 Test Year \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 COGENERATION REIMBURSEMENT Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Cogeneration reimbursements reflect credits received from the billing of cogeneration and small power producers for reimbursement of utility operating and maintenance expenses for work performed by the utility at the customer's facilities in accordance with Tariff Rule 21. B) Forecast Methodology The 2024 forecast is based on the calculation of the five-year historical average (2017-2021 recorded) as this best reflects a reasonable estsimate of future annual revenues. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| \|---\|---\|---\|---\|---\| \| -74 \| 141 \| 54 \| 59 \| 58 \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 58 \| \| 2 \| 2022 Estimated \| 47 \| \| 3 \| 2023 Estimated \| 47 \| \| 4 \| 2024 Test Year \| 47 \| Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Smart Meter Opt-Out fee revenues is a charge to customers who opt-out of wireless smart meter installation. The fee structure, shown in Schedule E-SMOP, has a limit of three years and is as follows: Non-CARE: $75 enrollment and $10 monthly for three years, CARE: $10 enrollment and $5 monthly for three years. B) Forecast Methodology The forecast is based on a 3-year average of the most recent three years and excludes the pandemic years of 2020-2021 due to a reduction in program participation becase SDG&E was prioritizing orders necessary for compliance, safety, and billing accuracy. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 3 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 70 \| 74 \| 82 \| 68 \| 46 \| 75 \| C) Summary of Results \| Line \| Miscellaneous Revenue \| \|---\|---\| \| 1 \| 2021 Recorded \| \| 2 \| 2022 Estimated \| \| 3 \| 2023 Estimated \| \| 4 \| 2024 Test Year \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 SMART METER OPT-OUT FEES SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 NET ENERGY METERING INTERCONNECTION FEES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R There are several types of Net Energy Metering (NEM) Fees. NEM Application Processing and Administration costs include application processing (e.g. validating and approving single line diagram, interconnection agreement, electrical inspection clearance from governmental agency having jurisdiction, and other required documents), back-office tasks (e.g. initial billing setup), inquiry calls and emails, and information technology enhancements to support application processing and administration. NEM, Distribution Engineering Costs include technical analysis, studies, and screens consistent with Rule 21 (e.g. voltage rise, 15 percent penetration, and transformer loading). NEM Installation/Inspection and Commissioning costs include residential and non-residential NEM inspections, meter changes, meter programming, labor for installation, testing, engineering, and quality assurance necessary for smart meter functionality with NEM systems. B) Forecast Methodology The 2024 forecast is based on the calculation of the five-year historical average (2017-2021 recorded) as revenues are steady and this best reflects a reasonable estsimate of future annual revenues. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 3,595 \| 2,022 \| 3,755 \| 3,397 \| 2,962 \| 3,146 \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 2,962 \| \| 2 \| 2022 Estimated \| 3,146 \| \| 3 \| 2023 Estimated \| 3,146 \| \| 4 \| 2024 Test Year \| 3,146 \| Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Other service revenues are primarily from temporary service work, but also include meter testing, and other service charges. B) Forecast Methodology The 2024 forecast is based on the calculation of the five-year historical average (2017-2021 recorded) adjusted by estimated annual customer growth for the period 2022 - 2024. Customer growth is presented by Mr. Schiermeyer (Ex. SDG&E-40). Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 580 \| 544 \| 562 \| 592 \| 63 \| 468 \| Forecast Growth Rate of Non-Pay T/on Orders \| 2022 \| 2023 \| \|---\|---\| \| 0.83% \| 0.93% \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 63 \| \| 2 \| 2022 Estimated \| 472 \| \| 3 \| 2023 Estimated \| 476 \| \| 4 \| 2024 Test Year \| 481 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 451 OTHER SERVICE REVENUES SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 454 RENT FROM ELECTRIC PROPERTY Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Rent from electric property primarily reflects revenues received for the use of SDG&E operating sites, properties, licenses and right of ways. The amount recorded for rents exclude those properties allocated to SDG&E's electric transmission department. B) Forecast Methodology The forecast is based on existing lease & license agreements. The contracts have an annual increase provision with a fixed increase of 3% or an increase based on the Consumer Price Index. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| \|---\|---\|---\|---\|---\| \| 1,190 \| 1,130 \| 1,811 \| 1,885 \| 1,982 \| Forecast Growth Rate \| 2022 \| 2023 \| 2024 \| \|---\|---\|---\| \| 3.00% \| 3.00% \| 3.00% \| C) Summary of Results \| Line \| Miscellaneous Revenue \| \|---\|---\| \| 1 \| 2021 Recorded \| \| 2 \| 2022 Estimated \| \| 3 \| 2023 Estimated \| \| 4 \| 2024 Test Year \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 454 SPECIAL FACILITY CHARGES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenues from special facilities reflect charges billed to customers for the installation, use and/or maintenance of facilities by the utility at the customer's request. Payments from customers are received in the form of either monthly increments, annual installments, or as one-time payments as selected by the customer. B) Forecast Methodology The forecast is based on the calculation of estimated renewable meter adapters planned for installation multiplied by a fixed price. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| \|---\|---\|---\|---\|---\| \| 1,961 \| 3,078 \| 2,590 \| 1,134 \| 2,070 \| Forecasted Meters \| 2022 \| 2023 \| 2024 \| \|---\|---\|---\| \| 1,100 \| 1 ,100 \| 1 ,100 \| Meter Price ($000) \| 2022 \| 2023 \| 2024 \| \|---\|---\|---\| \| $ 1 ,326 \| $ 1 ,326 \| $ 1 ,326 \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 2,070 \| \| 2 \| 2022 Estimated \| 1,459 \| \| 3 \| 2023 Estimated \| 1,459 \| \| 4 \| 2024 Test Year \| 1,459 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 454 CUSTOMER ADVANCES FOR CONSTRUCTION (CAC) Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R A customer has one year (for electric) and three years (for gas) to set up a meter after construction is complete. After this time lapse, SDG&E can impose an ownership charge to recover costs of unmetered lines. This ownership charge of 0.38% reduces any remaining customer deposit. CAC deposits are administered in accordance with two Commission-approved Tariff Rules 15 and 16. B) Forecast Methodology The TY 2024 forecast reflects a five-year historical average (2017-2021) of the total monthly balance in the CAC miscellaneous revenue account as these revenues remain fairly constant and this historical average is therefore a reasonable estimate of future revenues. Additional information on CAC deposits is described by Mr. Dais (Ex. SDG&E-35). Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| \|---\|---\|---\|---\|---\| \| 174 \| 223 \| 320 \| 122 \| 87 \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 87 \| \| 2 \| 2022 Estimated \| 185 \| \| 3 \| 2023 Estimated \| 185 \| \| 4 \| 2024 Test Year \| 185 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 454 OTHER MISCELLANEOUS REVENUE Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Other Miscellaneous revenues reflect items not contained in any other category including Electric right-of-way customer charges for Quit Claims of unused easements, Permission to Grade letters, Joint Use Agreements, Street Crossing Fees, Plan Review, Encroachment Removal Agreements, Right of Entry Permits, Consent Agreements or Right of Way Use Agreements. B) Forecast Methodology The forecast for the most significant activity, electric right-of-way fees, is based on a five year historical average (2017-2021) adjusted by increases in the baseline fees charged for Electric right-of-way customer charges for Quit Claims of unused easements which have nearly doubled. The forecast also includes anticpated revenue from Permission to Grade letters, Joint Use Agreements, Street Crossing Fees, Plan Review, Encroachment Removal Agreements, Right of Entry Permits, Consent Agreements or Right of Way Use Agreements. Additionally, there are increases in the quantity of customer project-related quitclaims carrying over from 2020-2021 becacuse of Covid-19 and supply chain constraints. The forecast for the additional other miscellaneous revenues is based on a five-year historical average (2017-2021) as these amounts are small, without much fluctuation. Recorded ($000) \| 2017 \| 2018 \| 2019* \| 2020 \| 2021** \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 46 \| 44 \| 25 \| 43 \| 27 \| 37 \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 27 \| \| 2 \| 2022 Estimated \| 77 \| \| 3 \| 2023 Estimated \| 77 \| \| 4 \| 2024 Test Year \| 77 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 456 REVENUE CYCLE SERVICE (RCS) CREDITS Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Pursuant to D.98-09-070, SDG&E was directed to provide credits to DA customer bills for those customers who elect to have metering and billing services from a party other than SDG&E. Since the RCS credits reduce the amount of revenue SDG&E is able to recover in electric distribution rates, the credits are recorded to account 456 as "negative" miscellaneous revenue, thereby increasing the revenue requirement. D. 19-05-043 provides details of the gradual DA expansion. These credits are mostly related to commerical and industrial DA load. Residential is negligible. B) Forecast Methodology The forecast for TY 2024 is based on the DA expansion as outlined in SDG&E's Tariff Rule 25.1 in which the DA load cap was gradually increased in 2020 and 2021, with much of the expansion onboarded in late 2021, multiplied primarily by the electric commodity prourement credit from Schedule DA. Recorded ($000) C) Summary of Results \| 1 \| 2021 Recorded \| (240) \| \|---\|---\|---\| \| 2 \| 2022 Estimated \| (270) \| \| 3 \| 2023 Estimated \| (270) \| \| 4 \| 2024 Test Year \| (270) \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 456 POLE ATTACHMENT FEES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenues collected from telecommunication and cable operation's access to SDG&E's overhead distribution poles. B) Forecast Methodology Distribution pole attachment fee – Effective October 8, 2019, SDG&E entered into a joint pole settlement regarding distribution pole attachment fees (ref: Advice letter 3443-E). The settlement is retroactive from 2017 to 2026. The years from 2017 to 2023 are fixed rates which steadily increase with 2024 to 2026 being the previous years rate plus the "Handy-Whitman Index of Public Utility Construction Costs" (ref: Bulletin No. 186, compiled and published by Whitman, Requardt, & Associates and entitled "Cost Trends of Electric Utility Construction, Distribution Plant, Poles, Towers, & Fixtures"). In order to estimate the total revenue for years 2022, 2023, and 2024 the previous 5- years recorded average was calculated. This was added to the projected additional growth from SDG&E's validation efforts to confirm the communication attachments to distribution poles through our Intelligent Imagery Processing (IIP) models. Recorded ($000) C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 3,033 \| \| 2 \| 2022 Estimated \| 3,524 \| \| 3 \| 2023 Estimated \| 4,124 \| \| 4 \| 2024 Test Year \| 4,124 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 456 SHARED ASSETS Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenue reflects the use of SDG&E assets, primarily computer hardware and software and communication equipment by Southern California Gas Company, Sempra Energy Corporate Center, and/or unregulated affiliates. B) Forecast Methodology The forecast is based on the RO model. More detailed information on the nature of shared assets, including the methodology used to allocate the charges between SoCalGas, Sempra, and its unregulated affiliates, is presented in the Shared Services Billing, Shared Assets Billing, Segmentation, & Capital Reassignments testimony of Paul Malin (Ex. SDG&E-34). Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| \|---\|---\|---\|---\|---\| \| 4,177 \| 2,676 \| 3,103 \| 3,072 \| 5,854 \| C) Summary of Results \| 1 \| 2021 Recorded \| 5,854 \| \|---\|---\|---\| \| 2 \| 2022 Estimated \| 10,187 \| \| 3 \| 2023 Estimated \| 11,288 \| \| 4 \| 2024 Test Year \| 11,546 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 456 ENERGY SOLUTIONS TURNKEY Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Under 42 U.S.C SS 8256, the US Government is authorized and encouraged to enter into contracts with local utilities to expedite and facilitate the implementation of cost effective energy and conservation measures. This is the electric portion of the Energy Solutions Turnkey program. B) Forecast Methodology The forecast is based on expected net revenues from existing contracts with various federal entities and level of financing allowable by US Government, as well as commerical/industrial customers, and state government and municipalities. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 2,567 \| -233 \| 2,127 \| 2,375 \| 1,846 \| 1,736 \| C) Summary of Results (Profits) \| 1 \| 2021 Recorded \| 1,846 \| \|---\|---\|---\| \| 2 \| 2022 Estimated \| 479 \| \| 3 \| 2023 Estimated \| 802 \| \| 4 \| 2024 Test Year \| 446 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 456 OTHER - PARTS REPLACEMENT Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Charges related to Field Parts Replacement Services. The parts replaced relate to Gas appliance connectors, valves, furnace filters, etc. Part replacement is offered during in-home service calls. B) Forecast Methodology An FPRP Type order is based on historical order types where there has been significant opportunities to make part replacement offers that convert into sales. The key performance indicator (KPI) is determined by the actual number of sales divided by the total number of FPRP Type orders worked and has a direct impact when less or more of these orders are worked. The forecast is based on a five-year average of sales, a projected annual increase in sales of approximately 3% over the next three years, along with the average historical charge for part(s) and labor for each transaction. The Parts Replacement program is young and expected to grow based on sales efforts. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 88 \| 153 \| 201 \| 133 \| 147 \| 144 \| Forecast C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 147 \| \| 2 \| 2022 Estimated \| 206 \| \| 3 \| 2023 Estimated \| 203 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 488 SERVICE ESTABLISHMENT CHARGES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenue collected from establishment or re-estabishment of electric service. The SEC fee structure is $5.85 as shown in Tariff Schedule G-91. Disconections Rulemaking D.20-06-003 permanently eliminated reconeection fees for residential customers as of June 20, 2020. The COVID-19 customer protections eliminated reconnection fees for commercial and industrial. B) Forecast Methodology The forecast is calculated using the 5 year average times the estimated customer growth rate (2022-2024) for all customer types adjusted by the estimated annual customer growth factors. Gas SECs are less affected than electric by the elimination of reconnection fees since there are fewer gas disconnections due to the field visit necessary for disconnection. Most customers reconnect electric before the field visit and therefore gas does not experience the same volume of disconnections/reconnections For this same reason, the gas SECs were not greatly affected by Covid measures. Gas SEC revenues are steady and have little fluctuation, therefore a 5-year average is a reasonable estimate of future revenues. Customer growth is presented by Mr. Wilder (Ex. SDG&E-39) Service Establishment Orders Revenues (All Customer Classes) (000s) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 1,159 \| 1,163 \| 1 ,151 \| 1,092 \| 1 ,001 \| 1,113 \| Forecast Growth Rate (000s) - (All Customer Classes) \| 2022 \| 2023 \| 2024 \| \|---\|---\|---\| \| 0.80% \| 0.92% \| 0.90% \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 1,001 \| \| 2 \| 2022 Estimated \| 1,122 \| \| 3 \| 2023 Estimated \| 1,132 \| \| 4 \| 2024 Test Year \| 1,143 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 488 LATE PAYMENT CHARGES Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Revenue from the charges assessed to commercial customers for delinquent payments. B) Forecast Methodology The forecast is based on the calculation of the three-year historical average (2017-2019 recorded) adjusted by the estimated annual customer growth for the period 2022 - 2024 and excludes the pandemic years 2020 and 2021, as these charges were temporarily eliminated pursuant to AL 3516-E-C/2854-G-C. Customer growth is presented by Mr. Wilder (Ex. SDG&E-39). Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 3 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 64 \| 82 \| 56 \| 22 \| 0 \| 67 \| Forecast Growth Rate of Commercial/Industrial Accounts \| 2022 \| 2023 \| \|---\|---\| \| 0.51% \| 0.19% \| C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| (0) \| \| 2 \| 2022 Estimated \| 68 \| \| 3 \| 2023 Estimated \| 68 \| \| 4 \| 2024 Test Year \| 68 \| Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Smart Meter Opt-Out fee revenues is a charge to customers who opt-out of having a smart meter. The fee structure, shown in Schedule G-SMOP, has a limit of three years and is as follows: Non-CARE: $75 enrollment and $10 monthly for three years, CARE: $10 enrollment and $5 monthly for three years. B) Forecast Methodology The forecast is based on a 3-year average of the most recent three years and excludes the pandemic years of 2020-2021 due to a reduction in program participation becase SDG&E was prioritizing orders necessary for compliance, safety, and billing accuracy. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| \|---\|---\|---\|---\|---\| \| 38 \| 40 \| 44 \| 36 \| 25 \| Forecast C) Summary of Results \| 1 \| 2021 Recorded \| 25 \| \|---\|---\|---\| \| 2 \| 2022 Estimated \| 41 \| \| 3 \| 2023 Estimated \| 41 \| \| 4 \| 2024 Test Year \| 41 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 488 OPT-OUT REVENUES SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 493 RENT FROM GAS PROPERTY Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Rent from gas property primarily reflects revenues received for the use of SDG&E operating sites, properties, licenses and right of ways. B) Forecast Methodology The forecast is based on existing lease & license agreements. The contracts have an annual increase provision with a fixed increase of 3% or an increase based on the Consumer Price Index. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 23 \| 33 \| 41 \| 8 \| 10 \| 23 \| Forecast Growth Rate \| 3.00% \| 3.00% \| 3.00% \| \|---\|---\|---\| \| 11 \| 11 \| 11 \| C) Summary of Results \| 1 \| 2021 Recorded \| 10 \| \|---\|---\|---\| \| 2 \| 2022 Estimated \| 11 \| \| 3 \| 2023 Estimated \| 11 \| \| 4 \| 2024 Test Year \| 11 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 495 CUSTOMER ADVANCES FOR CONSTRUCTION (CAC) Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R A customer has one year (for electric) and three years (for gas) to set up a meter after construction is complete. After this time lapse, SDG&E can impose an ownership charge to recover costs of unmetered lines. This ownership charge of 0.45% reduces any remaining customer deposit. CAC deposits are administered in accordance with two Commission-approved Tariff Rules 15 and 16. B) Forecast Methodology The forecast is based on the five-year historical average (2017-2021) of the total monthly balance in the CAC miscellaneous revenue account as these revenues remain fairly constant and this historical average is therefore a reasonable estimate of future revenue. Additional information on CAC deposits can be found in Mr. Dais' testimony (Ex. SDG&E-35). Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| \|---\|---\|---\|---\|---\| \| 40 \| 69 \| 56 \| 52 \| 53 \| C) Summary of Results \| 1 \| 2021 Recorded \| 53 \| \|---\|---\|---\| \| 2 \| 2022 Estimated \| 54 \| \| 3 \| 2023 Estimated \| 54 \| \| 4 \| 2024 Test Year \| 54 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 495 ENERGY SOLUTIONS TURNKEY Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R Under Executive Order 13132, the US Government is authorized and encouraged to enter into contracts with local utilities to expedite and facilitate the implementation of cost effective energy and conservation measures. This is the Gas Revenue portion of the Energy Solutions Turnkey activities. B) Forecast Methodology The forecast is based on expected net revenues from existing contracts with various federal entities and level of financing allowable by US Government, as well as commerical/industrial customers, and state government and municipalities. Recorded ($000) \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 5 YR AVG \| \|---\|---\|---\|---\|---\|---\| \| 135 \| 49 \| 469 \| 287 \| 466 \| 281 \| Forecast \| 2022 \| 2023 \| 2024 \| \|---\|---\|---\| \| 47 \| 79 \| 44 \| C) Summary of Results (Profit) \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 466 \| \| 2 \| 2022 Estimated \| 47 \| \| 3 \| 2023 Estimated \| 79 \| \| 4 \| 2024 Test Year \| 44 \| Application: A.22-05-015/016 (cons.) Exhibit No: SDG&E-42-WP-R A) Description Revenue reflects the use of SDG&E assets, primarily computer hardware and software and communication equipment by Southern California Gas Company, Sempra Energy Corporate Center, and/or unregulated affiliates. B) Forecast Methodology The forecast of the 2024 charges is based on the RO model. More detailed information on the nature of shared assets, including the methodology used to allocate the charges between SoCalGas, Sempra, and its unregulated affiliates, is presented in the Shared Services Billing, Shared Assets Billing, Segmentation, & Capital Reassignments testimony of Paul Malin (Ex. SDG&E-34). 2017 C) Summary of Results \| Line \| Miscellaneous Revenue \| Total (000's) \| \|---\|---\|---\| \| 1 \| 2021 Recorded \| 2,477 \| \| 2 \| 2022 Estimated \| 4,230 \| \| 3 \| 2023 Estimated \| 4,693 \| \| 4 \| 2024 Test Year \| 4,804 \| SAN DIEGO GAS & ELECTRIC COMPANY MISCELLANEOUS REVENUES FERC ACCOUNT 495 SHARED ASSETS
Lehigh Valley Health Network LVHN Scholarly Works Department of Surgery Tibialis Anterior Tendon Transfer for Posterior Tibial Tendon Insufficiency. Crystal L. Ramanujam DPM, MSc John J. Stapleton DPM, FACFAS Lehigh Valley Health Network, firstname.lastname@example.org Thomas Zgonis DPM, FACFAS Follow this and additional works at: https://scholarlyworks.lvhn.org/surgery Part of the Other Medical Specialties Commons, and the Surgery Commons Published In/Presented At Ramanujam, C. L., Stapleton, J. J., & Zgonis, T. (2016). Tibialis Anterior Tendon Transfer for Posterior Tibial Tendon Insufficiency. Clinics In Podiatric Medicine And Surgery, 33(1), 21-28. doi:10.1016/ j.cpm.2015.06.002 This Article is brought to you for free and open access by LVHN Scholarly Works. It has been accepted for inclusion in LVHN Scholarly Works by an authorized administrator. For more information, please contact email@example.com. Tibialis Anterior Tendon Transfer for Posterior Tibial Tendon Insufficiency Crystal L. Ramanujam, DPM, MSc a , John J. Stapleton, DPM b , c , Thomas Zgonis, DPM d , * KEYWORDS Tibialis anterior tendon Flatfoot Posterior tibial tendon dysfunction Cobb Calcaneal osteotomy Surgery KEY POINTS The Cobb procedure is useful for addressing stage 2 posterior tibial tendon dysfunction. The Cobb procedure is usually accompanied by a medial displacement calcaneal osteotomy and/or lateral column lengthening. The Cobb procedure can also be combined with selected medial column arthrodesis and realignment osteotomies along with equinus correction when indicated. INTRODUCTION The role of posterior tibial tendon (PTT) dysfunction (PTTD) as a cause of adultacquired flatfoot is well established. Johnson and Strom's 1 classification of PTTD separated the flexible from the rigid deformities and provided recommended surgical treatments for each stage. In the early stages of PTTD (stage 1 and stage 2), when the condition is flexible, soft tissue reconstructive procedures can be used to achieve pain relief and prevent progression to rigid deformity. Stage 2 PTTD encompasses a wide range of clinical manifestations; therefore, several surgical procedures have been proposed for correction of an insufficient or elongated PTT in combination with a supple hindfoot valgus after failed nonoperative management. To date, the most commonly reported procedures used to correct stage 2 PTTD are the flexor digitorum longus a Division of Podiatric Medicine and Surgery, Department of Orthopaedics, University of Texas Health Science Center at San Antonio, 7703 Floyd Curl Drive MSC 7776, San Antonio, TX 78229, USA; b Foot and Ankle Surgery, VSAS Orthopaedics, Lehigh Valley Hospital, 1250 S Cedar Crest Boulevard, Suite # 110, Allentown, PA 18103, USA; c Penn State College of Medicine, 500 University Drive, Hershey, PA 17033, USA; d Division of Podiatric Medicine and Surgery, Department of Orthopaedic Surgery, University of Texas Health Science Center San Antonio, 7703 Floyd Curl Drive MSC 7776, San Antonio, TX 78229, USA * Corresponding author. E-mail address: firstname.lastname@example.org Clin Podiatr Med Surg 33 (2016) 21–28 http://dx.doi.org/10.1016/j.cpm.2015.06.002 podiatric.theclinics.com 0891-8422/16/$ – see front matter 2016 Elsevier Inc. All rights reserved. tendon (FDLT) transfer in combination with medial displacement calcaneal osteotomy (MDCO) and/or lengthening of the lateral column. Although these techniques may correct the loss of the medial arch and forefoot abduction, supination deformity of the forefoot is not addressed; this can become more problematic for patients with correction of the hindfoot. 2 In addition, alternative transfer using the tibialis anterior tendon (TAT) has been proposed to avoid sacrificing the FDLT because it plays such a key role in the biomechanical function of the foot. 3 HISTORICAL PERSPECTIVE In 1923, Lowman 4 reported the use of the TAT as a sling under the navicular to restore the medial arch in symptomatic flatfeet. In the late 1970s, Cobb 5 described a technique for stage 2 PTTD using a split tibialis anterior musculotendinous graft to reconstruct the PTT, restore plantar flexion function of the first ray, and correct forefoot supination. The original Cobb procedure included first a medial incision to expose the damaged PTT for resection and then a second incision over the anterior muscle compartment proximal to the ankle for splitting of the TAT. The anterior half of the anterior tendon is then passed distally in its sheath and through a drill hole in the medial cuneiform into the PTT sheath across the site of the PTT deficit and then secured at the plantar surface of the naviculocuneiform (NC) joint with the healthy proximal portion of the PTT. Since its inception, the Cobb procedure, with certain modifications, has been described by Helal, Benton-Weil and Weil, and Janis and colleagues. 6–8 Each of these investigators provided overviews of their modifications in a small number of patients. Since then, several larger series have been published on the outcomes of the TAT transfer in combination with other corrective procedures for the treatment of symptomatic stage 2 PTTD, which provide more detailed information and longer follow-up (Table 1). INDICATIONS The Cobb procedure is mostly used for stage 2 PTTD. The acquired flatfoot deformity must be flexible and corrected at the time of the Cobb procedure. Often, an MDCO is performed to address the calcaneal valgus and to realign the weight-bearing axis of the heel with the tibia. In addition, if significant midfoot/forefoot abduction is present, it may be addressed with lateral column lengthening. At times, compensatory forefoot varus may be present; if not addressed, it can lead to destabilization of the medial column and recurrent rear foot deformity. Forefoot varus is best approached with a first tarsometatarsal (TMT) arthrodesis as opposed to a Cotton opening wedge osteotomy with bone grafting when a Cobb procedure is performed. The inherent stability of the TMT arthrodesis corrects the forefoot varus while providing additional stability to the medial longitudinal arch. Inaddition, a drill hole can still beplaced through the medial cuneiform for passage of the split portion of the TAT if desired. Gastrocnemius recession or percutaneous tendo-Achilles lengthening in the presence of equinus may also need to be corrected before any realignment procedures. Significant advantages of the Cobb procedure are that tendon function is not sacrificed and it provides a suspensory effect to the medial column of the foot. In select cases, the Cobb procedure can be used to reconstruct the spring ligament in conjunction with an FDLT transfer (Fig. 1). COBB TECHNIQUE An approximately 3-cm incision is placed over the proximal anterolateral portion of the TAT. The retinaculum is released; the medial half portion of the TAT is identified, split, Tibialis Anterior Tendon Transfer 23 24 Ramanujam et al \| \| Table 1 (continued) \| \|---\|---\| \| Average Postoperative Authors, Year N Age Range Adjunct Procedures Follow-up Outcome Complications Knupp & 22 Feet in 29–64 y Deltoid ligament 2.0 y Mean AOFAS hindfoot 1 Skin necrosis Hintermann,2 2007 22 patients reconstruction (17 patients) score of 88.5 1 Loss of sensation at Spring ligament repair 86% Were able to wear the medial aspect of (3 patients) shows without the midfoot Medial sliding calcaneal modifications or 2 Patients had revision osteotomy (11 patients) orthotics surgery because of Calcaneal lengthening 14% Preferred to have pain (1 triple osteotomy (3 patients) orthotic inlays arthrodesis and 1 screw removal) Weil et al,12 1998 13 Feet 53–80 y for Cobb reconstruction alone 1.0 y–5.25 y Patients with stage 2 1 Patient in stage in 13 patients stage 2 PTTD in stage 2 PTTD (5 patients) PTTD had a better 2 PTTD did not meet and 41–73 y for Evans lateral column satisfaction than expectations. and stage 3 PTTD lengthening (8 patients) patients with stage 3 half of the patients in stage 3 PTTD did not meet expectations \| \| Fig. 1. Preoperative anteroposterior (A), lateral (B), and calcaneal axial (C) views of a previous multiple surgical reconstructions of the PTT with synovectomy, tendon allografting, and subtalar joint arthroereisis. Patient underwent revision reconstructive surgery with removal of the subtalar joint implant, MDCO, lateral column lengthening, first TMT joint arthrodesis, FDLT transfer, and Cobb procedure. Final postoperative radiographs (D–F) at 1-year follow-up. and kept in place by an umbilical tape while maintaining its insertion on the medial cuneiform. A large curved hemostat or tendon passer is then introduced from distal to proximal orientation and under the TAT sheath to exit at the proximal leg incision. The umbilical tape is then introduced to the tendon passer and exits distally at the insertion of the TAT to the medial cuneiform. At that time the TAT can be split, and after it is released proximally. The harvested portion of the TAT can then be passed under the periosteum or through a drill hole in the medial cuneiform. A transfer and tenodesis of the split portion of the TAT is then performed with the remaining portion of the PTT after it was debrided. The tenodesis should be performed with the foot held in a plantar-flexed and inverted position. The Cobb procedure can also be combined with an FDLT transfer when the posterior tibialis muscle excursion is compromised and the spring ligament is attenuated. It is also preferable to perform the Cobb procedure after all osteotomies and selected arthrodesis sites have been completed (Fig. 2). ADJUNCTIVE PROCEDURES Medial Displacement Calcaneal Osteotomy MDCO is performed to correct the hindfoot valgus deformity, assist in medialization of the Achilles tendon, and to reestablish the weight-bearing hindfoot alignment axis of the calcaneus with the tibia. The MDCO aligns the foot into a more mechanically advantageous position, thus offsetting the load on the tendon transfer. The osteotomy is Downloaded for library services (email@example.com) at Lehigh Valley Health Network from ClinicalKey.com by Elsevier on August 31, 2022. For personal use only. No other uses without permission. Copyright ©2022. Elsevier Inc. All rights reserved. 25 Fig. 2. Tendon and osseous anatomy with location of the TAT and PTT (A). Incision placements for access to pathologic PTT for debridement and for harvesting of split medial half of the TAT with arrow depicting direction of tendon separation (B). Arrow depicts direction of rerouting the split TAT graft along its tendon sheath to its most distal attachment at the medial cuneiform and base of the first metatarsal (C). The TAT graft placed through a drill hole into the medial cuneiform and then with the foot placed in plantar flexion and inversion; the tendon graft is then weaved through and attached to the distal end of the PTT (D). performed through a direct 4- to 5-cm oblique incision located posterior and inferior to the peroneal tendons and course of the sural nerve. Blunt dissection is taken down to the lateral calcaneal wall, and an oblique osteotomy is performed with an oscillating saw with caution to avoid overpenetrating the medial calcaneal wall. The osteotomy is distracted with lamina spreaders stretching the medial periosteum to allow for displacement. The osteotomy is then translated medially approximately 1 cm or based on the alignment desired. Distal translation can be performed to increase the calcaneal pitch. The osteotomy can be secured with a single 6.5-mm cannulated screw or other various methods of fixation. Lateral Column Lengthening The main goal of the lateral column lengthening is to correct abduction of the midfoot and forefoot. This procedure can provide triplane correction of an acquired flatfoot deformity by the mechanical advantage of the peroneal longus to correct forefoot varus resulting in compensatory varus position of the calcaneus. The lateral column lengthening is often combined with an MDCO. The double osteotomy allows correction of acquired hindfoot valgus and forefoot/midfoot abduction deformity. A 3-cm longitudinal incision is made directly over the floor of the sinus tarsi and anterior process of the calcaneus. The sural nerve and the peroneal tendons are identified and retracted accordingly. A sagittal saw is used to create an osteotomy approximately 1.5 cm proximal to the calcaneocuboid joint. The osteotomy is distracted, and a piece of tricortical bone graft is used to achieve the lengthening. This osteotomy may or may not be secured with any type of fixation. First Tarsometatarsal Arthrodesis When medial column stabilization and/or correction of forefoot varus are required in conjunction with a Cobb procedure, it is advantageous to include an arthrodesis of the first TMT joint. Indications for a first TMT include significant forefoot varus, abnormal lateral talo-first metatarsal angle on weight-bearing lateral radiographs, TMT joint arthrosis, first metatarsal elevatus, and/or hypermobility of the medial column. In addition the incision over the first TMT joint allows exposure of the distal TAT. The first TMT joint is exposed through a 5-cm incision fashioned just medial to the extensor hallucis longus tendon over the TMT joint. Meticulous joint preparation Downloaded for library services (firstname.lastname@example.org) at Lehigh Valley Health Network from ClinicalKey.com by Elsevier on August 31, 2022. For personal use only. No other uses without permission. Copyright ©2022. Elsevier Inc. All rights reserved. 27 is required to avoid nonunion. The first metatarsal is plantar flexed, and fixation is generally performed with dual-compression lag screws. Naviculocuneiform Arthrodesis In certain cases, whereby medial column stabilization is required in conjunction with the Cobb procedure, an NC arthrodesis may be performed in the presence of NC joint arthrosis, instability, and sagging. The surgical incision also provides exposure of the distal portion of the TAT for the Cobb procedure, and arthrodesis is achieved with compression lag screws (Fig. 3). SUMMARY The Cobb procedure may be considered for stage 2 PTTD in conjunction with realignment osteotomies and/or selected medial column stabilization arthrodesis procedures. Although retrospective in nature, the collective findings of the studies in Table 1 demonstrate that the Cobb procedure is a useful technique to decrease pain and improve function for stage 2 PTTD. Although it is difficult to analyze the effects of the adjunct procedures performed in the aforementioned studies, a randomized control trial that directly compares the Cobb procedure plus MDCO with the FDLT transfer plus MDCO would be beneficial. REFERENCES 1. Johnson KA, Strom DE. Tibialis posterior tendon dysfunction. Clin Orthop Relat Res 1989;239:196–206. 2. Knupp M, Hintermann B. The Cobb procedure for treatment of acquired flatfoot deformity associated with stage II insufficiency of the posterior tibial tendon. Foot Ankle Int 2007;28:416–21. 3. Baravarian B, Zgonis T, Lowery C. Use of the Cobb procedure in the treatment of posterior tibial tendon dysfunction. Clin Podiatr Med Surg 2002;19:371–89. 4. Lowman CL. An operative method for the correction of certain forms of flatfoot. JAMA 1923;81:1500–2. 5. Cobb N. Tibialis posterior tendon disorders. In: Helal B, Rowley DI, Cracchiola A, editors. Surgery of disorders of the foot and ankle. Philadelphia: JB Lippincott; 1996. p. 291–301. 6. Helal BM. Cobb repair for tibialis posterior tendon rupture. J Foot Surg 1990;29: 349–52. 7. Benton-Weil W, Weil LS Jr. The Cobb procedure for stage II posterior tibial tendon dysfunction. Clin Podiatr Med Surg 1999;16:471–7. 8. Janis LR, Wagner JT, Kravitz RD, et al. Posterior tibial tendon rupture: classification, modified surgical repair, and retrospective study. J Foot Ankle Surg 1993;32: 2–13. 9. Giorgini R, Giorgini T, Calderaro M, et al. The modified Kidner-Cobb procedure for symptomatic flexible pes planovalgus and posterior tibial tendon dysfunction stage II: review of 50 feet in 39 patients. J Foot Ankle Surg 2010;49:411–6. 10. Parsons S, Naim S, Richards PJ, et al. Correction and prevention of deformity in type II tibialis posterior dysfunction. Clin Orthop Relat Res 2010;468:1025–32. 11. Madhav RT, Kampa RJ, Singh D, et al. Cobb procedure and Rose calcaneal osteotomy for the treatment of tibialis posterior tendon dysfunction. Acta Orthop Belg 2009;75:64–9. 12. Weil LS Jr, Benton-Weil W, Borrelli AH, et al. Outcomes for surgical correction for stages 2 and 3 tibialis posterior dysfunction. J Foot Ankle Surg 1998;37:467–71.
CHAPTE http://hdl.handle.net/1765/121752 R 7 General discussion General discussion General discussion 1 The anterior cruciate ligament (ACL) is an important stabilizing ligament of the knee and commonly injured in pivoting sports. When surgical intervention is needed to restore knee stability, autogenous hamstring tendons are the graft of choice for ACL reconstructive purposes. The surgical harvesting of one or two hamstring tendons is required and subsequently used to reconstruct the ruptured ligament. In the light of potential donor site morbidity and functional deficits, both patients and orthopaedic surgeons voice concerns about the harvest of healthy and functional tendon tissue. However, in 1992 Cross et al. were the first to describe the potential of hamstring tendons to regenerate following harvesting procedures 21 . If regeneration takes place and regenerated tendons resemble the native ones, the post-harvest morbidity might be limited. Therefore, the general aim of this thesis was to improve the outcome following harvest of the hamstring tendons through a better understanding of tendon regeneration. This might contribute to the identification of new (therapeutic) targets and ultimately result in an improved outcome after ACL reconstruction procedures entailing the hamstring tendons. THE REMARKABLE CAPACITY OF HAMSTRING TENDONS TO REGENERATE Despite the efforts to use synthetic materials or allografts, autografts remain the first choice for ACL reconstruction purposes 53, 56 . Today, the hamstring tendons are the most commonly used autograft to reconstruct the torn ACL 34, 56 . More specifically it requires the surgical resection of either the semitendinosus tendon only, or both the semitendinosus and gracilis tendon to prepare the graft. Another popular and widely used tendon autograft is the bone-patellar tendon-bone (BPTB) graft entailing the central third of the patellar tendon 34, 56 . Although the quadriceps tendon and iliotibial band are less frequently used as autografts, these are suitable alternatives too. Regardless the choice of autograft, surgical resection of healthy and functional tissue is needed. Both patients and surgeons raise concerns about the potential donor site morbidity and lack of this tendon for functional deficits. What are the regeneration rates for hamstring tendons? In 1992, Cross et al. were the first authors describing the remarkable regeneration capacity of the hamstring tendons after being entirely resected 21 . In our systematic review we showed that regeneration of the semitendinosus and gracilis tendons occurs in 70% within the first year following harvesting procedures (Chapter 2). Studies reporting about hamstring tendon regeneration used different imaging techniques, such as computed tomography (CT), magnetic resonance (MR) imaging and ultrasound. 4 In addition, various definitions were used to assess (in)complete regeneration of the hamstring tendons, regeneration was assessed dichotomously and evaluated only after a single follow-up period. This does not reflect a dynamic and continuous process such as regeneration of the hamstring tendons. Therefore, we described regeneration rates both one and two years after harvest using MR imaging (Chapter 3). In line with previous findings, we found that the semitendinosus tendons regenerated in 65.7% of the cases and that the gracilis tendons regenerated in 82.9% of the cases. Interestingly, regeneration rates in the second year after harvest were found to be lower compared to the regeneration rates one year after surgical resection. This might be explained by the observation that the initial structure is predominately fibrous with only a few collagen fibers 27 . Over time the regenerated tendon starts the remodeling process and becomes similar to the native tendon with longitudinally oriented collagen fibers that appear to be of appropriate orientation and dimension 33, 67, 80 . In line with these findings, biomechanical properties of regenerated tendons improve over time 54 . Therefore, regenerated structures might be most prone to rupture within the first period following harvest and result in a decline in the regeneration rates over time. Patients with a rupture of the regenerating structure often experience a sudden, persistent and sharp pain at the posterior thigh 63 . Hamstring tendons are not the only tendons that are frequently harvested for reconstructive purposes. Another often-used graft for ACL reconstruction procedures is the BPTB autograft, involving the harvest of the middle-third of the patellar tendon. Previous studies reported similar regeneration rates for the patellar tendon as aforementioned for the hamstring tendons 7, 88 . Another tendon that is harvested for ligamentous reconstruction tendon interposition of the carpometacarpal joint is the flexor carpi radialis tendon. Reported regeneration rates for this tendon reach up to 79% 4 years after surgery 5 . Regenerated hamstring tendons are thicker and longer compared to the native tendons Tendons are important for the transmission of skeletal muscle forces to bone. Appropriate regeneration of the tendon is therefore important to withstand mechanical loads, resulting in an increase of cross-sectional areas (CSA) 38, 48 . In line with these findings, regenerated semitendinosus and gracilis tendons show a doubling of the CSA of compared to the CSA of the native tendons (Chapter 3). A similar increase of the CSA is observed after tendon resection for the BPTB autografts 4, 6, 7, 20, 45 . There are several feasible hypotheses that explain the increased CSA of regenerated tendons. First of all, the organization and composition of the extracellular matrix (ECM) in regenerated tendons might be inferior to the original tendon, causing diminished biomechanical properties. Therefore, more tissue is required to withstand the same mechanical forces as before. Secondly, the tendon is exposed to more mechanical stress per unit and therefore increases its CSA. A third feasible explanation is that the increase in CSA serves as a protective mechanism to strengthen vulnerable tendons, as seen in Achilles tendinopathy and after Achilles tendon rupture 46, 74 . In line with the first hypothesis, it has been observed that in the first months after resection the regenerated structure is predominately fibrous with only a few collagen fibers 27 . Over time the regenerated tendon starts the remodeling process and becomes similar to the native tendon with longitudinally orientated collagen fibers 33, 67, 80 . Along with this improved organization of the ECM, the biomechanical properties of the newly formed structure ameliorate with the passage of time 54 . However, the ultimate load, stiffness and the modulus of the regenerated structure do not become identical compared to the native tendons. These inferior biomechanical properties may be partially due to the decreased cross-sectional diameter of the collagen fibers in the regenerated tendons 33 . This all fits within the first hypothesis and explains our observation that regenerated tendons have increased CSA compared to the native tendons. The musculotendinous junctions (MTJ) of regenerated hamstring tendons appear to be found more proximal compared to the MTJ of native tendons, resulting in an increase of the semitendinosus and gracilis tendon length (Chapter 3). The average length of this proximal shift ranges from 3.1 to 7.3 cm 17, 62 . On the contrary, it is interesting to note that the patellar tendon is significantly shortened between 0.4 and 1.8 cm after harvest of the middle third of the tendon 7, 12 .The opposite post-harvest remodeling of the patellar tendon and the hamstring tendon length might be explained by the different anatomic situations after surgical intervention. The hamstring tendons are harvested from insertion to the MTJ, leaving a free anatomic space between the fascial planes of the medial thigh. However, a BPTB graft requires a longitudinal incision directly over the patellar tendon, involving harvest of the middle third and leaving two thirds of the native tendon in situ. In addition, some surgeons close the harvest gap. This surgical approach might result in formation of exaggerated pathologic fibrous hyperplasia causing a shortening of the patellar tendon and a subsequent tendon shortening 69 . Recently, Laako et al. described a surgical technique in which the distal head of the harvested semitendinosus and/or gracilis muscle is drawn towards its anatomical location and attached to the semimembranosus muscle 50 . This technique could be of value in patients with increased lengths of the semitendinosus and gracilis tendons, since increased tendon lengths might cause symptoms such as posterior thigh pain. Alternatively, one could choose to only harvest 75% of the tendons, leaving the other 25% in situ. Another, relatively rare, symptom caused by the altered thickness and length of regenerated tendons is a snapping syndrome. Gali et al. proposed a method of percutaneous lengthening of regenerated tendons alleviating symptoms and resulting in minimal morbidity 30 . 6 The work in this thesis emphasizes that tendons regenerate and that regenerated hamstring tendons are thicker and longer than the native ones, altering the anatomy and biomechanics. Therefore, patients may experience symptoms that are related to this new situation. Orthopaedic surgeons should be aware of the potential of the semitendinosus and gracilis tendons to regenerate, their altered morphological properties and the potential accompanying clinical symptoms. If needed, surgical interventions should be considered. Should hamstring tendons be reconsidered as graft of choice for ACL reconstruction purposes? Patients often express their concerns regarding potential muscle strength deficits following tendon harvesting procedures. Previous studies measuring the peak torque of knee flexion reported a full recovery of hamstring strength 19, 55, 87 . This recovery might be attributed to a functional restoration of muscle-tendon-bone complex of the hamstring tendons. Alternatively, it might also be caused by compensatory hypertrophy of the remaining knee flexors, such as the biceps femoris and semimembranosus 26, 42 . Since the semitendinosus and gracilis muscles insert at the pes anserinus and are therefore more important for higher angles of knee flexion (beyond 75 degrees) 65 , strength deficits might be found in deep knee flexion. In line with this hypothesis, three studies reported strength deficits ranging from 20 to 30% at knee flexion angles beyond 75 degrees 17, 64, 82 . However, the clinical relevance of this limited strength deficit is debatable (Chapter 4). Orthopaedic surgeons worldwide have not reached consensus yet regarding the selection of the best graft to reconstruct ruptured ACLs. Based on several studies, hamstring tendons and bone-patellar tendon-bone are the most frequently used autograft 1, 34, 56 . However, BPTB autografts result in significantly more donor site morbidity and lower patient reported outcome measurements and hence hamstring tendons are the graft of choice for ACL reconstructions 1, 34, 56, 57 . However, the semitendinosus and gracilis tendons are primarily internal rotators of the tibia, withstanding excessive external rotation and protecting the (reconstructed) ACL 3, 68, 75 . Patients without hamstring tendon regeneration have impaired internal tibial rotary strength 2, 3 and might therefore be at increased risk for ACL re-ruptures 3 . Preoperative identification of patients that are likely to lack regenerative capacity of the hamstring tendons might alter the graft choice. Since there is currently no literature available that supports this hypothesis, future studies should investigate if regeneration indeed decreases the risk of ACL re-rupture. Another interesting aspect of regenerated hamstring tendons is their potential to be re-harvested. Although it has been reported that the semitendinosus and gracilis tendons have been reharvested for ACL 89 and medial patella-femoral ligament (MPFL) 80 reconstructions, the re-use of these tendons is still very questionable for several reasons. First of all, tendon regeneration does not occur in every patient and therefore harvesting is not always possible. Given the morphological features of the remodeled tendons and the importance of graft thickness and graft length, newly formed tendons could be considered as potential interesting candidates for reharvesting procedures. However, it is important to address that the strength and stiffness of the newly formed tendons is expected to be inferior to the native tendons. In addition, histological studies revealed that the remodeled tendons show areas of scar tissue that could be expected to alter graft strength 25, 27, 67 . Taken together regenerated tendons resemble the native tendons, but are not identical in terms of morphology, histology and biomechanical features. It would be helpful to identify key role players of tendon regeneration and remodeling because it contributes to the identification of targets to direct and improve these processes. Ultimately, this knowledge might be used to improve treatments for tendon-related diseases. MODULATORS FOR THE INFLAMMATORY RESPONSE Tendon repair is a complex and multistage process, which is initiated after tissue damage and ultimately results in function restoration. Although numerous cells are involved in the process of tendon repair, macrophages are thought to be key role players in this process 35, 49 .Various in vitro studies showed that the different macrophage phenotypes produce distinct factors, having different effects on tendon repair. Considering the specific effects of the specific macrophage phenotypes, it is not surprising that macrophage subsets are differently recruited during the process of tendon repair 58, 73 . More specifically, it has been shown that M1-like macrophage are recruited first and stimulate tenocytes to produce catabolic enzymes, such as matrix metalloproteinases 73 . In addition, M1-like macrophages typically produce factors such as IL-1β, IL-6, and TNF- α 84 . In Chapter 5, we describe that pro-inflammatory cytokines negatively influence the production of structural and fibril-associated ECM components. Then, M2-like macrophages are recruited resulting in higher ECM densities and increased collagen I expression presenting an orientation along the longitudinal axis of the tendon 58 . This macroscopically resembles a normal and healthy tendon. Together, these findings emphasize the pivotal role of macrophages in the tendon repair process. However, it is important to note that both pro-inflammatory and anti-inflammatory macrophages/cytokines are highly required for optimal tissue healing: inhibition of pro-inflammatory factors and stimulation of anti-inflammatory factors will not necessarily result in proper tissue healing. Tissue healing strongly depends on the finely regulated balance between pro- and anti-inflammatory factors. The question remains whether aging and smoking that are known to negatively influence regeneration chances (Chapter 4) also affect macrophages and/or their phenotypes. 8 Aging Aging is associated with decreased chances for regeneration of the hamstring tendons (Chapter 4). In general, it is known that aging negatively affects the function of the immune system 61 . Currently, it is unclear whether the generation of macrophages from monocytes is impaired with age 39, 66, 85 . Regarding macrophage polarization, it has been reported that more M2-like macrophages are found in a mouse-model of age-related macular degeneration 47 . These ocular macrophages had decreased levels of TNF-α and IL-12, whereas the anti-inflammatory cytokine IL-10 was upregulated. In addition, an increase in M2-like macrophages was observed with aging in spleen, lymph nodes and bone marrow 43 . Aging influences the cytokine secretion patterns by macrophages. Compared to cytokine production in young mice, peritoneal macrophages from old mice secrete less proinflammatory cytokines, such as IL-1β, IL-6, and TNF- α, and more anti-inflammatory cytokines such as IL-10 9, 14, 72 . Microarray analysis further investigated the molecular basis for this decrease and revealed signal transduction genes were specifically reduced in macrophages from old mice 15 . First of all, decreased expression of toll-like receptor (TLR) 4 has been suggested as a reason for the observed age-related alterations 72 . However, other studies indicated that TLR4 remains unchanged with age 9 . Another explanation might be alterations in the JAK-STAT signaling pathway. As shown in Chapter 6, macrophage phenotypes have a characteristic STAT phosphorylation pattern. Previous studies showed that STAT1 phosphorylation levels are decreased in macrophages from old mice, compared to young mice 23 . Since STAT1 phosphorylation is mainly found in M1-like macrophages, decreased phosphorylation levels might therefore contribute to reduced production of pro-inflammatory cytokines. Taken together, aging impacts on macrophage function and potentially disturbs the highly regulated balance between pro- and anti-inflammatory factors, which is required for optimal tendon healing. A failure to repair the ECM of tendons might therefore be caused by an impaired macrophage function. Smoking Smoking has been shown to have deleterious consequences for several orthopaedic conditions, such as higher rates of hip fracture, nonunion of fractures and osteomyelitis. In addition, smoking is also associated with impaired regeneration of the hamstring tendons (Chapter 4). M1-like macrophages play a central role in defending the human body against invading pathogens and foreign material. Cigarette smoking reduces the phagocytic ability of macrophages 40 and decreases levels of molecules that are needed for intracellular killing, such as nitric oxide (NO) and reactive oxygen species (ROS) 90 . This finding suggests that cigarette smoke induces macrophage polarization towards a M2-like phenotype. This hypothesis is further strengthened by the activation of STAT3 pathways in macrophages after exposure to cigarette smoke 32 . Activation of this pathway is seen in M2-like macrophages (Chapter 6) and needed for the production of anti-inflammatory cytokines. In addition, low levels of cytokines that are typically produced by M1-like macrophages are found in response to cigarette smoke 16 . Therefore, STAT3 is considered to be a pivotal signaling molecule for macrophage polarization towards an M2-like phenotype. Similar to the effect of aging, the exposure to cigarette smoke influences the tightly regulated equilibrium between pro- and anti-inflammatory factors and herewith potentially affects the repair capacity of the ECM. Genetics The aforementioned factors only partially explain the interindividual variation in tendon repair. Today, there is mounting evidence suggesting that genetics has a pivotal role in the healing tendency of tendons 70, 76 . Tendons are subject to mechanical loads that reach up to ten times an individual's body mass. Therefore, the ECM of tendons continuously needs to undergo remodeling in order to withstand these loads and maintain homeostasis. It has been described that tendons are able to respond to these mechanical loads by initiating several matrix remodeling pathways 52, 86 . Previous studies showed that inflammatory gene expression profiles of tenocytes are modulated in response to mechanical loading triggering tenocyte apoptosis and ECM degradation. Therefore, it is reasonable to hypothesize that polymorphisms within genes encoding for inflammatory proteins modulate risk of tendinopathy. Previous studies showed that genes encoding several interleukin proteins including interleukin-1β (IL1B rs16944 C>T), interleukin-6 (IL6 rs1800795 G>C) and interleukin-6 receptor (IL6R rs2228145 A>C) modulate risk of Achilles tendinopathy in cohorts from South Africa 77 , Australia 77 and the United Kingdom 10 . All these polymorphisms are located at the promotor site, affecting the produced amounts of the respective interleukines 12, 28, 31, 51 . It has been shown that IL1B rs16944 is independently associated with an increased risk of acute Achilles tendon ruptures 10 . For chronic Achilles tendinopathy, no independent associations were noted 77 . However, IL1B and IL6 variants were associated with increased risk of Achilles tendinopathy in inferred gene-gene interactions models 77 . Although it has been well described that IL-1β and IL-6 are responsible in the activation of many downstream signaling cascades, it remained unclear how these polymorphisms contribute to tendinopathy 70, 76 . The work in this thesis indicated that polymorphisms within genes encoding IL-6 and IL-1β modulate the production of structural and fibril-associated ECM components (chapter 5) and herewith potentially contribute to an impaired capacity to repair the ECM. It is interesting to note that additional associations were found between polymorphisms within genes encoding for IL1B and IL6, and other soft musculoskeletal injuries. In line with the findings for acute rupture of the Achilles tendon, the IL1B rs16944 promotor polymorphism independently increases the risk of ACL rupture 71 . In addition, inferred allele combinations of IL1B, IL6 and IL6R were found to be associated with risk of ACL ruptures, both two independent South African cohorts 71 and a Swedish cohort (chapter 5). The risk of developing carpal tunnel syndrome has also shown to be modulated by polymorphisms within IL6R 11 . Collectively, these results underline the potential implication of interleukin signaling pathways in the underlying mechanism that predisposes for both acute and chronic soft musculoskeletal injuries. The investigated polymorphisms were found to be associated with increased risk for ACL rupture in a Swedish cohort (Chapter 5), and other cohorts 71 . In addition, these polymorphisms were previously associated with increased risk of chronic Achilles tendinopathy 70, 76, 77 . Therefore, it might be suggested that these polymorphisms negatively affect the odds for hamstring tendon regeneration. Personalized medicine is a central dogma in current clinical practice, proposing the tailor made clinical assessment of an individual patient based on their extrinsic and intrinsic risk factors 18 . Tendon healing is based on a poorly understood complex interaction between a variety of extrinsic and intrinsic risk factors. Clinicians should be aware of this when considering any clinical application of genetic testing and prevent the use of terms such as diagnostic, prognostic or preventive. Instead, clinicians should rather consider injury susceptibility through the identification of both known intrinsic and extrinsic risk factors (Figure 1). Individuals who are at increased risk to develop a soft musculoskeletal injury should then be referred to a sports-trained physiotherapist to be managed personally by appropriate prehabilitation exercises to reduce risk. Athletes Predisposed athletes Susceptible athletes Injured athlete Intrinsic factors Extrinsic factors Inciting event Figure 1: Schematic overview of the complex relationship between intrinsic and extrinsic factors, as well as the role of the inciting event. Future multifactorial models could be of great value to distinguish low-risk (black), predisposed (grey) and susceptible (blue) athletes. FUTURE PERSPECTIVES Remaining uncertainties about tendon regeneration The work in the current thesis shows that the semitendinosus and gracilis tendons regenerate in 70% of patients within the first two years following tendon harvest for reconstructive purposes. It appears that these tendons regenerate in a proximal to distal fashion, and that regenerated tendons are longer and have increased cross-sectional areas compared to the native tendons. However, the exact mechanism that underpins hamstring tendon regeneration remains unclear. In the field of Developmental Biology and Cancer, lineage tracing is currently the golden standard to determine a cell's origin. In this technique, a single cell is labeled in such a way that the mark is transmitted to the cell's progeny. The advantage of this approach is that it can be performed without any prior knowledge of what genes or markers should be expressed. However, a disadvantage this technique requires to physically stop the development process to see how cells look. Therefore, more recent developments have enabled in vivo barcode generation, targeting a locus for rearrangement or mutagenesis such that a different set of outcomes is generated in different cells 44 . The barcodes are generated over a limited amount of time resulting in a deep and precise lineage tracing. A great advantage of this strategy is the ability to continuously record a cell's development. Another more indirect method to identify the origin of the cells residing in the newly formed tendon tissue is to compare its methylome with the methylomes of cells derived from the surrounding tissues, such as fat, muscle and tendon sheets. A methylome is the methylation of cytosines, contributing to the epigenetic layer and defining the transcriptional and regulatory potential of genomic DNA 41 . Mid- and long-term follow-up of patients with harvested hamstring tendons is necessary to further evaluate the clinical implications of tendon regeneration. The semitendinosus and gracilis tendons withstand excessive external tibial rotation protecting the ACL. An impaired repair capacity of the hamstring tendons following harvesting procedures might therefore impact ACL reconstruction survival rates. Although there is currently no literature available on this topic, hamstring tendon regeneration is potentially of importance for the clinical outcome after ACL reconstruction procedures. Additionally, complete hamstring tendon regeneration theoretically re-establishes a functional muscletendon-bone complex. This hypothesis is supported by the current literature, suggesting that tendon regeneration would result in no or limited loss of muscle strength. However, it remains unclear whether this is caused by high-quality regeneration or compensatory hypertrophy of other (posterior) thigh muscles. In this light, it would be highly valuable to evaluate the volumes of all thigh muscles following harvesting procedures. Next to this, the quality of the regenerated tendons might be indirectly measured by the radiologic appearance of the hamstring muscles. Previously tendon-related disorders of the rotator cuff have been described to cause a myriad of changes in the cuff musculature on MR imaging, such as fatty infiltration, atrophy and fibrosis. In line with these observations, one might hypothesize that impaired regeneration of the hamstring tendons causes similar deviations of the semitendinosus and gracilis muscles. Improved understanding of tendon- and ligament related injuries ACL injuries are often associated with knee instability, take up to 9 months to rehabilitate and lead to gonarthrosis in 40% of the patients 10 years after injury 59 . In addition, treatment of ACL injuries is costly and only 50% of the athletes successfully return to preinjury levels 29, 59 . Therefore, the current focus of musculoskeletal research is the identification of factors associated with increased susceptibility to ACL injuries. Independent associated factors with ACL injury include anatomical variations, neuromuscular control, sex, female sex hormone concentrations, genetic polymorphisms and previous injuries 78, 79 . To date, studies that evaluated risk of ACL injury using combinations of risk factors by developing multivariable models are limited 36, 83 . These models exclusively focus on the anatomic features and do not provide a full understanding of ACL injury risk. However, it is probable that tendon- and ligament related injuries depend on multiple risk factors. Therefore, it is important to focus on creating comprehensive and clinically applicable risk models identifying individuals with increased susceptibility to both tendon- and ligament-related injury. Besides, the models should provide more direction for preventive programs, as well as appropriate counseling for those who are at increased risk. The healing process of tendons involves an inflammatory phase. Macrophages are considered to be pivotal in the onset and perpetuation of tendon diseases 22, 60, 81 . Some studies indicate that macrophage depletion improved morphological and biomechanical properties in injured Achilles tendons or following ACL reconstruction procedures 24, 37 . On the other hand, other studies reported that aspecific inhibition of macrophages is detrimental to ECM formation and tensile strength 8, 13 . In line with these findings, aspecific targeting of inflammation by common anti-inflammatory drugs including diclofenac, celecoxib and naproxen seem to have deleterious effects on tendon healing. These findings emphasize the functional role of macrophages in the tendon-healing process but suggest the need for further clarification on the interplay between macrophages and tenocytes. In vitro studies are limited but suggest that different macrophages have different effects on tenocyte behavior 58, 73, 81 . 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RATIONALE OF CRITERIA FOR THE TRUE PROGRESS and RUSSIAN/ORTHODOX HISTORICAL ACCUSATION OF ALL JUDGES, GUIDING POLITICIANS AND LEADERS, "SCIENTISTS" and "HEALTH-CARE-ERISTS" OF THE WORLD IN THE GENOCIDE OF "CIVILIZATION" (first published - 22.03.2024, on 4 pages, abbreviated translation) The circumstances of how this accusation came about. On Saturday 16/03/2024 I corrected the "Experiment to test the competence of Elon Musk in his project with neurochips" (there are problems with the prospects for use). And eventually came to me: "Why am I writing principles for one large-scale project and for one person? I must try to find the True - one for all." As a result, I wrote a specific, wise rationale. It is not a fact that with modern "wisdom" and "faith" he would have been defeated altogether. BUT. When I decided to measure it by the True/God, I discovered both a deficit and a substitution of priorities. I wrote down the positions on the store receipt so as not to forget and, realizing that I was at a dead end, I went to do housekeeping. For tomorrow, Sunday, I decided to reading the Gospels. I went to the closet, and once again in six months I remembered that when passing and entering the temple, I never bought either oil or wick. Since I had a feeling that there was a spare wick, I looked through everything on the shelves several times, but never found it. I had plenty of candles brought from the monasteries and I decided to switch to them, but in the process of burning them, while trying to immerse myself in the Truth, I squandered the moments of changing candles, which is why they burned out and due to the molten wax burning at the bottom, several glass candle holders cracked. And so I open the closet door, am about to take a candle, and right behind the candles I see a new wick. As soon as I said to myself: "Well, you're blind," it was as if the rationale for this accusation was shoved into me and the rain suddenly intensified outside the window. And I was so overwhelmed that I didn't want to sit down to read the Gospels. By the way, it would be very interesting to listen to the rationale of modern "scientists" about the force nature of that voice that says to you: "Why do you need to read Its, you know them almost by heart? Why do you need to go to church today, because... the weather is bad, you're sick, everything is the same there, God doesn't help you with money, etc. ? I snuck up behind me, gave myself a kick, and although the productivity was weak, the result was still included in this "small" "ACCOUSATION", the core of which was written in "one breath". So: There are such international words (very significant, because they are not Russian by education, but European-latin): a-ggress-ion, re-gress-ion and pro-gress-ion. A logical question arises: what does the root "gress" mean? I will not waste time and effort on linguistic exercises, but will immediately move on to the essence of the word progress, which means "movement towards the Better/Perfect." I specifically wrote with a capital letter, because those leading leaders and international organizations of the world who moved the world towards "progress" before, let them prepare to provide "alternative" "specifics" to the Truth on the positions and components stated below. TRUE PRO-GRESS consists of the following positions and components: 1. True concreteness/specificity for all, in order of priority, life-strategic positions, No.1 - is the True Court, No.2 - is the True Peace, No. - 3 is True Health and Healthy Lifestyle, etc., each of which is divided like the branches of a tree , into the following components. It is clear and already obvious to the whole world that a process/policy without a specific target and criteria is negative genocidal blah blah; 3. Complete and specific interconnected fundamental and energetic, at least in principally, completeness and (without or) balance of all fundamental forces of the Planet. Otherwise, private discoveries and their use for "rationalizations" provenly bring perversion and geonegativity to the world. Where, "scientists," is the fundamental justification for the gravity of your asses, the energy balance of the Planet, etc.? Do they not exist or do you, leading leaders and "scientists", not have them? 2. Fulfillment (and not "rationalization"/perversion) of the True specificity, which is specifically determined by God: "and they left the most important things in the law: court, mercy and faith; This ought to be done, and this ought not to be forsaken" Matthew 23:23. I emphasize for other faiths: in order to challenge this, you must show an "alternative" True specific meaning of "judgment" and "peace", because in my, not yet complete, version, they are fundamental! apply to all faiths, i.e. What method/healthy lifestyle and in what temple you will achieve this is not so important, the main thing is the result. This fundamentally (exact cloning is unacceptable!) also applies to other points. Do you want me/people who have lost loved ones to accept decisions of "courts" that not only look indifferently at the growing genocidal geocataclysms, but also justify the genocidal deeds of their leading leaders, for as True justice? 4. A complete and specific interconnected human energy balance with proven-existing specific energy levels control of algorithms of co-knowledge/consciousness. And your "health-care-erists", including the WHO, have no soul, no conscience, no intuition, no health, no healthy lifestyle, no...thing in particular. If they, with such "vision", "scholarship", "specificity" and stubbornness, cannot prove anything, then because of this their existence should be ignored? If yous have snot, oncology, depression, problems with immunity etc., which yous cannot yet cure even for yourself, do they not exist either? Is there True 1 mechanism of gravity of your "scientific" asses, the meaning of your temporary lives? Establish genocidal blah blah throughout the world? 5. A person/people who have proven their correctional competence in changing/outforced circumstances according to the above positions on themselves. The world is not a theory, but a reality, and therefore it should be managed not by blah-blah theorists, but by proven practitioners no younger than 4445 years old. In the whole world, do you have at least one such person, besides the Russian (and then only a few complete components), do you have? Or do you want to you, guiding leaders of the world/countries, has centuries-old! individual and/or collective absence of concreteness and many years of increasing negative geophysical and immunometabolic dynamics did people impute to "competence", "wisdom", "scientistness" and "faith"? And yous decided to destroy the place where such people are born and become such people, so that it would be more "joyful" to die? Don't forget, yous yourself chose your retribution, which is coming at yous from all sides, and you don't even see it: blah blahed, come up with antiRussian sanctions, as before, as if nothing is happening in the world and in your countries. What will be called the blame for the consequences of governance that makes forced-pressing global sacrifices to the whole world? Moreover, thanks to the "wisdom", "faith" and "learning" of modern guiding leaders and "scientists-rationalizers", we have 2 more global geohemorrhoidal positions-problems: 6- progression of genocidal geonegativity and 7- reversal of consequences to the boundaries of Truth, after stopping. Total, even if you have (including Elon Musk) have a super-duper good intention (i.e. 1 component mercy), then so that your good intentions do not lead you and those you lead to hell, and /or exclude the use of the results of your achievements for ungodly/genocidal purposes (i.e. as a security for good intentions) you must have specifics/concreteness in True progress. Are yours have it? Show it publicly, because the time has come for excuses of the political blah-blah! Do you know what the growing genocidal geocataclysms and the "International Red Book" of "civilization" in general and the "Red Books" of countries in particular testify to? That throughout History, "civilization" has demonstrably and indisputably walked into the "red light" of the Truth and the Creator of this beautifull World and that conclusively and incontestably confirms the words of the Lord: "He who is not with Me is against Me; and whoever does not gather with Me scatters" Matthew 12:30. What can all retort me with the whole planet? Nothing !!! + The dynamics - are negative ! Therefore, if on the day of publication of this "ACCUSATION", no one in the world provides evidence of the existence of a publicly stated "REAL PROVEN AND CONFIRMED CONCEPT OF PROGRESS" (hereinafter referred to as the "CONCEPT OF PROGRESS"), that: based on its ("CONCEPT OF PROGRESS") absence and the fact of the presence of already obvious globally growing negative-sacrificial geocataclysms in all countries of the world (which logically accept the status of globally genocidal) and previously exterminated local populations in wars, colonizations, political and /or economic pressures, in combination with confirmed of many years of increasing negative geophysical and immunometabolic dynamics in their own countries, I, as a Russian Orthodox doctor who, thanks to God, have specifics on at least several True life-strategic positions, including a True Christian Healthy Lifestyle, publicly and single-handedly present to all (if there is no "CONCEPT OF PROGRESS", then there are no exceptions, and about its absence your can make claims only to yourself) guiding leaders of the world (judges, politicians, deputies, "scientists" and "health-care-erists") and international organizations (especially The UN and WHO in terms of specifics, then all together - the guiding leaders) THE MAXIMUM IN THE HISTORY OF HUMANITY BY RUSSIAN ORTHODOX ACCUSATION IN THE GODLESS (SMART-ASS/HYPOCRITELY COVERED BY CHRISTIANITY) GENOCIDE OF THE CIVILIZATION OF THE WHOLE WORLD. If in the future it turns out that the actions/management of guiding leaders led to geo-instability in their own countries, then their national security authorities will also join this accusation, starting with the 1st anti-Russian sanctions. The only thing I can console you, modern guiding leaders, is that a greater accusation will never be brought against you on this Planet, because THIS WILL FOREVER REMAIN IN HISTORY THE MAXIMUM RUSSIAN/ORTHODOX ACCUSATION IN THE GODLESS-SMART-ASS (HYPOCRITIOUS) CONSEQUENCES OF THE GUIDING LEADERS OF THE WORLD. Plus, with an IRREVOCABLE and ACTIVE (more on that below) accusation of one side, the second/RUSSIAN/ORTHODOX SIDE FOREVER RECEIVES TRUE/GOD'S! (and not hypocritically smart-assly) JUSTIFICATION IN THE PAST, IN THE PRESENT and HAS A TRUE JUSTIFICATION FOR THE FUTURE: i.e. if there is no "CONCEPT OF PROGRESS" on the day of publication of this "ACCUSATION" (and given many years of negative geodynamics this is impossible), then the RUSSIAN ORTHODOX, AS THE OWNERS OF A SPECIFIC HLS, PROVEVED AND RE-VERIFIED BY ME, ARE FOREVER JUSTIFIED IN THE FACT THAT THEY TRUE FIGHTED FROM THE EUROPEAN (AND LATER AND AMERICAN) GODLESS HERESY ALL ITS HISTORY, because. THERE IS NO 2ND OPTION OF CHRISTIAN "HLS"! and since AT THIS PERIOD RUSSIAN ORTHODOX ARE THE ONLY OWNERS OF A RE-VERIFIED TRUE VARIANT OF HLS, THEY 2 HAVE FULL RIGHT TO FIGHT WITHOUT WARNING AND SEND EVERYONE... BACK HOME EVEN IF THEY SHOW OTHER/EQUAL OPPORTUNITY OPTION OF POSSIBILITIES! (THE ABOVE IS THEORETICALLY IMPOSSIBLE) I with God, except for the Truth, leave absolutely no positive chances and "alternatives" to anyone in the world, for the Absolute helps the True Believers, and no person in the world (even a monk) is able to return the previous state to himself by pre/departing from Truth is beyond reversibility (the difference is only in the degree and scale of guilt/sin, more on that below), otherwise he is an autonomous "god", capable of violating the Truth without consequences, and he is the "immortal alternative". And since no scientist and/or their meeting of any scale is absolutely provenly capable of changing this (especially without the basic fundamental completeness, the complex "quality" of health "restored" by people remains extremely defective), then this FOREVER proves the absolute/complete absence of even theoretical the possibility of having a "specific" "positive" "alternative" to Truth/God, including an "alternative" "positive" "correction" of negative consequences. As long as a person is mortal and has no alternative CONCEPT OF PROGRESS, this Russian proof and "ACCUSATION" remain automatically valid and undeniable (i.e. FOREVER). You can continue to bla-blak as much as you want, but now anyone in the world will be able to convict you of this. If you, modern guiding leaders, with your status, do not understand this, taking into account the growing negative geodynamics, then you automatically subscribe to the diagnosis: proud (in russian: I am= mountain + axis) dullness, as a consequence of special stubbornness and/or self-confidence. Until you publicly show an "alternative" CONCEPT OF PROGRESS, confirmed by positive geodynamics, my Russian automatic diagnosis remains undeniable. And since you provenly have absolutely no (nothing at all) specifics on any vital strategic position, and an "alternative" is theoretically impossible, then my Russian auto-diagnosis becomes Truly working FOREVER. NO "SCIENTIST"/MEDIC AND/OR THEIR COLLEGIAL MEETING CAN HEAL THE CONSEQUENCES OF MY DIAGNOSIS, FOR THE REASON IS THE UNTRUE CONTROL OF THE BODY BY THE GODLESS ALGORITHM OF CONSCIOUSNESS ! The Truth is in simplicity: gag/perversion → negative consequences → this auto-diagnosis → lifelong pills and de-pression from medics with the same/corresponding progressive negative dynamics of your "health", as well as the consequences of your "rationalizations" of the Truth (if without God). Do not agree? Verify ! What is above is not yet consequences - it is only a warning and grounds for True consequences for an "immortal" person (in russian=body + 100years). With such "concreteness/specifics", many modern leading leaders better pray that I survive them and do not meet their "immortals" on the other side of the sieve of death as an authorized dispenser to hell or God's Judgment after God pushes them through the sieve of death (only squeezing out, more precisely, the detachment of suitable souls from the body goes up/into space, and the unsuitable souls still face the same "non-existent" gravity: God does not waste energy on unnecessary things, they simply do not resurrect - such a Lenten addition). What do you think are my chances for this position and what are your chances, modern guiding leaders, of "slipping" past me with such "specifics"? Is this impossible? Of course, with such stubborn "wisdom" and "specificity", this is impossible to even imagine. This "does not exist", as is "no exist" God, your birth, soul, conscience, intuition, peace, love, joy/de-pression, health/healthy lifestyle and diseases , strong immunity, photosynthesis, the mechanism of gravity of your asses and... your death. Now pray for my health, so that I won't be the first to tell you "Ku-ku-siki" after your death, because I won't let you in to God's judgment with such genocidal "specifics"! I warn about this publicly and in advance, and therefore I already have an excuse. With such genocidal "specifics" and "faith", is waiting the hot "Healthy Lifestyle" you deserve for you in this life - only even warmer and FOREVER! This is the True consequence for such "competence". Who prepared for yours, the modern guiding leaders of the world, your retribution (payment for such deeds): God, Russians, Muslims, others or your yourself: by your "wisdom", "learning" and "faith"? By the way, any faith requires finding/using an opportunity/way out in current circumstances. Now the world is actually divided into-spinners/roteters (who recognize God as the Axis) and "rationalizers"/out-spinners/roteters (themselves: democracy, communism, anarchy, radicals, nationalists, etc.). In Russian (where is all the wisdom around True/God): pervert=out-spinner/rotater. The Orthodox faith gives a person choice (in russian=you-god) and does not allow him to kill infidels without their critical a-ggress-ion. And although man's true earthly competition is closer God, so that blah blah perversions do not grow exponentially, let's officially make 2 types of OLYMPics/competitions and spaces: if a person wants, for example, to win among the godless aces, let him go to the Euro-American Olympiads, he wants to take part in a competition with bearded singers-"woman" in dresses with eggs, or vice versa, singers-"men" in heels and minis skirts already without eggs, let her go to Eurovision. But let classical people, "without godless imagination," travel to countries that recognize God as the Axis of the Universe and "stupidly" rejoice at the remnants of this "unfinished" world by God. 3 I hope the criteria for disseminating this "progress" have been sorted out. Believe me, a little time/patience, geo-extreme, and if the perverts want to live (or rather, survive), everything will fall into place. But until they publicly present the "REAL PROVEN AND CONFIRMED CONCEPT OF PROGRESS"/Measures and methods of "positive" direction by their own example - THE ACCUSATION OF THE PERVERTS/OUT-SPINNERS/ROTATERS OF GODLESS GENOCIDE TO THE REST OF THE WORLD REMAINS ACTIVE! Further, I somehow began to stagnate and simply postponed the continuation (of course, the "plan" turned out to be "precisely calculated") and later, I received a "complicated" version of a non-political foundeds for a temporary, 2.5 year, truce in the Ukrainian-Russian conflict. In principle, it can be made as a conclusion from this ACCUSATION, but since it is more ready, after a separate viewing, I will try to add it as a public option for consideration. Do you disagree with the accusations? Show publicly a "concrete" "alternative" and by Christianity, yours modern guiding leaders, no longer hide behind – this option is PROVEN AND REVERIFIED CLOSED FOREVER! Now yours, democratic blah blah godlessmen leaders, on your own (without God)both the whole world and your citizens can already look at the progressive negative geoconsequences of their godless "wise" management of the country and the world. As for other faiths, I think they will deal with you at all differently when you start pushing your heresy on them, but after this "ACCUSATION" and my foundeds, the Russians (even the godlessmen) now also endure the pressure of your blah blah/heresy so much there will be no time, now everything will be much faster and simpler: "Show everything specifically: such and such targets and criteria, by whom, where, for how long, they were verified and what the results, consequences and their dynamics!" PUBLICLY FOR SO MANY CENTURIES THE RUSSIANS HAVE BEEN PRESSURIZED AND ACCUSED THE RUSSIANS FOR THE WHOLE WORLD OF THE WRONG PATH WITH THEIR BLAHBLAH, AND NOW SHOW PUBLICLY TO THE WHOLE WORLD YOUR "SPECIFICITY" IN YOUR "TRUE" PATH OF "PRO-GRESS"!!! You, modern Euro-American leaders, with the support of part of the population, publicly jumped into your own trap of democratic blah blah heresy and created geo-retribution for yourself and the world. And now only one Orthodox country in the world is capable (i.e. there are proven specifics + real opportunities) to take the lead in stopping your genocidal geohemorrhoids of the Planet with the support of large countries with strong centuries-old indigenous faiths and proven through centuries of healthy lifestyle (+ China, + India, + Muslims (no way without them) + Brazil - is a critical minimum + need a TRUE CONCEPT OF PEACE (and not blah blah UN). And you, modern Euro-American leaders, like godlessmen, in the future - either you will obey, or - you will make out of your countries those outcasts that they tried to make from the Russians: you will be blocked on raw materials, resources, exports and assistance, in the form of the same sanctions that you while you crush the Russians. "For with the judgment you judge, you will be judged; and with the measure you use, it will be measured to you" Matthew 7:2 This "will not come true" only if you, at least the entire "scientific" world, "are able" to "positively" "completly" "rationalize" the Truth, "equal (alternative) and/or better than the Truth". Now publicly, with apologies, ask the Russians for help (without them, European and world geostability is theoretically impossible + no one else needs your godless unverified blah blah)!!! After this "ACCUSATION", you have nothing more to lose except the geostability of your countries, citizens and economies! If you don't have time, you and your countries, "saviors of the world", will face a gradual collapse and the End, only just to stop will need years!!! intense!!! works that require corrections unprecedented in History, provided that reversibility is maintained! The Northern Hemisphere is turning more and more towards the Sun. Tick-Tock, Tick-Tock!!! What exactly and from whom do you now "wisely" expect now? New proposals from "scientists" and "health-care-erists" to "rationalize" the remnants of the Truth? Are the existing ones not enough for you? (for this the "small" ACCUSATION). Let's see how the world and your citizens will remain "silent" after this "olympic" summer. From this ACCUSATION a number of vitally strategic important conclusions emerge, of the same "small" scale, maybe I'll add more later. But I think if you have plans to still live here, have children, and after death not hear the Russian "Ku-ku-siki" with being sent to a very hot "Healthy Lifestyle" FOREVER, then here, literally for everyone in the world, there is something to think about and specifically answer the questions I posed. e.mail: email@example.com 4
Benefits Handbook Date January 1, 2022 Pet Insurance Plan (Nationwide®) Marsh McLennan Pet Insurance Plan (Nationwide®) Pet insurance, from Nationwide ® , is made directly available to all eligible employees. Marsh McLennan's sole function with respect to the program is permitting it to be publicized to employees, collecting premiums through payroll deductions and remitting them to the insurer. My Pet Protection ® from Nationwide ® helps you provide your pets with the care they may need 1 . This plan reimburses up to 70% on vet bills including accidents, illnesses and hereditary conditions 1 . You're free to use any vet and get additional benefits for emergency boarding, lost pet advertising and more. Plus, our 24/7 vethelpline ® is available as a service to all pet insurance members. 1 Some exclusions may apply. Certain coverages may be subject to pre-existing exclusion. See policy documents for a complete list of exclusions. Reimbursement options may not be available in all states. Products underwritten by Veterinary Pet Insurance Company (CA), Columbus, OH; National Casualty Company (all other states), Columbus, OH. Agency of Record: DVM Insurance Agency. All are subsidiaries of Nationwide Mutual Insurance Company. Subject to underwriting guidelines, review and approval. Products and discounts not available to all persons in all states. Insurance terms, definitions and explanations are intended for informational purposes only and do not in any way replace or modify the definitions and information contained in individual insurance contracts, policies or declaration pages, which are controlling. Nationwide, the Nationwide N and Eagle, and Nationwide is on your side are service marks of Nationwide Mutual Insurance Company. ©2021 Nationwide. Benefits Handbook Date January 1, 2022 i Contents Benefits Handbook Date January 1, 2022 ii The Plan at a Glance This Plan offers pet insurance to help meet the costs for caring for your pets. The chart below contains some important program features. For more information, see "How the Plan Works" on page 5. \| \| Plan Feature \| Highlights \| \|---\|---\|---\| \| How the Plan Works \| How the Plan \| Pet insurance, from Nationwide, is made directly available to all eligible \| \| \| Works \| employees. Generally, care is covered after you meet your deductible \| \| \| \| and submit a claim for reimbursement of medical expenses for your pet. \| \| \| \| You can choose from 50% or 70% reimbursement to get the level of \| \| \| \| coverage that fits your needs1. \| \| \| \| You can visit any licensed veterinarian or specialist nationwide, with no \| \| \| \| limitations1. \| \| \| \| See “How the Plan Works” on page 5 for details. \| \| Eligibility \| \| You are eligible to participate if you meet the eligibility requirements \| \| \| \| described under “Eligible Employees” on page 2. \| \| \| \| See “Participating in the Plan” on page 2 for details. \| \| Enrollment \| \| You may enroll your pet for pet insurance at any time by accessing \| \| \| \| Nationwide’s enrollment website, http://benefits.petinsurance.com/mmc- \| \| \| \| pr, or by calling \| \| \| \| +1 800 225 2265, Monday - Friday, 8 a.m. to 9 p.m. and Saturday 8 a.m. \| \| \| \| to 2 p.m. Eastern time and advising the member care representative of \| \| \| \| your employer. \| \| \| \| Evidence of Insurability may be required for each pet (cat, dog, bird \| \| \| \| and/or exotic pet). \| \| \| \| Once enrolled, go to Colleague Connect \| \| \| \| (https://mmcglobal.sharepoint.com/sites/Home), click Pay & \| \| \| \| Benefits and select Mercer Voluntary Benefits under Benefits to view \| \| \| \| your deduction amount. If you wish to change coverage, where eligible, \| \| \| \| you must contact the Plan Administrator. \| \| Contact Information \| \| For more information, contact the Claims Administrator: \| \| \| \| Nationwide \| \| \| \| Phone: +1 800 225 2265, Monday - Friday, 8 a.m. to 9 p.m. and Saturday 8 \| \| \| \| a.m. to 2 p.m. Eastern time. \| \| \| \| Website: http://benefits.petinsurance.com/mmc-pr \| \| \| \| Marsh McLennan does not administer this Program. Nationwide’s decisions \| \| \| \| are final and binding. \| 1 Some exclusions may apply. Certain coverages may be subject to pre-existing exclusion. See policy documents for a complete list of exclusions. Reimbursement options may not be available in all states. Participating in the Plan The following section provides information on how you start participating in the program. If you are an employee of Marsh & McLennan Companies or any subsidiary or affiliate of Marsh & McLennan Companies and you meet the requirements set forth below, you become eligible on your eligibility date. Eligible Employees To be eligible for the benefits described in this Benefits Handbook you must meet the eligibility criteria listed below. Marsh & McLennan Companies Employees (other than MMA) You are eligible if you are an employee classified on payroll as a US regular employee of Marsh & McLennan Companies or any subsidiary or affiliate of Marsh & McLennan Companies (other than Marsh & McLennan Agency LLC and any of its subsidiaries (MMA)). Individuals who are classified on payroll as temporary employees, who are compensated as independent contractors or who are employed by any entity in Bermuda, Barbados or Cayman Islands are not eligible to participate. If you are an expatriate, you are not eligible to participate in this Plan unless a US mailing address is on file and your pet is located in the US. MMA Employees You are eligible if you are an employee classified on payroll as a US regular employee of Marsh & McLennan Agency LLC – Corporate (MMA-Corporate), Marsh & McLennan Agency LLC – Alaska (MMAAlaska), Marsh & McLennan Agency LLC – Northeast (MMANortheast), Security Insurance Services of Marsh & McLennan Agency LLC or Marsh & McLennan Agency LLC, Private Client Services – National Region (MMA PCS – National). "You," "Your," and "Employee" As used throughout this plan summary, "employee", "you" and "your" always mean: [x] For Marsh & McLennan Companies participants: a US regular employee of Marsh & McLennan Companies or any subsidiary or affiliate of Marsh & McLennan Companies (other than MMA). [x] For MMA participants: a US regular employee of MMA-Corporate, MMA-Alaska, MMANortheast, Security Insurance Services of Marsh & McLennan Agency LLC or Marsh & McLennan Agency LLC, Private Client Services – National Region (MMA PCS – National). Individuals who are classified on payroll as temporary employees or who are compensated as independent contractors are not eligible to participate. In addition, references in this section to Marsh & McLennan Companies mean Marsh McLennan. If you are an expatriate, you are not eligible to participate in this Plan unless a US mailing address is on file. Your Eligibility Date There is no waiting period if you are ACTIVELY-AT-WORK. Your eligibility date is the first day you are Actively-At-Work on or after your date of hire. Enrollment You may enroll your pet for pet insurance at any time by accessing Nationwide's enrollment website, http://benefits.petinsurance.com/mmc-pr, or by calling +1 800 225 2265, Monday - Friday, 8 a.m. to 9 p.m. and Saturday 8 a.m. to 2 p.m. Eastern time and advising the member care representative of your employer. Evidence of Insurability may be required for each pet (cat, dog, bird and/or exotic pet). Can I cancel my coverage and get my money back after enrolling? Absolutely. You can cancel anytime at my.petinsurance.com or by letting Nationwide know in writing. If you are not satisfied with your policy, Nationwide provides a moneyback guarantee if Nationwide receives your written cancellation request within 10 days of your initial policy effective date. After the 10 days, Nationwide will issue a pro-rated refund of any unearned premium. Evidence of Insurability Your pet may be subject to Evidence of Insurability based on certain characteristics, such as age and breed. During the enrollment process you will be required to provide certain information about your pet. Based on your responses, you may have to provide Evidence of Insurability for your pet, including additional information about your pet's medical history. Nationwide will notify you if Evidence of Insurability is required. If your pet has a pre-existing condition or is 10 years of age or older, Nationwide will request a copy of your pet's handwritten medical history (including lab reports) for the last year. Nationwide veterinarians will review the medical history and determine if your pet is eligible for coverage or whether any exclusions need to be applied to the policy. You must enroll each pet individually, and each pet may be subject to its own Evidence of Insurability. If Evidence of Insurability is required, coverage starts after your pet's Evidence of Insurability application has been approved by Nationwide for pet insurance. If your pet is approved for coverage between the 1 st and 15 th of the month then the coverage effective date is the 1 st of the next month. If your pet is approved for coverage between the 16 th and the 31 st of the month then the coverage effective date is the 1 st of the second month following approval. Cost of Coverage You pay the full cost of coverage for the following options: ) [x] My Pet Protection ® – (starting at $18/paycheck, or $40/month 1 1 Premiums vary based on plan type, species, age, breed and your state of residence. Your pricing may vary depending on your employer's payment schedule. Rates and plans subject to change. Multiple Pet Discounts Save more when you enroll multiple pets: [x] 2-3 pets = 5% discount on base medical or wellness plan for each pet [x] 4+ pets = 10% discount on base medical or wellness plan for each pet. For a quote on the cost of coverage for your pet refer to Nationwide's Website, http://benefits.petinsurance.com/mmc-pr and follow the steps. You pay the full cost of coverage. How do I pay for coverage? You pay for coverage through after-tax payroll deductions. How do I pay for coverage if I take an unpaid leave of absence? Coverage will remain in effect, provided you continue to make the required contributions. Eligible employees may continue to make the required group rate contributions through the end of your policy period, directly to Nationwide through direct billing. How do I pay for coverage if I take a paid leave of absence? Coverage will remain in effect. Your cost for coverage will continue to be withheld from your pay. Will my costs change? Rates will vary and may change during your renewal period only. Do I pay for my coverage with before-tax or after-tax dollars? You pay for your pet insurance with after-tax dollars. When Coverage Starts Coverage starts after your pet's Evidence of Insurability application has been approved by Nationwide for pet insurance. If your pet is approved for coverage between the 1 st and 15 th of the month then the coverage effective date is the 1 st of the next month. If your pet is approved for coverage between the 16 th and the 31 st of the month then the coverage effective date is the 1 st of the second month following approval. For example, if your pet is approved for coverage on February 3 rd , the coverage effective date would be March 1 st . If your pet is approved for coverage on February 18 th , the coverage effective date would be April 1 st . Policy Term A policy term is defined as one year of coverage (that is, 12 months from the date coverage becomes effective). Do I have to re-enroll each year? No. Changing Coverage Employees who are already enrolled will have the opportunity to make any changes to their policy only during their individual renewal period by calling +1 800 225 2265. All plan changes are subject to underwriting approval. You may have to provide Evidence of Insurability to increase your pet's coverage level. Each pet may be subject to its own Evidence of Insurability. You can discontinue coverage at any time by calling Nationwide at +1 800 225 2265 and speaking to a representative. When Coverage Ends Coverage ends when the first of the following occurs: [x] the date of your death [x] the date of your pet's death [x] the date you no longer meet the eligibility requirements [x] the date you discontinue coverage [x] the last date you've paid contributions if you do not make the required contributions. Note: Upon termination from Marsh McLennan, you will automatically be converted to a direct-bill payment option for your coverage. Upon renewal, you will lose any discounts that are applicable to your status as an active employee. Portability If your employment terminates, you can continue coverage on a group basis through the end of your policy term, provided you continue to make the required contributions to Nationwide through direct billing. Upon renewal, you will lose any discounts that are applicable to your status as an active employee and have the option to convert to an individual policy. How the Plan Works Pet insurance, from Nationwide, is made directly available to all eligible employees. Marsh McLennan's sole function with respect to the program is permitting it to be publicized to employees, collecting premiums through payroll deductions and remitting them to the insurer. Generally, eligible veterinary expenses are covered after you meet your annual deductible and submit a claim for reimbursement for your pet. You can visit any licensed veterinarian or specialist nationwide, with no limitations. How does the deductible work? A $250 annual deductible applies to the medical coverage. Once you meet your deductible, you will be reimbursed up to 70% of your eligible vet bill 1 . A $7,500 maximum annual benefit applies to both plans. 1 Some exclusions may apply. Certain coverages may be subject to pre-existing exclusion. See policy documents for a complete list of exclusions. Reimbursement options may not be available in all states. What is a pre-existing condition? A pre-existing condition means any condition that began or was contracted, manifested or incurred up to twelve (12) months before the effective date of this policy or during any waiting period, whether or not the condition was discovered, diagnosed or treated. A chronic condition is a pre-existing condition unless it began after the effective date of this policy. What are my payment options? Payroll deductions, monthly and annual payment options are available. For the monthly and annual options, credit cards, debit cards and checks are accepted for payment. Are medical records required for enrollment? Not always. Sometimes medical records are requested for clarification so Nationwide can ensure you receive all the benefits available under the plan. Are prescriptions covered under my policy? Yes. FDA-approved prescriptions for covered medical conditions are eligible for reimbursement. Will a pet be dropped from coverage because of age? No. As long as you keep your policy continually in force (it does not lapse or expire), your pet will not be dropped from coverage. Once I enroll, how long before my policy is effective? Applications for enrollment that are received between the 1 st and 15 th of the month will be effective on the first day of the next month. Applications for enrollment that are received between the 16 th and the last day of the month will be effective on the first day of the following month. For questions, call +1 800 225 2265 and speak with a representative. How does my veterinarian receive payment? You pay your veterinarian directly and then submit a claim to Nationwide. Nationwide will adjust your claim and reimburse you according to your plan. Does my pet insurance policy cover diagnostic testing? Yes. You are reimbursed for diagnostic tests as long as the medical condition is covered by your plan. Is there a list of veterinarians I have to use? With Nationwide, you're free to visit any licensed veterinarian, anywhere—even specialists and emergency providers. Are anterior cruciate ligament (ACL) injuries covered by my policy? Yes. There is no waiting period for ACL injuries and no limitations unless the ACL injury occurred prior to the policy effective date. What if I don't know my pet's exact age? If you do not know your pet's age, take your pet to the veterinarian for a physical exam that includes an age estimate. How do I file a claim? Take a copy of your personalized claim form to your next veterinarian visit, have your veterinarian provide your pet's diagnosis and then complete the claim form and submit it along with supporting receipts and invoices to Nationwide at: Mail: Nationwide Claims Department PO Box 2344 Brea, CA 92822-2344 Fax: (714) 989-5600 (No cover sheet necessary) Web: Nationwide Pet Account Access Page at my.petinsurance.com. To obtain a claim form, visit https://www.petinsurance.com/submit-claim. How long do I have to submit a claim? You have 180 days from date of service to submit a claim and receive reimbursement. Marsh McLennan does not administer this plan. Nationwide's decisions are final and binding. Can I cancel my policy before the term is up? Absolutely. You can cancel anytime at my.petinsurance.com or by letting Nationwide know in writing. Is there a network of veterinarians that I have to use? No. Nationwide's coverage allows you to see any licensed veterinarian or specialist in the world. You are covered whenever you see any of these licensed caregivers. Covered Services My Pet Protection ® [x] Up to 70% back on veterinary bills [x] $250 deductible [x] Accidents, including poisonings and allergic reactions [x] Injuries, including cuts, sprains and broken bones [x] Common illnesses, including ear infections, vomiting and diarrhea [x] Serious/chronic illnesses 1 , including cancer and diabetes [x] Hereditary and congenital conditions 1 [x] Surgeries and hospitalization [x] X-rays, MRIs and CT scans [x] Prescription medications and therapeutic diets [x] Emergency boarding, lost pet advertising [x] 24/7 vethelpline ® is available to all pet insurance members (a $150 value). 1 Excludes pre-existing conditions Avian and Exotic Pet Plan The Avian and Exotic Pet Plan covers medical treatments and surgeries for accidents, illnesses and diseases, including cancer. For more information or to enroll in the Avian and Exotic Pet Plan, call +1 800 225 2265. Some exclusions may apply. Certain coverages may be subject to pre-existing exclusion. See policy documents for a complete list of exclusions. Plans may not be available in all states. Policy eligibility may vary. Some species of avian and exotic pets are not eligible for coverage. Eligible Avian and Exotic Pets [x] Amphibians [x] Birds [x] Chameleons [x] Chinchillas [x] Ferrets [x] Geckos [x] Gerbils [x] Guinea pigs [x] Hamsters [x] Iguanas [x] Lizards [x] Mice [x] Rats [x] Rabbits [x] Snakes [x] Tortoises [x] Turtles What's Not Covered for My Pet Protection ® Plan Pre-existing conditions A pre-existing condition is any illness or injury your pet had before coverage started. No pet insurer covers pre-existing conditions. The good news is that not all pre-existing conditions are excluded permanently. See your My Pet Protection ® plan for a full definition and explanation of pre-existing conditions. If you have medical records from your vet showing that your pet's condition has been cured for at least six months, you may be able to get it covered. Plan restrictions and other exclusions We don't cover breeding, grooming/bathing, nail trims or boarding (unless you're hospitalized for more than 48 hours). Refer to the "What We Do Not Cover: Exclusions" section of your policy as well as your policy Declarations Page for more information. Filing a Claim Take a copy of your personalized claim form to your next veterinarian visit, have your veterinarian provide your pet's diagnosis and then complete the claim form and submit it along with supporting receipts and invoices to Nationwide at: Mail: Nationwide Claims Department PO Box 2344 Brea, CA 92822-2344 Fax: (714) 989-5600 (No cover sheet necessary) Web: Nationwide Pet Account Access Page at my.petinsurance.com. To obtain a claim form, visit https://www.petinsurance.com/submit-claim. How long do I have to submit a claim? You have 180 days from date of service to submit a claim and receive reimbursement. Marsh McLennan does not administer this plan. Nationwide's decisions are final and binding. Glossary ACTIVELY-AT-WORK As a new hire, you are "Actively-At-Work" on the first day that you begin fulfilling your job responsibilities with the Company at a Company-approved location. If you are absent for any reason on your scheduled first day of work, your coverage will not begin on that date. For example, if you are scheduled to begin work on August 3 rd , but are unable to begin work on that day (e.g., because of illness, jury duty, bereavement or otherwise), your coverage will not begin on August 3 rd . Thereafter, if you report for your first day of work on August 4 th , your coverage will be effective on August 4 th . Benefits Handbook Date January 1, 2022 10
Sent via Electronic and Certified Mail August 14, 2018 Masashi Aihara President Mazda Toyota Manufacturing, U.S.A. c/o D. Bart Turner Kazmarek Mowrey Cloud Laseter LLP 3008 7th Avenue South Birmingham, AL 35233 email@example.com Honorable Thomas M. Battle, Jr. Mayor City of Huntsville Huntsville City Hall 308 Fountain Circle Huntsville, Alabama 35801 firstname.lastname@example.org Mark Brazeal General Manager Toyota Motor Manufacturing Alabama 1 Cottonvalley Drive Huntsville, AL 35810 email@example.com Kevin M. Butt General Manager Regional Environmental Sustainability Director Toyota Motor North America, Inc. 6565 Headquarters Drive Plano, TX 75024 firstname.lastname@example.org CC: Ryan Zinke Secretary of the Interior U.S. Department of the Interior 1849 C Street, N.W. Washington, D.C. 20240 email@example.com Jim Kurth Deputy Director of Operations and Acting Director U.S. Fish and Wildlife Service 1849 C Street, N.W. Washington, D.C. 20240 firstname.lastname@example.org Re: Sixty-Day Notice of Intent to Sue for Violations of the Endangered Species Act from Activities Associated with Construction and Operation of Toyota-Mazda Automobile Plant in Huntsville, Alabama Mark Russell Council President Huntsville City Hall 308 Fountain Circle Huntsville, Alabama 35801 email@example.com Shane Davis Director of Urban Development City of Huntsville Huntsville City Hall 308 Fountain Circle Huntsville, Alabama 35801 firstname.lastname@example.org Dear Sirs, On behalf of the Center for Biological Diversity and Tennessee Riverkeeper ("Conservation Groups"), we hereby provide notice in accordance with Section 11(g) of the Endangered Species Act ("ESA"), of their intent to sue Mazda Toyota Manufacturing, U.S.A., Inc. ("MTMUS") and the City of Huntsville ("City") for violations of the ESA and its implementing regulations through the ongoing and imminent take of the spring pygmy sunfish from the construction and operation of the Toyota-Mazda automobile plant ("Auto Plant" or "Project") in Huntsville, Alabama, in violation of Section 9 of the ESA. 16 U.S.C. §§ 1538(a)(1)(B), 1540(g). 1 The Auto Plant will be constructed and operated directly adjacent to occupied habitat for the spring pygmy sunfish in the Beaverdam Spring and Creek Complex. One of the primary causes of harm and death to the spring pygmy sunfish—and a principal reason why the sunfish is protected under the ESA—is development in and around its spring and spring-fed habitat. 2 The construction of the Auto Plant involves removal of vegetation, clearing of land, and construction of a massive facility with associated parking lots, all of which are likely to negatively impact water quality, water quantity, and aquatic vegetation in the sunfish's occupied habitat. Construction of hundreds of thousands of square feet of impervious surfaces (roofs, pavements, and roads) will impair water quality and both reduce water quantity and increase storm-water runoff. Operation of the Auto Plant within the watershed of the Beaverdam Spring and Creek Complex will contaminate surface water and groundwater supplying the springs, spring runs, and spring-fed wetlands that the sunfish depends on for survival and recovery. Maintenance of landscaping associated with the project will add fertilizers and other chemicals to the stormwater, thereby contributing even more pollution to the species' habitat. In sum, the Plant will cause "take" of the spring pygmy sunfish—an irreplaceable symbol of northern Alabama's natural heritage—by killing, wounding, harassing, and/or harming sunfish. 50 C.F.R. § 17.3. The mitigation measures MTMUS and the City have developed cannot avoid this take entirely, and in any event, the spring pygmy sunfish is so highly endangered that take must be minimized to the greatest extent possible to avoid jeopardy to the species' continued existence. Moreover, any mitigation measures MTMUS and the City have developed must be included in a "habitat conservation plan" and a binding incidental take permit issued by the U.S. Fish and Wildlife Service ("Service"). Only by adhering to the ESA's substantive and procedural requirements can any mitigation measures be subjected to review by the Service to assess whether they are adequate, and why stronger conservation measures could not be implemented. 1 The Center for Biological Diversity is a national, non-profit organization dedicated to protecting native species and their habitats through science, policy, and environmental law. The Center has more than a million members and eactivists from Alabama and throughout the United States who are concerned with protecting species like the spring pygmy sunfish from extinction. Tennessee Riverkeeper is a non-profit organization based in Alabama whose mission is to protect the Tennessee and Cumberland Rivers and their tributaries by enforcing environmental laws and educating the public. Tennessee Riverkeeper advocates for the watershed to ensure that future generations will inherit safe, clean water in their communities. 2 When the Service proposed listing the spring pygmy sunfish as threatened, it acknowledged that the species "is currently facing threats from planned, large-scale . . . industrial projects and ongoing development within the vicinity of the Beaverdam Spring/Creek watershed." 77 Fed. Reg. 60,180, 60,184 (Oct. 2, 2012). MTMUS and the City must apply for an ESA Section 10 incidental take permit by preparing a habitat conservation plan that is subject to review by the Service. 3 If MTMUS and the City continue to move forward with construction of the Project as it is currently proposed, the Conservation Groups intend to commence a civil action against MTMUS and the City for violations of Section 9 of the ESA and will seek declaratory and injunctive relief as well as reasonable litigation costs and attorneys' fees. I. The Endangered Species Act Congress enacted the ESA to provide a "means whereby the ecosystems upon which endangered species and threatened species depend may be conserved . . . [and to implement] a program for the conservation of such endangered species and threatened species." 16 U.S.C. § 1531(b). Primary among the ESA's protections is the prohibition against the "take" of a listed species, set forth in Section 9 of the Act. Id. § 1538(a)(1)(B). Take means "to harass, harm, pursue, hunt, wound, kill, trap, capture, or collect, or to attempt to engage in any such conduct." Id. § 1532(19). The term "harass" means "an intentional or negligent omission which creates the likelihood of injury to wildlife by annoying it to such an extent as to significantly disrupt normal behavioral patterns which include, but are not limited to, breeding, feeding, or sheltering." 50 C.F.R. § 17.3. "Harm" means "an act which actually kills or injures wildlife," including "significant habitat modification or degradation where it actually kills or injures wildlife by impairing essential behavioral patterns including breeding, feeding, or sheltering." Id. The ESA's legislative history supports "the broadest possible" reading of take. Babbitt v. Sweet Home Chapter of Communities for a Great Oregon, 515 U.S. 687, 704–05 (1995). "Take" includes direct as well as indirect harm and need not be purposeful. Id. at 704; see also Nat'l Wildlife Fed'n v. Burlington No. R.R., 23 F.3d 1508, 1512 (9th Cir. 1994). A person who knowingly carries out activities that take endangered or threatened species are liable for take and subject to civil and criminal penalties, including fines and imprisonment. 4 16 U.S.C. § 1540(a), (b) (authorizing civil fines of up to $25,000 per violation and criminal penalties of up to $50,000 and imprisonment for one year); Bennett v. Spear, 520 U.S. 154, 170 (1997) ("'[A]ny person' who knowingly 'takes' an endangered or threatened species is subject to substantial civil and criminal penalties, including imprisonment."); Babbitt, 515 U.S. at 697 (upholding interpretation of the term "take" to include significant habitat degradation). In addition, courts have repeatedly held that government actions authorizing third parties to engage in harmful activities can constitute an illegal taking under Section 9 of the ESA. See Strahan v. Coxe, 127 F.3d 155, 158, 163–64 (1st Cir. 1997), cert. denied, 525 U.S. 830 (1998) (holding state agency caused takings of the endangered right whale because it "licensed commercial fishing operations to use gillnets and lobster pots in specifically the manner that is likely to result 3 This letter is provided to MTMUS and the City of Huntsville in accordance with the 60-day notice requirement of the ESA's citizen-suit provision and to the extent such notice is deemed necessary by a court. 16 U.S.C. § 1540(g)(2). 4 "Person" is defined in the ESA to include "an individual, corporation, partnership, trust, association, or any other private entity; or any officer, employee, agent, department, or instrumentality of the Federal Government, of any State, municipality, or political subdivision of a State, or of any foreign government; any State, municipality, or political subdivision of a State; or any other entity subject to the jurisdiction of the United States." 16 U.S.C. § 1533(13). in violation of [the ESA]"); Defenders of Wildlife v. Admin'r, Envtl. Prot. Agency, 882 F.2d 1294, 1300–01 (8th Cir. 1989) (holding federal agency caused takes of endangered black-footed ferret through its "decision to register pesticides" even though other persons actually distributed or used the pesticides); Animal Prot. Inst. v. Holsten, 541 F. Supp. 2d 1073 (D. Minn. 2008) (holding state agency liable for take under the ESA for its licensing and regulation of trapping that resulted in the incidental take of Canada lynx); Loggerhead Turtle v. Cnty. Council of Volusia Cnty., 148 F.3d 1231, 1253 (11th Cir. 1998) (holding county's inadequate regulation of beachfront artificial light sources may constitute a taking of turtles in violation of the ESA). Section 10 of the ESA provides an exception to the take prohibition, allowing the take of a listed species where the Service, which receives delegated authority from the Secretary of the Department of Interior, issues a permit authorizing the take. 16 U.S.C. § 1539. If the "taking is incidental to, and not the purpose of, the carrying out of an otherwise lawful activity," such as take associated with construction, development, or operation of an industrial site, the person intending to cause the take must first apply to the Service for an incidental take permit. Id. § 1539(a)(1)(B). To receive a permit, the applicant must submit a habitat conservation plan to the Service that specifies the "impact which will likely result from such taking" and provides "steps the applicant will take to minimize and mitigate such impacts," "to the maximum extent practicable," to ensure the project will not "appreciably reduce the likelihood of the survival and recovery of the species in the wild." Id. § 1539(a)(2)(A)(i)–(iv), (B). In addition, an applicant must satisfy the Service that there is adequate funding available to implement the proposed minimization and mitigation measures, alternatives to the planned activities that would minimize or avoid take and why they are not being utilized, id. § 1539(a)(1)(B)(2)(iii), and any other assurances deemed necessary to minimize and avoid take of sunfish, id. § 1539(a)(1)(B)(2)(iv). Once an applicant receives an incidental take permit, the applicant is protected from take liability so long as it complies with the minimization and mitigation measures set forth in the habitat conservation plan. The ESA authorizes private enforcement of unpermitted take in violation of the take prohibition through a broad citizen-suit provision. "[A]ny person may commence a civil suit on his own behalf to enjoin any person . . . who is alleged to be in violation of any provision of [the ESA] . . . ." Id. § 1540(g). Citizens may seek to enjoin both present activities that result in take as well as future activities that are reasonably likely to result in take. National Wildlife Fed'n v. Burlington Northern Railroad, 23 F.3d 1508, 1511 (9th Cir. 1994). The ESA's citizen suit provision also provides for the award of costs of litigation, including reasonable attorney and expert witness' fees. 16 U.S.C. § 1540(g)(4). Furthermore, Section 7(d) of the ESA provides that any applicant for a federal permit "shall not make any irreversible or irretrievable commitment of resources with respect to the agency action which has the effect of foreclosing the formulation or implementation of any reasonable and prudent alternative measures which would not violate subsection (a)(2) of this section." Id. § 1536(d). The purpose of Section 7(d) is to maintain the environmental status quo pending the completion of the ESA Section 7 consultation requirements that federal agencies must comply with when they authorize, fund, or carry out a federal action such as issuing a permit. The Section 7(d) prohibition remains in effect throughout the consultation period and until the federal agency has satisfied its obligations under Section 7(a)(2) to ensure that the action will not result in jeopardy to listed species or adverse modification of critical habitat. II. The Spring Pygmy Sunfish The spring pygmy sunfish (Elassoma alabamae) is a tiny, striped fish that rarely grows longer than one inch. It lives exclusively in dense, underwater plants surrounding springs, spring runs, and spring-fed wetlands in a small area of the Tennessee River Watershed in northwest Alabama. Male spring pygmy sunfish are striking dark to black, with iridescent blue-green sides, cheeks, and gill covers. During mating season, they are known for their dance-like courtship, which involves intricate fin undulations, vertical bobbing, weaving, and "dashing." The spring pygmy sunfish relies on springs and spring-fed ecosystems to survive. Free-flowing springs support the dense underwater plants that the fish uses for shelter and where it forages for small, macroinvertebrate prey. Consistent, natural spring flows allow the sunfish to migrate between spring pools, which ensures genetic diversity necessary for the species to persist. To support all these important habitat features for feeding, breeding, and sheltering, the spring pygmy sunfish requires naturally flowing, relatively cool, clear (low turbidity), chemically neutral water with sufficient levels of dissolved oxygen. 5 Since the spring pygmy sunfish's discovery in 1937, its populations have been in decline. Habitat degradation caused by human development and agriculture extirpated the sunfish from two of the three natural spring systems it once inhabited, leaving one of the only remaining native populations in a single spring system around the Beaverdam Spring and Creek. Efforts to reintroduce the fish to the degraded springs it once inhabited have failed. While another population of spring pygmy sunfish was recently discovered near Wheeler National Wildlife Refuge, its size and status are unknown. Due to the spring pygmy sunfish's precipitous decline and the looming threat of urban sprawl from the City of Huntsville in the Beaverdam Spring and Creek watershed, on November 24, 2009, the Center formally submitted a petition asking the Service to protect the spring pygmy sunfish under the Endangered Species Act. 6 On October 2, 2013, the Service listed the spring pygmy sunfish as threatened. 78 Fed. Reg. 60,766, 60,667 (Oct. 2, 2013). At the time, the Service highlighted a significant and imminent threat from the conversion of rural lands to urban and industrial development in the Beaverdam Spring and Creek Complex watershed, characterizing development of this area as "detrimental to the spring pygmy sunfish" because it would change water quality, quantity, and velocity to such an extent that it would harm—i.e., cause take of—sunfish. 77 Fed. Reg. 60,180, 60,184 (Oct. 2, 2012). III. The Toyota-Mazda Auto Plant In January 2018, Toyota Motor North America and Mazda Motor, Co. (now the joint venture MTMUS) announced that they would jointly build a 1.6-billion-dollar automobile assembly plant on 2,500 acres of Tennessee Valley Authority-certified land outside Huntsville, Alabama, known 5 The Service provides specific habitat and water quality necessary to support the spring pygmy sunfish at 77 Fed. Reg. at 60,194–95. 6 Center for Biological Diversity, Petition to List the Spring Pygmy Sunfish as Endangered under the Endangered Species Act (Nov. 2009), https://www.biologicaldiversity.org/ species/fish/spring_pygmy_sunfish/pdfs/CBD_Spring_Pygmy_Sunfish_ESA_petition.pdf. as the "Huntsville Mega Site." 7 The Auto Plant will require approximately 4,000 employees and will have the capacity to produce 300,000 vehicles per year. 8 The site for the proposed Project is directly adjacent to and within the watershed of the Beaverdam Spring and Creek Complex, which the Service identified and proposed to protect as occupied "critical habitat" in 2012. 9 77 Fed. Reg. at 60,196–97. The Beaverdam Spring and Creek Complex encompasses Beaverdam, Horton, Moss, and Thorsen springs. 77 Fed. Reg. at 60,196. The Project is directly adjacent to Moss Spring, and in close proximity to Beaverdam and Horton springs and their spring runs and wetlands. The City of Huntsville has started vegetation removal, site grading, and earth moving at the Project site at MTMUS's direction. MTMUS intends to commence construction of the Auto Plant facility in October 2018. 10 Upon information and belief, neither the City of Huntsville nor MTMUS have prepared an ESA Section 10 habitat conservation plan for the Auto Plant to avoid, minimize, and, mitigate impacts to the threatened spring pygmy sunfish, and have not applied for or received an incidental take permit for the ongoing, imminent, and future take that the construction and operation of the Auto Plant will cause—indeed, is already causing. The City of Huntsville has indicated its plan to transfer two candidate conservation agreements with assurances ("CCAAs") and associated permits, which the Service initially granted to landowners "Sewell and McDonald," to the City, and then transfer both CCAAs and associated permits to Mazda-Toyota, under the mistaken belief the CCAA and permits—which were authorized to cover take of sunfish caused by agricultural activities—may also cover MazdaToyota's plans to develop and operate the Auto Plant. 11 The "Candidate Conservation Agreement with Assurances for the Spring Pygmy Sunfish Between the Belle Mina Farm, Ltd. and the U.S. Fish and Wildlife Service" ("Belle Mina Farm CCAA"), dated June 7, 2012, and the "Candidate Conservation Agreement with Assurances for the Spring Pygmy Sunfish Between Greenbriar Enterprises, L.L.C. et al. and the U.S. Fish and Wildlife Service" ("McDonald Farm CCAA"), dated November 13, 2013, and these CCAAs' associated ESA Section 10(a)(1)(A) enhancement of survival permits, are tailored to agricultural activities associated with two farms on the Project site. 12 Thus, these CCAAs and permits issued under Section 10(a)(1)(A) are substantively and legally insufficient to cover "incidental take" from activities associated with constructing and operating an industrial auto plant, which may only be permitted under the 7 City of Huntsville, Huntsville Lands $1.6 Billion Toyota-Mazda Manufacturing Plant (Jan. 10, 2018), https://www.huntsvilleal.gov/huntsville-lands-1-6-billion-toyota-mazda-manufacturing-plant/. The site is located north of the intersection of Old Highway 20 and Powell Road in Huntsville. 8 Id. 10 William Thornton, Construction of $1.6 billion Mazda-Toyota plant to begin by Oct. 1, Ivey Says (Apr. 26, 2018) https://www.al.com/business/index.ssf/2018/04/construction_of_mazda-toyota_p.html. 9 Critical habitat is habitat that is "essential to the conservation of the species" and which "may require special management considerations or protection." 16 U.S.C. § 1532(5)(A). 11 Joshua Gauntt, Could a Small Fish Impact Construction of the Toyota Mazda Site in Huntsville? WBRC Fox 6 News, Apr. 10, 2018, http://www.wbrc.com/story/37927624/could-a-small-fish-impact-construction-of-the-toyotamazda-site-in-huntsville. 12 Copy of Belle Mina Farms CCAA available at: https://ecos.fws.gov/docs/plan_documents/tcca/tcca_972.pdf; Copy of McDonald Farm CCAA available at: https://ecos.fws.gov/docs/plan_documents/ccaa/ccaa_1045.pdf. incidental take permitting authority following development of a sufficient habitat conservation plan. 13 Id. § 1539(a)(1)(B). IV. Take of the Spring Pygmy Sunfish from Construction and Operation of the Toyota-Mazda Automobile Plant Construction activities at the Project site, including vegetation removal, land clearing, and earth moving, are causing increased sedimentation and turbidity in the spring pygmy sunfish's adjacent spring ecosystems, one of the only places the species still persists. See 77 Fed. Reg. at 60,183. As the Service has previously emphasized, construction harms the spring pygmy sunfish because land clearing causes more storm-water runoff and sediment to enter waterways than otherwise would occur, thereby harming spring pygmy sunfish and the submerged vegetation it needs to survive. Id. at 60,185. Because submerged vegetation moderates water temperature in the springs and provides shelter, egg substrate, and foraging sites, the decline in submerged vegetation caused by this sedimentation and storm-water runoff is significantly impairing the spring pygmy sunfish's essential feeding, breeding, and sheltering activities. Id. Construction and operation of this industrial Mega Site development adjacent to the Beaverdam Spring and Creek system will also decrease water quantity by limiting percolation of water into the aquifer that supplies Beaverdam Creek, and increasing peak flows during storm events. Id. at 60,183. Construction of water-impermeable roofs, pavements, parking surfaces, and road surfaces prevents "aquifer recharge," which reduces spring flow, thereby limiting the species' ability to move throughout the system, breed, and feed. Id. Meanwhile, impermeable surfaces change storm-water flow rates from slow and gradual to fast and concentrated, uprooting vegetation and destroying important foraging, spawning, and refuge habitat for the species. Id. The construction of impermeable surfaces degrades water quality by directing water via surface routes into specific areas of the springs and creeks, where it will decrease oxygen levels and increase temperature, turbidity, and flow velocity. Id. These surface waters will transport other pollutants on the Project site as well. Even after construction is complete and the Auto Plant is operating, these industrialized areas will continue to disrupt seasonal flow rates and prevent precipitation from infiltrating into the soil or draining naturally into the surface water. Id. at 60,184. Without this recharge from precipitation, there will be insufficient water for the springs, spring runs, and wetlands that the spring pygmy sunfish needs to survive. Urban and industrial development will further degrade water quality with chemicals and other pollutants, such as fertilizers from landscaping and pollutants from cars and parking lots. Id. at 60,185. Indeed, it is for all these reasons that the Service concluded that "[c]hange in land use form rural to urban/industrial within the Beaverdam Spring/Creek area will be detrimental to the spring pygmy sunfish." Id. at 60,184. While certain conservation measures may mitigate take of spring pygmy sunfish, they cannot avoid all take, and to be lawful in any event, must be incorporated into a plan to minimize and 13 The appropriate permit to cover incidental take associated with construction and operation of the Auto Plant is a Section 10(a)(1)(B) incidental take permit—not a Section 10(a)(1)(A) enhancement of survival permit—because activities associated with constructing and operating the Auto Plant are wholly unrelated to scientific study or enhancing the survival of the species. mitigate this incidental take to the greatest extent possible, as Section 10(a)(1)(B) of the ESA requires. V. Violations of the Endangered Species Act The ongoing and imminent construction and operation of the Auto Plant is causing and will continue to cause take of spring pygmy sunfish by significantly impairing habitat features that sunfish require for feeding, breeding, and sheltering, without a habitat conservation plan or incidental take permit issued to MTMUS and the City pursuant to Section 10(a)(1)(B) of the ESA, in violation of Section 9 of the ESA. 16 U.S.C. § 1538. Through MTMUS's and the City's site preparation, construction, and operation of the Auto Plant, MTMUS and the City are causing and will continue to cause sedimentation and storm-water runoff, and remove vegetative buffers, to the extent that food, shelter, and breeding are being and will continue to be significantly impaired. MTMUS and the City are also reducing water quantity in the springs by diverting surface waters from the watershed that supplies the sunfish's spring complexes, and degrading the springs' water quality by creating impervious, concrete surfaces, introducing storm-water runoff and other pollutants, causing take the spring pygmy sunfish with these activities as well. While MTMUS's and the City's mitigation measures may reduce or mitigate this take of spring pygmy sunfish, they cannot avoid take altogether, and must be presented to the Service in a proposed habitat conservation plan, and if the conservation plan is deemed adequate by the Service, incorporated into the terms and conditions of an incidental take permit. Upon information and belief, MTMUS and the City are planning to construct and operate the Auto Plant without an incidental take permit issued pursuant to Section 10(a)(1)(B) of the ESA. Consequently, MTMUS and the City are liable for take that occurs as a result of the construction and operation of the Project. VI. Conclusion As this letter explains, MTMUS's and the City's ongoing and imminent plans to construct and operate the Auto Plant are resulting and will continue to result in the violation of Section 9 of the ESA. MTMUS and the City will continue to violate the ESA until they secure a valid incidental take permit and implement a habitat conservation plan that minimizes and mitigates the impacts of the Project. To comply with the ESA, MTMUS and the City must halt all activities that cause or are likely to cause take and immediately apply for and secure an incidental take permit and implement a habitat conservation plan that minimizes take of the spring pygmy sunfish "to the maximum extent practicable" and mitigates "to the maximum extent practicable" any incidental take that cannot be avoided by implementing minimization measures. Id. § 1539(a)(2)(B)(ii). If MTMUS and the City do not bring their activities in connection with the Auto Plant into compliance with the ESA within 60 days, the Conservation Groups will pursue litigation in federal court to seek appropriate relief to protect the spring pygmy sunfish from imminent take. Please do not hesitate to contact the undersigned by phone at (727) 755-6950 or email at email@example.com. We can provide additional information that may allow us to avoid having to resort to seeking the remedies that are provided by the ESA. Sincerely, Amy R. Atwood Greenwald Senior Attorney, Endangered Species Legal Director Center for Biological Diversity P.O. Box 11374 Portland, OR 97211 (971) 717-6401 firstname.lastname@example.org
Reproductive biology of Holothuria (Roweothuria) poli (Holothuroidea: Echinodermata) from Oran Bay, Algeria Farah Slimane-Tamacha, 1* Dina Lila Soualili 1 and Karim Mezali 1 Abstract Our study is a first contribution of the reproductive biology of the aspidochirotid sea cucumber Holothuria (Roweothuria) poli at Kristel Bay at Ain Franine in Oran Province, Algeria. Sampling was conducted on 305 individuals (129 males, 131 females and 45 of indeterminate sex) from October 2016 to September 2017. Five macroscopic and microscopic sexual maturity stages have been identified in the gonadal tubules: recovery (I), growing (II), early mature (III), mature (IV) and spent (V). Also, the size at first sexual maturity within the entire population is 135 mm. Our results show that the maturation of the gonads (stages III and IV) occurs from March until May. From May to July, the entire sampled population is at full sexual maturity, and it is only in July that spawning begins, which extends up to September. The period of nonreproductive activity is between October and November. Key words: Holothuria poli, reproduction, sexual maturity, southwest Mediterranean Sea Introduction Material and methods Holothuria poli Delle Chiaje, 1824 is a frequent and abundant sea cucumber along the Algerian coast (Mezali 2008). It plays an important role in the recycling of organic matter in marine bottom sediment and it is now considered a target species for the Mediterranean fisheries (Purcell et al. 2013). The main countries that exploit H. poli are Turkey, Spain, Greece, Italy and Portugal. The Turkish sea cucumber fishery started in 1996 and reached about 600 tonnes (t) in 2011; Holothuria poli represented 80% of the catches (González-Wangüemert et al. 2014). Sea cucumbers are mainly exported to Asian countries in the form of frozen, dried and salted products (Aydin 2008; Aydin et al. 2011). Study area The Ain Franine station is located on the western end of Algeria's coast, and is in the Bay of Oran, 8 km from Kristel (35° 46'52.40"N and 0° 30'50.12" W) (Fig. 1). This area is considered as being little impacted by anthropogenic activity (Hebbar 2013). Identification and characteristic of the studied species In Algeria, detailed studies have been carried out on the population dynamics of H. poli (densities and biomasses) (Mezali et al. 2006). Biological aspects such as biometrics, growth and feeding behaviour have also been detailed (Mezali and Semroud 1998; Mezali et al. 2003, 2006; Mezali and Soualili 2013). Although some aspects of reproduction have been studied for the two main sea cucumber species Holothuria sanctori and H. tubulosa (Mezali et al. 2014; Mezali and Soualili 2015), no studies exist on the reproductive cycle and the maturation of the gonads of H. poli. Identification of H. poli is based on morphological, anatomical, and endo-skeletal criteria (Koehler 1921; Tortonese 1965). This species does not present a defence organ (Cuvierian tubules), but does present white podias that are scattered throughout the ventral part of the body (Mezali 2008). Microscopic observation of the ossicles showed the presence of different forms of regular and smooth loops and pseudo-buttons and small tables (Mezali 2008). The gonad of H. poli is located in the left of the dorsal mesentery and has a single genital duct at its base to the outer part of gonopore, and consists of a single clump of tubules. 1 Protection, Valuation of Marine and Coastal Resources and Molecular Systematics Laboratory, Department of Marine Sciences and Aquaculture, Faculty of Natural Sciences and Life, Abdelhamid Ibn Badis University-Mostaganem, 27000, PO Box 227, Algeria * Author for correspondence: email@example.com Sampling In total, 305 individuals of H. poli were harvested over 12 months (from October 2016 to September 2017). The sampling was carried out randomly by hand using snorkelling and scuba equipment at an average depth of 8 m. During sampling, to avoid the loss of internal organs (gonads) due to the process of autotomy practiced by these marine invertebrates, each individual was isolated in a plastic bag. In the laboratory each individual was dissected, and the gonads carefully removed, drained and weighed (Wg ± 0.01 g). Each gonad was stored in a pill box and fixed in formalin (10%). hematoxylin-eosin, and observed under an optical microscope at x100 and x400 magnification. Sex was determined primarily on the basis of gonad colour. The tubules of the female gonads are usually yellow or orange, and in the male, they are whitish. We noted that determining sex in some cases was not easy macroscopically, and necessitated microscopic observations. The identification of the various stages of sexual maturity was based on the gonad maturity scale established by Conand (1981) and modified by Ramofafia and colleagues (2000): I) recovery, II) growth, III) early mature, IV) mature and V) spent. Gonad maturity stages The macroscopic characteristics of each gonad were observed (colour, number, length, diameter and branching of the tubules). Histological analysis was performed on a monthly subsample of 10 gonads (males and females) selected from an average sample of 25 individuals collected each month (120 individuals of the 305 individuals collected in total). One piece (0.5 mm) of each part of the tubules was removed, dehydrated, embedded in paraffin, sectioned at 7 μm, stained with Results Size at first sexual maturity The analysis of the variation of sexual maturity stages (depending on the size of the holothuroid) showed that 50% of individuals are mature when they reach 135 mm (Fig. 2). Macroscopic and microscopic observations of female and male gonads During stage I (recovery), determining the sex of the gonads is impossible. The ovarian tubules are thin, white and transparent, and very slightly branched and short (Figs. 3A and 3a). In females, the lumens of the tubules are almost empty. The pre-vitellogenic oocytes are attached to the germinal epithelium of the tubule with the presence of some more rounded early vitellogenic oocytes (Fig. 3B). In males, the wall of the gonad is at its maximum thickness. The presence of early stages of sperm maturation is noted on the borders of the tubules with the presence of empty zones (Fig. 3b). In stage II (growth) in both sexes, the number of gonad tubules increases and they can become divided. They have a whitish colour (Figs. 3C and 3c). In females, the tubules are very pale white to orange colour. The number of oocytes increases and the lumen of the tubules is not completely occupied by oocytes of different sizes (Figs. 3D and 3E). In males, the germinal epithelium extends towards the lumen of the tubule, giving rise to the development of spermatocytes colonies (Fig. 3d). At stage III (near maturation) in both sexes, the gonad tubules are longer, more numerous, dilated and branched (Figs. 3F and 3e). In females, their colour is light pink to orange. The presence of different stages of development is observed (e.g. mature oocytes in the centre of the tubules and small oocytes near the tubular wall, see Fig. 3G). In males, the tubules are cream colour, long, numerous, dilated and branched (Fig. 3f). At stage IV (maturity) in females, the number of tubules and their ramifications reach their maximum. During this stage, ovary weight is generally higher than that of the testicle; the largest ovary is 17.94 g; female gonads are orange in colour and are completely dilated (Fig. 3H). There is a predominance of mature oocytes with a single nucleolus (Fig. 3J) and few immature oocytes are also observed (Fig. 3I). In males at this stage, the gonad weight reaches 12.64 g, and the tubules are milky in colour, dilated to a maximum diameter (Fig. 3g). The walls of the tubules are thin, and the spermatozoa are numerous and mature (Figs. 3h, 3i). At stage V (spent), in females, the tubules regress and become flaccid, wrinkled and more or less empty. At this stage, tubules or the tubular region are seen and they always occupy un-expelled gametes in atresia (Fig. 3k). In males, after the release of gametes, the tubules regress and become transparent. They are flaccid and more or less empty, with the presence of residual gametes (Fig. 3j). Monthly variability of sexual maturity stages The monthly variability in sexual maturity stages of mature individuals (all confused sexes) is followed in order to specify the spawning period. Figure 4 shows that 70% of individuals are at full sexual maturity (stage IV) in July 2017, while the percentage of individuals observed at stage V is greater than 90% in October and November. Stage I was observed from November 2016 to January2017 and is marked by the presence of a maximum number of individuals at this stage (in November 2017). The growth of the tubules was noted during stages II and III from February to June 2017, with a presence of less than 10% of the gonads in stage III during July and August. Discussion Holothuria poli is a common species in the Mediterranean Sea, but data on its reproduction are lacking. Sampled individuals of H. poli are gonochoric and show no sexual dimorphism, which is observed in many aspidochirotid holothurians (Despalatovic et al. 2004; Asha and Muthiah 2007; Navarro et al. 2012; Mezali et al. 2014). Sea cucumbers often show an annual reproductive cycle (Tuwo and Conand 1992; Conand 1993a, b; Chao et al. 1995). Although half yearly or even a continuous reproductive cycle throughout the year is also common, especially in tropical regions (Harriott 1985; Conand 1993b). In total, 305 individuals of H. poli (129 males, 131 females and 45 of indeterminate sex) were considered in the present study. During our survey, the absence of hermaphroditic individuals was noted. This result is similar to that obtained by Bardanis and Batjakas (2018) for the same species at Lesvos Island in Greece. Holothuria poli is a typical temperate sea cucumber, which presents a single annual reproductive cycle (Tuwo and Conand 1992; Hamel and Mecier 1996). Maximum reproductive activity was observed during the warm months of the year (July and August 2017) while minimum activity (rest) was observed during the coldest months of the year (November and December 2016). The macroscopic and microscopic observations suggest that the development of male and female gonads of H. poli adapts an asynchronous 'tubular recruitment model', showing the tubules in different stages of development 2016 2017 Figure 4. Monthly evolution of sexual maturity stages in mature individuals of Holothuria poli at Ain Franine station. together. This case is not unusual, because there are many other species of sea cucumbers that do not follow the model of recruitment of the tubules, such as H. leucospilota (Ong Che 1990), H. atra (Chao et al. 1994), H. fuscogilva and H. mauritiana (Ramofafia and Byrne 2001). Conclusion In H. poli, the percentage of sexual maturity stages of the sampled individuals varies from March to June 2017, where stage III is predominant in both males and females. From the end of June 2017 and into early July 2017, individuals reach full sexual maturity, which is marked by the presence of a high percentage of individuals in stage IV. At the last stage of maturation (stage V), a regression of tubule size in length and diameter in males and females is observed, and this is most probably due to postemission gonad regression, In their studies on H. leucospilota, Purwati and Luong-Van (2003) explain that this species has the ability to 'reintegrate' its gonad once its gametes are expelled. This regression of male and female tubules was also observed by Ong Che (1990). In work conducted in New Caledonia, Conand (1981) explains the presence of individuals without gonads during the resting phase, showing that the gonad grows throughout its maturation, until fertility, then retracts after spawning. This was observed for H. poli, which presents a large number of non-gonadal individuals in November. Our study shows that size at first sexual maturity is around 135 mm (both sexes combined). As for maturation, H. poli sampled from Ain Franine station present a general reproduction pattern marked by an increase in the percentage of mature individuals (stages III and IV) from March to June, with spawning beginning in July and extending until September, while the period of rest is observed from October to November. The reproduction parameters obtained in the present work will provide a database for the establishment of regulatory measures for the exploitation of H. poli on the western end of Algeria's coast, such as defining a harvest season, and establishing a ban on catching this species during the breeding period in order to manage sea cucumber stocks on Algeria's coast. Acknowledgements The first author thanks the team of the laboratory AquaBior at the University of Oran, especially Professor Sidi Mohammed El-Amine Abi Ayad, Mr Larbi Sofiane Neghli and Mr Karim Chekkai. References Aydin M. 2008. The commercial sea cucumber fishery in Turkey. SPC Beche-de-Mer Information Bulletin 28:40–43. Asha P.S. and Muthiah P. 2007. Reproductive biology of the commercial sea cucumber Holothuria spinifera (Echinodermata: Holothuroidea) from Tuticorin, Tamil Nadu, India. Aquaculture International 16:231–242. Aydin M., Sevgili H., Tufan B., Emre Y. and Kose S. 2011. 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ESBN Monthly Update June 2021 ESBN news and updates Online survey: Engagement of private sector in capacity-building activities for climate action in the ASEAN, Deadline: 10 June 2021 This survey, which is conducted by the UNFCCC Regional Collaboration Centre Bangkok, aims to identify capacity building gaps and opportunities on climate change for MSMEs/SMEs in the ASEAN, to support the development of a comprehensive capacity building strategy for MSMEs and SMEs. UNFCCC would like to reach out to more SMEs and MSMEs in ASEAN. To respond to the Survey, please go to: <https://docs.google.com/forms/d/e/1FAIpQLSe_OOZqbPbSv1Xa_uXlitAYKcwrgHtzUTGMATWmOl7ZGb A5Fw/viewform?> Reminder to convert to corporate membership ESBN members who earlier joined in a personal capacity are kindly reminded of the need to convert to corporate membership before the end of 2021, by submitting the commitment form earlier shared, and to become signatories of the UN Global Compact. Please contact the ESBN secretariat for more information: firstname.lastname@example.org Upcoming ESBN related events 11 June 2021: Expert Panel Discussion on The Future of Sustainability Reporting This panel discussion will be the first of a webinar series covering sustainability reporting, including the harmonization of reporting standards. It will share knowledge of global climate reporting, such as the Task Force on Climate-related Financial Disclosures (TCFD), Science Based Targets initiative (SBTi), and CDP. Expert panelists from PwC, CDP, Monetary Authority of Singapore, and CSRWorks International will also share their insights on global ESG trends and green financing. The session is organized by City Developments Limited (CDL) and the Singapore Sustainability Academy, and supported by Singapore Exchange, Global Compact Network Singapore, Singapore Institute of Directors, the Centre for Governance and Sustainability at NUS Business School and the ESBN. Register here. Recently issued sustainability reports Infosys issued its ESG report for FY2021 entitled "Sharing an Equitable and Sustainable Digital Future". which also spells out its ESG Vision and Ambitions for 2030, including maintaining carbon neutrality across Scope 1, 2 and 31 emissions, maintaining 100% wastewater recycling, and ensuring zero waste3 to landfill. Infosys ESG Report 2020-21. City Developments Limited (CDL) issued its Integrated Sustainability Report 2021, "Advancing Change Resilience", communicating CDL's progress towards material Environmental, Social and Governance (ESG) goals and targets aligned with global climate goals and the UN Sustainable Development Goals. Other activities by the ESBN members Climate Action Exhibition: City Developments Limited (CDL), in partnership with NParks, is organizing a climate action exhibition in Singapore. Entitled "Change the Present, Save the Future.", the exhibition will be held at CDL Green Gallery@Singapore Botanic Gardens from May to end-November 2021. The exhibition will reach out to a broad audience of visitors from all sectors, including international visitors attending the upcoming World Cities Summit in June, the World Economic Forum Special Annual Meeting 2 in August, International Built Environment Week in September, and other prominent business conferences and meetings in Singapore. Recently concluded 1-4 June 2021: UN Responsible Business and Human Rights Forum: The New Decade of Action? Held annually since 2016, the 2021 Forum explored how existing vulnerabilities have been exposed and amplified by the ongoing pandemic and discuss the need to use the crisis as an opportunity to drive change for improving responsible business practices and human rights in the region. ESBN members who spoke in the event included: Asif Ibrahim, Vice-Chair Newage Group of Industries, and Director Bangladesh Garment Manufacturers and Exporters Association; Krittika Wuttipat Aree, Executive VicePresident for Strategic Initiatives, Compliance and Sustainability, Li & Fung Limited; and Esther An, Chief Sustainability Officer, City Developments Limited. For more information, see: www.rbhrforum.com and for recordings, see: https://m.youtube.com/channel/UC0b7SVzoWSpXtOQW2IysQqA 19 May 2021: Climate Neutral Now – Regional Launch Webinar The Climate Neutral Now Initiative is one of several initiatives launched by the UNFCCC secretariat to increase climate action by engaging non-Party stakeholders (sub-national governments, companies, organizations, individuals). Created in 2015, the revamped initiative will be launched at this regional webinar. Bose Varghese, Head, Green Initiatives, Infosys (ESBN member) participated on the policy roundtable to discuss enabling policies needed to support private sector in reaching climate neutrality. The recording of the event is available at: https://www.youtube.com/watch?v=KPQooHwwcXI ESCAP activities and events 8 June 2021: World Oceans Day – launch of eLearning course on Cities and Marine Plastic Pollution: Building a Circular Economy ESCAP's Closing the Loop project is using innovative technologies such as AI, machine learning and satellites to combat plastic waste in urban waterways. By measuring and monitoring marine plastic litter, Closing the Loop's goal is to support the implementation of science-based action plans to end marine plastic litter. With so much learned, a new eLearning course, Cities and Marine Plastic Pollution: Building a Circular Economy, developed with partners through the project will be launched on World Oceans Day. This solution-based learning resource will give critical insights to Closing the Loop's work and how this project is achieving local, national and regional goals related to sustainable development. For more information and to register, see: https://sdghelpdesk-elearning.unescap.org/thematicarea/detail?id=24 9-10 June 2021: Regional Meeting on the "City and Transport: Safety, Efficiency, and Sustainability" The high-level meeting will exchange regional and global best practices which address sustainable urban transport systems in the context of the Sustainable Development Goals (SDGs 3, 11 and 13). https://www.unescap.org/events/2021/regional-meeting-asia-pacific-city-and-transport-safetyefficiency-and-sustainability 10 June 2021: Asia Pacific regional food systems dialogue The Asia Pacific regional food systems dialogue is being organized virtually on 10 June 2021 from 13.00 to 15.30 (BKK time, UTC +7) in preparation of the Global Food Systems Summit. It will provide insights from the national dialogues that are currently being convened on the five action tracks and identify opportunities for regional and subregional collaboration. It will also consider cross-cutting issues such as digitalization, data, urban agriculture, and women and other vulnerable groups that have emerged as priority areas for action during the recent Asia Pacific Forum on Sustainable Development. The registration will be closed on 4 June 2021 at 23.30 (BKK time, UTC +7). For more information, see:https://www.unescap.org/events/2021/asia-pacific-regional-food-systems-dialogue 15 June 2021: Addressing COVID-19 for the Environment The UN Environment Management Group, in close collaboration with UNEP, UNEP-FI, UNESCAP, UNECE, UNECA, ECLAC, ESCWA, and RCNYO, will organize a 3-part series of virtual Nexus Dialogues on Addressing COVID-19 for the Environment. The third dialogue "Regional Nexus Approaches to Building Back Better" to be held on 15 June 2021 presents case studies on "Regional Acceleration of Climate Action and Decarbonization" and exchanges surrounding nexus thinking and integrated policy-making tools. For more information, see: https://unemg.org/addressing-covid-19-for-the-environment/ To participate, please register at : https://us02web.zoom.us/webinar/register/WN_D0ZpIdP5TAqhsfNCw1GTRA. 22 June 2021: Fifth Meeting of the Infrastructure Financing and Public-Private Partnership Network of Asia and the Pacific ESCAP through its Infrastructure Financing and Public-Private Partnership Network of Asia and the Pacific in partnership with the China Public Private Partnerships Center (CPPPC) under the Ministry of Finance, and the Asian Development Bank (ADB) will host the Fifth Meeting of the Infrastructure Financing and Public-Private Partnership Network of Asia and the Pacific virtually on 22 June 2021 from 12:00 PM to 3:30 PM, Bangkok time, GMT+7. The objective of the Meeting is to bring together and engage Heads of PPP units, infrastructure financing specialists, development partners, and academic institutions to enhance knowledge and capacity of PPP units on the effective use of PPP mechanisms as well as other infrastructure financing strategies to support the pursuit of sustainable and resilient infrastructure development. For more information, see: https://www.unescap.org/events/2021/fifth-meetinginfrastructure-financing-and-public-private-partnership-network-asia-and 23 June 2021: Forum on Strengthening capacity for operationalizing sustainable transport connectivity along the China-Central Asia-West Asia Economic (CCWA) Corridor to achieve the 2030 Agenda In line with ESCAP's objective to strengthen the intra- and inter-regional transport connectivity, the secretariat is undertaking a study project on "Strengthening capacity for operationalizing sustainable transport connectivity along the China-Central Asia-West Asia Economic (CCWA) Corridor", to identify main transport routes connecting Asia and Europe through the CCWA Corridor. This Forum is organized to present study findings and discuss the way forward for the improvement of connectivity along the CCWA Corridor. For more information, see: https://www.unescap.org/events/2021/forumstrengthening-capacity-operationalizing-sustainable-transport-connectivity-0 24 June 2021: South-East Asia Policy Dialogue on Sustainable Finance: Innovating Finance for the 2030 Agenda This virtual dialogue will discuss mainstreaming the green/SDG-linked bonds in the South-East Asian region, with a focus on identifying additional needs, tools, and operational frameworks to enable enhanced and accelerated implementation of the 2030 Agenda in times of crisis. For more information: 2 https://www.unescap.org/events/2021/south-east-asia-policy-dialogue-sustainable-finance-innovatingfinance-2030-agenda 29 June 2021: Innovatea webinar: Why Social Media Based Businesses Fail to Scale? Over the past 6 months the ESCAP has partnered with Dnet Bangladesh to undertake primary research on women social media-based entrepreneurs in Bangladesh to understand why they are failing to scale. The research sheds light on the situation, challenges, and support requirements for online women entrepreneurs to start and scale their business and provides recommendations and actions to support women entrepreneurs in overcoming these challenges. This session will launch the preliminary findings of the report. The session will also engage industry leaders and Bangladesh innovators to discuss the findings and what solutions are needed to support entrepreneurs to scale-up in Bangladesh's online marketplace. Please register here. 30 June 2021: Regional Conference for Logistics Service Providers This annual Conference provides an enabling platform for freight forwarders, multimodal transport operators and logistics service providers in Asia and the Pacific to share knowledge and experience, discuss emerging issues and promote the development of their services. The Conference will be held virtually on 30 June 2021 and will review the latest developments in freight forwarding, multimodal transport and logistics services in the region, aiming to identify and promote good practices and innovative solutions to shared challenges. For more information, see: https://www.unescap.org/events/2021/regional-conference-logistics-service-providers For a short overview of ESCAP related news, please see https://www.unescap.org/news or subscribe: https://unescap.us10.list-manage.com/subscribe?u=c0fdb6e03fa08a5e575b433c0&id=e318af22fc All ESCAP upcoming events: https://www.unescap.org/events Recently published by ESCAP Blog: Why investing in women is key to achieving the Sustainable Development Goals, Kaveh Zahedi A primer on quantifying the environmental benefits of cross-border paperless trade facilitation (May 2021) The Future is Equal: Gender Equality in the Technology Industry (26 May 2021) Outward Foreign Direct Investment and Upgrading by Emerging Market Firms in Global Value Chains, Studies in Trade, Investment, and Innovation No. 94 (25 May 2021) Micro, Small and Medium-sized Enterprises' Access to Finance in Cambodia (19 May 2021) Inequality of Opportunity: Who Are Those Left Behind? Maldives and other Asia-Pacific SIDS (19 May 2021) SDG 7 Localization Affordable and Clean Energy in ASEAN cities (18 May 2021) 2 Study on Efficient Operations of International Passenger Trains along the Trans-Asian Railway Network (17 May 2021) Smart Railway Solutions for Trans-Asian Railway Network in the Times of COVID-19 Pandemic (14 May 2021) ESCAP Multi-Donor Trust Fund for Tsunami Disaster and Climate Preparedness: 2020 Annual Report (14 May 2021) Micro, Small and Medium-sized Enterprises' Access to Finance in Bangladesh (10 May 2021) The shrinking Asia-Pacific middle class: trends and impact of the COVID-19 pandemic (28 April 2021) Asia-Pacific Countries with Special Needs Development Report 2021: Strengthening the resilience of least developed countries in the wake of the coronavirus disease pandemic (27 April 2021) Water and Waste Accounts Reports (22 April 2021) Energy Transition Pathways for the 2030 Agenda SDG 7 Roadmap for Tonga (14 April 2021) Working paper series Macroeconomics: Clickhere Trade: Clickhere Please don't hesitate to get in touch with us to provide input, questions or suggestions for the monthly update: email@example.com Best regards, ESBN Secretariat
INTERNATIONAL JOURNAL OF LAW MANAGEMENT & HUMANITIES [ISSN 2581-5369] Volume 5 \| Issue 4 2022 © 2022 International Journal of Law Management & Humanities Follow this and additional works at: https://www.ijlmh.com/ Under the aegis of VidhiAagaz – Inking Your Brain (https://www.vidhiaagaz.com/) This article is brought to you for "free" and "open access" by the International Journal of Law Management & Humanities at VidhiAagaz. It has been accepted for inclusion in the International Journal of Law Management & Humanities after due review. In case of any suggestions or complaints, kindly contact firstname.lastname@example.org. To submit your Manuscript for Publication in the International Journal of Law Management & Humanities, kindly email your Manuscript to email@example.com. Arbitrability of Anti-Trust Claims: In Light of the Mitsubishi Motors Case RUKMAN BANKA 1 ABSTRACT Arbitration as an alternative dispute resolving mechanism has developed through constant restraints of judicial interventions and courtroom scepticism. The resistance to honor arbitration as an authentic procedure is prominently visible from the contrasting opinions laid down in judgements in deciding the arbitrability of any subject matter of the dispute. The law is vague on this point and the precedents have majorly added obscurity to the issue flowing from the strikingly contrasting rationale used by the Courts of law. In the landmark judgement of U.S. Supreme Court in the matter of Mitsubishi Motors Corp v. Soler Chrysler-Plymouth Inc. ("Mitsubishi-Motors Case"), the powers and benefits of arbitration were heavily emphasized while discussing the arbitrability of anti-trust claims in International Commercial Agreements and Trade. This decision of 1985 has profound impact and consequences attached to it as it widened the scope of arbitration while analyzing the long continuing parochial lens used by judiciary which has led to the frustration of objects and purpose of arbitration mechanism. This paper aims to navigate around the change brought in the position of arbitrability of anti-trust claims before and after the Supreme Court decision in the case mentioned. The paper also makes a comparison of the outlook followed in other jurisdictions such as UK, India and Singapore. And ultimately, it attempts to analyze the significance and impact of mandatory laws and its consequences on international commercial arbitration. Keywords: arbitrability, anti-trust claims, international commercial arbitration, Mitsubishi Motors, public policy, mandatory laws. I. INTRODUCTION Anti-trust laws and regulations aim at curbing any enterprise to gain monopoly power in the market and maintain competition among the companies to prevent market failure. Arbitrability of antitrust claims is a complex issue as it involves the commercial market and public at large raising questions against the merit of an arbitral award or the jurisdiction of arbitration on such matters. The public nature of antitrust disputes coupled with the private and confidential nature of international commercial arbitration creates the conflict between the two. Anti-trust laws governing the market in the US, such as the Sherman Act of 1890, Clayton Antitrust Act of 1914, allows private parties to sue for the actions in violation of such laws and seek treble damages for harm caused by anti-competitive conduct. Further, a signatory to the United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Award is mandated to honor and recognize an international arbitration agreement. However, this is subject to limitation of setting aside an arbitral award if it is found to be in conflict with the public/domestic laws and policies of the country, a policy often wielded against arbitration. For such reasons, it becomes vital to discuss the arbitrability of anti-trust claims by the virtue of its unique nature to understand the nitty-gritty behind the development of law around it over the years. II. PRE-MITSUBISHI MOTORS CASE The hostility of Courts, irrespective of the jurisdiction/country, has been a fundamental reality for the prime hindrance behind the development of resolving disputes through arbitration since its very inception. The enactment of the Federal Arbitration Act, 1925 tried to put an end to such hostility by laying down a core legal framework of principles applicable to the matters of arbitration leaving little to no ground lending arbitrary powers in the Court of Law, making it powerful and progressive legal tool. However, it gave birth to plethora of ground on which an arbitration agreement can be deemed to be invalid or an arbitral award to be set aside, ultimately thwarting any potential attempt made towards its development. The doubts against arbitration were resolved by putting various legislations into place through various decades. Ratifying the New York Convention was a significant step leading to a crucial shift towards the proarbitration mandate as it allowed recognition of foreign arbitral awards and arbitration agreements. However, in matters of domestic claims, the Courts often played their upper hand in the matters and continued to show their strong disapproval in involving international commercial arbitration for resolving matters which involve the domestic public. Before the Mitsubishi Motors Case, the Courts of United States examined the arbitrability of anti-trust claims in American Safety Equipment Corp v. J.P. Maguire &Co. 2 in 1968, which heavily influenced the dissenting opinion of Stevens J. in the Mitsubishi Motors Case. III. POST-MITSUBISHI MOTORS CASE The arguments used by the United States Court of Appeals for the First Circuit, before the final appeal was made to the Supreme Court, quite represent the stereotypical hesitance faced by the 2 American Safety Equipment Corp v. J.P. Maguire &Co., 391 F.2d 821 (2d Cir. 1968). Courts in referring a matter for arbitration and has been argued against by Justice Blackmun in his delivery of the opinion of the Court. The Court first scrutinized the intention of Congress in enacting the Sherman Act, 1890 and Clayton Antitrust Act, 1914 which permits any third party to initiate proceeding against the party in default of such statutes through anti-competitive actions leading to concentration of the free market. This suggests that the intent was to promote free economic activity essential to the public interest, the responsibility of safeguarding which has been delegated upon both, the government and the public. Second, it was stated that the contracts out of which antitrust claims arise are often 'contracts of adhesion', that is, there is power asymmetry between the parties to the contract causing undue influence of one over the other and hence, the forum selection in such cases cannot be entirely valid. Third, examining and solving disputes of antitrust claims require legal expertise in the field which arbitrators are assumed to lack as their primary focus lies in understanding the intentions of the party and coming to a common consensus. That is, the application and interpretation of law in solving disputes does not lie within the area of their expertise and training. And lastly, arbitrators of foreign origin, even if chosen from the business community, possess no proper knowledge of laws in the United States, that is, domestic laws. The Court held a decision against arbitrability of antitrust claims premised on these reasoning and held that public interest is so inherent to the antitrust disputes that it renders private arbitration inappropriate in hearing the matter. This case expanded mostly on the argument of 'inappropriate nature of arbitration' in such matters. The US Supreme Court looks into all the principle stated above which are used as grounds against arbitration in this case. The majority decided that international commercial arbitration agreement must be enforced in order to 'honor foreign arbitral awards' as well as 'promote international comity, commerce and trade' especially so because the dispute is not wholly domestic. The Court examined the doctrines laid down in the case of American Safety one-by-one. First, while discussing the 'contracts of adhesion', the Court found that it is obvious that a recalcitrant party would attack at the validity of an arbitration agreement to avoid undergoing the process by proving fraudulent measures adopted, presence of undue influence or any such reason, which can result in an unfair trial. However, no such grounds were used to prove the invalidity of the arbitration agreement and argument was rather raised by the Court of Appeals out of the blue to prove that the agreement of forum selection was held invalid on the of the asymmetric power structure in an antitrust dispute. Second, to the argument that the complexity of antitrust claims lies outside of the purview of arbitrators, the Court replied that a potential complexity of the dispute shouldn't become a ground for warding off arbitration as "adaptability and access to expertise are hallmarks of arbitration" 3 and complexity, again, is a subjective threshold to associate arbitrability of matters with. In fact, the Court in American Safety do not fully subscribe to this idea as they held in favor of arbitration for arbitration agreement decided post dispute. The conflict between the opinion and final judgement of the case used by them as precedent on the matter makes their reasoning tainted. Third, the Court also rejected the claim of inadequate competency of arbitrators panel consisting of experts from foreign community with no knowledge or exposure to US antitrust laws. It was argued that such panel is decided with the consent and assistance of the parties and such people appointed are experts from the legal and business community. Along with this, the Courts will also have the opportunity to review the proper application of antitrust laws by such foreign arbitrators during the award enforcement stage. The remedy of treble-damages provided to the injured party for the violation of antitrust law under Sherman Act does not require prior judicial approval and is completely up to the individual parties who wish to seek the remedy. Considering the possibility of uncertainty in the international transactions, the parties can mutually agree beforehand the mechanism to be followed and the remedies to be granted. Mere doubt or assumption that the arbitration will not confer adequate remedies and follow proper mechanism cannot be a ground to ward it off. The Supreme Court came to these decisions and rationale by relying on Alberto Culver Co. v. Scherk 4 and The Bremen v. Zapata Off-Shore Co. 5 From this case the Court also drew a very important pro-arbitration rationale stating "concerns of international comity, respect for the capacities of foreign and transnational tribunals, and sensitivity to the need of the international commercial system for predictability in the resolution of disputes require that we enforce the parties' agreement, even assuming that a contrary result would be forthcoming in a domestic context". However, the Court also mentioned that such rationale, if put to use in all kinds of matters, will lead to out-of-proportion results and hence, in matters where the parties decide to go for arbitration after the dispute arises, the Court must not bar them to resort to litigation. The element of 'intent' is the key here, as was followed in the case of Power Replacements, Inc. v. Air Preheater Co. 6 , where the parties came to a settlement only with the intent to solve antitrust disputes in the future by arbitration. The Court held that many a times, the parties do not apprehend the gravity of the kind of dispute that may arise in the future and only enter into an arbitration agreement with the intent of averting minor disagreements and disputes arising out 3 supra, note 2 at 633. 4 Alberto Culver Co. v. Scherk, 417 U.S. 506 (1974). 5 The Bremen v. Zapata Off-Shore Co., 407 U.S. 1, 15 (1972). 6 Power Replacements, Inc. v. Air Preheater Co 426, F.2d 980 (9th Cir. 1970). of the contract and not matters such as antitrust claims which involves illegal harnessing of power and attracts heavy penalty. For reasons such as these, it becomes important to assess the intention of the parties to decide upon the scope of arbitration clauses. Another important ground for non-arbitrability is lack of judicial review to ensure proper interpretation of antitrust laws due to the confidential nature of arbitration proceedings. The Courts discussed whether antitrust laws allow arbitration as a method for solving such disputes without failing the idea of economic freedom as the laws allows space for public involvement and international commercial arbitration is a private process. This was discussed in another case of Wilko v. Swan 7 , where the Supreme Court added to the layer of restrictions by stating that besides the grounds laid down in the statutes for setting aside an arbitral award if it can also be set aside if it shows 'manifest disregard for law'. These remarks again imply towards the assumed incapability of an arbitrating panel and its independent existence, thus allowing the progress of arbitration only under aegis of judiciary. The notable decision of this case is celebrated for its liberal and generous interpretation of arbitration clauses complimenting the federal antitrust laws. It sets a precedent for future interpretations to cover within its ambit a wide scope of disputes unless there is express and explicit exclusion of matters under statutory laws from arbitrating and not otherwise, as the case was before the Mitsubishi Motors Case. Hence, the conflicting opinions of setting aside arbitration procedures for resolving antitrust disputes was finally settled in favor of arbitration. But once the issue of arbitrability of anti-trust claim was resolved through the judgement, the alternative weapons of 'public policy' and 'mandatory laws' were used to defeat private arbitration in matters of anti-trust claims. IV. IMPACT OF MANDATORY LAWS ON INTERNATIONAL COMMERCIAL ARBITRATION The most important question, which continue to be argued upon, of whether international commercial arbitration requires mandatory laws or not was provoked post-Mitsubishi judgement, which was held to be an 'under-enforcement' of mandatory laws. Mandatory rules are laws that purport to apply irrespective of a contract's proper law, or the procedural law selected by the parties. 8 The mandatory laws are decided by the parties to the conflict. This party autonomy does not come without its limitations and impact on International Commercial 7 Wilko v. Swan, 346 U.S. 427 (1953). 8 Pierre Mayer, Mandatory Rules of Law in International Arbitration, 2 Arbitration International 274, 275 (1986). Arbitration where it plays a controversial role by complicating and mixing the intent of the parties and interest of the states and public policies. The necessity to adhere to this balance leads to the success of this mechanism, which when failed, can lead to setting aside of the arbitral award. The threshold, with time, has not only become more complicated, vague and arbitrary, it also has also set the bar of challenging any arbitral award that most of them are likely to succeed if they don't show a consistent outcome. This, instead of minimizing judicial intervention, leads to maximum interference in the procedure. The reason for the complexity of this issue is that mandatory rules leave arbitrators tangled up in arbitration's identity crisis. 9 This crisis is not confined to party autonomy and mandatory rules but also comes from the doubts and bitterness of judiciary towards arbitration. While deciding upon a matter, the interest of state and parties are often in conflict with the mandatory rules and until the priority is identified of individual interests involved in an arbitration procedure, the tension will remain attached to it. The probable way of resolving this issue is by giving wider discretionary powers to arbitrators in order to determine a definitive method of deciding the application of mandatory rules. V. COMPARISON WITH OTHER COMMON LAW JURISIDICTIONS (A) Europe: The extension of the rationale applied in Mitsubishi Motors Case was seen in the case of Eco Swiss China Time Ltd. v. Benetton Int'l NV 10 , where the European Court of Justice ("ECJ") indirectly delved upon the arbitrability of matters which came within the ambit of EU Competition. In brief, a licensing agreement concluded by the Dutch company Benetton (the licensor) with the Hong Kong company Eco Swiss and the American company Bulova Watch Company Inc., granted Eco Swiss the right to produce watches and clocks bearing the words 'Benetton by Bulova', which could then be sold by Eco Swiss and Bulova. 11 This agreement singed by the three parties also contained the arbitration clause which laid down that any dispute arising out of this agreement would be resolved by means of arbitration. The difference between the Mitsubishi Motors Case and Eco Swiss is that in the case of latter, the matter was taken to arbitral tribunal, and it was only after the award was granted, wherein Benetton was to compensate Eco Swiss and Bulova for damages caused, that Benetton took the dispute to Dutch Court to get the arbitral award annulled on the grounds of violation of public policy laid 9 Andrew Barraclough & Jeff Waincymer, Mandatory Rules of Law in International Commercial Arbitration, 6 Melbourne J. INT'L L., 39 (2005). 10 Eco Swiss China Time Ltd. v. Benetton Int'l NV, [1999] ECR I-3055. 11 Vera Korzun, Arbitrating Antitrust Claims: From Suspicion to Trust, 48 N.Y.U..J. INT'L 22. down in the EU Competition Laws. The rationale laid down by ECJ in this case was similar to Mitsubishi Motors Case, however, in Eco Swiss the Court laid down a clear judgement that if there is an arbitration agreement between the parties which valid and enforceable, such dispute must go for arbitration where the EU Competition Laws can be validly applied. More explicitly, national court decisions in France, Switzerland, Germany, Italy, Sweden, Spain and England have repeatedly held that EU and Member State Competition claims may validly and enforceably be the subject of an international arbitration agreement. 12 There has a strong emphasis on following arbitration as a dispute mechanism for EU Competition claims but the award rendered thereof will be subject to judicial review. Despite the progressive nature of the judgements in the EU member states in favor of arbitration, there are a few risks associated in the areas where the law is not clear. It becomes comparatively easier for the arbitrators to apply the substantive EU Competitive laws in case of a dispute between EU member states where such laws have domestic application. However, the situation is unclear when the dispute before the arbitrator is governed by a law of a nonmember state, or when it comes to the question of whether the arbitrator is required to apply EC competition law ex officio. Hence, it implies that the arbitrators cannot neglect the application of mandatory laws of the country where the award will be enforced as well the laws of the country where the seat of arbitration is and must also maintain a balance in the application of the two. The line between the supervisory role of the Courts and reviewing powers of the Court has been blurred with time so much so that intervention and setting aside procedure has become a common next step after the arbitral award has been granted. (B) India: India has seen growth in the use of arbitration as a procedural mechanism only in the recent years and even though the development is slow-paced, India is taking long-strides towards it in order to minimize judicial intervention and promote speedy disposal of disputes. Discussing arbitrability of anti-trust claims is important because if an arbitral tribunal adjudicates upon a matter which do not fall within the ambit of disputes which are arbitrable, such award can be set aside under section 34 & 48 of the Arbitration & Conciliation Act,1996 and held null and void. There have been numerous discussions and case laws dealing with the issue of arbitrability of any dispute, but the answer remains unclear and there is no accepted and fixed parlance to adjudicate a dispute of arbitrability and had led to conflicting and opposing opinions across the country. The arbitrability of anti-trust claims have not examined by the Courts in 12 Gary Born, International Commercial Arbitration, 3rd edn, Kluwer Law International, 16 (2021). India and the only case which slightly touched upon the matter is Union of India v. Commission of India 13 where the Railway Board of India challenged the jurisdiction of Competition Commission of India when there was an arbitration agreement between the parties. The public policy/public interest argument is used overwhelmingly to avoid arbitration in India. In this case, the Delhi Court denied arbitration of an anti-trust claim on the grounds that a dispute maintainable before the Competition Commission of India cannot be referred for arbitration on the sole reason that there exists an arbitration clause between the parties as these are restricted to clauses of the contract and cannot conduct the investigation inherently necessary for antitrust claims. VI. CONCLUSION One cannot neglect the incongruous nature and object of competition law and arbitration. Competition law is a community law and arbitration follow private enforcement. This conflict is likely to raise questions on the arbitrability of antitrust claims always with equal number of concurring and dissenting opinions. Despite all kinds of restrictive interpretation of law and rules, the scope and application of International Commercial Arbitration is increasing as it now can also include antitrust claims which can be privately enforced even though there is an underlying public concern attached to it. With minimal judicial intervention, arbitration will gain trust of the public and that will give it the autonomy to function separately as an extrajudicial dispute resolution mechanism without any judicial surveillance. ***** 13 Union of India v. Commission of India, A.I.R. 2012 Del 66 (India).
Please review program specific solicitation for compliance and completeness. Guidelines in the solicitation may supplement or deviate from guidelines below. \| \| GENERAL INFORMATION \| \|---\|---\| \| UNT Internal deadline \| \| \| Grant Application Guide \| \| \| eRA Commons Registration \| \| \| Budget Restrictions \| \| \| Background \| \| \| \| FORMATTING GUIDELINES \| \|---\|---\| \| Document formatting \| \| \| Font type/size \| \| \| Line spacing/Type Density \| \| \| Page size \| \| \| Margins \| \| \| URLs \| \| \| GRAMS 424 PROPOSAL DOCUMENTS \| \| \| \|---\|---\|---\| \| A. \| SF424 RR (Proposal Cover Page) – fillable \| \| \| Complete fields, including type of submission, proposed project dates (start date is typically at least 9 months after submission), project title (200 character limit), etc. GRAMS will auto-populate some of the sections for you. The individual candidate is considered the PI for career development award programs. \| \| \| \| 1. \| \| Pre-application (not typically used for NIH or other PHS agencies) \| \| 2. \| \| Cover Letter – Required for mentored CDA; Encouraged for Non-mentored CDA \| Letter should contain a list of referees (including name, departmental affiliation, and institution). See NIH's Reference Letters page. Cover letter is for internal use only and not shared with peer reviewers. Ensure it is attached in the appropriate location to ensure it is only made available to appropriate staff. Letter should be addressed to the Division of Receipt and Referral, and should reference the Application Title and the Funding Opportunity (PA or RFA) title of the NIH initiative. B. RR Performance Sites – fillable Information on Primary location and any additional sites at which the research and career development plans will be conducted. Add additional sites as necessary C. RR Other Project Information SF424 Guide, G.220 1-6. Complete RR Other Project Information section containing questions about this project. 7. Project Summary/Abstract – 30 lines of text maximum State the application’s broad, long-term objectives and specific aims, making reference to the health relatedness of the project Describe the research design and methods for achieving the stated goals Describe the candidate’s career development plan, career goals, and the environment in which the career development will take place. Do not include proprietary information; if funded the project summary will become public information 8. Project Narrative – 3 sentences, max Describe the relevance of this research to public health If funded, this public health relevance statement will be combined with the Project Summary and will become public information. 9. Bibliography & References Cited – no page limit Include any references cited in the PHS 398 Career Development Supplemental Form and in the PHS Human Subjects and Clinical Trials Information Form. When citing articles that fall under the Public Access Policy, were authored or co-authored by the applicant and arose from NIH support, provide the NIH Manuscript Submission reference number (e.g., NIHMS97531) or the PubMed Central (PMC) reference number (e.g., PMCID234567) for each article. Citations that are not covered by the Public Access Policy, but are publicly available in a free, online format may include URLs or PubMed ID (PMID) numbers along with the full reference. Active hyperlinks are not allowed. 10. Facilities & Other Resources – no page limit Describe in detail, institutional facilities and resources available to the candidate. Identify how the scientific environment in which the research will be done contributes to the probability of success (i.e.: institutional support, physical resources, intellectual rapport) Discuss ways in which the proposed studies will benefit from unique features of the scientific environment or from unique subject populations Describe any special facilities used for working with biohazards and any other potentially dangerous substances. 11. Equipment – no page limit List major items of equipment already available for this project and if appropriate, identify location and pertinent capabilities 12. Other Attachments – if applicable Attach additional files only in accordance with the FOA and/or agency-specific instructions (i.e.: Foreign Justification). D. RR Senior/Key Personnel The candidate should be considered the PD/PI. The eRA Commons Profile associated with the username entered in the Credential field must include an ORICID ID linked to their profile. Mentored CDAs require a primary mentor that should be identified as senior/key personnel, even if no measurable effort is committed to the proposed project. Select "Other Professional" as the Project Role and provide the text "Mentor" or "Co-Mentor" as applicable in the category field. Multiple PD/PI projects are not applicable to Career Development Award (CDA) applications Co-Mentors may also be included, and they should also be identified as Senior/Key Personnel. 1. Biographical Sketch – 5 page limit each In addition to involving mentors, applications may also involve collaborators, consultants, & advisory committee members. These individuals are usually not considered senior/key personnel unless they contribute in a substantive, meaningful way to the project. In determining which individuals to identify as "Senior/Key", applicants may wish to keep in mind that those listed as senior/key personnel on the application should not be asked to provide reference letters, as such letters are expected to be from individuals not directly involved in the application. For more information, see NIH's Reference Letters page. Must be included for all senior/key personnel and other significant contributors (OSCs) 2. Current & Pending Support – 3 page limit each Use NIH biosketch format – https://grants.nih.gov/grants/forms/biosketch.htm - note additional instructions for postdoctoral and/or CDA applicants For mentored CDA applications: Must be included for each mentor/co-mentor(s) - Current and Pending Support Format Page Information on current and pending research support relevant to the candidate's research plan should be provided. See SF424 Guide, G.240 for content requirement Does not need to be included for PI (candidate). E. RR Budget – SF424 Guide, G.300 Refer to your solicitation for information regarding allowable costs for the candidate and any allowable research development or other costs. Amounts vary by awarding components. The RR Budget form is required for all career development applications. Typical minimum effort for the candidate is 75% or 9 Person Months. Base salary, person months and requested salary/fringe should be included in the Senior/Key Person section of the RR Budget Form. Indirect Cost rate is limited to 8% MTDC for career development award applications The total amount of "Research Development Support" being requested may be included on the "Material and Supplies" line of the RR Budget Form and all other budget field sections can be left blank. For Transitional Career Award applications (e.g., K22, K99/R00), follow instructions in your solicitation Provide detailed description and justification for specified items within the Research Development Support costs (e.g., all equipment, supplies, and other personnel that will be used to help achieve the career development and research objectives of this award). Equipment quotes may be included here, if applicable. 1. Budget Justification - required 2. RR Subaward Budget (if applicable) Must be included for each subaward Includes budget detail on subaward Subaward Budget Justification must also be included for each subaward budget Complete this form after questions on the RR Other Project Information section are completed. Required to be completed even if no human subjects are involved. F. PHS Human Subjects and Clinical Trials Information Answer the question "Does the proposed research in the application involve human specimens and/or data? If you answer "yes", provide explanation. Refer to SF424 Guide G.500, Human Specimens and/or Data for additional information and content requirements If you answered “No” to “Are Human Subjects Involved?”, skip the rest of the form If you answered “Yes” to “Are Human Subjects Involved?”, proceed in completing the form as required and attach all required documents. Refer to SF424 Guide, G.500 when completing this section and the separate checklist for HSCTI content and documents . For CDA applicants proposing an independent clinical trial, follow standard instructions. For CDA applicants who are proposing to gain clinical trial research experience under a mentor’s supervision (i.e.: NOT an independent clinical trial), follow the standard instructions but follow relevant Additional Instructions for Career Development where given in the SF424 Guide. Ensure you are applying to a FOA that does NOT allow independent clinical trials but does encourage clinical trial research experience. G. PHS 398 Cover Page Supplement Complete RR Cover Page Supplement section containing questions about this project. If needed, refer to SF424 Guide, G.210 for additional guidance. Skip "Inventions and Patents" & "Change of Investigator" section. Not applicable to CDAs. H. PHS 398 Career Development Award Supplemental Form Upload documents listed below as applicable 1. Introduction (for resubmissions/revisions only) – 1 page limit Summarize substantial additions, deletions and changes to application Respond to issues and criticism raised in the summary statement Candidate Section (#2) 2. Candidate Information and Goals for Career Development – 12 page limit 12 page limit applies to this document in combination with Research Strategy document Refer to the SF424 Guide, G.410, Section 2 and solicitation for content requirements Should contain the below 3 sections with these headings and in the order below. o Candidate’s Background o Career Goals and Objectives o Candidate’s Plan for Career Development/Training Activities During Award Period Research Plan Section (#3-6) 3. Specific Aims – 1 page limit State concisely the goals of the research and summarize the expected outcome(s), including the impact that the results of the proposed research will exert on the research field(s) involved. List succinctly the specific objectives of the research proposed 4. Research Strategy – see “#2 Candidate Information and Goals for Career Development” above Organize the Research Strategy in the specified order and use instructions provided in the SF424 Guide, G.410, Section 4 unless otherwise specified in your specific solicitation. o Significance o Innovation o Approach For Mentored CDA applications: Explain the relationship between the candidate’s research on the CDA and the mentor’s ongoing research programs. For Non-Mentored CDA applications: include a brief description of currently funded research, along with a more extensive description of any new research to be supported by the CDA. 5. Progress Report Publication List (for renewal applications only) See SF424 Guide, G.410, Section 5 for full details on requirements. 6. Training in the Responsible Conduct of Research – 1 page limit (3 page limit for K12 & KL2) Mentored CDA applications: should describe a plan to acquire instruction in the RCR Non-mentored CDA applications: should describe a plan to obtain or provide instruction in RCR, depending on your level of experience with RCR. Refer to SF424 Guide, G.410, Section 6 for content requirements Must address the five required components outlined in the NIH Policy on Instruction in the Responsible Conduct of Research (RCR), as more fully described in the NIH Grants Policy Statement, Section 184.108.40.206: Responsible Conduct of Research Other Candidate Information Section (#7) 7. Candidate’s Plan to Provide Mentoring – 6 page limit Include only when required by the solicitation Refer to SF424 Guide, G.410, Section 7 for content requirements Mentor, Co-Mentor, Consultant, Collaborators Section (#8-9) 8. Plans and Statements of Mentor and Co-Mentor(s) – 6 page limit Required for mentored CDA applications Mentor and Co-mentor(s) must each document their willingness to participate in the project, and explain how they will contribute to the development of the candidate’s research career. Review SF424 Guide, G.410, Section 8 for what should be included in statement(s). 9. Letters of Support from Collaborators, Contributors, and Consultants – 6 page limit Letters of Support are not Reference Letters, which are required for some applications Upload all letters as a single PDF If any collaborators, consultants, or advisors are expected to contribute to the scientific development or execution of the CDA application’s proposed project, attach letters of support from those individuals here, describing their anticipated role and contribution. Letters from consultants should include rate/charges for consulting services Mentored CDA applications: Should identify collaborators, contributors, and consultants involved with the proposed research and career development program, and not already included in the “Plans and Statements of Mentor and Co-Mentor(s)” section. Letter should briefly describe their anticipated contributions and document their role and willingness to participate in the project. The letters should also briefly describe research materials, data, guidance, or advice each person will provide. Non-mentored CDA applications: Should include letters from collaborators, consultants, and contributors. Letters should list proposed roles and document their willingness to participate in the project. The letters should also briefly describe research materials, data, guidance, or advice each person will provide. Environment and Institution Commitment to Candidate Section (#10-12) 10. Description of Institutional Environment– 1 page limit Refer to SF424 Guide, G.410, Section 10 for content requirements. 11. Institutional Commitment to Candidate’s Research Career Development – 1 page limit Document on institutional letterhead that describes its commitment to the candidate and their career development. Refer to SF424 Guide, G.410, Section 11 for detailed information that is to be provided in this document and appropriate signature requirements. 12. Description of Candidat e ’ s Contribution to Program Goals Required only for Applicants to diversity-related FOAs. All other CDA applicants should skip this section. Sponsoring Institution must provide document on institutional letterhead that explains how the candidate’s participation will further the goals of the career development program to promote diversity in health-related research. The letter should avoid revealing sensitive personally identifiable information, such as the candidate’s specific racial/ethnic background or type of disability. Must be signed by an institutional official. In most cases, this will be the dean or chairman of the department. Signature must appear over the signer's name and title at the end of the statement Other Research Plan Sections (#13-18) 13. Vertebrate Animals (if applicable) – no page limit Required if you answered “Yes” to vertebrate animal use in the RR Other Project Information section. Refer to the SF424 Guide, G.410, Section 13 for content requirements. 14. Select Agent Research – no page limit Required if your proposed activities involve the use of select agents at any time during the proposed project period, either at the applicant organization or at any performance site. If activities involve a select agent that which have been excluded from the list per 42 CFR 73.3, use this attachment to identify the strain(s) of the select agent that will be used and note that it has been excluded from this list. Refer to the SF424 Guide, G.410, Section 14 for document content requirements 15. Consortium/Contractual Arrangements – no page limit Required if your budget includes consortium/contracts Programmatic, fiscal, and administrative arrangements between the applicant organization and consortium organization(s) should be explained. 16. Resource Sharing – no page limit Individuals are required to comply with the instructions for the Resource Sharing Plans (Sharing Model Organisms) as provided in the SF424 Guide, G.410, Section 16 All applications where the development of model organisms is anticipated are expected to include a description of a specific plan for sharing and distributing unique model organisms or state why such sharing is restricted or not possible 17. Other Plan(s) – 2 page limit (recommended) Applicants proposing to conduct research that will generate scientific data are subject to the NIH Data Management and Sharing (DMS) Policy and must attach a DMS Plan. The NIH Genomic Data Sharing Policy expects applicants seeking funding for research that generates large-scale human or non-human genomic data to provide a plan for sharing of these data as part of their DMS Plan. Sample DMS Plan format can be found on the Data Management and Sharing Plan Format Page. Refer to SF424 Guide, G.410, Section 17 for full guidance. 18. Authentication of Key Biological and/or Chemical Resources – 1 page limit suggested If applicable to the proposed science, briefly describe methods to ensure the identity and validity of key biological and/or chemical resources used in the proposed studies 19. Appendices (if applicable) – 10 PDF attachments max Review your solicitation for special appendix instructions If more than 10 appendix attachments are needed, combine remaining into attachment #10 File names should be descriptive of content Summary sheet is encouraged to be included in first appendix attachment summarizing items included in the Appendix. Review SF424 Guide, G.410, Section 19 for allowable appendix material (i.e., blank data collection forms, blank informed consent forms) 20. Citizenship Answer citizenship question(s) Note: K99/R00 applicants on temporary visas should document in the application that their visa will allow him/her to remain in the U.S. long enough to complete the phase of the award covered by the application. I. PHS Assignment Request - optional Allows selection of application assignment and review requests to the Division of Receipt and Referral (DRR) and to Scientific Review Officers (SROs). Also allows for identification of specific individuals who should not review your application and up to 5 types of expertise needed for the review of your application
EARLY EXPERIMENTAL RESULTS OF THROMBOLYSIS USING CONTROLLED RELEASE OF TISSUE PLASMINOGEN ACTIVATOR ENCAPSULATED BY PLGA/CS NANOPARTICLES DELIVERED BY PULSE 532 nm LASER M. MAHMOODI a,b , M. E. KHOSROSHAHI a* , F. ATYABI c b Islamic Azad University of Yazd, Faculty of Eng., Material Group, Yazd, PO Box 89195/155 Iran aLaser and Nanobiophotonics Lab, Biomaterial Group, Faculty of Biomedical Engineering, AmirkabirUniversity of Technology, Tehran, Iran c Novel Drug Delivery Systems Lab, Faculty of Pharmacy, Medical Sciences, University of Tehran, PO Box 14155-6451, Iran The purpose of this study is to prepare cationic nanoparticles (NPs) by coating chitosan (CS) on the surface of PLGA NPs and evaluate the possibility of laser thrombolysis and photomechanical drug delivery in a blood clot using pulse 532 nm laser. In vitro tPA release showed a sustained release profile for three days. The mean particle size and encapsulation efficiency of tPA NPs were in the range of 280-360 nm and 46.7%±1.56, 50.8%±1.09, respectively. The encapsulation efficiency and the particles size were increased as a result of coating with CS. The release kinetic was evaluated by fitting the experimental data to two standard release equations. The results showed that the PLGA/CS NPs maintain the highest weight percentages of dissolved clot. Also, the thrombolysis process can be enhanced by delivering tPA into clot during laser ablation based on the photomechanical effect due to optical cavitation bubbles. Therefore, our studies could offer an alternative for currently existing method for acute myocardial infarction. (Received March 14, 2011; Accepted May 3, 2011) Keywords: Laser thrombolysis; Frequency doubled Nd:YAG; PLGA/CS Nanoparticles, Tissue Plasminogen Activator; Drug delivery 1. Introduction Drug delivery systems are an area of study in which researchers from almost every scientific discipline can make a significant contribution [1]. Understanding the fate of drugs inside the human body is a high standard classical endeavor, where basic and mathematical analysis can be used to achieve an important practical end. No doubt the effectiveness of drug therapy is closely related to biophysics and physiology of drug movement through tissue. Therefore, drug delivery system requires an understanding of the characteristics of the system, the molecular mechanisms of drug transport and elimination, particularly at the site of delivery. In the last decade DDS have received much attention since they can significantly improve the therapeutic effects of the drug while minimizing its side effects. In chemical methods, cationic lipids, polymers and liposomes can be used as a drug carrier [2,3] while physical methods such as high voltage electric pulse [4], CW ultrasound [5], extra corporeal shock wave [6,7], laser induced shock wave [8] have been used as a driving force for drug delivery. Laser thrombolysis is an interventional procedure to remove clot in occluded arteries using laser energy. It offers cost, recovery time, and safety advantages over bypass surgery, in which surgeons must replace arteries but laser thrombolysis are limited because they cannot completely clear thrombotic occlusions in arteries, typically leaving residual thrombus on the walls of the artery. A laser system capable of selectively targeting the clot is therefore desirable. This capability is offered by lasers emitting in the ultraviolet and visible regions, where the absorption by clot is much higher than that by artery. The principal chromophore of clot in the visible waveband is hemoglobin present in the red blood cells. Since higher absorption coefficients require less energy per unit area to achieve ablation, threshold for artery is higher than that for clot. Pulsed lasers operating in this waveband at radiant exposures between the thresholds for artery and clot can therefore selectively remove clot [9]. Photomechanical drug delivery is a technique for localized drug delivery using laser-induced hydrodynamic pressure following cavitation bubble expansion and collapse. Therefore, using photomechanical drug delivery to enhance laser thrombolysis by delivering tPA into clot [10]. Pharmacology reperfusion therapy for acute myocardial infarction (AMI) and ischemic stroke characterized by ST-elevation in the electrocardiogram was incorporated into the armamentarium of clinicians over 18 years ago and has had an extraordinarily beneficial impact on outcome. A new tactic is to employ encapsulated fibrinolytic agents, whereby the lytic compound is sequestered in polymer microcapsules. Encapsulation has important effects, including acting as a shield to protect the drug from inactivation and increasing its half-life. Also, higher drug circulation in time allows the administration of a lower dosage, with decreased probability of side-effects. In addition, encapsulation may help to avoid bleeding complication by maintaining fibrinogen levels [17-20]. CS is an amino poly saccharide (poly 1,4-D-glucoamine) coated NPs have been fabricated with muco-adhesion and enhanced permeability properties for nasal epithelium application [11]. CS is biocompatible, biodegradable and non-toxic polymer. Furthermore, CS promotes the enhancement of drug transport across the cell membrane [12] and has been extensively applied in drug delivery systems and tissue engineering [13-15]. Since, these NPs exhibit a positive potential in PBS solution due to protonization of its amine groups, and have been applied to deliver proteins or DNA [13,14]. Therefore, they may be preferentially chosen as potentially safe and useful cations carriers for gene delivery [16]. CS is a weak base and is insoluble in water and organic solvents, however, it is soluble in dilute aqueous acidic solution with pH<6.5. Particle size, density, viscosity, degree of deacetylation, and molecular weight are important characteristics of CS which influence the properties of pharmaceutical formulations based on CS. Plasminogen activators (PAs) such as streptokinase (SK), urokinase, tPA, and genetically engineered one- and two- chain versions of tPA and urokinase have been administered effectively by intravenous infusion over a wide range of dosages. All of these agents show similar incidences and rates of reperfusion and problem with bleeding complications [21,22]. tPA is a protein involved in the breakdown of blood clots. Specifically, it is a serine protease found on endothelial cells, the cells that line the blood vessels. As an enzyme, it catalyzes the conversion of plasminogen to plasmin, the major enzyme responsible for clot breakdown. Because it works on the clotting system, tPA is used in clinical medicine to treat only embolic or thrombolytic stroke. Its use is contraindicated in hemorrhagic stroke and head trauma. It may be manufactured by using recombinant biotechnology techniques. tPA created in this way may be referred to as recombinant tissue plasimogen activator or rtPA. It is used in diseases where blood clot is the prime issue, such as pulmonary embolism, myocardial infarction and stroke. The clinical benefits of administering PAs for thrombolytic therapy may be markedly improved by developing new methods to promote clot lysis with reduced side effects. In this regard, a drug delivery strategy, such as encapsulating PAs (SK) into liposomes or polymeric microspheres as drug carriers to increase the therapeutic efficacy of conventional thrombolytic therapy has been demonstrated in vitro and in vivo animal models [23-26]. Many parameters determine the drug release behavior from CS microspheres. These include concentration and molecular weight of the CS, the type and concentration of crosslinking Many groups have developed methods for producing PLGA microspheres by dissolving polymers in a solvent and precipitating it into a sphere, e.g., using solvent evaporation, solvent removal, spray-drying or coacervation processes [22, 27-30]. The double- emulsion (water-in-oilin-water), solvent evaporation/extraction method is one typical method widely used for the preparation of PLGA microspheres loaded with hydrophilic drug such as therapeutic proteins. agent, variables like stirring speed, type of oil, additives, crosslinking process used, drug CS ratio, etc. Drug release study from CS microspheres has generally shown that the release of the drug decreases with an increase in molecular weight and concentration of CS [31]. Typically, these microspheres will give out a very large burst of drug release upon immersion into the release medium. This initial burst release, referred to as the percentage /amount of drug release after 24 h, depends on the immediate diffusion of hydrophilic drug from polymer matrix, and complicated its correlation with the effective drug loading [32-33]. In this study, tPA-encapsulated PLGA and PLGA/CS were fabricated and drug delivery has been characterized in terms of particle size, thermal analysis, encapsulation efficiency, drug release profiles, weight of digested clot (%), and laser thrombolysis and photomechanical drug delivery. The release kinetics was evaluated by fitting the experimental data to Higuchie and Riger-Peppas equations. 2. Experimental 2.1 PLGA-encapsulated tPA NPs Nanoparticles were fabricated via the W/O/W double emulsion solvent evaporation surface coating method, as previously described [23]. Briefly, 3ml of de-ionized aqueous recombinant human tissue-type plasminogen activator solution (rtPA) (Actilyse, Boehringer Ingelheim Pharma KG, Germany) with albumin as an emulsifier were poured into dichloromethane solution (DCM) (Merck, Germany) containing PLGA (50:50, Resomer RG 504H, Mw 48000, Bohringer Ingelheim, Germany), and then emulsified using a probe ultrasonicator (UP400S, hielscher, Germany) at 4 C to form an W/O emulsion. The W/O suspension at 4 C was added to 1wt% of polyvinyl alcohol (PVA; Mw 22000, Merck), and emulsified using the same sonicator in a pulse mode several times to produce W/O/W emulsion. 0.5wt% of PVA was added to the emulsion which was mechanically stirred. The suspension was evaporated at an ambient pressure to remove the solvent from the emulsified suspensions. The suspension that contained PLGA-encapsulated tPA NPs was centrifuged (Sigma, 3K30, RCF 25568, speed 16500 with rotor 12150H, Germany) at 4 C to separate the NPs from the suspension. Then, the NPS dried at a freeze dryer (Chaist, Alpha 1-2 LD plus, Germany) for storage. 2.2 CS-coated PLGA-encapsulated tPA NPs To prepare the CS solution (low molecular, 80-85%deacetylation, Merck) for this work, CS was dissolved in 1% acetic acid solution and similarly PLGA NPs was followed, except that 0.1wt% CS solution and 0.5wt% PVA solution were added, instead of PVA 0.5% solution, to the aforementioned W/O/W emulsion with continuously stirring. 2.3 Characterization and morphology of NPs The size of NPs in aqueous solution was determined at 25 C using laser light scattering with zeta potential measurement (Zetasizer ZS, Malvern, UK). The zeta potential of various NPs in de-ionized water was determined using the same analyzer. The samples were prepared by suspending the freeze dried NPs in 5ml deionized water. Transmission electron microcroscopy (TEM, Philips CM 10, HT 100 k) was used to determine the shape and study surface morphology of the NPs. This was done by placing the solution of NPs on a 200 mesh size copper grid that had been coated with carbon. Then, 2 wt% phosphotangstic acide was used to stain the NPs on the copper grid. After the NPs were air-dried at room temperature, the morphology of the stained NPs was observed. The experiment were repeated three times and results were presented as means and standard deviations from the triplicate (n=3). Significance in data between different process variables was assessed using all data points obtained over multiple batches via student's t-test and one way ANOVA with post-test. P value <0.05 was considered significant. 2.4 FTIR spectroscopy The fourier transform infrared spectroscopy (FTIR) absorption spectra of the PLGA and PLGA/CS NPs were obtained using an FTIR spectrum analyzer at 4cm -1 resolution (Nicolet, Magna-IR Spec. 550, USA). To identify CS in PLGA/CS NPs, 5mg of the NPs was mixed with KBr and then their spectra were obtained using the analyzer. The absorption spectra were recorded in the range 1000-4000cm -1 . 2.5 AFM topographical analysis The typical scanning probe microscopy (SPM) forces are mechanical contact force, Van der Waals force, capillary forces, electrostatic forces, magnetic force etc. AFM relies on the interaction between the specimen and a nanometric tip attached to a cantilever, which scans the sample surface. Individual particles, size information (length, width, and height) and other physical properties (such as morphology and surface texture) measures by AFM. A Dualscope/ Rasterscope system (C26, DME, Denmark) was used for all imaging by AFM. The microscope was equipped with a scanner that had a maximum XY scan range of 50 by 50 μm and a Z range of 2.7 μm and was operated by means of a Scan Master (95-50E), a real-time closed-loop scanning control system that allows for the accurate measurement, repositioning, and zooming in on selected features. The images were acquired by using silicon nitride cantilevers with high-aspectratio conical silicon tips; the force constants were 0.1 N/m for contact-mode imaging. AFM was used to study the morphology of the PLGA and PLGA/CS NPs. 2.6 DSC analysis The differential scanning calorimetry (DSC) (Mettler Toledo, DSC 823e, Switzerland) was used to analyze the effects of the coating and drug on the thermal properties of the PLGA and PLGA/CS NPs. The NPs were weighted in standard aluminum pans. DSC curves were obtained at heating rate of 5 ◦C/min and temperature range of 0 -550 ◦C. The heating chamber was continuously purged with nitrogen gas at a rate of 30 ml/min. 2.7 Measuring tPA concentration Measuring tPA aqueous solution was analyzed using HPLC (BIO-TEK Kontorn Inst., Detector 535, Italy) equipped with a C18 column at 37 C. The quantity of tPA was determined from the absorption intensity at the wavelength 254 nm. The same method was employed to determine the encapsulation efficiency (EE) and release profiles of PLGA and PLGA/CS encapsulated tPA NPs. 2.8 In vitro release studies Encapsulation efficiency for tPA loaded NPs were determined by HPLC method. The unencapsulated tPA concenteration in the emulsion suspension was determined using the HPLC method after the NPs had been centrifuged and collected. 7.5 mg of NPs was dissolved in dichloromethane (DCM) and then 2.5 ml of isotonic phosphate buffer solution (PBS, pH 7.4) was added to the solution to extract the tPA. The quantity of the collected tPA was determined using HPLC. 30 mg dried tPA loaded NPs was suspended in 25 ml PBS with 1wt% sodium azide which were shaken at 70 rpm at 37 C; 1ml of the dissolution was periodically drawn out to analyze tPA by the HPLC. The PBS with sodium azide was replaced equal volumes of fresh medium. The experiment was performed for a week. 2.9 Mathematical analysis of the drug release In order to study tPA release mechanism from the PLGA NPs and PLGA/CS NPs, 2 models can be considered to fit the experimental data. Model 1 is based on the Higuchi equation which describes the Fickian diffusion of drug [34]. Higuchi is the first to derive an equation to describe the release of a drug from a polymer as the square root of a time-dependent process based on Fickian diffusion (Eq. 1). Where, Where, Qt is the amount of drug released in time (t), D is the diffusion coefficient, S is the solubility of drug in the dissolution medium, ε is the porosity, A is the drug content per cubic centimeter of polymer, and kH is the release rate constant for the Higuchi model. Percentage drug released at the tX is X% (Eq.2). For example, for an ideal t100 hour release profile (where t100 is the time required for 100% drug release), kH is equal to [35]. Model 2 is described by the Riger- Peppas equation (Eq.3) [36]. Where, Mt/M∞ is the fractional drug release, t is the release time and n is the diffusional exponent that can be related to the drug transport mechanism. When n=0.5, the drug release mechanism is Fickian diffusion, when n=1, occurs zero-order release. When the value of n is between 0.5 and 1, anomalous (non- Fickian) is observed. These mathematical models are valid only for the first 60% drug release. 2.10 Clot preparation Venous blood was repeatedly collected from a healthy volunteer and anticoagulated into 5 ml glass tubes (inner diameter 13 mm) containing 0.5 ml of 105 mmol l -1 sodium citrate. Aliquots of 1 ml of anticoagulated blood were recalcified with 100 µl of 100 mmol l -1 calcium chloride in a glass tube. The tubes were incubated for 2 hr at 37 ºC in a water bath and then clots were removed from the tube and being washed with 154 mmol l -1 sodium chloride. This method described by Cintas et al. allowed us to prepare whole blood clots with a good reproducibility in size and weight [37]. Clots were weighted before and after experiment. The mean weight of clots was measured prior to experiment as follow: 459.3 mg in the case of tPA only, 259.3 mg with PLGA NPs, and 228.4 mg with PLGA/CS. In the next step, NPs and tPA solution were added to clots separately and were placed in the occlusive tubes filled with PBS buffer. The tubes were then sealed and shaken at 70 rpm and 37 C. The thrombus dissolution was monitored using a fast digital CCD camera (Panasonic Super Dynamic WV-CP450) connected to an optical microscope (Prior-UK). Thrombolysis was expressed as the relative reduction in clot weight (%) and the weight percentage of dissolved clot defined by equation. Weight of digested clot % = (Weight of clot at the start) – (Weight of residual clot) / (Weight of clot at the start) (4) 2.11 Optical set up Drug delivery experiments were performed by using a frequency-doubled Nd:YAG laser (532 nm) with 10 ns pulse duration. As it can be seen in Fig.1 the output of the laser was focused by a 500 μm spot size at the surface of clot. Clot removal measurements were made by exposing the sample to a predetermined number of pulses, n, at pulse repetition frequency of 2Hz and the weight of clot loss was measured before and after each experiment. The laser beam scanned the entire clot surface at 2.33 mms -1 and number of scans of 2 (Ns=2), see Fig.2. 3. Results 3.1 Characterizations of PLGA and PLGA/CS NPs The spherical shape and the shell layer of the PLGA/CS NPs are shown by TEM micrographs (Fig.3). TEM micrographs of tPA encapsulated PLGA and PLGA/CS NPs show that they were spherical with solid cores. The main component of the shell layer of NPs in Fig 3b is CS. This micrographs are shown size of the tPA encapsulated PLGA/CS NPs is larger than PLGA NPs (Table 1). The hydrodynamic diameter of CS coated PLGA NPs increases gradually with initial CS concentration. Table 1. The particle size, zeta potential and encapsulation efficiency of the nanoparticles (The data presented mean ± SD with n=3). \| tPA-PLGA NPs \| 282 ± 4.96 \| -8.92 ± 0.51 \| 0.192 \| 46.7 ± 1.56 \| \|---\|---\|---\|---\|---\| \| tPA-PLGA/Cs NPs \| 356 ± 2.94 \| +5.95 ± 0.17 \| 0.334 \| 50.8 ± 1.09 \| Figures 4 shows 2D and 3D images of tPA encapsulated PLGA and PLGA/CS NPs. AFM images show their spherical shape and acceptable dispersion. The positive zeta potential (Table 1) and FTIR spectroscopy of CS coated PLGA NPs confirmed the presence of CS on PLGA NPs. Figure 5 illustrates a comparison between the FTIR spectra of CS, PLGA and PLGA/CS NPs. FTIR measurements results confirmed the presence of the CS on the surface PLGA/CS NPs. The characteristic absorption bands of amine group (NH) and OH, NH3 + , CH, CN at CS at 3431, 2923, 2853 and 1629 cm -1 respectively were observed. The peaks at 1095, 1184, and 1759 cm -1 and peaks around 3000 cm -1 are attributed to PLGA. The strong peak at 1759 cm -1 is due to the C=O stretch. The peaks at 3431 cm -1 corresponds to stretching and libational modes of hydroxyl. 3.2 Thermal analysis Figure 6 illustrates the comparison between the DSC curve for PLGA and PLGA/CS NPs and provides a qualitative and quantitative information about the physical state of drug in NPs and in the control samples, i.e. the pure PLGA, the pure CS, the mixture of PLGA and CS and tPA. The pure tPA (Fig.6a) shows an endothermic peak that corresponds to the glass transition (Tg) at 110◦C. After Tg, two peaks are observed due to the thermal decomposition of the drug, with maximum temperatures around 165 and 390 ◦C. The pure PLGA exhibit an endothermic event (55◦C) referring to the relaxation peak that follow Tg (Fig.6b). No melting point was observed, because PLGA appears amorphous in nature. The thermal stability of PLGA is until 250 ◦C and the thermal decomposition has begun at approximately 355 ◦C. The DSC curve of CS (Fig.6c) shows an endothermic peak (160 ◦C) referring to Tg. The ons et of thermal degradation of the CS is observed at 270 ◦C. The thermal degradation in nitrogen is exothermic, and corresponding is observed at 300 ◦C. The curve of CS shows that the polymer presents thermal stability until 250 ◦C. The DSC curve of PLGA NPs (Fig.6e) corresponds to the relaxation enthalpy of PLGA (55 ◦C). It can be observed that the nanoencapsulation process did not affect the polymer structure because the pure PLGA presented the same value for relaxation enthalpy. The thermal decomposition of PLGA NPs begins approximately at 285 ◦C. Figure 6f shows two endothermic peaks of PLGA/CS NPs that correspond to Tg of PLGA (55 ◦C ) and thermal degradation of the CS (275 ◦C). Figure 6d illustrates the mixture of PLGA and CS curve. The curve shows two endothermic peak that referring to Tg of the PLGA and CS. The thermal degradation of the mixture of PLGA and CS is observed at 250 ◦C. This thermal decomposition begins approximately at the same temperature as the pure PLGA and CS. 3.3 tPA release from NPs The EE of tPA encapsulated PLGA and PLGA/CS NPs are found to be 46.7% ±1.56, 50.8% ±1.09, respectively (Fig.7). Effect of coating with CS on loading efficiency might be caused by an ionic interaction between tPA and CS and prevented leakage of tPA from emulsion droplet during evaporation process. Drug release from NPs involves three different stages: the first stage is an initial burst followed by drug diffusion, the second stage is governed by swelling of the polymer by inward diffusion of water during which the drug is dissolved and can diffuse out. The third stage is characterized by the erosion phase, in which polymer degradation occurs [38]. Initially, high release rate was observed due to the dissolution of surface adhered drug. The drug release of PLGA and PLGA/CS NPs were monitored during the first hour which accounted for 11% and 7.8 % respectively. After the initial release, it continued significantly for 2 days where 55% and 65%of tPA for PLGA and PLGA /CS was released respectively (Fig.8). 3.4 Evaluation of release kinetic The release kinetic was evaluated by fitting the experimental data to standard release equations (Riger-Peppas and Higuchi equation) (Eq.1 and Eq. 3). From the analysis of the first phase (<10% of drug released) and the last phase (>65% of drug released), can be deduced that Higuchi square-root of time model (R 2 > 0.99) (Fig.9) and Riger-Peppas equations (R 2 > 0.99) (Fig.10) for PLGA/CS NPs (Table 2). The drug release mechanism is non- Fickian diffusion (n> 0.5). The best fit was obtained for both models. Table 2. The release parameters calculated by Higuchi and Riger-Peppas equations. \| Sample \| Riger-Peppas equation \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| R2 \| n \| K \| R2 \| K H \| \| tPA-PLGA NPs \| 0.9911 \| 0.5286 \| 12.80 \| 0.9829 \| 10.627 \| 3.5 Thrombolysis of tPA-NPs The thrombolysis of clots in an occlusive tube was examined by adding tPA only, PLGA NPs and PLGA/CS NPs into PBS solution. Thrombus weight reduction in each group is summarized in Table 3. The highest digested clot was obtained with PLGA/CS NPs (21.6%) while with tPA only the lowest (8.05%), suggesting the effect and important of the interaction between the CS and blood clot (Fig.11). Therefore, PLGA/CS NPs could serve as an effective vehicle for local delivery of tPA in an attempt to alleviate the systemic side effects of the drug and to enhance its efficacy in thrombolytic therapy. Table 3. The weight of digested clots percent after exposure to NPs (after1hr). \| Sample \| Initial weight (mg) \| Final weight (mg) after exposure to NPs \| Weight of digested clot (%) \| \|---\|---\|---\|---\| \| tPA only \| 459.3 \| 422.3 \| 8.05 \| \| tPA-PLGA NPs \| 259.3 \| 219 \| 15.54 \| 3.6 Laser thrombolysis and photomechanical drug delivery Laser induced thrombolysis by photomechanically driven NPs investigated at room temperature. Mean weight of clots before laser exposure was 100 mg in group I: tPA only, 299.3 mg in group II: PLGA NPs, and 316.2 mg in group III: PLGA/CS NPs. As it can be seen from the Fig.12 the total weight loss (Eq.5) increases with increasing the fluence. However, it behaves linearly up to 70 Jcm -2 there on wards the curve shows a nonlinear behavior. A maximum weight loss of 69 mg is achieved at 135 Jcm -2 . Total weight loss = (Weight of clot at the start) – (Weight of residual clot) (5) Weight reduction of clots in each group after laser exposure is summarized in Table 4. The next step was to study the percent of clot dissolution under the influence of tPA release at different times. The rate of thrombolysis obtained for PLGA/CS NPs was highest at different times (Fig.13). Results presented in this study demonstrated the possibility of using photomechanichal drug delivery to enhance the thrombolysis process by delivering nanoparticles into clot during the laser thrombolysis procedure or possibly to remove the clot residual after laser-clot ablation. It must also be noticed that even at higher values the produced temperature should be less than the material (PLGA or CS) melting temperature which was so in our case. For example, the weight of digested clot percent after laser exposure is 33.27% for photomechanical drug delivery compare with 21.6% for drug delivery in group PLGA/CS NPs, 31.13% for photomechanical drug delivery compare with 15.54% for drug delivery in group PLGA NPs and 17% for photomechanical drug delivery compare with 8.05% for drug delivery in group tPA only. The results show that the PLGA/CS NPs maintain the highest weight percentages of dissolved clot. Table 4. laser thrombolysis of clot after exposure to NPs (after 1 hr). \| Sample \| Initial weight (mg) \| Final weight (mg) After laser exposure \| \|---\|---\|---\| \| tPA only \| 100 \| 83 \| \| tPA-PLGA NPs \| 299.3 \| 206.1 \| 4. Discussion PLGA particulate drug delivery systems have been widely used for biomacromolecules such as peptides, proteins or nucleic acids [39,40]. In this study, the tPA encapsulated PLGA and PLGA/CS were fabricated by double emulsion solvent evaporation (W/O/W). Sustained and localized release, as well as in vivo stabilization can be achieved using PLGA particles. However, during preparation, organic solvents and shear stress can denature or deactivate the biopolymers incorporated. The EE * of biopolymers in the particles is essentially low and results in the consumption of a large quantity of biopolymers in the preparation [41]. Hence surface coating of PLGA particles seems to be useful in reducing their effect. The reasons for encapsulating tPA as the thrombolytic drug are due to: i- the extremely short half life (<5min) renders the need for administering a high dose (1.25 mg/kg) of tPA. However, the effective therapeutic dose range of tPA at the thrombuse site is only around 0.451µg/ml [42]. ii- due to administration of this high dose, clinical use of tPA is often associated with a high incidence of bleeding complication, and iii- in order to prevent restenosis for up to several months, prolonged attenuation of thrombus by utilizing a delivery carrier for thrombolytic drug has been suggested. CS was chosen as coating on the surface PLGA for encapsulation of tPA, mainly because zeta potential of fibrinogen solution is -38.5 at pH of 7.4 [23]. Hence, it would be reasonable to postulate that the zeta potentials of fibrins in blood clots have negative charge and that may facilitate the penetration of the NPs into clots. In this report, CS was used to coat PLGA NPs due to their cationic charge, biodegradability and mucoadhesive properties. In addition, CS coated PLGA NPs have been proposed for delivery of protein drugs. CS has been shown to possess mucoadhesive properties due to molecular attractive force formed by electrostatic interaction between positively charged CS and negatively charged surfaces. These properties may be attributed to: (1) strong hydrogen bonding groups like –OH, -COOH, (2) strong charges, (3) high molecular weight, (4) sufficient chain flexibility, and (5) surface energy properties. The electrostatic attraction is likely the predominant driving force especially in the formation of the first monomolecular adsorption layer [41]. The adsorption of CS continues even though a positively charged surface has been achieved, in which hydrogen bond (N-H) or van der waal , s force can be involved. At high concentration of CS, it is possible that the subsequent layer of CS could be adsorbed on the first layer and has no direct contact with the surface. With more layers added, CS chains would repel each other due to the same charge but be attracted and interact through hydrophobic interactions, van der waal , s forces and hydrogen bonds [31,41]. Morphology and spherical shape of NPs is shown by TEM micrographs and AFM images and is shown size of the tPA encapsulated PLGA/CS NPs is larger than PLGA NPs. The hydrodynamic diameter of CS coated PLGA NPs increases gradually with initial CS concentration. The increased particle size can be attributed to the increased viscosity of CS and the increased amount of adsorbed CS on the surface of PLGA NPs. The DSC curves of PLGA NPs (Fig.6e) and PLGA/CS NPs (Fig.6f) correspond to relaxation enthalpy of pure PLGA (55 ◦C). It can be observed that the nanoencapsulation process did not affect the polymer structure because the pure PLGA presented the same value for relaxation enthalpy. The DSC study did not detect any drug material in the NPs ie. the endothermic peak of tPA was not observed. Thus, it can be concluded that the drug incorporated into the NPs was in an amorphous polymer. The thermal decomposition of PLGA NPs and PLGA/CS NPs has begun in a lower temperature than that of the pure PLGA and CS. The nanoparticles are more exposed to the thermal degradation because their sub-micrometric size makes the superficial area larger. In relation to polymer, since NPs show wider superficial area they degrade easier. They were not observed peaks in approximately 355 ◦C and 300 ◦C, that seem to be characteristic of pure PLGA and CS (curve b and c Fig.6), confirming the previous data that show PLGA NPs and PLGA/CS NPS to have lower thermal stability than pure PLGA and CS. The thermal decomposition of PLGA/CS NPs is lower than thermal decomposition of PLGA NPs. The coating of NPs with CS makes the superficial area larger and show wider superficial area they degrade easier. The PLGA/CS is more reactive than the pure polymers due to their wider superficial area and, consequently, they suffer thermal decomposition more quickly. The positive zeta potential and FTIR spectroscopy (Fig.5) of CS coated PLGA NPs confirmed the presence of CS on PLGA NPs. Guo and et al. [41] reported that continues adsorption of CS on PLGA NPs do not affect the apparent zeta potential at high concentration (greater than 0.4-0.6 g/l). The zeta potential with increases initial CS can be indicative of saturated adsorption of CS on PLGA NPs. However, the amount of adsorbed CS on PLGA NPs increases with the initial CS concentration and saturation of adsorption. The small size and the high surface energy of PLGA NPs play an important role for multilayer adsorption of CS [41]. The increase of NPs size and the spectra of NPs with peaks at 1629, 2923, 2853 and 3431 cm -1 confirm the formation of the CS (Fig.5b) on the PLGA NPs surface. EE * of PLGA/CS NPs was higher compared with PLGA NPs. Effect of coating with CS on loading efficiency might be caused by an ionic interaction between tPA and CS and prevented leakage of tPA from emulsion droplet during evaporation process. The drug release of PLGA and PLGA/CS NPs were monitored during the first hour of release which accounted for 11% and 7.8 % respectively. This difference is explained by the fact that it takes some times for CS to degrade and let tPA to diffuse out as well as the fact that higher hydrodynamic pressure is experienced in the opposite direction (ie. acting as resistance). However, after this short time some degradation and PBS uptake is taken place as a result of which the release trend gradually increases. Longer drug release time due to the diffusion process is much slower compared with the initial release. Several concurrent processes such as interactions between tPA and CS and between CS and PLGA, most probably influence the release of tPA. Therefore, depending on the ratios of the different components in each particle type, the influence of the increased CS solubility in acidic media (pH=5) on the release of the drug, is not directly proportional to the CS content of each NPs. Faster release from the PLGA/CS NPs in media is attributed to the higher solubility of CS at lower pH [43]. The final stage was the release of drug for few days where the process was completed. The complete release of the drug from the NPs occurred only after complete erosion or degradation of the NPs. Sustained release of tPA is sufficient to prevent the formation of new thrombus. In order to prevent restenosis for up to several months, the tPA should be release in controlled manner for longer period of time. Indeed, several researches have indicated a lower rate of restenosis using a local infusion of tPA [44-45]. Therefore, our studies could offer and alternative for currently existing antithrombotic therapies. Efficient thrombolysis appears to be dependent upon transport of the tPA into clot, which is a function of both diffusion and convection. The tPA incorporated in the NPs retained its activity, as confirmed by the fibrin clot lysis assay (Fig.11). The weight percentage of dissolved clots is shown in the following order, PLGA/CS NPs (21.6%) > PLGA NPs (15.54%) > tPA (8.05%). The highest dissolved clot rate was obtained with PLGA/CS NPs, suggesting the effect and importane of the interaction between the CS and blood clot. Therefore, PLGA/CS NPs could serve as an effective vehicle for local delivery of tPA in an attempt to alleviate the systemic side effects of the drug and to enhance its efficacy in thrombolytic therapy. Since 532nm laser pulse is absorbed more efficiently by blood clot than by the surrounding arterial wall, thus, that the clot can be heated and vaporized without damaging adjacent structures and reducing the chance of a new clot forming. Avoiding damage to the arterial wall is also important in the prevention of re-stenosis, or renewed narrowing. This demonstrates that a 532 laser pulse can enhance delivering of tPA into clot. The main operating mechanism with this laser in an absorbing liquid media such as blood is due to rapid generation of acoustic waves via thermoelastic mechanism and vaporization (photothermal). Further, the rapid breakdown and plasma formation cause heating of a small volume of liquid around the focus of a converging lens leads to the formation of a body of high-temperature vapour called a cavitation bubble (photomechanical). Most explanations have focused on cavitation-related processes such as microstreaming around the bubbles in stable cavitation, or microjetting in unstable cavitation, both of which can alter the structure of clots. In all cases, microbubbles may also increase the number of available binding sites for fibrinolytic enzyme molecules by stretching or damaging clot fibers. Therefore, nanoparticles are likely driven into the clot by thermomechanical waves (ultrasonics) at low fluencies and also by hydrodynamic flow due to the cavitation microbubble formation at higher values. These results suggest that PLGA/CS NPs could serve as an effective vehicle for local delivery of tPA in cardiological applications. Laser thrombolysis is another method of optomechanical removal of clot that is currently under investigation. The goal of laser thrombolysis is to safely obliterate the embolus into microscopic fragments small enough to pass through the capillary circulation. Laser thrombolysis for acute stroke uses a low laser energy pulse of laser tuned to the hemoglobin absorption peak or facilitated by an exogenous administered chromophore. The absorbed energy vaporizes the hemoglobin molecule and adjacent water molecules to create a vapor bubble that expands and contracts to create shock waves that focally shatter the embolus [46]. Our demonstrate the possibility of using photomechanichal drug delivery (compare with drug delivery) to enhance the thrombolysis process by delivering nanoparticles into clot during the laser irradiation and possibly to remove the clot residual after initial laser-clot ablation. 5. Conclusions The PLGA-encapsulated tPA NPs and the CS-coated PLGA-encapsulated tPA (PLGA/CS) NPs have been synthesized by W/O/W method. The EE* and size of NPs was increased by coating with CS. In vitro drug release experiments showed a sustained release profile for 3 days. Therefore, sustained release of tPA is sufficient to prevent the formation of new thrombus. In order to prevent restenosis for up to several months, the tPA should be released in a controlled manner for longer period of time. The PLGA/CS NPs successfully thrombolysed the clot-occluded tube and showed the highest percentages of clot weight loss. Encapsulation of tPA in PLGA/CS has important effects, including acting as a shield to protect the drug from inactivation and increasing its half-life. Also, higher drug circulation in time allows the administration of a lower dosage, with decreased probability of side-effects. In addition, encapsulation helps to avoid bleeding complication. The DSC curves confirmed reinforcing the idea that the drug was entrapped in the NPs. Also, this study demonstrated the thrombolysis process can be enhanced by delivering tPA into clot by laser pulse. The weight percentages of dissolved clot was higher for photomechanical drug delivery method than using normal drug delivery method (ie. without laser), indication a deeper penetration of particles within the clot tissue bulk. It must also be noticed that even at higher values the produced temperature should be less than the material (PLGA or CS) melting temperature which was so in our case. 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AN OVERVIEW OF HEALTH ECONOMIC ASPECTS OF LATE PRETERM AND EARLY TERM BIRTH 1 Stavros Petrou, BSc MPhil PhD 1. Warwick Clinical Trials Unit, Division of Health Sciences, Warwick Medical School, University of Warwick, Coventry CV4 7AL, UK. Contact for correspondence: Professor Stavros Petrou Warwick Clinical Trials Unit Warwick Medical School University of Warwick Coventry CV4 7AL UK Telephone: 0044 2476 151124 E-mail: email@example.com Word count: 4440 (main text), 6387 (including references) Abstract Despite an increasing body of knowledge on the adverse clinical sequelae associated with late preterm birth and early term birth , relatively little is known about their economic consequences or the cost-effectiveness of interventions aimed at their prevention or alleviation of their effects. This paper provides an overview of the health economic evidence surrounding late preterm and early term birth . The paper covers evidence surrounding hospital resource use associated with late preterm and early term birth, economic costs associated with late preterm and early term birth, and economic evaluations of prevention and treatment strategies. The paper highlights the limited perspective and time horizon of most studies of economic costs in this area. It also highlights the limited evidence surrounding health economic aspects of early term birth. The paper highlighting gaps in current knowledge and discusses directions for future research in this area, including the need for validated tools for measuring preference-based health-related quality of life outcomes in infants that will aid cost-effectiveness based decision making. Keywords: Cost, cost-effectiveness, late preterm, early term Introduction Preterm births, namely births before 37 completed weeks' gestation, or fewer than 259 days since the first day of the mother's last menstrual period [1], have traditionally been subdivided into a number of subcategories based on gestational age, ranging from extremely preterm birth (<28 weeks' gestation) to late preterm birth (34 +0 -36 +6 weeks' gestation) [2]. More recently, births at term have been subdivided into early term births, which occur between 37 +0 and 38 +6 weeks' gestation, and births occurring at full term (39 +0 -41 +6 weeks' gestation) [3]. A recent population-based retrospective analysis of singleton live births conducted in six high income countries revealed that late preterm birth rates during 2006-2014 were 4.8% in Canada, 3.6% in Denmark, 3.3% in Finland, 3.8% in Norway, 3.6% in Sweden, and 6.0% in the United States, whilst early term birth rates were 25.3% in Canada, 18.8% in Denmark, 16.8% in Finland, 17.2% in Norway, 18.7% in Sweden, and 26.9% in the United States [4]. The study provided evidence that late preterm and early term birth rates decreased in the United States over the study period, and an association was observed between early term birth rates and decreasing clinician-initiated obstetric interventions [4]. Of particular concern to clinicians, however, is the increased risk of adverse clinical sequelae during the neonatal period and later childhood associated with late preterm birth and early term birth. Epidemiological evidence suggests that infants born late preterm are at increased risk of acute respiratory disorders immediately after birth [5], delayed feeding development [6], early childhood mortality [7], neurodevelopmental disability at two years of age [8], and cognitive deficits [9], learning difficulties [10] and behaviour problems [9] at school age, when compared to full term infants. Infants born early term are also at increased risk of a host of adverse outcomes, including neonatal admissions [11], prolonged hospitalisations [12], health complications during early childhood [13, 14], and developmental delay [15], when compared to full term infants. Although the adverse clinical sequelae during childhood associated with late preterm birth and early term birth are likely to affect several areas of the economy, little is known about their economic consequences or the cost-effectiveness of interventions aimed at their prevention or alleviation of their effects. Previous review articles of economic evidence have focussed on preterm birth in its entirety without recourse to the evidence surrounding early term birth, and focussed on economic costs rather than broad health economic aspects [16, 17]. This paper examines the health economic aspects of late preterm birth and early term birth, beginning with an overview of methods, and moving on to discussion of key evidence. It does not systematically review all evidence in the field, but rather highlights key evidence likely to be of interest to the clinical and academic communities. An overview of health economic methods Cost-of-illness studies or studies of economic burden estimate the economic costs of a particular disease or condition or health state [18]. Applications can differ in terms of the categories of costs that they cover, which will depend on the study perspective. The perspective of an economic analysis typically falls into one of three categories, namely the healthcare system, public sector or societal. The study perspective should be informed by national methodological guidance; in England, for example, the National Institute for Health and Care Excellence (NICE) recommends including National Health Services (NHS) and personal social services as a minimum [19]. Applications to late preterm birth and early term birth may need to consider economic costs borne by several sectors of the economy, as well as for individuals. The sick infant may require support from social service departments, for example, upon their discharge from hospital. The parents of sick infants may have to forego other productive activities (paid or unpaid work) in order to spend time with them; their transport costs to and from the neonatal unit may be considerable, and care for other children may have to be arranged. In contexts such as this, there is considerable value in also adopting a broader societal perspective, at least as part of a sensitivity analysis. The total economic costs for a participant or individual within a cost-of-illness study or study of economic burden can be expressed as a compound formula: j where Ci represents the total cost for individual i, Qij represents the quantity of resource item j by individual i, and UCj represents the unit cost of resource item j. This requires the estimation of unit costs for each element of resource use consumed by the individual over the time horizon of interest. Quantities of resource can be estimated within the case report forms of randomised controlled trials, through extraction from routine health service information sources, or from primary surveys, reviews of published studies, or from expert opinion (Delphi panels). It is relatively unusual that a complete profile of resource use can be obtained from a single source. Theoretically, unit costs attached to resource inputs should be based on the economic notion of opportunity cost, which represents the value of the resource in its most highly valued alternative use [19]. In the absence of competitive health markets, however, nationally representative health care tariffs, such as NHS Reference Costs, in England, for clinically similar treatments [20], and the compendia of unit costs covering hospital and community health and social care services [21], in England, are assumed to approximate to opportunity costs. In jurisdictions with systems of billing and fee-for-service payment of providers, market prices are deflated using cost-to-charge ratios to more accurately reflect opportunity costs [22]. There may be circumstances where unit cost estimates for health resources are not readily available and have to be generated from first principles using alternative approaches, including time and motion studies, diary methods, work sampling, interviews with key caregivers, case note analysis and analyses of patient activity databases. The estimation of total economic costs requires unit cost estimates from previous years to be adjusted using a health care specific price index to reflect a more recent price level. In addition, any costs accruing beyond the first year of follow-up are normally discounted or reduced to present values to take account of differences in potential productivity of resources over time. A final analytic requirement is the need for sensitivity analysis to account for uncertainty surrounding elements of the cost estimation process or calculus. Many health economists argue that cost-of-illness studies or studies of economic burden tell us about the scale, in economic terms, of a particular health problem [18]. However, they tell us little about prioritising finite resources as they do not evaluate interventions to address health or related needs or well-being associated with the disease or condition or health state of interest [18]. In contrast, health economic evaluation compares alternative interventions or programmes in terms of their costs and consequences. A common vehicle for the conduct of health economic evaluation is the randomised controlled trial where individual level costs and consequences are collected for the trial population [23]. However, trial-based economic evaluations have a number of limitations including potentially truncated time horizons, limited comparators, restricted generalisability to different settings or countries, and the failure to incorporate all relevant evidence [23]. As a result, decision analytic modelling, which involves application of mathematical techniques that synthesize data from multiple sources, including randomised controlled trials or studies with other designs, provides an alternative vehicle for the conduct of health economic evaluation [24]. There are four broad approaches to health economic evaluation, namely cost-minimization analysis (CMA), cost-effectiveness analysis (CEA), cost-utility analysis (CUA), and costbenefit analysis (CBA). These alternative forms broadly adopt the same approach to cost measurement and valuation, but differ in how consequences are measured and valued. CMA assumes that the competing interventions under consideration are equal with respect to consequences and that the study design allows the equivalence of consequences to be tested [25]. By implication, only costs are important in CMA and the least costly strategy is preferred. A CEA measures the consequences of competing interventions in natural or physical units. The outputs of a CEA are normally summarised in terms of an incremental cost effectiveness ratio (ICER), which represents the difference in costs between two interventions divided by the difference in effects. A CEA can only be used to compare interventions that produce the same kinds of consequences. It cannot be used to compare interventions whose consequences are measured in different units; for example, it cannot compare the treatment of late preterm infants, expressed in terms of acute respiratory disorder avoided, with clinically defined consequences of schizophrenia treatment or cancer treatment. To make these broader comparisons, a common "currency" for measuring consequences is needed. This can be achieved in two different ways, one leading to CUA and the other to CBA. In CUA, a common currency is achieved by valuing consequences using preferencebased measures of health, such as quality-adjusted life years (QALYs), which attempt to capture health gains in a single metric combining life-years gained and health-related lifequality enhanced [26]. In CBA, the consequences of health interventions are measured and valued in monetary terms. In an economic evaluation, a new intervention may turn out to be more effective but also more costly than usual practice, or conceivably may be less effective but also less costly than usual practice. A trade-off then exists between effect and cost. In CBA, this is dealt with by subtracting the incremental cost (relative to the comparator) from the incremental benefit on a linear scale where both are valued in the same monetary metric. Within CEA and CUA, however, the maximum willingness to pay for the unit of effect (the natural or physical unit in the case of CEA and the QALY in the case of CUA) is required to determine whether the intervention is cost-effective. In England and Wales, for example, a maximum acceptable ICER of £20,000 to £30,000 per QALY gained is recommended for regulatory and reimbursement decisions [19]. The paper now turns to the health economic evidence surrounding late preterm and early term birth. Hospital resource use associated with late preterm and early term birth Hospital resource use represents a major driver of additional economic costs associated with late preterm and early term birth. This is initially felt during the neonatal period. A retrospective cohort study of 38,807 singleton live births with no major congenital anomalies, delivered at 34–41 weeks of gestation to Canadian mothers in 2002–11, revealed that infants born late preterm and early term were at increased risk of neonatal intensive care unit admission [late preterm adjusted relative risk (aRR) = 6.14, 95% confidence interval (CI) 5.63, 6.71; early term aRR = 1.54, 95% CI 1.41, 1.68] compared to infants born at term [27]. This pattern varies across health systems and jurisdictions with differing clinical protocols [28]. Several studies have shown that infants born late preterm and early term are also at increased odds of hospital admission beyond the neonatal period and through early childhood [13, 29-32]. For example, a retrospective database analysis covering 599,753 liveborn infants born in New South Wales, Australia, between 2001 and 2007 and linked to hospital discharge records revealed that infants born late preterm and early term were are at increased adjusted odds of one hospital readmission (adjusted odds ratio (aOR): 1.52 and 1.20, respectively) and more than one hospital readmission (aOR: 1.87 and 1.36, respectively) during the first year of life, in comparison with infants born at full term [31]. A separate nation-wide populationbased study of 696,698 liveborn infants that used a French medico-administrative database revealed that infants born at 34 weeks gestation and at 37 weeks gestation were at increased relative risk (2.2 (95% CI: 2.1, 2.4) and 1.3 (95% CI: 1.3, 1.3), respectively) of post-neonatal hospital admission during the first year of life, in comparison with infants born at full term [32]. Limited evidence suggests that the re-hospitalization risk remains elevated through later stages of childhood. A retrospective cohort study of all live singleton births in Western Australia dating back to 1980 and without congenital anomalies revealed incidence rate ratios for hospital admission of 1.33 (95%CI: 1.30, 1.36) and 1.13 (95%CI: 1.11, 1.14) between the 5 th and 12 th years of life and 1.14 (95%CI: 1.11, 1.18) and 1.08 (95%CI: 1.06, 1.10) between the 12 th and 18 th years of life for children born late preterm and early term, respectively, in comparison with children born at full term [33]. Common drivers for hospitalization in children born late preterm and early term included infection, injury, and respiratory related causes between the 5 th and 12 th years of life, and injury, oral cavity-related and infection between the 12 th and 18 th years of life [34]. Of further note is that some population based cohorts have revealed that infants born late preterm and early term are at also increased risk of hospital emergency department visit through childhood [35], which should be considered as an additional driver of economic costs. Economic costs associated with late preterm and early term birth Table 1 provides an overview of 17 key studies published since 2000 that have estimated the economic costs associated with late preterm and early term birth [3, 36-51]. The table summarises the methods of each study, including the date of birth of the study population, location, type of study, sample size, comparator groups in terms of gestational ages at birth, categories of economic costs considered, the currency and price date in which costs were estimated, and study time horizon. The table also summarizes the economic costs estimated by each study for relevant comparator groups. Where individual studies also estimated economic costs for infants born at earlier gestations (<34 weeks), the results for those gestational groups are not presented. Seven studies reported economic costs associated with late preterm birth during the infant's initial hospitalization with the study perspective limited to the health sector [39, 41, 42, 47, 49-51]. A consistent inverse association was observed between gestational age at birth and initial hospitalization costs regardless of date of publication, country of publication, underpinning study design, costing methodology or the denominators applied within the cost calculus (live births or survivors). Two studies estimated a less than two-fold differential in initial hospitalization costs between infants born late term and a comparator group born at term (≥37 weeks) [39, 49], whilst a further two studies estimated an 8-10 fold differential in initial hospitalization costs between infants born at 34 weeks gestation and those born at term [42, 50]. A further study analysed state-level linked vital statistics and hospital discharge records in California covering 84,540 infants born late preterm and 92,241 infants born at term [47]. The authors found that an intervention strategy that is effective at delaying delivery at 34 weeks gestation by one week (two weeks) would result in mean economic savings (in terms of neonatal costs prevented) of $4,528 ($7,090) (US$, 2003 prices). Ten studies reported health service costs associated with late preterm birth beyond the period of the infant's initial hospitalization [3, 36-38, 40, 43-46, 48]. As with interpretation of studies that focused on the costs associated with the initial hospitalisation, comparability of results across studies is complicated by a number of differences in study design. Notably, the period of follow-up varied between the first year of life [37, 44, 48] and the first eighteen years of life [43]. All studies generated an inverse relationship between gestational age at birth and long-term health service costs, regardless of period of follow-up. Petrou and colleagues conducted analyses based on data extracted from the Oxford Record Linkage Study (ORLS), a large collection of linked, anonymised birth registrations, death certificates and statistical abstracts of NHS hospital inpatient and day-case admissions within Oxfordshire and West Berkshire in England. An initial analysis revealed a 3.3-fold differential in hospital service costs between infants born at 32-36 weeks gestation (without disaggregation into more granular categories) and those born at term, during the first five years of life [45]. A subsequent analysis that extended the period of follow-up to cover the first ten years of life revealed a 4.5-fold differential in hospital service costs between the same comparator groups, suggesting that the economic effects of impairment associated with moderate and late preterm birth do not dissipate during mid-childhood. Authors from the same research group subsequently developed a decision-analytic model that generated estimates of economic costs associated with late preterm birth, drawing upon evidence from the ORLS, as well as from other cohort studies [43]. The model estimated a mean incremental health and social care cost associated with late preterm birth of £10,498 (£ sterling, 2006 prices) during the childhood years. The model also revealed that mean education costs, parental expenses and the value of lost productivity as a result of the child's health state were all higher following late preterm birth than birth at term. The studies by Lo et al. [42] and Helle et al. [3] provide granulated assessments of economic costs within gestational age categories of term-born infants, the former limited to the period of the initial hospitalization whilst the latter covered the first three years of life. The study by Lo et al. [42] was based on a retrospective chart analysis of 240,179 singleton deliveries in the United States and provided no indication of a significant difference in initial hospitalization costs for infants born early term compared to those born at full term. In contrast, the prospective cohort study by Helle et al. [3], conducted in Finland, showed that children born early term had greater morbidity and health care costs in each year of the first three years of life compared with infants born at full term, with cost differences primarily driven by airway diseases and opthalmological and motor problems. Cost-effectiveness of prevention strategies The attendant problems and adverse clinical and economic sequelae of late preterm and early term birth have heightened interest in prevention strategies and their cost-effectiveness [52]. Strategies that involve identifying women at high risk of delivering early are constrained by low positive predictive values of existing prediction tests for symptomatic women with threatened preterm birth or for asymptomatic high risk women [52]. Tsoupras and colleagues conducted a decision-analytic modelling based economic evaluation to estimate the potential cost-effectiveness of alternative 'test-and-treat' strategies in the prevention of spontaneous preterm birth before 34 and 37 weeks' gestation [53]. The model drew upon evidence from systematic reviews of clinical effectiveness and predictive accuracy studies. Prophylactic fish oil in asymptomatic women, without prior testing, was highlighted as potentially costeffective in preventing threatened preterm labor before 34 weeks' gestation. Furthermore, in symptomatic women with a viable pregnancy, indomethacin without prior testing was identified as a potentially cost-effective strategy to prevent preterm birth occurring before 37 weeks' gestation. Einerson and colleagues used a decision-analytic model to estimate the costeffectiveness of risk-based screening compared to universal cervical length screening or no screening for preterm birth prevention in low-risk women [54]. The authors found that, in comparison to the risk-based strategy, universal screening was associated with an ICER of $21,144 per QALY gained (US$, 2014 prices). However, the authors' analysis was constrained by a paucity of validated tools for measuring infants' preference-based healthrelated life-quality outcomes for the purposes of QALY calculation. Increasing interest in progesterone as a potential preventive intervention for preterm birth led Pizzi and colleagues to conduct an economic evaluation of vaginal progesterone gel [55]. Using a decision-analytic model informed by patient-level data from the PREGNANT trial, and which grouped women into gestational age categories, the authors estimated that vaginal progesterone was associated with cost savings and health benefits, expressed in terms of preterm birth averted. The authors' analysis would benefit from data included in a more recent meta-analysis of vaginal progesterone for preventing preterm birth [56]. Other analysts have examined the cost-effectiveness of prevention strategies implemented after 34 week's gestation in pregnancies complicated by specific disorders, such as gastroschisis [57] or non-severe hypertensive disorders [58]. These analyses inform the most cost-effective timing of delivery under differing clinical scenarios by balancing relative economic costs against the risk of stillbirth, neonatal death or maternal complications. Cost-effectiveness of treatment strategies A number of pharmacological and surgical interventions, forms of developmental care, organisational approaches and other intervention strategies targeted at infants born late preterm or early term have been evaluated using randomised controlled trials and quasiexperimental designs. This accumulation of evidence on clinical effectiveness has been accompanied by a limited number of economic evaluations of treatment options. Petrou and colleagues conducted a trial-based economic evaluation of neonatal extracorporeal membrane oxygenation (ECMO), compared to conventional management, in mature (gestational age at birth >or= 35 weeks, birth weight >or= 2000 g) newborn infants with severe respiratory failure (oxygenation index >or= 40) [59]. Data were collected about all major health service resource inputs through trial case report forms, routine data sources and parental interviews. Deaths were captured by the trial monitoring procedures, whilst standardized neurodevelopmental assessments were performed in the homes of surviving infants by a single paediatrician. Over four years of follow-up, the incremental cost of neonatal ECMO was £16,707 (95% CI: £9828 to £37,924) per life year gained and £24,775 (95% CI: £13,106 to £69,690) per disability-free life year gained (£ sterling, 2001 prices). Notably, the authors highlight the lack of validated tools for QALY measurement in this age group, thereby limiting the potential for cost-effectiveness comparisons with interventions in other areas of health care. A subsequent economic evaluation conducted by the authors that was based on seven year follow-up data within the same trial estimated the incremental cost per disabilityfree life year gained associated with neonatal ECMO at £23,566 (£ sterling, 2002-3 prices). Xie and colleagues using a decision-analytic model to estimate the incremental costeffectiveness of a system-based approach for the management of neonatal jaundice and the prevention of kernicterus in late-preterm and term (≥35 weeks) infants, compared with the traditional practice based on visual inspection and selected bilirubin testing [60]. The incremental cost-effectiveness of the system-based approach was estimated at $26,279 per life year gained and $65,698 per QALY gained (Can$, 2008 prices), but the QALY-based analysis was again constrained by a lack of validated tools for measuring infants' preferencebased health-related life-quality outcomes. A number of economic evaluations have estimated the cost-effectiveness of palivizumab as a prophylaxis against respiratory syncytial virus infection in moderate and late preterm infants with [61, 62] and without [63, 64] additional risk factors. All the evaluations concluded that palivizumab is a cost-effective prophylactic despite variations in the jurisdictions in which the evaluations were conducted and concomitant variations in health care practices. Discussion Infants born late preterm are at increased risk of acute respiratory disorders immediately after birth [5], delayed feeding development [6], early childhood mortality [7], neurodevelopmental disability at two years of age [8], and cognitive deficits [9], learning difficulties [10] and behaviour problems [9] at school age, when compared to full term infants. Infants born early term are also at increased risk of a host of adverse outcomes, including neonatal admissions [11], prolonged hospitalisations [12], health complications during early childhood [13, 14], and developmental delay [15], when compared to full term infants. Given the adverse clinical sequelae associated with late preterm and early term birth, it is imperative to understand their potential economic consequences. This paper provides an overview of the health economic evidence on late preterm birth and early term birth. Although the published data are sparse, they consistently show that the inverse association between gestational age at birth and economic costs observed at earlier gestations [16, 65] extends to later gestational ages at birth, regardless of study date, jurisdiction, underpinning study design, costing methodology, the denominators applied within the cost calculus or period of follow-up. It is noteworthy that existing economic research in this area is hampered by a paucity of epidemiological studies that accurately quantifies neonatal morbidity and longer term adverse outcomes, in particular for infants born early term, or that identify risk factors contributing to these outcomes. There is therefore a clear need for prospective, comprehensive data collection for infants born between 34 and 38 weeks' gestation to allow quantification of economic outcomes for this group. This is essential, first, to highlight areas in which changes in perinatal care may improve outcomes and, second, to inform efficient allocation of finite health care resources for children born at these gestational ages and their families. Only three studies, to the knowledge of the authors, have attempted to quantify the nonhealth service costs associated with late preterm birth [38, 40, 43], whilst no attempt has been made to quantify the non-health service costs associated with early term birth. Where disaggregated cost values are presented, they suggest that non-health service costs borne by infants born late preterm exceed those born by term-born infants. The potential to inform budgetary and service planning extends therefore to non-health service providers, such as social and education service providers. Moreover, there are several other categories of economic costs that could usefully be considered in future economic analyses. These include costs borne by local authorities and voluntary organisations, such as adaptations that have to be made to the child's home as a result of their impaired state of health, and additional costs borne by families and informal carers as a result of adjustments to their lifestyles and working patterns. Methods for estimating these broader economic costs include incorporating economic questionnaires and diaries into prospective cohort studies, although the value of these data should be balanced against the potential burden imposed on families. Turning to economic evaluation, there are several prevention and treatment strategies surrounding late preterm and early term birth for which cost-effectiveness evidence is lacking, for example, cooling for newborns with hypoxic ischaemic encephalopathy [66], surfactant for meconium aspiration syndrome [67], and pulse oximetry screening for critical congenital heart defects [68]. Future randomised controlled trials of intervention strategies targeting late preterm and early infants, with and without additional risk factors, should ideally incorporate prospective economic evaluations, and measure and value both costs and health consequences over extended periods of follow-up. Such evidence is required to inform the efficient allocation of scarce resources. However, there will clearly be circumstances where randomised controlled trials will not be feasible and assessments of cost-effectiveness will have to be based on evidence from decision-analytic models. A particular methodological challenge faced by these economic evaluations is the lack of validated tools for measuring preference-based health-related quality of life outcomes in infants. Development of such tool will be needed to aid cost-effectiveness based decision-making using the incremental cost per QALY gained metric. In conclusion, this paper provides an overview of health economic aspects of late preterm birth and early term birth. Future research should focus particularly on the economic costs associated with early term birth and the cost-effectiveness of strategies aimed at its prevention or amelioration of its effects. Conflicts of interest None Acknowledgments I would like to thank Samantha Johnson for her assistance with her assistance in identifying relevant evidence cited in the paper. SP receives support as a NIHR Senior Investigator (NFSI-0616-10103). SP also receives funding from the European Union's 2020 research and innovation programme, RECAP, under grant agreement number 733280. The views contained within this paper are those of the author and not necessarily of the funders. References [1] WHO: recommended definitions, terminology and format for statistical tables related to the perinatal period and use of a new certificate for cause of perinatal deaths. 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Cochrane Database Syst Rev 2018;3:CD011912. 10.1002/14651858.CD011912.pub2 Table 1: Studies published since 2000 reporting economic costs associated with late preterm birth and early term birth \| Date of birth of study population \| Location \| Type of study \| Sample size \| Gestational age(s) (weeks) \| Type of economic costs \| Currency, price date \| Time horizon \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| 1997-2000 \| Canada (Quebec) \| Retrospective cohort study \| 33-36 weeks: 2176 ≥37 weeks: 33,879 \| 33-36 ≥37 \| Hospitalisation, physician visits, emergency department visits and prescriptions following initial hospitalisation \| Can$, 2003 \| First three years of life \| \| 2001-2005 \| USA (Arkansas) \| Retrospective analysis of Medicaid claims database \| 34-36 weeks: 5188 37-42 weeks: 15,303 \| 34-36 37-42 \| Hospital inpatient and outpatient care \| US$, price date not specified \| First year of life \| \| 1999-2000 \| USA (Massachuse tts) \| Retrospective analysis of claims database \| 34-36 weeks: 5682 ≥37 weeks: 69,274 \| 34-36 ≥37 \| Health and social services \| US$, 2003 \| Initial discharge to three years \| \| 1996 \| USA (California) \| Retrospective analysis of state-level linked vital statistics and discharge records \| 34-36 weeks: 32,295 ≥37 weeks: 106,087 \| 34-36 ≥37 \| Hospital \| US$, price date not specified \| Initial hospital- ization \| \| 2009-10 \| UK (East Midlands) \| Prospective cohort study \| 34-36 weeks: 984 ≥37 weeks: 1258 \| 34-36 ≥37 \| Postnatal, neonatal, transfers, post- mortems, surgery, investigations, community care, special equipment, adaptations, lost earnings \| £, 2010-11 \| First two years of life \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| 2005-2006 \| Canada \| Retrospective national register study \| Singletons: 34-36 weeks: 9716 ≥37 weeks: 189,750 Multiples: 34-36 weeks: 2370 ≥37 weeks: 2742 \| 34-36 ≥37 \| Hospital \| Can$, price date not specified \| Initial hospital- ization \| \| 2000-2008 \| USA \| Retrospective chart analysis \| Singleton deliveries: 240,179 \| 24-42 \| Hospital \| US$, price date not specified \| Initial hospital- ization \| \| 2006 \| England and Wales \| Decision- analytic model populated with data from administrative population- based databases \| 34-36 weeks: 32,812 ≥37 weeks: 621,618 \| 34-36 ≥37 \| Hospital inpatient, hospital outpatient, community health and social care, education services \| £, 2006 \| First 18 years of life \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| 2004 \| USA \| Retrospective analysis of insurance database \| 33-36 weeks: 1683 ≥37 weeks: 33,745 \| 33–36 ≥37 \| Inpatient hospitalisations, well-infant physician office visits, outpatient hospital services, home health/private nurse, acute care physician office visits, prescription drugs, other professional \| US$, price date not specified \| First year of life \| \| 1970-1993 \| UK (Oxfordshire and West Berkshire) \| Retrospective analysis of linked vital statistics and NHS records financial returns \| 32-36 weeks: 11,728 ≥37 weeks: 226,120 \| 32–36 ≥37 \| Hospital inpatient services \| £, 1998-99 \| First five years of life \| \| 1978-1988 \| UK (Oxfordshire and West Berkshire) \| Retrospective analysis of linked vital statistics and NHS records financial returns \| 32-36 weeks: 4485 ≥37 weeks: 90,236 \| 32–36 ≥37 \| Hospital inpatient services \| £, 1998-99 \| First five years of life \| \| 1998-2000 \| USA (California) \| Retrospective analysis of state-level linked vital statistics and discharge records \| 34-36 weeks: 84,540 ≥37 weeks: 92,421 \| 34-36 ≥37 \| Hospital \| US$, 2003 \| Initial hospital- ization \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| 1998-2001 \| Sweden \| Retrospective analysis of hospital discharge records \| 34-36 weeks: 4727 ≥37 weeks: 16,852 \| 34-36 ≥37 \| Hospital \| €, 2001 \| First year of life \| \| 1989-1992 \| USA (Alabama) \| Retrospective analysis of hospital charts and billing database \| 34-36 weeks: 103 ≥37 weeks: 197 \| 34-36 ≥37 \| Hospital \| US$, price date not specified \| Initial hospital- ization \| \| 2006-2012 \| Netherlands \| Retrospective analysis of one prospective cohort study and three randomised controlled trials \| 4,552 1090 singletons 3462 multiples \| 24–28 28–32 32–36 ≥37 \| Hospital \| €, 2011 \| Initial hospital- ization \| ± Cost per live birth unless otherwise stated.
Misguided policies risk breaking up the eurozone and the EU Stefano Micossi No. 260, December 2011 Remembering Tommaso Padoa-Schioppa I met Tommaso Padoa-Schioppa in the early 1970s as a new young professional in the Research Department of Banca d'Italia, where he was head of the monetary policy unit. Many of us newcomers, fresh from American graduate studies, were appalled by the Bank's monetary approach, replete with quantitative controls and administrative measures to channel funds to an insatiable Treasury. prejudices of his profession and push forward institution-building with feasible arrangements that could muster the necessary political support. Tommaso, who already participated in the bank's inner policy-making circle, often sobered our fervent criticisms with irony; but it was he who first proposed to the Bank to abandon fixed rates in Treasury bill auctions, opening the way to the complete independence of monetary policy that was to come in the 1980s. Those open exchanges, in an atmosphere of strong commitment to public service, created solidarities and friendships that have lasted up to today, in spite of divergent professional paths. In the last years of his life, like many of us, he was deeply concerned for the waning support for the European project. He considered the European construction the most compelling bequest of the 20 th century in the domain of political institutions. "Nowadays we know, and we must tell our children and teach in our schools that the will to power of nation states as well as individuals may be channelled through a rule eventually capable of depriving it of its capacity to overwhelm and destroy" (quote from his book L'Europa forza gentile, Il Mulino, 2001, pp. 13-14, my translation). Tommaso's approach to European affairs was a unique combination of vision and realism. An economist by training, over and over again he showed a special ability to rise above the But he saw that the construction of Europe was incomplete and he often repeated, in his late days, that either it would find the compromises necessary to strengthen its institutions – notably in the economic domain – or it could go into reverse and break down. He was also convinced that the time of technocratic and elitist decisions was gone and the imbalance between democratic member states and technocratic European institutions had become a straightjacket suffocating further progress. Stefano Micossi is Director General of Assonime, Visiting Professor at the College of Europe in Bruges, Member of the Board of Directors of CEPS and Chairman of the Board of CIR Group. This paper was prepared for presentation at a conference in memory of Tommaso Padoa-Schioppa, hosted by Banca d'Italia in Rome on 16 December 2011, and is an updated and expanded version of Prof. Micossi's latest CEPS Policy Brief No. 258, "Agreement needed on liquidity provision to restore confidence in the eurozone", November 2011, following the European Council of December 8 th and 9 th . CEPS Policy Briefs present concise, policy-oriented analyses of topical issues in European affairs, with the aim of introducing the views of CEPS' researchers and associates into the policy-making process in a timely fashion. Unless otherwise indicated, the views expressed are attributable only to the author in a personal capacity and not to any institution with which he is associated. Available for free downloading from the CEPS website (www.ceps.eu) © Stefano Micossi, 2011 Unfortunately, he was right and his fears were well grounded. Poor leadership has transformed a small debt crisis into a confidence crisis that is threatening the very survival of our monetary union. And, as I will argue, treaty changes under discussion are mainly motivated by political expediency and cannot tackle the existential problems affecting the eurozone and the Union. Crisis management is failing The entire European construction is at risk. Unfortunately, Tommaso is no longer with us to help sort out the incredible mess created by shortsighted political leaders. Some eighteen months past the first Greek rescue (May 2010), crisis management in the euro zone has clearly failed to restore confidence. Indeed, following each round of emergency measures matters have turned for the worse (see Figure 1 showing the widening spreads, over the German Bund, for sovereign borrowing in the eurozone). The solemn decisions of the December 9 Eurosummit already seem in tatters. Figure 1. 10-years government bonds spread vs. German bund, 1 Dec. 2009 – 12 December 2011 (%)* [2] 18 October 2010: Deauville agreement between France and Germany destabilises financial markets. [3] 24-25 March 2011: European Council agrees on new economic governance. [4] 21 July 2011: Eurozone leaders agree on a rescue package for Greece and EU crisis management framework but announce 20% loss on Greek debt for private investors. [5] 26 October 2011: Eurozone economic governance tightened, liquidity support still weak, losses for private creditors raised to 50%. [6] 8-9 December 2011: European Council reaches bungled agreement on Treaty reform and financing arrangements that fails to convince markets. * Daily data. Source: Financial Times on Thomson Reuters. Meanwhile, contagion has spread beyond Spain and Italy to the core sovereigns. France is close to losing its Triple A rating and spreads over the Bund have opened up for Austria, Belgium, Finland, The Netherlands. Even Germany has experienced partial failure in a Bund auction on November 23. The banking system Europe-wide is under increasing strain, with term funding all but closed for any bank with significant exposure to distressed sovereign debtors and the interbank market close to seizing up. Deposit withdrawals have surfaced in a number of large banks from the periphery. The euro has started to weaken in foreign exchange markets, narrowing the room for a distinction between the eurozone debt crisis and the euro-currency crisis from which some observers were until recently drawing comfort. These developments raise once again the fundamental question: what is it that is not working? Why is it that dramatic changes in our policies and institutions within the eurozone are failing to halt the meltdown of confidence? An answer is needed, and needed soon – because along this path the breakdown of the eurozone is a concrete possibility. Reform under way in the eurozone One important strand of opinion, notably in Germany and other Northern European countries, maintains that the culprit is lax fiscal policies and excessive debt accumulation by some eurozone member states. Greece, for one, is defaulting on its debt obligations, despite very harsh corrective measures – albeit its plight have been aggravated by its economy, as a consequence, going into free fall and its political system coming under close-to-unbearable strain to keep the austerity course. But the numbers are small and would not endanger the solidity of Europe's banking system even under extreme hypotheses of debt restructuring. Ireland, Portugal and Spain have adopted public sector consolidation measures and market reforms which have won good marks by the Commission, the ECB and the IMF; and indeed their sovereign interest rate spreads over the German Bund were all receding – dramatically so for Ireland – up until the latest round of meetings by the Eurosummit at end-October and early December (Figure 1). Last summer sovereign selling pressures extended to Italy, which has a small deficit but a large debt-to-GDP ratio (120%). Eventually, harsh budgetary measures, including a sweeping pension reform, were decided to anticipate budgetary balance to 2013, and a fresh round of structural reforms and market opening measures were decided. Meanwhile, the economy is falling into recession and the spread over the Bund remains in the upper-400-basis-points region. In sum, budgetary consolidation seems well under way in all 'sinning' countries together with long-awaited structural reforms. Based on IMF forecasts to 2016, after increasing in the aftermath of the 2008-09 financial and economic crisis, sovereign debts are expected to stabilise at manageable ratios to GDP in all of the eurozone countries except Greece – but will not decline, due to persistently slow growth. And market assessments of their sovereign debts are barely improving. Furthermore, the eurozone suffers from large competitive imbalances between its members which are reflected in large and growing imbalances in current external payments. Germany and the Netherlands in 2011 are expected to record current external surpluses close to 6% of GDP, with their counterpart largely represented by deficits in the eurozone periphery – with the exception of Ireland that has a 3% surplus. With the unfolding confidence crisis, the increase in private savings in the periphery has prompted large widening of public sector deficits, while private capital flows turned away from the periphery and the financing of external deficits fell almost exclusively on official sources – showing up as ECB Target balances. This evidence has prompted some authors to read the ongoing crisis in the eurozone as a balance of payment crisis. 1 Thus, the eurozone has turned into a straightjacket where everyone is tightening budgetary policies, growth falters and, in addition, the periphery countries must engineer substantial real exchange rate devaluations to regain competitiveness and reabsorb their external deficits – while the core countries will do 1 Hans-Werner Sinn and Timo Wollmerschauer, "Target Loans, current account balance and capital flows: the ECB's rescue facility", NBER Working Paper 17626, National Bureau of Economic Research, Cambridge, MA, November 2011. nothing to strengthen aggregate demand and relieve pressure on their partners. Thus, if the periphery succeeds, both the core and the periphery will suffer from falling aggregate demand; if it doesn't succeed, either the deficits will continue to be financed, leading to further accumulation of external debt, or the entire eurozone will fall into depression, with sovereign debtors eventually defaulting on their liabilities. 2 This unsustainable policy pattern may be at least in part responsible for the crisis of confidence gripping the eurozone. If this is the case, a lasting solution will have to include credible measures to raise the eurozone growth rates – a theme notably absent, so far, in the Eurosummit agendas. Stronger economic governance Meanwhile, economic governance in the eurozone has been strengthened to unthinkable heights as regards both substance and enforcement procedures. The Integrated Policy Guidelines of Article 121 TFEU are now assisted by legally binding enforcement procedures, while the European Semester ensures ex-ante coordination of economic policies and timeconsistent decision-making processes in the Member States and the European Council. And the Eurosummit has formalized a new governance structure for the euro area entailing regularly meetings of the Heads of State or Government ("at least twice a year") and a permanent presidency; a strengthened role of the Eurogroup which will set up its own permanent structure in Brussels; and a special monitoring committee comprising the presidents of the Eurosummit, the Commission and the Eurogroup which will meet "at least" once a month. The excessive deficit procedure has been reinforced in both its preventive and corrective arm, and now includes fresh constraints on the growth of public expenditures and operational criteria for public debt reduction (the '1/20 rule'); and there is a new procedure, also legally binding and assisted by sanctions, for the correction of 'excessive economic imbalances', explicitly targeting competitive imbalances and their underlying causes. The Euro-Plus Pact details the enhanced policy commitments of eurozone 2 Martin Wolf, "A disastrous failure at the summit", Financial Times, 14 December 2011. members for budgetary stability, structural reforms and market opening. Eurozone members are also required to strengthen their national budgetary frameworks with the adoption of multi-year planning, topdown decision-making procedures and independent evaluation agencies. Italy and Spain have already decided to insert balance-budget rules in their constitutions. The European Commission has been given independent powers to signal emerging deviations form agreed policy guidelines, and make recommendations to the Council on the opening of formal procedures, down to the phase of sanctions, that the Council can only reject or weaken with 'reverse' qualified majorities. New proposed Regulations, now before Council and Parliament for approval, will require eurozone member states to present their draft budgets at the same time each year and, before national parliaments decide on them, give sufficient time to the Commission to assess them and, if need be, ask for revisions when it considers that the draft budget violates the Stability and Growth Pact. Stronger provisions are envisaged for eurozone countries in excessive deficit procedure. 3 Against this background, it is worth dwelling for a moment on the new decisions on economic governance taken by the Eurosummit on December 9. Once again, failure of the previous Eurosummit, on October 26, to halt financial turmoil, raised pressure on Germany to expand liquidity support in eurozone sovereign debt markets. Once again, half-baked, unconvincing measures to that effect were accompanied by new demands to tighten the governance screws, so as to appease a recalcitrant domestic public. Enters the new "fiscal compact". 4 3 Proposal for a Regulation on common provisions for monitoring and assessing draft budgetary plans and ensuring the correction of excessive deficit of the Member States in the euro area, COM(2011)821 of 23.11.2011, and a Regulation on the strengthening of economic and budgetary surveillance of Member States experiencing or threatened with serious difficulties with respect to their financial stability in the euro area, COM(2011)819 of 23.11.2011. 4 These requests were anticipated by President Draghi of the ECB in his Statement before the European Parliament on December 1, where he stated that "I am confident that the new surveillance framework will restore confidence A treaty change will oblige eurozone members to adopt a balanced-budget rule in their constitutions, and the European Court of Justice will be empowered to verify their correct transposition in national legislations. Members in excessive deficit shall submit an 'economic partnership' programme detailing the necessary structural reforms to ensure an 'effectively durable' correction of their deficits. And a mechanism will be put in place for the ex-ante reporting by Member States of their national debt issuance plans. The deficit and debt-reduction obligations under the excessive deficit procedure will be 'enshrined in new provisions', and there will be mechanisms for the automatic correction of any slippages. With national budgetary powers for sinners and potential sinners transferred to a new "compact" governed by Germany and managed on her behalf by a Committee made up by the presidents of the Eurosummit, the Commission and the ECB (with the IMF in attendance). One wonders whether all this is really feasible, technically and politically. For one thing, economic policy is a fairly complex matter, and past experience may reveal a poor guide to future decisions - as was the case with the deficit and debt criteria, which famously failed to detect developing imbalances in the private sector in the Irish and Spanish economies. For another, interactions between the Member States would be entirely overlooked, which seems quite odd in a highly integrated area: for instance, would an exogenous increase in the propensity to save in Germany always have to be met by a deflationary adjustment in Italy? As for the proposed treaty change, for the second time in less than a year 5 a fundamental change in common policies in the eurozone would be enacted with an intergovernmental treaty outside the Union framework - opening the way to an over time. I am also quite sure that countries overall are on the right track. But a credible signal is needed to give ultimate insurance over the short run . What I believe our economic and monetary union needs is a new fiscal compact – a fundamental restatement of the fiscal rules …" (my italics). Thus, rather than large liquidity supply, the 'big bazooka' to stabilize financial markets in the short term is a new fiscal rule. 5 The first was the amendment to Article 136 TFEU to set up the ESM. 5 awkward combination of German direct rule over national fiscal policies under French intergovernmentalism. Thus, the UK veto offered the pretext for a solution that fitted well with the Franco-German intentions but is potentially disruptive for the entire Union. First, there is a need to clarify why, in order to strengthen the legal underpinning of the new governance obligations, the leaders did not consider the possibility of using Article 136 TFEU, which empowers to "adopt measures specific to those member states whose currency is the euro". Most, if not all of the measures of strengthened economic governance could be adopted under this legal basis – with the exception perhaps of the balanced budget 'golden rule', which is already in the Euro-Plus Pact and could anyway be turned into a political commitment. Incidentally, Article 136 procedure would allow to proceed more speedily, with qualified majority voting of eurozone members in the Council (unanimity only for provisions relating to the excessive deficit procedure), while the treaty changes envisaged by the Franco-German duo could well require two-to-three years to come into effect, barring an adverse referendum in some members (e.g. Ireland). Second, and more important, the treaty may well be reopened, but then more fundamental questions concerning the fiscal union would inevitably arise: including issues of explicit centralization of budgetary powers and related legitimizing controls at eurozone level, as well as the relation to be built between the Union and the eurozone institutions. More broadly, building up enhanced cooperation for economic policies outside the Union legal framework could over time damage the latter irreparably, owing to the temptation to pick and choose the most convenient legal framework in response to contingent political goals. The foreign currency syndrome Far from abating financial turmoil, the announcement of ever harsher governance measures has apparently provided fresh fuel to the fire. Either the announcements lack credibility – which does not seem the case, with policies on the right track everywhere - or there is something else which is missing in the leaders' policy responses. For one thing, non-eurozone countries, such as the US and the UK, not to mention Japan, with its mountainous public debt, have no problems in selling their paper, while within the eurozone even countries with a smaller debt/GDP ratio than Germany – Austria, Finland and the Netherlands – must pay a positive spread over the Bund on their government issues. Thus, the eurozone seemingly suffers from some special disease. That disease is the 'foreign currency syndrome' that was brought into full light by Professor Paul De Grauwe. 6 Please note that if Professor De Grauwe is right – as I believe he is – then in all likelihood we are letting financial markets push us onto a path of excessive deflation that may eventually frustrate our efforts at budgetary consolidation – Greece docet. 7 The fundamental difference between a country which is a member of a monetary union and a country which has its own currency is that the former needs the permission of an institution that it does not control to increase liquidity – say to compensate for an outflow of liquidity through the banking system or stabilize the government bond market – while the latter does not. To each of the monetary union members, to all practical purposes the euro is like a foreign currency, since no one enjoys access to the euro printing press. As a consequence, eurozone members are exposed to currency runs. Such a system can switch rapidly from 'fair weather', where foreign currency risks are underpriced, to 'bad weather' where risks become overpriced. In the second scenario, the explosion of financing costs can make fears of a run self-fulfilling. The switch from 'fair weather' to 'bad weather' is not an entirely unpredictable event. A further feature of the monetary union is that one monetary policy must fit all – regardless of divergent prices and wages, productivity, market structure, public spending and taxation. When a country with higher inflation and structural rigidities joins a monetary union, initially it typically finds itself awash with liquidity, since the foreign-exchange risk premium disappears, real interest rates turn negative and borrowing becomes an irresistible bargain. Meanwhile, its 6 De Grauwe, P (2011), "The Governance of a Fragile Eurozone", CEPS Working Documents, CEPS, Brussels. 7 Latin for 'teaches'. real exchange rate will appreciate and business competitiveness will suffer, leading to rising unemployment; but abundant credit will encourage to postpone adjustment and preserve inefficient jobs with public money. Public spending will rise and the public sector deficit will widen, while politicians will thrive on distributing subsidies and protections to broaden electoral consensus. Lax financing conditions may prevail for quite a long time, but sooner or later they are bound to come to a halt, as growing external and public sector deficits become unsustainable. Till one day, typically as a consequence of some exogenous shock, investors flee, liquidity evaporates and the divergent country finds itself unable to refinance its debts in private markets at acceptable prices – as it happened to Greece and Portugal. A variant of the model is one in which the economy in the divergent country experiences a real estate boom and rapid economic expansion, leading to unsustainable private indebtedness, while the public sector stays in good health thank to buoyant growth. But again, the real estate boom must come to an end and, when house prices start falling, private debts cannot be serviced and lending financial institutions become insolvent. Governments are then obliged to step in and rescue the banks: this is where unsustainable private indebtedness is turned into large government debt – as happened to Ireland and (to a lesser extent) Spain. Thus, lax and divergent national policies do carry responsibility for the sudden switch in confidence. When that happens, even countries that did not run divergent policies or, at any rate, maintain manageable exposures in 'fair weather', may find themselves unable to manage them after the shift to 'bad weather'. With an extra ingredient: which is that national banking systems have in the meantime become highly interconnected – as 'core' country banks over-lent to divergent country banks and governments. Thus, any doubts on the sustainability of sovereign obligations in divergent countries are readily transformed into doubts on the sustainability of the banking system in the core, stable countries. Confidence in financial markets is a fickle commodity, that may evaporate quite rapidly unless investors can be reassured that a liquidity crisis will not be allowed to develop into a solvency crisis for one member after another of the monetary union. Which is what has happened in the eurozone since Greece was first bailed out in May 2010. Liquidity support and debt restructuring A confidence crisis spreading contagion even to the 'sound' part of a monetary union can be stopped by abundant supply of liquidity by the central bank or by a common fund performing the same service, conditional on appropriate policy conditionality, with resources lent by the central bank or raised in capital markets – and in all likelihood both are needed, in some appropriate combination. Failure by the Eurosummit to agree on a strong and effective rescue fund has stiffened the ECB, which fears that losses on its distressed sovereigns holdings may one day force to turn to national governments for capital, and thus lose independence. Two stumbling blocks have so far impeded adequate liquidity support. The first one is fear that liquidity will reduce pressure on 'sinners' to adjust. All arguments that sinners are now mending their ways, under much strengthened common economic governance arrangements, have so far failed to convince – even if, as I have recalled, policies have turned in the right direction everywhere. Some will not be satisfied till they have direct powers by the union to intervene and change national policies, when these deviate from their policy commitments. However, everyone should be aware that even the best policy course will need time to produce its effects; in the meantime, adequate financing flows must be maintained, or adjustment policies will fail to prevent a currency run. The second ingredient in the unfolding drama is the intermingling of liquidity support and fiscal transfers, which inevitably arises if some of the countries under life support become insolvent and thus require debt restructuring. In this regard, Germany is adamant that liquidity support can never entail fiscal transfers – which would breach the no-bail out provision of the treaty (e.g. Article 125 TFEU) – and have on this account maintained strong pressure on the ECB to limit its open market operations in support of distressed sovereigns. In reality, if adjustment works, there is no reason why liquidity support should be turned into fiscal transfers. To the extent that confidence is hit by fears of insufficient liquidity, the simple act of restoring adequate liquidity would stop the run and make insolvency, and the need for fiscal transfers, unlikely. On the other hand, if there is a collapse of liquidity, fiscal transfers may become inevitable at least to rescue own (German) banks, following the chain-collapse of all other sovereign debtors in the union. Germany has also insisted that the private sector should share the burdens of any debt restructuring. As a result of disastrous communication, private sector involvement (PSI) has become a promise of losses on all outstanding eurozone sovereign exposures, without sufficient differentiation. Thus investors have started to dampen most eurozone sovereigns; even Germany has been affected. A cursory look at Chart 1 will confirm that contagion really started following the Franco-German announcement in Deauville that PSI would be part of any financial assistance programme, in October 2010. Two further jumps in the spreads are clearly associated with the July and October, 2011, meetings of the Eurosummit, as the announcements of rising 'haircuts' on Greek debt have combined with inadequate liquidity support for the other distressed debtors in making private investors in eurozone sovereigns run for the door. The disgraceful insistence on private sector participation has now been abandoned, and our wise leaders have reverted to "the well established IMF principles and practices" whereby each case is assessed on its own merits and there is no presumption of losses for private investors in connection with financial assistance programs. Also the EFSF, later the ESM, will be allowed to lever its resources and the unanimity rule in decision making will be substituted by qualified majority voting (with an 85% majority). In general, recent decisions have once again failed to convince financial markets that the liquidity problem has been tackled. The ESM has not gained liquidity access to the ECB, as had been envisaged by President van Rompuy in his preparatory note for the summit; the total available resources have been raised, perhaps, but it is not sure. The Eurogroup is still struggling to make sense of the cumbersome arrangements that have been proposed to lever the EFSF resources. The persistent refusal to back EFSF obligations with the joint and several guaranty of eurozone members has left financial markets uncertain as to whether individual guaranties will be sufficient, as more and more members are hit by contagion. And everyone is puzzled by the fact that eurozone members are willing to put up euro 200 billion in credit lines for the IMF to defend the euro, hoping that more will come from the emerging world, while they are not willing to do it directly with the EFSF and the future ESM. The only new development was the announcement by the ECB of a new unlimited term-lending facility for banks, whose undeclared but transparent purpose is to encourage banks to buy sovereigns again. The snag in the scheme is that banks are not likely to buy securities that eurozone governments are collectively unable to support. Continuing to try to circumvent problems, rather than tackling them, will not do. Thus, it looks like till the next summit we are in for further turmoil, which no doubt will lead to more requests by Germany for stronger economic governance rules. As Albert Einstein once famously remarked: "Folly is doing the same thing again and again, and expecting different results". In conclusion The eurozone has proven so far collectively unable to develop a convincing economic strategy to revive economic growth, bring excessive public debts back to normal levels, restructure the Greek debt, and raise credible liquidity walls around the other distressed sovereigns. Meanwhile, the costs of adjustment in divergent countries are ballooning thanks to rising interest rates and falling activity, heralding further budgetary cuts and further deflation. The Eurosummit has to go back to the drawing board and agree on a less unbalanced policy combination between discipline, liquidity support and growth policies. If it cannot be done, the risk that the eurozone and the Union will break up, with gigantic economic dislocations, will stay high. As to proposed new fiscal compact by intergovernmental treaty, it is already clear that it will go nowhere: which is good, since the Union institutions might suffer fundamental damage if they were to go down that road. The ready alternative is to follow the Article 136 procedure, which allows eurozone members to insert in the TFEU special provisions applicable only to themselves. ABOUT CEPS Founded in Brussels in 1983, the Centre for European Policy Studies (CEPS) is widely recognised as the most experienced and authoritative think tank operating in the European Union today. CEPS acts as a leading forum for debate on EU affairs, distinguished by its strong in-house research capacity, complemented by an extensive network of partner institutes throughout the world. Goals * Carry out state-of-the-art policy research leading to innovative solutions to the challenges facing Europe today, * Maintain the highest standards of academic excellence and unqualified independence * Act as a forum for discussion among all stakeholders in the European policy process, and * Provide a regular flow of authoritative publications offering policy analysis and recommendations, Assets * Multidisciplinary, multinational & multicultural research team of knowledgeable analysts, * Participation in several research networks, comprising other highly reputable research institutes from throughout Europe, to complement and consolidate CEPS' research expertise and to extend its outreach, * An extensive membership base of some 132 Corporate Members and 118 Institutional Members, which provide expertise and practical experience and act as a sounding board for the feasibility of CEPS policy proposals. Programme Structure In-house Research Programmes Economic and Social Welfare Policies Financial Institutions and Markets Energy and Climate Change EU Foreign, Security and Neighbourhood Policy Justice and Home Affairs Politics and Institutions Regulatory Affairs Agricultural and Rural Policy Independent Research Institutes managed by CEPS European Capital Markets Institute (ECMI) European Credit Research Institute (ECRI) Research Networks organised by CEPS European Climate Platform (ECP) European Network for Better Regulation (ENBR) European Network of Economic Policy Research Institutes (ENEPRI) European Policy Institutes Network (EPIN)
ORDER OF WORSHIP October 23, 2022 – 9:00 a.m./10:30 a.m. Twentieth Sunday after Pentecost Theme: Peace As We Gather Do you know the 7 deadly sins? Lust, Gluttony, Greed, Sloth, Wrath, Envy, Pride. Do you wrestle with any of these? Do any have a special appeal to you. We are going to talk about one of these today, maybe it is one you struggle with? Prayer Before Worship Lord, make me an instrument of your peace: where there is hatred, let me sow love; where there is injury, pardon; where there is doubt, faith; where there is despair, hope; where there is darkness, light; where there is sadness, joy. O divine Master, grant that I may not so much seek to be consoled as to console, to be understood as to understand, to be loved as to love. For it is in giving that we receive, it is in pardoning that we are pardoned, and it is in dying that we are born to eternal life. Amen. Peace Prayer of Saint Francis Mystery Prelude Steve SeGraves, piano (Sponsored by Pam Dundas in celebration of Mike Dundas' birthday.) Opening Hymn Have Thine Own Way Lord 1. Have Thine own way, Lord! Have Thine own way! Thou art the Potter, I am the clay. Mold me and make me after Thy will, While I am waiting yielded and still. 2. Have Thine own way, Lord! Have Thine own way! Search me and try me, Master today! Whiter than snow, Lord, wash me just now, As in Thy presence humbly I bow. 3. Have Thine own way, Lord! Have Thine own way! Wounded and weary, help me, I pray! Power, all power, surely is Thine! Touch me and heal me, Savior divine! Order of Service P: In the name of the Father and of the + Son and of the Holy Spirit. C:Amen. Sacrament of Holy Baptism - 10:30am (Following the Baptism, our worship continues with the Children's Message) Child: Audrey Jackelyn O'Kelly Parents: Daniel & Shanda O'Kelly Godparents: Lisa O'Kelly and Joy Soust P: Make haste, O God, to deliver me. C:Make haste to help me, O Lord. P: The sacrifices of God are a broken spirit. C:A broken and contrite heart, O God, thou wilt not despise. Glory be to the Father and to the +Son and to the Holy Ghost; as it was in the beginning, is now and ever shall be: world without end. Amen. Children's Message - 10:30am Anthem (9:00am) Come Thou Fount of Every Blessing - arr. Paris Alison Ristovski, vocalist (10:30am) Prayer Chorus - by Porter Chancel Choir Old Testament Reading Leviticus 19:16-18 (Love your Neighbor) '"Do not go about spreading slander among your people. Do not do anything that endangers your neighbor's life. I am the Lord. Do not hate a fellow Israelite in your heart. Rebuke your neighbor frankly so you will not share in their guilt. Do not seek revenge or bear a grudge against anyone among your people, but love your neighbor as yourself. I am the Lord.'" Epistle Reading Romans 12:9-21 (Love in Action) Love must be sincere. Hate what is evil; cling to what is good. Be devoted to one another in love. Honor one another above yourselves. Never be lacking in zeal, but keep your spiritual fervor, serving the Lord. Be joyful in hope, patient in affliction, faithful in prayer. Share with the Lord's people who are in need. Practice hospitality. Bless those who persecute you; bless and do not curse. Rejoice with those who rejoice; mourn with those who mourn. Live in harmony with one another. Do not be proud, but be willing to associate with people of low position. Do not be conceited. Do not repay anyone evil for evil. Be careful to do what is right in the eyes of everyone. If it is possible, as far as it depends on you, live at peace with everyone. Do not take revenge, my dear friends, but leave room for God's wrath, for it is written: "It is mine to avenge; I will repay," says the Lord. On the contrary: "If your enemy is hungry, feed him; if he is thirsty, give him something to drink. In doing this, you will heap burning coals on his head." Do not be overcome by evil, but overcome evil with good. Response: Hallelujah, hallelujah, hallelujah! Anthem God Our Help in Ages Past - arr. McChesney Redeemer Ringers Gospel Announcement Response: Glory be to Thee, O Lord! Gospel Reading Matthew 5:21-24 (Do not be angry with each other) "You have heard that it was said to the people long ago, 'You shall not murder, and anyone who murders will be subject to judgment.' But I tell you that anyone who is angry with a brother or sister, will be subject to judgment. Again, anyone who says to a brother or sister, 'Raca,' is answerable to the court. And anyone who says, 'You fool!' will be in danger of the fire of hell. Therefore, if you are offering your gift at the altar and there remember that your brother or sister has something against you, leave your gift there in front of the altar. First go and be reconciled to them; then come and offer your gift." Response: Praise be to Thee, O Christ. Confession of Faith - 9:00am (At the 10:30 service, the statement of faith was spoken during the Baptism) I believe in God the Father Almighty, Maker of heaven and earth. And in Jesus Christ, his only Son, our Lord; who was conceived by the Holy Ghost, born of the Virgin Mary; suffered under Pontius Pilate, was crucified, dead, and buried; he descended into hell; the third day he rose again from the dead; he ascended into heaven and sitteth on the right hand of God the Father Almighty; from thence He shall come to judge the quick and the dead. I believe in the Holy Ghost; the holy Christian Church, the communion of saints; the forgiveness of sins; the resurrection of the body; and the life everlasting. Amen. Sermon Hymn Prayer of St. Francis Make me a channel of Your peace, where there is hatred, let me bring Your love. Where there is injury, Your pardon Lord and where there's doubt, true faith in You. Make me a channel of Your peace, where there's despair in life, let me bring hope. Where there is darkness, only light, and where there's sadness, ever joy. Oh Master, grant that I may never seek, so much to be consoled as to console. To be understood as to understand, to be loved as to love with all my soul. Make me a channel of Your peace, it is pardoning that we are pardoned, In giving to all men that we receive, and in dying that we're born to eternal life. Oh Master, grant that I may never seek, so much to be consoled as to console. To be understood as to understand, to be loved as to love with all my soul. Make me a channel of Your peace, where there's despair in life, let me bring hope. Where there is darkness, only light, and where there's sadness, ever joy. Sermon Text: Matthew 5:21-24 "One of the seven deadly sins" Rev. Randall J. Schlak Offertory Create in me a clean heart, O God, And renew a right spirit within me. Cast me not away from Thy presence, And take not Thy Holy Spirit from me. Restore unto me the joy of Thy salvation; And uphold me with Thy free spirit. Amen. Gathering of Offerings At this time, please take a moment to record your attendance here with us today. There are two simple ways to do this: 1. Scan the QR code in the announcements and fill out the online attendance form. 2. Use the worship card folder found in your pew. (Take note that one side of the card is for visitors and the other for members.) Place your finished card in the left-hand sleeve and pass the entire folder to the person next to you. This is also an opportune time for personal prayer and meditation. For help, see the prayers beginning on page 102 of the pew hymnal and the Psalms beginning on page 123. Offertory Song Doxology Thy Strong Word- arr. Behnke Redeemer Ringers Tune: hymn 15 Praise God from whom all blessings flow; Praise Him, all creatures here below; Hallelujah, hallelujah, Praise Him above, ye heavenly host, Praise Father, Son and Holy Ghost! Hallelujah, hallelujah, hallelujah, Hallelujah, hallelujah. Prayer of the Church The Lord's Prayer Our Father who art in heaven, Hallowed be Thy name; Thy kingdom come; Thy will be done on earth as it is in heaven; Give us this day our daily bread; And forgive us our 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 and the power and the glory forever and ever. Amen. Benediction Closing Hymn They will know we are Christians by our love (Favorite hymn of Lynn Duerr, Christina Mee, Samantha Mee, Jacqueline Mee, Barbara Peterson) 1. We are one in the Spirit, we are one in the Lord, we are one in the Spirit, We are one in the Lord, and we pray that all unity may one day be restored: Refrain: And they'll know we are Christians by our love, by our love, Yes, they'll know we are Christians by our love. 2. We will walk with each other, we will walk hand in hand, We will walk with each other, we will walk hand in hand, And together we'll spread the news that God is in our land. Refrain Silent Prayer Postlude Susan Garr, organist Sanctuary altar flowers were placed by David Peterson 8 days postSweetest Day in celebration of his love of Barbara and the blessings our Lord has continued to bestow on our marriage. Sanctuary lectern flowers were placed by the Rolf family in gratitude for the congregation's support for our family and mother Joyce, including prayers, cards, and participation in her funeral. Altar Guild Kathy Eley, Cheryl Schiller, Lynn Duerr, Katie Moigis, Tracey Fish Ushers 9:00 - Keith Lewis, captain; Dave Peterson, Peter Hawkins, Rick Russ, Mike Bacon, John Wagnitz, Arnie Glesmann, Andrew Farah 10:30 - Karl Bushuiakovish, captain; Greg Bloom, John Mills, Walt Sweitzer, Scott Kamm, Brian May Audio and Video Operators 9:00 - Greg Merryman & Tim Holmes 10:30 - Greg Merryman, Tim Holmes & Dave Kiehle Acolytes 9:00 - Brady and Meara SeGraves 10:30 - Colin Dobbs and Blake Dobbs Cross Bearers 10:30 - Eve Tice and Katie Harper Greeters 9:00 - Wiegand Family 10:30 - Dobbs Family Reader 9:00 & 10:30 - Kristen Rolf LUTHERAN CHURCH OF THE REDEEMER – Your Community Church 1800 West Maple Road ✦ Birmingham, Michigan 48009 Visit us at: www.redeemerbirmingham.org for more detailed information Mission: Bringing the love of Christ to a searching world. Church Office Hours Monday – Friday, 9:00am – 4:00pm Phone: (248) 644-4010 / E-Mail: email@example.com Announcements for the week of October 23, 2022 Welcome to Redeemer! No matter your past or present...Your current family or marital status...Your past or current religious affiliation...Your personal history, age, background, or ethnicity...You are invited, accepted, and most welcomed here. May all who walk through our door know that God loves them. We are pleased to have you worship with us. We pray you will return and share God's Word with us again. For information on membership, contact Laura Vowell at (248) 644-4010 x121. Worship/Communion Schedule Sunday 8am – Chapel - Communion 2nd, 4th, 5th Sunday 9:00/10:30am – Gym - Communion 1st & 3rd Sunday 10:30am livestreamed service Go to www.redeemerbirmingham.com and click on VIMEO/LIVESTREAM. Monday Communion after 2nd, 4th, & 5th Sunday 7:00pm – Chapel Out of respect, please do not bring food or drinks into the Sanctuary or Chapel (i.e. coffee, water bottles, etc.). Also, please turn cell phones off or to silent. Thank you for your cooperation. ~Redeemer Board of Elders and Pastors Redeemer Nursery: Infants and children are always welcome in church, but if you choose, our nursery is available during 9:00 and 10:30am Sunday worship services for children 3 and under. You are welcome to bring your child to the nursery at any time during the service. WORSHIP ATTENDANCE: Scan this QR code and fill out the online attendance form. CAN-DO! FOOD DRIVE FOR THE NEEDY We will be collecting non-perishable food items now through Sunday, Nov. 13th. There will be a table in the Town Square for you to put your donations. Please no glass jars or expired items!! REFORMATION SUNDAY - OCTOBER 30TH Pastor CJ Luttinen was born and raised in Birmingham, MI and is a son of the congregation, having been baptized, confirmed, married, and ordained at Redeemer. He is a graduate of Concordia Ann Arbor and Concordia Seminary St Louis. CJ and his wife Katie have since served in Boca Raton, FL at St Paul Lutheran (2013, Vicarage), New Orleans, LA at First English Lutheran (15-18), and presently in Mobile, AL at Holy Cross Lutheran (1822). He also serves as chaplain at Davidson High School and as a coach in Pastoral Leadership Institute. Guest Preacher at 8/9/10:30am: CJ Luttinen Sermon Title: "Reformed" (John 8:31-36) Calling all 3rd graders!!! Next Sunday, Oct. 30th it's your turn to receive your very own Bible!! Families should have received an email from Nicole Olds with all the important information. If you didn't please contact her!! COMMUNION NEWS If you would like communion to be brought to you, please let an usher know before the service begins and they will be sure that you are accommodated. Due to All Saint's Day Services on Sunday, November 6th communion will NOT be offered at the 9/10:30am services. It will be offered at the Sunday 8:00am and Monday 7:00pm services that weekend instead. All Saints' Day: Sunday, November 6 In keeping with an old All Saint's Day tradition, during our worship services, we will remember the following people who were born to the Church Triumphant in the past year: Paul Bechler, John Booth Beresford, James M. Bergstrom, Harold "Jim" Boyes, John "Jack" Bradley, Michael Earl Cleaver, William Richard "Dick" Clemence, Loraine Virginia Cook, Dorothea J. Dimitry, David Forsyth Gibb, Jean E. Gregory, Altan Y. Hansen, Betty Kay Hansen, Anne N. Harnden, James H. Harnden, Margaret Ann Harris-Phillips, Carl F. Hoehner, Frederick Earl Hollis, Barbara Johnson-Kane, Jerrold Mark Jung, Richard G. Kiehle, Mildred Jane Mayerik, Miriam Koski Mercier, Beverly J. Mohr, Marjorie D. Morkin, Donald Arthur Nummer, Carolyn Marie Oen, Shirley Pariseau, Joyce Rolf, John Henry Rondo, Mary Ann Rainey Rosborough, Janet Carol "Sally" Sawyer, Donald L. Schofield, William Randall Sinischo, Jess Robert Soltess, Ryan Harth Steigerwald, Chris Joseph VanderZon, Donato "Danny" Violante, Alan James Whitfield, Charles Edward Woods, Sandra Lee "Sandy" Wooster-Craig If you feel we have missed someone, please call the church office. You will also be able to come up to the altar and light a candle for a loved one that passed away. If you have a loved one on the list, you can carry in their candle. Please contact Laura Vowell if you would like to do this. We will also be dedicating the new Columbarium after the 10:30am service (roughly 11:30am) and reading the names of all who are laid to rest there. All are welcome to attend. WOMEN'S MINISTRY WOMEN'S BOOK GROUP: Join our Women's Tuesday Night Book Group October 25 at 7:30pm in the Town Square to enjoy a discussion of The Seamstress by Allison Pittman. See the October Lamp for the full book summary! WOMEN'S TUESDAY NIGHT BIBLE STUDY began Part 2 of "The Chosen" on September 13 and continues through November 1. We begin at 6:30pm (except for the fourth Tuesday of the month when we meet at 6:00pm). Join us! Hour Detroit is presenting an introduction to "Van Gogh in America." The DIA is previewing 74 paintings of artist Vincent Van Gogh. Connect with the Hour Detroit link: youtube.com/watch?v=QHkXT2cvPel for a sneak peek at this one-of-a-kind tour. Sign up today on the Town Square bulletin Board to join us on Tuesday, October 25, at 11:30am for the tour with lunch following at 1:00pm in the Kresege Courtyard. Use the John R entrance and meet Denise in the lobby. Tickets are $14.00. Tickets must be paid for prior to the tour. See Kitty! DATES TO REMEMBER: Advent by Candlelight – Tuesday, December 6 Women's Retreat – March 3 & 4, 2023 J.A.M.S. Jesus and Middle Schoolers JAMS Game Night! Dodgeball! Aliens in the Church! Pizza! Ice Cream Sundaes! AND MORE! Don't miss out on all of this fun with your friends! Middle School kids in grades 6-8 are invited to the JAMS Game Night on Friday, November 11th from 5:30pm – 8:30pm! Friends are always welcome! The cost is $10 in advance or $15 at the door! Grab a permission slip from outside Laura's office or download one via the church website. Contact Laura Vowell (firstname.lastname@example.org) with questions or concerns. You're Invited to: Wear blue or green! Bring your lawn chairs and picnic baskets/grills/coolers to Our Shepherd's Tailgate Gathering on the Church campus to watch Michigan vs. Michigan State football on a FOURTEEN FOOT VIDEO WALL, with sound to match! Come root for your team and enjoy fun and fellowship with your Our Shepherd brothers and sisters in Christ. This is a family-friendly event for all ages! BYOB, no hard liquor please. Questions: Contact Cindi Hodgman at 586-942-5745 or email@example.com. Our Shepherd's Michigan vs. Michigan State Tailgate October 29, 7:30pm (Parking open one hour before game time) Birmingham Concert Band Presents: BCB Time Machine (in Redeemer's Sanctuary). October 23, 3:00pm. Celebrating 45 years of Musical Excellence. Presenting music from the past to the present! Welcoming new members in all sections!!! www.birminghamconcertband.com WAYS TO SERVE REDEEMER PARTICIPATE IN WORSHIP! Be a Reader! Be a Greeter! Host a Coffee Hour! Be an Acolyte or Cross Bearer! Sponsor Altar Flowers! Sign-up on the front page of the church website by clicking on the "ways to serve Redeemer" box or call the church office! Cross Bearers Needed! There are two cross bearers needed for each service in which the choir is participating. ANYONE interested in serving this special ministry is encouraged to volunteer. Signup can be done on the acolyte schedule, a link to which is on the church website. Any questions can be directed to Pam Lucas, firstname.lastname@example.org, who will also provide training. Let's fill up all the slots! In honor of the baptism of Audrey Jackelyn O'Kelly a $50 donation in her name has been made to Care Net Pregnancy Center of Berkley. Care Net Pregnancy Center exists to present the Gospel of Jesus Christ and communicate Biblical truth regarding sexuality and the sanctity of human life. To find out more about Care Net and the ministry they provide and ways you can help, call (248) 545-6411 or carenetberkley.com. Also, by the generous donation in memory of Rosa Stauffer, a few drops of water from the Jordan River have been added to the baptismal water. GIVE ONLINE!!!! If you choose to give online, we have cards in the pew for you to place in the offering basket indicating you have donated online. You can give online by visiting redeemerbirmingham.org and clicking the "GIVE" box on the home page or by scanning this QR Code. 2023 Our Sunday Visitor Envelope Update In an effort to reduce costs, as of January 1, 2023, no more Mission or Seminarian Fund envelopes will be mailed. This will allow any money donated to go 100% to these funds (as opposed to the cost of the envelope). You can simply note in the memo of your check the intended fund or place cash in a labeled envelope. If you no longer wish to receive envelopes in the mail, please contact the church office. Thank you! Leadership Team Meetings: The Redeemer Leadership Team, responsible for the general welfare of the congregation including budgetary guidance, meets the second Wednesday of each month at 7:30pm in the Great Room. Our next meeting will be November 9. Should you have a discussion topic you would like addressed, please direct it to email@example.com and grant some time for a response. ADVENT BY CANDLELIGHT 2022 We are back and looking forward to Advent by Candlelight, Tuesday, December 6th in our new Sanctuary! If you would like to host a table and invite your friends to join us in a Christ filled program featuring scripture, music, thoughtful stories with a focus on our journey through Advent….. then come share this evening with us! Hostess sign up is Sunday, October 30 at 7:30-8:00a.m, in the library. (We will also be available during coffee hour between the 9:00 and 10:30 services.) You will select your table location and your pew location at that time. If you cannot be present you can have a proxy sign up for you (one proxy per hostess). Or you can simply call Kitty and tell her to sign you up for a table/pew anywhere and you will be assigned at the end of registration on October 30. If you have never hosted a table at ABC then now is the time. Invite 7 friends/family to join you, set a pretty table with centerpiece and candles, provide a dessert and your evening is complete. Ask your friends to help set, bring things and share the effort….that part is fun too. Your ABC team – Liz Parrott, Kate Bassett, Kristin Thompson, Leslie Whitfield are looking forward to sharing this evening with you! For more details please call Kitty at 248 644-4010 x.111 or email firstname.lastname@example.org. We rejoice in being able to be together in our new Sanctuary for our Advent by Candlelight program. We will not be live-streaming the program so please plan to share this evening with us in person. Tuesday December, 6th - 6:00pm PLEASE JOIN US FOR: FUTURE CRUSADER DAY AT LUTHERAN NORTHWEST! TOMORROW - Monday, 10/24, 9am-12:30pm Visit their website for more detailed information: www.lutherannorthwest.com/events SUNDAY SCHOOL NEWS We are excited to grow the kids' faith with another year of fun at the 10:30am service! If you are new to Redeemer, have a new preschooler, or have any questions please reach out to Nicole Olds at email@example.com / 248-644-4010 x124. SUNDAY SCHOOL TEACHERS NEEDED! If you are interested in teaching Sunday School, please contact Nicole Olds. You do not need to be a Bible scholar…just have a love for God and kids! We provide everything you need to create a fun morning of fellowship and growing in God's Word. You would not be teaching every week unless you want to. ITTY-BITTY BUDDY BAGS ARE BACK!!! Welcome, little ones, to Redeemer!! Learn about Jesus while you sit in church with mommy and daddy by borrowing an Itty-Bitty Buddy Bag for babies and toddlers. Filled with soft toys, books and cuddly things, you can learn to listen, watch and participate in the service. Please return used bags to Nicole Olds' office after the service. If you want to play and make a lot of noise, we have a nursery just for you with lots of toys. Welcome, little ones! SAVE THE DATES: Angel Tree Up - Take a Tag! Sunday, Nov. 20th Chapel DecoratingTuesday Nov. 22, 5:00pm Chancel and Town Square Decorating Sat., Nov. 26th - 9:00am SAVE THE DATE: FALL EVENT Friday, Nov. 18 - 7pm EST (zoom available too) Speaker - Mallory Brown "Walk A Mile: A Global Marathon for Women's Empowerment" Raffle for all of our first-time guests and their hosts! Sign-up on the church website or scan this code. Construction Camera Update: The cameras we had up during construction are now disconnected. We hope you enjoyed watching the progress throughout the project! Pathways Group" Next Meeting is Wednesday - Oct. 26th, 12 noon / Town Square. All who are seeking support after a loss of a loved one are welcome for a potpourri of discussion. Newbies welcome! We would LOVE to have you! No barriers to entry! REDEEMER FALL SOCIAL POSTPONED! STAY TUNED FOR A NEW DATE! Mystery Prelude: Our very own Rick Helderop will play one of your favorite/meaningful songs in the Prelude spot at all the Sunday Services for that day (8am, 9am and 10:30am). It doesn't have to be a hymn! It can be your wedding song, a song that reminds you of a loved one, or even a catchy tune you just LOVE! Your name and the significance of your selection will be printed in the bulletin and the song will be revealed in the announcements. Sign up for one of the available Sundays on the front page of the website or scan this QR code to be taken directly to the form. It is $10 and ALL PROCEEDS GO TO OUR MISSION FUND! Thank you for participating! Bible Studies Book of Daniel Sunday Morning Bible Study - Rev. Ronald Farah Sundays, after 9am service (Great Room) Children's Sunday School - Nicole Olds Sundays, 10:30am (lower-level classrooms) Adult Bible Study - Vicar Jimmy 1 Corinthians Tuesdays, 9:30am (Great Room) Women's Bible Study - Kitty Sweitzer Tuesdays, 6:30pm (Great Room) 4th Tuesday starts at 6:00pm "The Chosen - Part 2" Now through Nov. 1st Men's Bible Study - Gary Priskorn Romans Zoom still available if preferred Wednesdays, 6:45-7:30am - all year long (Great Room) Positive Parenting - Victoria Ilitch & Kristin Thompson Wednesdays, 9:15-10:45am (Great Room) Confirmation Classes - Laura Vowell Wednesdays, 6-8pm (various rooms) Core Group (RYG - High School) - Gia Scheidt Wednesdays, 6-8pm (Youth Room) Emotionally Healthy Spirituality - Anna Lewis and Patty Schmidt Gia Scheidt & Eric Wisniewski Thursdays, 9:00 - 10:30am (Great Room) Now through Nov. 3rd Sundays, 7pm (Youth Room) Redeemer Youth Group (High School) - For more information on a particular study, contact the names indicated or call the church office at 248-644-4010. Redeemer Youth Group (High School Youth) Meet in the Youth Room! Questions? Contact Gia or Eric! CORE GROUP: WEDNESDAYS 6-8pm RYG SUNDAY NIGHTS at 7pm SAVE THE DATE: RYG Fall Retreat is Nov 18-20 Make sure to follow RYG on Instagram for event updates and photos @redeemer_y00th Prayer and Praise List For the family and friends of Cheryl Olds, mother of Aaron Olds, who was called to her heavenly home. Her funeral service was Friday, Oct. For those grieving the loss of loved ones: 21 in Kingsley, MI. For those facing health concerns: Tony Kurnat Ginny Lagergren Matt Kilroy Melanie Ilitch Vicki, friend of Bonnie Ernewein Ralph Pedersen, father of Matt Pedersen Andrea Calvaneso Noah Jones, friend of Robert Anderson Margaret Loose Etta Unruh Izzy Sherman, niece of Jon Duff Janelle Thorne, friend of Donna Hollis Jim Zeer, friend of Myrna Orava Dan Hildebrandt, brother-in-law of Kay Scheidt For those in hospice: Helen Hiotaky, mother of Cindy Grove Special Petitions: All those who are serving in the military, police & fire-fighters. President Biden and all world leaders, to be receptive to Godly counsel. Please pray for all the Lutherans in Burkina Faso, West Africa as the church there struggles in the midst of widespread violence and terrorist attacks, food insecurity and internal displacement. For all those suffering from health concerns and for their caregivers devoting themselves to helping everyone who is sick. Please pray for the areas and people impacted by Hurricane Ian. Prayers of Thanksgiving: We welcome through baptism, Audrey Jackelyn O'Kelly, daughter of Daniel & Shanda O'Kelly who was baptized today. * For those celebrating birthdays and anniversaries. COUNSELING Redeemer Counseling Center is open, and our two counselors are available to address your counseling needs! Call to set up an appointment soon! Sandy Pourcho, PHD 248-568-6040 Anna Lewis, LMSW 248-224-0383 ATTENTION REDEEMER MEN - Did you know we have a Pastoral Counselor for you here at Redeemer – Rev. Ronald Farah - that you can talk to man to man? Don't hesitate to call Rev. Farah at 248-642-3137 to make an appointment. Staff Contact Information Senior Pastor Rev. Ronald Farah Pastor Emeritus ..............................................................
Food Standards Scotland Financial Performance Update – November 2021 Purpose of the paper 1.1 This paper is presented to the Board for information and reports on the financial performance of Food Standards Scotland (FSS) up to 30 th September 2021. 1.2 At the end of Quarter 2 FSS is reporting an outturn of £21.4m against the resource budget of £22.5m, representing a projected 3.8% underspend against budget. 1.3 The Board is asked to: * Note the financial information reported as at 30 th September 2021. * Note the indicative Resource and AME budget amounts for 2021/22. Background 2.1 This work supports FSS all Strategic Outcomes and Goals equally. 2.2 The total indicative FSS budget for 2021/22 is £22.5m. This resource budget is made up of £19m formally allocated in the budget bill for 2021-22 with up to a further £3.5m to be allocated at the Spring Budget Review (SBR). The Annually Managed Expenditure (AME) budget of £0.4m provides for the FSS pension liability provision. The expectation is that the full amount of the AME budget will be utilised. 2.3 During the business planning and budget exercise (March-21) for this financial year £23.3m of funds were allocated internally to deliver FSS strategic objectives with breakdown as below. The over allocation of budget was due to managing the budget with a vacancy assumption this year of approx. 10% of the Staff budget, which is by far the greatest budget category both in value and percentage terms. The budget allocation assumed 340 staff were in post for the full year, when there are currently 298 posts filled. Mid-year budget exercise 2.4 After completing the spend review exercise (October-21), based on six months of actual expenditure, 6 months of forecasted spend and with the updates from the Branch Heads, a revised budget at the Mid-Year point has been allocated of £21.6m with breakdown as below. This is the total resource budget that FSS will request at SBR. 2.5 The overall decrease in budget allocation of £1.8m is driven by Staff underspend due to delays in recruitment processes and reprofiling starting dates (£1.6m). The decrease in Admin budget is mainly related to reduced requirement for travel and training expenditure across the organisation due to COVID restrictions (£330k). The Capital budget has been reduced (the ODITS project) as the implementation is planned for next financial year, offset by additional funds requested for laptops purchase for new starts. 2.6 This paper provides details of the allocation of the FSS resource budget between each of the directorates: Chief Executive - (Board, CEO & PO), Director Policy, Science and Operations (DPSO), Director of Strategy and Corporate Affairs (DSCA). 2.7 The Executive reports its financial performance for the activities against the five strategic objectives and six strategic goals to provide an indication on the effective use of resources to deliver against the Strategy and the Corporate Plan. 2.8 In addition, FSS will receive further funding of £100k in each of the next three years to support the development and management of a Scottish pilot contributing to the UK research programme to develop whole genome sequencing capability to support the surveillance of foodborne pathogens and antimicrobial resistant (AMR) microbes across the UK. This funding will form part of the UK/SG budget transfers and is not included in the budget figures yet. It will be confirmed in the final budget bill. Financial Performance Summary 3.1 Annex A provides the tables and charts that show the Mid-Year revised budget, forecast and actual amounts for the financial year 2021-22. The financial performance is based on both the internally allocated budget figure and the updated forecast that is reviewed on a monthly basis. YTD Budget v Actual expenditure 3.2 The second quarter budget profile presented in the Year to Date Performance (Figure 1) is based on the assessment provided by branches in March 2021. The actual spend to the end of Q2 when compared to the budget profile was £1.2m under budget (26%). The main budget categories contributing to this underspend are Staff £659k, where a number of vacancies were carried forward from the previous year as well as the continuing ongoing delays in recruitment (54% of total underspend), Capital £223k where £200k of spend for the Operational Delivery IT System (ODITS) project did not go ahead as planned, and Programme £284k (23% of total underspend) where a number of projects across the organisation have been reprofiled to later in the year or removed from this year spend. 3.3 For each element, variances are reported comparing quarterly budget versus actual expenditure with explanation provided for any differences. Further detail of the quarter variances are as follows: Staff -£659k (18%) under budget The underspend is mainly as a result of the organisation carrying a number of vacancies, the significant delays within the recruitment and on-boarding processes which have led to postponed starting dates across FSS as well staff leaving which has impacted on the number of the posts that are vacant. The current gap between staff leaving and replacements coming in is generating an underspend on each and every post where this occurs. Admin -£149k (15%) under budget The admin underspend is mainly related to less travel and accommodation costs due to COVID restrictions, corporate training fees and training spend forecasted to Q3, offset by additional legal costs. Programme -£284k (23%) under budget This underspend is a result of reprofiling spend to Q3 for a number of projects across the organisation mainly due to delays in Local Authority Sampling Grants and delays in Local Authorities authorisations. Capital -£223k under budget This underspend is due to the review of the budget spend profile. The original planned expenditure has now been reprofiled to later in the year or next year to reflect the various projects' timelines. Income £84k (-7%) under budget Reduction in income due to refunds to the three Fish Hubs following reconciliation of the estimated charge out rate compared to actual costs Full Year Outturn 3.5 The FSS Budget and Forecast summary table (Figure 2) shows this budget allocation for each Directorate and compares this with the forecast outturn to show the variances against the budget. The amendments and additional funds requested at Mid-Year budget review are not included in October forecast due to timing. 3.6 In addition, this table also provides detail behind the five budget categories in Figure 1 with summary details of the overall budget and updated forecast for July onwards. It is clear that the greatest area of underspend is in our Staff budget. This was expected due to the number of vacancies that were live at the end of the last financial year and this was factored into our vacancy assumption at the business planning stage. We continue to move forward with the staff complement planned for this year however progress has been very slow due to delays in the Scottish Government's (SG) recruitment and onboarding processes. 3.7 The full year forecast spend against the budget allocation against each of the Strategic Outcomes and Goals are detailed in the charts (Figures 3a&b). There is a decrease in spend under Outcome 1 and under Goals 1 & 2 due to reduction in Staff expenditure to date. Forecast Accuracy and Actual expenditure 4.1 Through the monthly budget monitoring work, a revised forecast is discussed and agreed with each Branch for all months for the remainder of the year. This is then reflected through an updated full-year-forecast, which is presented on a monthly basis in the form of a waterfall chart (Figure 4). From the chart you can identify how close a given month's forecast value was to the actual outturn. 4.2 The information presented in Figure 4 allows us to quickly identify material variances and drill down into further detail to understand the reasons behind them. Below is a high level overview which seeks to provide context to the Board and explain the drivers behind the quarterly variance of the actual expenditure against forecast of £385k for each of the three months. July 21: The monthly underspend of £210k (-13%) against the July forecast where the programme spend being reprofiled further in the year (£90k) mainly because of delays in Local Authorities authorisations, further delays in recruitment pushing the start dates later in the year (£40k), additional income (£30k) and reduced travel cost in Admin (£35k), capital spend reprofiled to Q3 (£15k). August 21: The underspend of £88k (-5%) against the August forecast was mostly caused by reprofiling of Programme expenditure to later in the year (£60k), reduced staff costs as a result to delays in recruitment (£22k), lower Admin spend (£14k), offset by less income generated (£8k). September 21: The underspend in September forecast of £87k (-4%) was due to overall reductions in: programme spend reprofiled to later in the year and projects no longer going ahead this financial year (£84k) and further reductions in the staff expenditure due to start dates being postponed to the next month (£27k) partially offset by increased admin expenditure as the Global Food Conference cost being brought forward (£30k). 4 4.3 The Year on Year Comparison graph (Figure 5) shows the monthly budget allocation compared with the updated monthly forecast expenditure. The graph is updated with the actual monthly expenditure as it occurs to show the performance against the initial budget spend. Explanations for variances have been provided in the previous paragraphs. The budget and actual performance for 2020/21 is provided to enable comparison between financial years. Risks, Issues and Highlights 5.1 FSS continues to manage the impact that the Covid pandemic has had and continues to have on the organisation. Planning is ongoing for the recovery to return to normal business. During the first half of the Financial Year 21-22, the organisation has reported COVID related spend of £41k to the Scottish Government. 5.2 The total of bids for travel and subsistence funding included in the budget at the beginning of the Financial Year (FY) was £580k. During the first half of the FY there were reductions in our Admin expenditure for example for travel and accommodation, training, conferences etc. as office staff were based at home and not allowed to travel. There is potential for some further reductions in spend during the latter quarters of the year. Budget 2022/23 6.1 We are reviewing figures for a forward look on budgets and considering likely impacts of changes to pay policy which is currently under review. Work in underway to finalise budget requirements for the next financial year. It is expected that SG will announce soon the details of a multi-year spending review possibly from financial year 2023/24 onwards. Reporting 7.1 Details are provided below on the financial performance over the quarter as outlined in the Financial Performance targets section of the Financial Management Plan. 7.2 At the start of the year 340 posts were agreed and budgeted for as part of the business planning exercise for 2021/22. Following a review of staffing requirements the Executive has approved an additional 17 posts taking the total agreed posts to 357 at the end of September. The Staff Complement table (Figure 6) provides the posts that were filled at the end of September. At that time 254 were filled permanently (5 currently on maternity leave), 40 temporary staff covering a number of vacancies either on fixed term or interim basis and 4 were seconded staff into the organisation. In addition there were 59 unfilled vacancies. During Quarter 2, 16 employees left the organisation of which 3 retired. 7.3 FSS, along with the whole of SG, has a target to pay all its supplier invoices within ten days of receipt. The Supplier Payments table (Figure 7) gives details of the performance in this area over the year. An average of 94% of the invoices have been paid within the ten day payment target to date. Payment performance can be affected by a number of factors including staff available to process payments and also to approve the invoices for payment. All invoices have been paid within the standard 30 day contract terms. 7.4 At the end of September, the cash drawn down from the Scottish Government relating to the 2021/22 budget was £10.1m. The bank balance as of 30 th September was £4.2m. Outstanding payments (debt recovery) 8.1 At the end of September, the outstanding debt was £515k, which was a decrease of £50k (8%) from the previous quarter's total. £110k (21%) was over the accepted 31 day payment term and out of which £52k (10%) was over 61 days from date of invoice. 8.2 FSS actively monitors outstanding payments and takes action with either reminder letters being issued to Food Business Operators, senior management contacting them to discuss reasons for non-payment and then passing to our debt management contractor, where required. The contractor is taking forward debt as instructed by FSS to assist with reducing the amount of outstanding debt. As a result of this continued work FSS debt over 31 days has reduced by 54% on the same time last year Best Value Assessment 9.1 Work is ongoing to develop a strategic Best Value framework for FSS. Discussion has recently taken place with Audit Scotland on best value and how FSS can demonstrate that the attributes are embedded in the work that takes place in the organisation. Further review and work will take place to address this action. 9.2 FSS will also continue to report updates in the finance performance report and to the Audit and Risk Committee (in relation to debt and significant losses). Conclusions/Recommendations 10.1 The Board is asked to: * Note the financial information and expected end year position reported as at 30 th September 2021. * Note the indicative Resource and AME budget amounts for 2021/22. Anna Skowron Interim Finance Manager email@example.com 2nd November 2021 Annex a Tables and Charts YTD Budget v Actual expenditure Figure 1 provides an overview of the financial performance of FSS up to the 30 September 2021. The performance is based on comparing the actual spend for the year with the budget profile as updated during the financial year. Figure 1: Year-to-Date Performance \| Staff Administration Programme Capital Income \| \| \| \| \| \| \| -18% -2% -8% -80% 1% \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| 17,614 \| 4,422 4,392 \| 8,814 \| 3,645 3,734 \| 7,378 \| (777) \| \| (659) \| \| \| 4,674 \| 1,039 1,160 \| 2,199 \| 1,021 1,011 \| 2,032 \| (19) \| \| (149) \| \| \| 5,744 \| 1,157 1,525 \| 2,681 \| 1,066 1,241 \| 2,307 \| (91) \| \| (284) \| \| \| 405 \| 43 263 \| 305 \| 8 39 \| 48 \| (34) \| \| (223) \| \| \| (5,125) \| (1,270) (1,350) \| (2,620) \| (1,287) (1,266) \| (2,553) \| (17) \| \| 84 \| \| Total \| 23,311 \| 5,391 5,990 11,380 4,453 4,760 9,213 (938) -8% \| \| \| \| \| \| \| Figures 2 provides a summary of the FSS budget and forecast by Directorate and Budget Categories. Figure 2 – FSS Budget and Forecast \| £'000 \| Indicative funding £22.5m \| Mid-Year budget review (Oct-21) \| October forecast \| October forecast vs Mid-Year budget review \| Potential available funds - indicative budget v updated forecast \| \|---\|---\|---\|---\|---\|---\| \| CEO DPSO DSCA \| \| 620 11,864 9,127 \| 614 12,178 8,636 \| (6) 313 (491) \| \| \| Total \| 22,500 \| 21,611 \| 21,428 \| (184) \| 1 ,072 \| \| Staff Admin Programme Capital Income \| \| 15,956 4,514 5,751 320 (4,928) \| 15,683 4,554 5,759 370 (4,938) \| (273) 40 8 50 (10) \| \| Figures 3 a&b provide detail of budget allocation and forecasted expenditure against the Strategic Outcomes and Goals. Figure 3a – Allocation of resource expenditure to Strategic Outcomes Forecast Accuracy v Actual Expenditure In Figure 4 the financial performance based on both the original budget figure and the updated forecast is reviewed on a monthly basis. Each row shows the total of the monthly forecast values submitted by Branch Heads. Once the actual outturn for the month is available this is shown in the cell highlighted in red, amber or green depending on level of forecast accuracy. This in part explains the variance from the original budget set at the start of the financial year with the remainder being attributed to active re-profiling of spend across the budget lines. Figure 4 – Full Year Forecast Waterfall \| £000s \| Apr-21 May-21 Jun-21 Jul-21 Aug-21 Sep-21 Oct-21 Nov-21 Dec-21 Jan-22 Feb-22 Mar-22 \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Budget April 21 April Forecast \| 1,767 1,627 1,999 1,781 2,013 2,200 1,731 1,792 1,874 1,780 1,899 2,868 1,366 1,450 1,812 1,838 1,894 2,304 1,725 1,778 1,889 1,763 1,830 2,587 \| \| \| \| \| \| \| \| May Forecast \| 1,347 \| 1,448 1,812 1,838 1,894 2,304 1,725 1,778 1,889 1,763 1,830 2,587 \| \| \| \| \| \| \| June Forecast \| 1,347 \| 1,410 \| 1,587 1,648 1,883 2,253 1,692 1,777 1,891 1,801 1,877 2,563 \| \| \| \| \| \| July Forecast \| 1,347 1,410 \| \| 1,683 \| 1,605 1,624 2,151 1,677 1,792 1,911 1,823 1,872 2,731 \| \| \| \| \| August Forecast \| 1,347 1,410 1,683 \| \| \| 1,396 \| 1,583 2,037 1,759 1,819 1,935 1,883 1,948 2,733 \| \| \| \| September Forecast \| 1,346,818 1,409,759 1,683,008 1,395,782 \| \| \| \| 1,496 \| 1,955 1,847 1,840 2,105 1,944 1,952 2,626 \| \| \| October Forecast \| 1,346,818 1,409,759 1,683,008 1,395,782 \| \| \| \| 1,496 \| 1,868 \| 1,795 1,878 2,098 1,927 1,923 2,607 \| A comparison of the monthly budget v actual performance is provided at Figure 5 to give an overview of relative performance between 2020/21 and 2021/22 financial years. It is important to point out that the monthly budget 21-22 information provided uses the initial budget profiles in each year, and Monthly Mid-Year revised budget 21-22 is based on April-September actuals and updates from the branch heads. Staff Complement and Supplier Payments \| Type of post \| Q1 Staff Numbers \| Q2 Staff Numbers \| \|---\|---\|---\| \| Permanent Staff \| 231 \| 249 \| \| FTA - not permanent \| 28 \| 20 \| \| Agency Staff \| 21 \| 20 \| \| Maternity Leave \| 8 \| 5 \| \| Seconded Staff \| 5 \| 4 \| \| Total FTE \| 292 \| 298 \| \| Vacancies \| 61 \| 59 \| \| Budgeted Posts (FTE) \| 353 \| 357 \| \| Leavers Type of post \| Q1 Numbers \| Q2 Numbers \| \|---\|---\|---\| \| Permanent Staff \| 4 \| 9 \| \| FTA (NFO) \| 1 \| 3 \| \| Agency \| 6 \| 3 \| \| Loan to SG \| 2 \| 1 \| \| Total Leavers \| 13 \| 16 \| Figure 6 – Staff Complement and Leavers Figures 7 – Supplier Payments \| Month \| Number of Invoices \| Percentage of invoices paid in 10 days \| \|---\|---\|---\| \| Apr-21 \| 313 \| 98% \| \| May-21 \| 252 \| 94% \| \| Jun-21 \| 279 \| 98% \| \| Jul-21 \| 320 \| 83% \| \| Aug-21 \| 303 \| 93% \| \| Sep-21 \| 265 \| 99% \| \| Total \| 1732 \| 94% \|
Purchasing Department 4400 University Drive, Mailstop 3C5 Fairfax, VA 22030 Voice: 703.993.2580 \| Fax: 703.993.2589 http://fiscal.gmu.edu/purchasing/ REQUEST FOR PROPOSALS GMU-1828-23 ISSUE DATE: August 12, 2022 TITLE: Mixed-Use Market Feasibility Study & Implementation Strategy PRIMARY PROCUREMENT OFFICER: SECONDARY PROCUREMENT OFFICER: James F. Russell, Director, email@example.com Erin Rauch, Assistant Director, firstname.lastname@example.org QUESTIONS/INQUIRIES: E-mail all inquiries to both Procurement Officers listed above, no later than 4:00 PM EST on August 25, 2022. All questions must be submitted in writing in WORD format. Reponses to questions will be posted on the Mason Purchasing Website by 5:00 PM EST on September 1, 2022. Also see section III. COMMUNICATION, herein. PROPOSAL DUE DATE AND TIME: September 15, 2022 @ 2:00 PM EST. SEE SECTION XIII.A.1 FOR DETAILS ON ELECTRONIC PROPOSAL SUBMISSION. In Compliance With This Request For Proposal And To All The Conditions Imposed Therein And Hereby Incorporated By Reference, The Undersigned Offers And Agrees To Furnish The Goods/Services In Accordance With The Attached Signed Proposal Or As Mutually Agreed Upon By Subsequent Negotiations. Name and Address of Firm: _____________________________________________ Date: _______________________________ _____________________________________________ By: _________________________________ Signature _____________________________________________ FEI/FIN No. __________________________________ Name: ______________________________ Fax No. ______________________________________ Title: _______________________________ Email: _______________________________________ Telephone No.________________________ This public body does not discriminate against faith-based organizations in accordance with the Governing Rules, § 36 or against a Bidder/Offeror because of race, religion, color, sex, national origin, age, disability, or any other prohibited by state law relating to discrimination in employment. 1 RFP# GMU-1828-22 TABLE OF CONTENTS 2 I. PURPOSE: George Mason University, Fairfax, Virginia (hereinafter the "University" or "Mason") seeks a qualified consultant firm or team of firms with appropriate expertise to conduct a mixed-use market feasibility assessment and develop an implementation strategy that will deliver a viable concentration of "mixed-use" for the Fairfax Campus; estimate the market potential, financial returns, and optimal structuring of "mixed-use" or highest and best use assets on the Fairfax Campus in accordance with the University's strategic pillars. A. Following are the steps that will be followed in this process: 1. Proposals will be received and scored by an evaluation committee based on the criteria in Section XIII. 2. Top ranking vendors (3) will be asked to give presentations (virtual). 3. After presentations have concluded negotiations will be held with vendors so selected. 4. Evaluation committee will choose the vendor that best meets our requirements and a contract will be executed with that vendor. II. PURCHASING MANUAL/GOVERNING RULES: This solicitation and any resulting contract shall be subject to the provisions of the Commonwealth of Virginia Purchasing Manual for Institutions of Higher Education and their Vendor's, and any revisions thereto, and the Governing Rules, which are hereby incorporated into this contract in their entirety. A copy of both documents is available for review at: https://vascupp.org III. COMMUNICATION: Communications regarding the Request For Proposals shall be formal from the date of issuance until a contract has been awarded. Unless otherwise instructed offerors are to communicate with only the Procurement Officers listed on the cover page. Offerors are not to communicate with any other employees of Mason. IV. FINAL CONTRACT: ATTACHMENT B to this solicitation is Mason's standard two-party contract. It is the intent of this solicitation to base the final contractual documents off of Mason's standard two-party contract and Mason's General Terms and Conditions. Any exceptions to our standard contract and General Terms and Conditions should be denoted in your RFP response. Other documents may be incorporated into the final contract, either by way of attachment or by reference, but in all cases this contract document and Mason's General Terms and Conditions shall jointly take precedence over all other documents and will govern the terms and conditions of the contract. As a public institution of higher education in Virginia Mason cannot agree to any of the following terms in any documents: 1. An express or implied waiver of sovereign immunity. 2. An agreement to indemnify, defend or hold harmless any entity. 3. An agreement to maintain insurance. 4. An agreement providing for binding arbitration. 5. An agreement providing for the payment of attorneys' fees or liquidated damages. 6. Waiver of jury trial. 7. Choice of law or venue other than the Commonwealth of Virginia. Contracts will only be issued to the FEI/FIN Number and Firm listed on the signed cover page submitted in your RFP response. Joint proposals will not be accepted. V. VA BUSINESS-TO-GOVERNMENT VENDOR REGISTRATION: The eVA Internet electronic procurement solution, website portal www.eVA.virginia.gov, streamlines and automates government purchasing activities in the Commonwealth. The eVA portal is the gateway for vendors to conduct business with state agencies and public bodies. All vendors desiring to provide goods and/or services to the Commonwealth shall participate in the eVA Internet eProcurement solution by completing the free eVA Vendor Registration. All bidders or offerors agree to self-register in eVA and pay the Vendor Transaction Fees prior to being awarded a contract. Registration instructions and transaction fees may be viewed at: https://eva.virginia.gov/ VI. SWaM CERTIFICATION: Vendor agrees to fully support the Commonwealth of Virginia and Mason's efforts related to SWaM goals. Upon contract execution, eligible vendors (as determined by Mason and the Department of Small Business and Supplier Diversity) shall submit all required documents necessary to achieve SWaM certification to the Department of Small Business and Supplier Diversity within 90 days. Vendors currently SWaM certified agree to maintain their certification for the duration of the contract and shall submit all required renewal documentation at least 30 days prior to existing SWaM expiration. VII. PERIOD OF PERFORMANCE: Five (5) months after award of contract for the Mixed-Use Market Assessment 3 Strategy. A. After award of contract there will be four (4) additional one (1) year renewal options available for possible future use. VIII. BACKGROUND: The following is provided as background information: As Virginia's largest public research university, George Mason University sets the standard for a bold, progressive education that serves our students and communities. Mission: A public, comprehensive, research university established by the Commonwealth of Virginia in the National Capital Region, we are an innovative and inclusive academic community committed to creating a more just, free, and prosperous world. Values: * Our students come first * Diversity is our strength * Innovation is our tradition * We honor freedom of thought and expression * We are careful stewards * We act with integrity * We thrive together Early this year, the University adopted the Mason Master Plan that was completed on December 2021. This master plan serves as a framework to guide ongoing decisions around the physical environment and capital investment. The master plan identified 5 principles that provide a philosophy to guide Mason's capital investment across all its landholdings. 1. Put strategy first. 2. Be compact 3. Make every dollar and every square foot count. 4. Connect places, people, and communities 5. Embrace environmental stewardship As the University continues to grow and serve the region, it is becoming more critical to provide the optimal collegiate experience that is vibrant, immersive, and innovative to recruit and retain the best students and faculty. Multiple sites are available to be developed, as noted below, that could capture the ancillary spend and strategic benefits of being co-located with the Academic Core and Athletics and Entertainment Facilities Purpose: The purpose of this study is to better understand the current conditions for commercially viable mixed-use market spaces that would not require University support at the identified locations of the Fairfax Campus, facilitate discussions among the University and the developer community, and develop a detailed action plan that will result in the desired vision and goals and stated below. The assets to be considered in this study could include market-rate housing, experiential learning space, office, retail, entertainment, and hotel. The University will also look to the consultant to provide expert advice about other uses that may be significant opportunities for revenue generation or achievement of strategic objectives. Project Goals & Objectives: 1. Create an active and vibrant Fairfax campus 7 days per week 2. Provide immersive experiences for all students, faculty, staff, and community members 3. Connect the private sector and the surrounding community with the campus 4. Create a destination appeal by augmenting the County and City's services for the local population, concentrating/clustering mixed-use retail/shopping at defined nodes, and catalyzing activity through sports and entertainment 5. Provide a mix that fulfils the needs of the university community, including those who live and work in Fairfax or are within walking/biking distance (two-mile radius) 4 6. Attract consistent number of visitors to Mason's Fairfax Campus for shopping, dining, arts, sports, & entertainment 7. Promote market stability and profitability with established, high-performing tenants 8. Promote an active street life with high pedestrian activity 9. Utilize private capital to develop mixed-use assets that are nonperforming assets of the University Sites Included in the Scope: See attachment D for reference 1. Fairfax West Campus – 190+ acres extending from 123 to the Western property line and Braddock Rd to University Dr; including the replacement and expansion of Athletics facilities as determined by the University 2. Fairfax Braddock Road and Route 123 – 30+ acres at the corner of 123 and Braddock Rd and extending towards the main campus and EagleBank Arena; adjacent to the Angel Cabrera Global Center (INTO George Mason University) 3. Shirley Gate Rd Property – 75+ acres at the corner of Shirley Gate Rd and Braddock Rd extending to the Northeast IX. STATEMENT OF NEEDS: A. Task I: Existing Conditions Assessment on University's and the Surrounding Community Strategy The first task of the study is to align project objectives with Mason's strategic objectives. The assessment should compile qualitative and quantitative information through a combination of development data provided by Mason and supplemental market data collected by the consulting team, and qualitative interviews with at least up to 20 University representatives plus Economic Development Representatives from the City & County conducted by the consulting team The Task I assessment should address the following areas: 1. Confirm the University's macro-level strategic objectives as defined in the developing Strategic Plan 2. Validate and refine project goals and objectives 3. Review Mason's Master Plan to ensure project alignment 4. Review existing uses of all parcels in the study and attributes/challenges of each site 5. Create the framework for optimizing programmatic and financial decisions and build consensus amongst University leadership B. Task II: Market Analysis, Best Practices, and Mixed-Use Trends This task is intended to uncover information and perform a market analysis that will: 1. Assess the key characteristics of economic health in the City of Fairfax, Fairfax County, nearby DMV, and the Commonwealth that informs the current and future potential for development on the Fairfax campus 2. Estimate near-term (up to 10 years) and long-term (10-25 years) market demand in SF for market-rate housing, experiential learning space, office, retail, entertainment, and hotel based on: a. Existing conditions b. Future enrollment c. Impact on demand from adjacent Athletics and Entertainment Venues activity to be identified by the University 3. Determine the likely lease rates, operating costs, capital expenditures, and development cost per SF in shellspace and fit-out by asset type and the demand factors described above (2b) 4. Establish Project Feasibility including Preliminary Market Study, Demand Analysis, Design, Entitlement & Support Analysis 5. Identify and evaluate preliminary 1) market demand 2) university demand for uses determined desirable by Mason 6. Identify and assess market competition and impact on a new University development C. Task III: Decision-Making Framework and Implementation Planning Strategy 5 The third task will identify how Mason can best realize the vision for the corridors. Based on the results of the market assessment, this task will propose and finalize a decision-making framework and a prioritized implementation strategy to achieve Mason's vision and goals. 1. Market sounding: a. Identify likely development partners and test/gauge capital availability and interest in working with the University on a large scale b. Recommendations may include but are not limited to the areas of building and mixed-use space design, ways to concentrate/cluster and create more defined nodes, ways to promote local retailers c. Develop a risk profile of the University that identifies the strategic value of transferring or absorbing risks related to mixed-use developments 2. Financial analysis: a. Develop an iterative financial model that estimates the potential annual and long-term financial return to the University or Master Developer or Developer(s) (depending on the structure) by asset type b. Identify the optimal programmatic breakdown by asset type and site according to the University's objectives, risk profile, and financial analysis c. Develop a long-term pro-forma and enumerate potential ground lease proceeds (Lease rates, operating costs, capital expenditures, and development costs per SF by asset type) 3. Implementation Assessment and Strategy (subject to University approval to proceed with development) a. Establish a likely development schedule for each site b. Program summary of assets c. Provide recommendations and identify critical next steps to assess if planning and potentially implementation should proceed d. Confirm Mason's priorities, objectives, and constraints regarding the development of properties e. Confirm Mason's preliminary preferred uses and preferences for housing (student, faculty, staff), retail, office, entertainment, and hospitality f. Present findings throughout the scope as determined appropriate by the Consultant g. Draft a briefing document that summarizes the key findings and provides context to delivered presentations X. DELIVERABLES: 1. Market Feasibility & Implementation Strategy Report: a. Draft report reviewed and commented on by the University and relevant staff b. Final Report c. Briefing Document (PPT) d. It is anticipated that electronic copies and up to <five (5)> hard copies of the final deliverables will be required. 2. Presentations a. Two (2) PPT presentation of findings to Leadership Team (Draft & Final) b. Two (2) PPT presentations of findings to Steering Committee (Draft & Final) c. Briefing Document (PPT) 3. All data collected for this study shall be made readily available to the University in electronic format as part of this Scope of Work. 4. All data collected for this study shall be made readily available to the University in electronic format as part of this Scope of Work. 5. Deliverable deadlines to be on or before the following dates: 6 \| Description \| Deadline* \| Time from Start of Contract \| \|---\|---\|---\| \| Anticipated contract start date \| 11/10/2022 \| \| \| Draft report for Mason review \| 01/10/2023 \| \| XI. COST OF SERVICES: Mason is requesting pricing in two areas: A. Firm, fixed price for the services described herein, and; B. Term sheet with hourly rates for possible future use. XII. PROPOSAL PREPARATION AND SUBMISSION REQUIREMENT S: A. GENERAL REQUIREMENTS: 1. RFP Response: In order to be considered, Offerors must submit a complete response to Mason's Purchasing Office prior to the due date and time stated in this RFP. Offerors are required to submit one (1) signed copy of the entire proposal including all attachments and proprietary information. If the proposal contains proprietary information, then submit two (2) proposals must be submitted; one (1) with proprietary information included and one (1) with proprietary information removed (see also Item 2d below for further details). The Offeror shall make no other distribution of the proposals. At the conclusion of the RFP process proposals with proprietary information removed (redacted versions) shall be provided to requestors in accordance with Virginia's Freedom of Information Act. Offerors will not be notified of the release of this information. ELECTRONIC PROPOSAL SUBMISSION: Mason will only be accepting electronic proposal submissions for all current Request For Proposals and Invitation For Bids. The following shall apply: a. You must submit your bid/proposal, and it must be received prior to the submission deadline, at both the primary and secondary procurement officer's email address as specified in the Bid/RFP. b. The subject line of your email submission should read, "RFP GMU-1828-23" If you are sending multiple emails, please state so in the subject line with the wording, "This is email # _ of _ total" c. The offeror must ensure the proposals are delivered to the procurement officers' email inboxes, sufficiently in advance of the proposal deadline. Plan Ahead: It is the offeror's responsibility to ensure that electronic proposal submissions have sufficient time to make its way through any filters or email traffic. Mason recommends you submit your proposal the day prior to the due date. d. If your proposal contains proprietary information you must submit two proposals; one full proposal and one with proprietary information redacted. e. While you may send your proposal in multiple emails, each email itself may only have one PDF attachment containing all supplemental information and attachments. f. The proposal should be limited to no more than 50 pages, excluding appendices and section dividers/tabs. Each email may not be larger than 20MB. 7 g. All solicitation schedules are subject to change. h. Go to Mason's Purchasing website for all updates and schedule changes. https://fiscal.gmu.edu/purchasing/do-business-with-mason/view-current-solicitationopportunities/ 2. Proposal Presentation: a. Proposals shall be signed by an authorized representative of the Offeror. All information requested must be submitted. Failure to submit all information requested may result in your proposal being scored low. b. Proposals should be prepared simply and economically, providing a straightforward, concise description of capabilities to satisfy the requirement of the RFP. Emphasis should be on completeness and clarity of content. c. Proposals should be organized in the order in which the requirements are presented in the RFP. All pages of the proposal should be numbered. Each paragraph in the proposal should reference the paragraph number corresponding section of the RFP. It is also helpful to cite the paragraph number, sub letter and repeat the text of the requirement as it appears in the RFP. The proposal should contain a table of contents which cross references the RFP requirements. Information which the Offeror desires to present that does not fall within any of the requirement of the RFP should be inserted at the appropriate place or be attached at the end of the proposal and designated as additional material. 1. A WORD version of this RFP will be provided upon request. d. Except as provided, once an award is announced, all proposals submitted in response to this RFP will be open to inspection by any citizen, or interested person, firm or corporation, in accordance with the Virginia Freedom of Information Act. Trade secrets or proprietary information submitted by a firm prior to or as part of its proposal will not be subject to public disclosure under the Virginia Freedom of Information Act only under the following circumstances: (1) the appropriate information is clearly identified by some distinct method such as highlighting or underlining; (2) only the specific words, figures, or paragraphs that constitute trade secrets or proprietary information are identified; and (3) a summary page is supplied immediately following the proposal title page that includes (a) the information to be protected, (b) the section(s)/page number(s) where this information is found in the proposal, and (c) a statement why protection is necessary for each section listed. The firm must also provide a separate electronic copy of the proposal (CD, etc.) with the trade secrets and/or proprietary information redacted. If all of these requirements are not met, then the firm's entire proposal will be available for public inspection. IMPORTANT: A firm may not request that its entire proposal be treated as a trade secret or proprietary information, nor may a firm request that its pricing/fees be treated as a trade secret or proprietary information, or otherwise be deemed confidential. If after given a reasonable time, the Offeror refuses to withdraw the aforementioned designation, the proposal will be rejected. 3. Oral Presentation: Offerors who submit a proposal in response to this RFP may be required to give an oral presentation/demonstration of their proposal/product to Mason. This will provide an opportunity for the Offeror to clarify or elaborate on their proposal. Performance during oral presentations may affect the final award decision. If required, oral presentations are tentatively scheduled for the week of October 3, 2022. Mason will expect that the person or persons who will be working on the project to make the presentation so experience of the contractor's staff can be evaluated prior to making selection. Oral presentations are an option of Mason and may or may not be conducted; therefore, it is imperative all proposals should be complete B. SPECIFIC REQUIREMENTS: Proposals should be as thorough and detailed as possible to allow Mason to properly evaluate the Offeror's capabilities and approach toward providing the required services. Offerors are required to submit the following items as a complete proposal with limitations noted: 8 Tab 1: Cover Letter 1. Respondent shall submit a cover letter on company letterhead summarizing the firm's qualifications and distinguished accomplishments, including: a. Descriptions of the firm's philosophy and areas in which the firm excels. Describe what is unique about the firm, its goals, and objectives. b. Information regarding the firm's services relevant to this RFP. Include any additional information that may assist the University in its evaluation. c. A contact person with his/her title, address, telephone number, and email address. Tab 2: Firm Qualifications 1. Complete and submit the required Consultant Profile Form (Attachment C). 2. Submit a brief history of the firm, and a summary of the firm's capabilities and experience with respect to the RFP. Include any additional information that may assist the University in its evaluation. 3. Submit information that shows how the firm meets the following criteria: a. Expertise and past experience of the consultant in providing services as it relates to this RFP. b. Evidence of ability to provide detailed, independent analysis and review under extremely tight schedules. c. Demonstrated familiarity with Higher Education planning processes. d. Demonstrated skills and knowledge pertaining to this project including: i. Experience working extensively with cities, economic development and redevelopment agencies, public/private partnerships and universities. Tab 3: Previous Feasibility Study Experience 1. Provide any material from three current or recent past accounts or studies, that would reflect the company's experience as it relates to this RFP. 2. In showing us examples of previous work, respondent must be prepared to: a. Demonstrate experience conducting conditions assessment on university owned land and the surrounding communities or similar. b. Demonstrate experience conducting feasibility studies and compiling research, analysis, best practices and trends for privately funded multi-use development as it relates to this RFP. c. Demonstrate experience developing a decision-making framework to guide phasing or future implementation efforts relating to feasibility study recommendations. d. Demonstrate ability to engage stakeholders in an interactive process that lead to gathering qualitative and quantitative data. e. Demonstrate experience in the preparation of narrative/ graphics for feasibility analysis. f. Demonstrate experience of successful collaboration with various subject matter experts. g. Provide evidence of the ability to perform work, to produce documents with superior quality and to meet the completion schedule. Tab 4: Project Team and Staffing 1. Identify the key individuals the firm proposes to participate on this project. Identify the roles and responsibilities of each participant. Identify the location(s) of the office(s) that will be providing the work. 2. Demonstrate how it intends to staff and manage tasks and resources required to provide service(s) for the duration of this project. 3. Submit resumes for each proposed team member, including sub-consultants. Each resume shall include: 9 a. Description of relevant professional experience and proposed role of each team member b. Time worked for the company and how would each be involved in the contract. c. Project experience relevant to this RFP performed in the last five years d. An education summary listing institution attended and degrees received. e. A list of credentials, certifications, professional licenses, and registrations held. f. Identify the location of the office from which the individual primarily works. g. Each resume shall not exceed two pages. Tab 5: Cost Proposal and Term Sheet 1. Respondent shall provide a firm, fixed price along with hourly rates (term sheet). 2. Rates should be broken down by position for prime and any subcontractors. 3. Provide an outline or anticipated work plan and schedule. Tab 6: Appendix 1. Respondent shall: a. Provide three (3) references or client testimonials from current clients or clients from the recent past for similar for work similar in scope and complexity. References must include: company name, contact person, title, address, telephone number, and email address b. Respondent shall indicate if firm is a small, minority or woman-owned business. Include attachment A if applicable. XIII. INITIAL EVALUATION CRITERIA AND SUBSEQUENT AWARD: A. INITIAL EVALUATION CRITERIA: Proposals shall be initially evaluated and ranked using the following criteria: B. AWARD: Following the initial scoring by the evaluation committee, at least two or more top ranked offerors may be contacted for oral presentations/demonstrations or advanced directly to the negotiations stage. If oral presentations are conducted Mason will then determine, in its sole discretion, which vendors will advance to the negotiations phase. Negotiations shall then be conducted with each of the offerors so selected. Price shall Maximum points will be awarded only if the offeror is a small, minority or woman-owned business at the time of proposal submission. No points are awarded for SWAM sub-consultants. be considered, but need not be the sole determining factor. After negotiations have been conducted with each offeror so selected, Mason shall select the offeror which, in its sole discretion has made the best proposal, and shall award the contract to that offeror. Should Mason determine in writing and in its sole discretion that only one offeror has made the best proposal, a contract may be negotiated and awarded to that offeror. Mason is not required to furnish a statement of the reasons why a particular proposal was not deemed to be the most advantageous (Governing Rules §49.D.). XIV. CONTRACT ADMINISTRATION: Upon award of the contract, Mason shall designate, in writing, the name of the Contract Administrator who shall work with the contractor in formulating mutually acceptable plans and standards for the operations of this service. The Contract Administrator shall use all powers under the contract to enforce its faithful performance. The Contract Administrator shall determine the amount, quality and acceptability of work and shall decide all other questions in connection with the work. All direction and order from Mason shall be transmitted through the Contract Administrator, or their designee(s) however, the Contract Administrator shall have no authority to approve changes which shall alter the concept or scope of the work or change the basis for compensation to the contractor. XV. PAYMENT TERMS / METHOD OF PAYMENT: PLEASE NOTE: THE VENDOR MUST REFERENCE THE PURCHASE ORDER NUMBER ON ALL INVOICES SUBMITTED FOR PAYMENT. Option #1- Payment to be mailed in 10 days-Mason will make payment to the vendor under 2%10 Net 30 payment terms. Invoices should be submitted via email to the designated Accounts Payable email address which is email@example.com. The 10 day payment period begins the first business day after receipt of proper invoice or receipt of goods, whichever occurs last. A paper check will be mailed on or before the 10 th day. Option #2- To be paid in 20 days. The vendor may opt to be paid through our ePayables credit card program. The vendor shall submit an invoice and will be paid via credit card on the 20 th day from receipt of a valid invoice. The vendor will incur standard credit card interchange fees through their processor. All invoices should be sent to: George Mason University Accounts Payable Department 4400 University Drive, Mailstop 3C1 Fairfax, Va. 22030 Voice: 703.993.2580 \| Fax: 703.993.2589 e-mail: firstname.lastname@example.org Option#3- Net 30 Payment Terms. Vendor will enroll in Paymode-X where all payments will be made electronically to the vendor's bank account. For additional information or to sign up for electronic payments, go to http://www.paymode.com/gmu. There is no charge to the vendor for enrolling in this service. Please state your payment preference in your proposal response. XVI. SOLICITATION TERMS AND CONDITIONS: A. GENERAL TERMS AND CONDITIONS – GEORGE MASON UNIVERSITY: http://fiscal.gmu.edu/purchasing/do-business-with-mason/view-current-solicitation-opportunities/ B. SPECIAL TERMS AND CONDITIONS – GMU-1828-22 (Also see ATTACHMENT B – SAMPLE CONTRACT which contains terms and conditions that will govern any resulting award). 1. BEST AND FINAL OFFER (BAFO): At the conclusion of negotiations, the Offeror(s) may be asked to submit in writing, a best and final offer (BAFO). After the BAFO is submitted, further negotiations may or may not be conducted with the Offeror(s). 2. CONFLICT OF INTEREST: By submitting a proposal the contractor warrants that he/she has fully complied with the Virginia Conflict of Interest Act; furthermore certifying that he/she is not currently an employee of the Commonwealth of Virginia. 3. OBLIGATION OF OFFEROR: It is the responsibility of each Offeror to inquire about and clarify any requirements of this solicitation that is not understood. Mason will not be bound by oral explanations as to the meaning of specifications or language contained in this solicitation. Therefore, all inquiries must be in writing and submitted as instructed on page 1 of this solicitation. By submitting a proposal, the Offeror covenants and agrees that they have satisfied themselves, from their own investigation of the conditions to be to be met, that they fully understand their obligation and that they will not make any claim for, or have right to cancellation or relief from this contact because of any misunderstanding or lack of information. 4. RFP DEBRIEFING: In accordance with §49 of the Governing Rules Mason is not required to furnish a statement of the reasons why a particular proposal was not deemed to be the most advantageous. However, upon request we will provide a scoring summary, the award justification memo from the evaluation committee and brief, general comments submitted by evaluation committee members. Formal debriefings are generally not offered. 5. SUBCONTRACTS: No portion of the work shall be subcontracted without prior written consent of Mason's Purchasing office. In the event that the contractor desires to subcontract some part of the work specified herein, the contractor shall furnish Mason's Purchasing office the names, qualifications, criminal background checks and experience of their proposed subcontractors. The Contractor shall, however, remain fully liable and responsible for the work to be done by its subcontractor(s) and shall assure compliance with all requirements of the contract. XVII. RFP SCHEDULE (Subject to Change): Issue in eVA: 8/12/ 2022 * Advertise in Washington Post: 8/15/ 2022 * Vendors submit questions by: 8/25/ 2022 @ 4:00 PM EST * Post Question Responses: 9/1/2022 @ 5:00 PM EST * Proposals Due: 9/15/ 2022 @ 2:00 PM EST * Proposals to Committee: 9/16/ 2022 * Review and Score Proposals: 9/16/2022 – 9/20/2022 * Scores to Purchasing: 9/29/2022 * Virtual oral presentations: Wk of 10/3/2022 * Negotiations: Wk of 10/10/2022 * Award: Wk of 10/10/2022 * Notice to Proceed: TBD ATTACHMENT A SMALL BUSINESS SUBCONTRACTING PLAN TO BE COMPLETED BY OFFEROR Offerors must advise any portion of this contract that will be subcontracted. It is the goal of the Commonwealth that over 42% of its purchases be made from small businesses. All potential offerors are required to include this document with their proposal in order to be considered responsive. Small Business: "Small business (including micro)" means a business which holds a certification as such by the Virginia Department of Small Business and Supplier Diversity (DSBSD) on the due date and time for proposals. This shall also include DSBSD certified women- owned and minority-owned businesses and businesses with DSBSD service disabled veteran owned status when they also hold a DSBSD certification as a small business on the proposal due date. Currently, DSBSD offers small business certification and micro business designation to firms that qualify. Certification applications are available through DSBSD online at www.SBSD.virginia.gov (Customer Service). Offeror Name: Preparer Name: Date: Who will be doing the work: □ I plan to use subcontractors □ I plan to complete all work Instructions A. If you are certified by the DSBSD as a micro/small business, complete Section A of this form. B. If the “I plan to use subcontractors” box is checked, complete Section B of this form. For the proposal to be considered and the offeror to be declared responsive, the offeror shall identify the portions of the contract that will be subcontracted to any subcontractor, to include DSBSD certified small business for the initial contract period in relation to the offeror’s total price for the initial contract period in Section B. Section A If your firm is certified by the DSBSD provide your certification number and the date of certification. Certification Number: Certification Date: Section B If the “I plan to use subcontractors” box is checked, populate the requested information below, per subcontractor to show your firm's plans for utilization of any subcontractor, to include DSBSD-certified small businesses, in the performance of this contract for the initial contract period in relation to the offeror’s total price for the initial contract period. Certified small businesses include but are not limited to DSBSD-certified women-owned and minority-owned businesses and businesses with DSBSD service disabled veteran-owned status that have also received the DSBSD small business certification. Include plans to utilize small businesses as part of joint ventures, partnerships, subcontractors, suppliers, etc. It is important to note that these proposed participation will be incorporated into the subsequent contract and will be a requirement of the contract. Failure to obtain the proposed participation dollar value or percentages may result in breach of the contract. Plans for Utilization of Any subcontractor, to include DSBSD-Certified Small Businesses, for this Procurement Subcontract #1 Company Name: SBSD Cert #: Contact Name: SBSD Certification: Contact Phone: Contact Email: Value % or $ (Initial Term): Contact Address: Description of Work: Subcontract #2 Company Name: SBSD Cert #: Contact Name: SBSD Certification: Contact Phone: Contact Email: Value % or $ (Initial Term): Contact Address: Description of Work: Subcontract #3 Company Name: SBSD Cert #: Contact Name: SBSD Certification: Contact Phone: Contact Email: Value % or $ (Initial Term): Contact Address: Description of Work: Subcontract #4 Company Name: SBSD Cert #: Contact Name: SBSD Certification: Contact Phone: Contact Email: Value % or $ (Initial Term): Contact Address: Description of Work: Subcontract #5 Company Name: SBSD Cert #: Contact Name: SBSD Certification: Contact Phone: Contact Email: Value % or $ (Initial Term): Contact Address: Description of Work: Purchasing Department 4400 University Drive, Mailstop 3C5 Fairfax, VA 22030 Voice: 703.993.2580 \| Fax: 703.993.2589 http://fiscal.gmu.edu/purchasing/ ATTACHMENT B – SAMPLE CONTRACT GMU-1828-23 Note: Other documents may be incorporated into this document, either by way of attachment or by reference, but in all cases this contract document shall take precedence over all other documents and will govern the terms and conditions of the contract. This Contract entered on this ____ day of , 2022 (Effective Date) by ________________ hereinafter called “Contractor” (located at ____________) and George Mason University hereinafter called “Mason,” “University” . I. WITNESSETH that the Contractor and Mason, in consideration of the mutual covenants, promises and agreement herein contained, agree as follows: II. SCOPE OF CONTRACT: The Contractor shall provide Engineering and Science Sector Study and the Detailed Project Program (DPP), as described in the Request For Proposals. III. PERIOD OF CONTRACT: Twelve (12) months from date of award. IV. PRICE SCHEDULE: Contractor will provide a lump sum price based on the hourly rates negotiated on (date here). V. CONTRACT ADMINISTRATION: ___________ shall serve as Contract Administrator for this Contract and shall use all powers under the Contract to enforce its faithful performance. The Contract Administrator shall determine the amount, quality and acceptability of work and shall decide all other questions in connection with the work. All direction and order from Mason shall be transmitted through the Contract Administrator, however, the Contract Administrator shall have no authority to approve changes which shall alter the concept or scope or change the basis for compensation. VI. METHOD OF PAYMENT: As negotiated VII. THE CONTRACT DOCUMENTS SHALL CONSIST OF (In order of precedence): A. This signed Contract; B. Negotiation Responses dated XXXXX (incorporated herein by reference); C. RFP No. GMU-1828-23, in its entirety (incorporated herein by reference); D. Contractor’s proposal dated XXXXXX (incorporated herein by reference). VIII. GOVERNING RULES: This Contract is governed by the provisions of the Restructured Higher Education Financial and Administrative Operations Act, Chapter 10 (§ 23.1-1000 e t seq.) of Title 23.1 of the Code of Virginia, and the “Governing Rules” and the Purchasing Manual for Institutions of Higher Education and their Vendors. Documents may be viewed at: https://vascupp.org . IX. STANDARD TERMS AND CONDITIONS: A. APPLICABLE LAW AND CHOICE OF FORUM: This Contract shall be construed, governed, and interpreted pursuant to the laws of the Commonwealth of Virginia. All disputes arising under this Contract shall be brought before an appropriate court in the Commonwealth of Virginia. B. ANTI-DISCRIMINATION: By entering into this Contract Contractor certifies to the Commonwealth that they will conform to the provisions of the Federal Civil Rights Act of 1964, as amended, as well as the Virginia Fair Employment Contracting Act of 1975, as amended, where applicable, the Virginians With Disabilities Act, the Americans With Disabilities Act and §§ 9&10 of the Governing Rules. If the award is made to a faith-based organization, the organization shall not discriminate against any recipient of goods, services, or disbursements made pursuant to the Contract on the basis of the recipient's religion, religious belief, refusal to participate in a religious practice, or on the basis of race, age, color, gender or national origin and shall be subject to the same rules as other organizations that contract with public bodies to account for the use of the funds provided; however, if the faith-based organization segregates public funds into separate accounts, only the accounts and programs funded with public funds shall be subject to audit by the public body. (Governing Rules, § 36). In every contract over $10,000 the provisions in 1. and 2. below apply: 1. During the performance of this Contract, the Contractor agrees as follows: a. The Contractor will not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, disability, or any other basis prohibited by state law relating to discrimination in employment, except where there is a bona fide occupational qualification reasonably necessary to the normal operation of the Contractor. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. b. The Contractor, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, will state that such Contractor is an equal opportunity employer. c. Notices, advertisements and solicitations placed in accordance with federal law, rule or regulation shall be deemed sufficient for the purpose of meeting these requirements. 2. The Contractor will include the provisions of 1. above in every subcontract or purchase order over $10,000, so that the provisions will be binding upon each subcontractor or Contractor. C. ANTITRUST: By entering into this Contract, the Contractor conveys, sells, assigns, and transfers to the Commonwealth of Virginia all rights, title and interest in and to all causes of action it may now have or hereafter acquire under the antitrust laws of the United States and the Commonwealth of Virginia, relating to the particular goods or services purchased or acquired by the Commonwealth of Virginia under this Contract. D. ASSIGNMENT: Neither party will assign or otherwise transfer its rights or obligations under this Contract without both parties' prior written consent. Any attempted assignment, transfer, or delegation without such consent is void. E. AUDIT: The Contractor shall retain all books, records, and other documents relative to this Contract for five (5) years after final payment, or until audited by the Commonwealth of Virginia, whichever is sooner. The University, its authorized agents, and/or state auditors shall have full access to and the right to examine any of said materials during said period. F. AVAILABILITY OF FUNDS: It is understood and agreed between the parties herein that the University shall be bound hereunder only to the extent of the funds available or which may hereafter become available for the purpose of this Contract. G. AUTHORIZED SIGNATURES: The signatory for each Party certifies that he or she is an authorized agent to sign on behalf such Party. H. BACKGROUND CHECKS: Contractor's employees (including subcontractors) performing services on any Mason campus must have successfully completed a criminal background check prior to the start of their work assignment/service. As stated in Administrative Policy Number 2221 – Background Investigations, the criminal background investigation will normally include a review of the individual's records to include Social Security Number Search, Credit Report (if related to potential job duties), Criminal Records Search (any misdemeanor convictions and/or felony convictions are reported) in all states in which the employee has lived or worked over the past seven years, and the National Sex Offender Registry. In addition, the Global Watch list (maintained by the Office of Foreign Assets Control of The US Department of Treasury) should be reviewed. Signature on this contract confirms your compliance with this requirement. I. CANCELLATION OF CONTRACT: Mason reserves the right to cancel this Contract, in part or in whole, without penalty, for any reason, upon 60 days written notice to the Contractor. Upon written notice of cancellation from Mason, Mason shall be fully released from any further obligation under the Contract and Contractor agrees to directly refund all payments, for services not already performed, to Mason, including any pre-paid deposits, within 14 days. In the event the initial Contract period is for more than 12 months, the resulting Contract may be terminated by either party, without penalty, after the initial 12 months of the Contract period upon 60 days written notice to the other party. Any contract cancellation notice shall not relieve the Contractor of the obligation to deliver and/or perform on all outstanding orders issued prior to the effective date of cancellation. J. CHANGES TO THE CONTRACT: Changes can be made to this Contract in any of the following ways: 1. The parties may agree in writing to modify the scope of this Contract. An increase or decrease in the price of the contract resulting from such modification shall be agreed to by the parties as a part of their written agreement to modify the scope of this Contract. 2. Mason may order changes within the general scope of Contract at any time by written notice to Contractor. Changes within the scope of this Contract include, but are not limited to, things such as services to be performed, the method of packing or shipment, and the place of delivery or installation. Contractor shall comply with the notice upon receipt. Contractor shall be compensated for any additional costs incurred as the result of such order and shall give Mason a credit for any savings. Said compensation shall be determined by one of the following methods: a. By mutual agreement between the parties in writing; or b. By agreeing upon a unit price or using a unit price set forth in the contract, if the work to be done can be expressed in units, and the contractor accounts for the number of units of work performed, subject to the Mason's right to audit Contractor's records and/or to determine the correct number of units independently; or c. By ordering Contractor to proceed with the work and keep a record of all costs incurred and savings realized. A markup for overhead and profit may be allowed if provided by Contract. The same markup shall be used for determining a decrease in price as the result of savings realized. Contractor shall present Mason with all vouchers and records of expenses incurred and savings realized. Mason shall have the right to audit the records of Contractor as it deems necessary to determine costs or savings. Any claim for an adjustment in price under this provision must be asserted by written notice to Mason within thirty (30) days from the date of receipt of the written order from Mason. If the Parties fail to agree on an amount of adjustment, the question of an increase or decrease in the contract price or time for performance shall be resolved in accordance with the procedures for resolving disputes provided by the Disputes Clause of this Contract or, if there is none, in accordance with the disputes provisions of the Commonwealth of Virginia Purchasing Manual for Institutions of Higher Education and Their Contractors. Neither the existence of a claim nor a dispute resolution process, litigation or any other provision of this Contract shall excuse the Contractor from promptly complying with the changes ordered by Mason or with the performance of the contract generally. K. CLAIMS: Contractual claims, whether for money or other relief, shall be submitted in writing no later than 60 days after final payment. However, written notice of the Contractor's intention to file a claim shall be given at the time of the occurrence or beginning of the work upon which the claim is based. Nothing herein shall preclude a contract from requiring submission of an invoice for final payment within a certain time after completion and acceptance of the work or acceptance of the goods. Pendency of claims shall not delay payment of amounts agreed due in the final payment. 1. The firm must submit written claim to: Chief Procurement Officer George Mason University 4400 University Drive, MSN 3C5 Fairfax, VA 22030 2. The firm must submit any unresolved claim in writing no later than 60 days after final payment to the Chief Procurement Officer. 3. Upon receiving the written claim, the Chief Procurement Officer will review the written materials relating to the claim and will mail his or her decision to the firm within 60 days after receipt of the claim. 4. The firm may appeal the Chief Procurement Officer's decision in accordance with § 55 of the Governing Rules. L. COLLECTION AND ATTORNEY'S FEES: The Contractor shall pay to Mason any reasonable attorney's fees or collection fees, at the maximum allowable rate permitted under Virginia law, incurred in enforcing this Contract or pursuing and collecting past-due amounts under this Contract. M. COMPLIANCE: All goods and services provided to Mason shall be done so in accordance with any and all applicable local, state, federal, and international laws, regulations and/or requirements and any industry standards, including but not limited to: the Family Educational Rights and Privacy Act (FERPA), Health Insurance Portability and Accountability Act (HIPAA) and Health Information Technology for Economic and Clinical Health Act (HITECH), Government Data Collection and Dissemination Practices Act, Gramm-LeachBliley Financial Modernization Act (GLB), Payment Card Industry Data Security Standards (PCI-DSS), Americans with Disabilities Act (ADA), and Federal Export Administration Regulations. Any Contractor personnel visiting Mason facilities will comply with all applicable Mason policies regarding access to, use of, and conduct within such facilities. Mason's policies can be found at https://universitypolicy.gmu.edu/allpolicies/ and any facility specific policies can be obtained from the facility manager. N. CONFIDENTIALITY OF PERSONALLY IDENTIFIABLE INFORMATION: The Contractor shall ensure that personally identifiable information ("PII") which is defined as any information that by itself or when combined with other information can be connected to a specific person and may include but is not limited to personal identifiers such as name, address, phone, date of birth, Social Security number, student or personal identification numbers, driver's license numbers, state or federal identification numbers, biometric information, religious or political affiliation, non-directory information, and any other information protected by state or federal privacy laws, will be collected and held confidential and in accordance with this agreement, during and following the term of this Contract, and will not be divulged without the individual's and Mason's written consent and only in accordance with federal law or the Code of Virginia. O. CONFLICT OF INTEREST: Contractor represents to Mason that its entering into this Contract with Mason and its performance through its agents, officers and employees does not and will not involve, contribute to nor create a conflict of interest prohibited by Virginia State and Local Government Conflict of Interests Act (Va. Code 2.2-3100 et seq), the Virginia Ethics in Public Contracting Act (§57 of the Governing Rules), the Virginia Governmental Frauds Act (Va. Code 18.2 – 498.1 et seq) or any other applicable law or regulation. P. DEBARMENT STATUS: As of the effective date, the Contractor certifies that it is not currently debarred by the Commonwealth of Virginia from submitting bids or proposals on contracts for the type of services covered by this Contract, nor is the Contractor an agent of any person or entity that is currently so debarred. Q. DEFAULT: In the case of failure to deliver goods or services in accordance with Contract terms and conditions, Mason, after due oral or written notice, may procure them from other sources and hold Contractor responsible for any resulting additional purchase and administrative costs. This remedy shall be in addition to any other remedies which Mason may have. R. DRUG-FREE WORKPLACE: Contractor has, and shall have in place during the performance of this Contract, a drug-free workplace policy (DFWP), which it provides in writing to all its employees, vendors, and subcontractors, and which specifically prohibits the following on company premises, during work-related activities, or while conducting company business: the sale, purchase, manufacture, dispensation, distribution possession, or use of any illegal drug under federal law (including marijuana). For purposes of this section, "drug-free workplace" covers all sites at which work is done by Contractor in connection with this Contract. S. ENTIRE CONTRACT: This Contract constitutes the entire understanding of the Parties with respect to the subject matter herein and supersedes all prior oral or written contracts with respect to the subject matter herein. This Contract can be modified or amended only by a writing signed by all of the Parties. T. EXPORT CONTROL: N/A U. FORCE MAJEURE: Mason shall be excused from any and all liability for failure or delay in performance of any obligation under this Contract resulting from any cause not within the reasonable control of Mason, which includes but is not limited to acts of God, fire, flood, explosion, earthquake, or other natural forces, war, civil unrest, accident, any strike or labor disturbance, travel restrictions, acts of government, disease, pandemic, or contagion, whether such cause is similar or dissimilar to any of the foregoing. Upon written notification from Mason that such cause has occurred, Contractor agrees to directly refund all payments to Mason, for services not yet performed, including any pre-paid deposits within 14 days. V. FUTURE GOODS AND SERVICES: Mason reserves the right to have contractor provide additional goods and/or services that may be required by Mason during the term of this contract. Any such goods and/or services will be provided by the contractor under the same pricing, terms and conditions of this contract. Such additional goods and/or services may include other products, components, accessories, subsystems or related services that are newly introduced during the term of the contract. Such newly introduced additional goods and/or services will be provided to Mason at Favored Customer pricing, terms and conditions. W. IMMIGRATION REFORM AND CONTROL ACT OF 1986: By entering into this Contract Contractor certifies that they do not and will not during the performance of this Contract employ illegal alien workers or otherwise violate the provisions of the federal Immigration Reform and Control Act of 1986. X. INDEMNIFICATION: Contractor agrees to indemnify, defend and hold harmless George Mason University the Commonwealth of Virginia, its officers, agents, and employees from any claims, damages and actions of any kind or nature, whether at law or in equity, arising from or caused by the use of any materials, goods, or equipment of any kind or nature furnished by the Contractor/any services of any kind or nature furnished by the Contractor, provided that such liability is not attributable to the sole negligence of Mason or to the failure of Mason to use the materials, goods, or equipment in the manner already and permanently described by the Contractor on the materials, goods or equipment delivered. Y. INDEPENDENT CONTRACTOR: The Contractor is not an employee of Mason, but is engaged as an independent contractor. The Contractor shall indemnify and hold harmless the Commonwealth of Virginia, Mason, and its employees and agents, with respect to all withholding, Social Security, unemployment compensation and all other taxes or amounts of any kind relating to the Contractor's performance of this Contract. Nothing in this Contract shall be construed as authority for the Contractor to make commitments which will bind Mason or to otherwise act on behalf of Mason, except as Mason may expressly authorize in writing. Z. INFORMATION TECHNOLOGY ACCESS ACT: Computer and network security is of paramount concern at George Mason University. The University wants to ensure that computer/network hardware and software does not compromise the security of its IT environment. You agree to use commercially reasonable measures in connection with any offering your company makes to avoid any known threat to the security of the IT environment at George Mason University. All e-learning and information technology developed, purchased, upgraded or renewed by or for the use of George Mason University shall comply with all applicable University policies, Federal and State laws and regulations including but not limited to Section 508 of the Rehabilitation Act (29 U.S.C. 794d), the Information Technology Access Act, §§2.2-3500 through 2.2-3504 of the Code of Virginia, as amended, and all other regulations promulgated under Title II of The Americans with Disabilities Act which are applicable to all benefits, services, programs, and activities provided by or on behalf of the University. The Contractor shall also comply with the Web Content Accessibility Guidelines (WCAG) 2.0. For more information please visit http://ati.gmu.edu, under Policies and Procedures. AA. INSURANCE: The Contractor shall maintain all insurance necessary with respect to the services provided to Mason. The Contractor further certifies that they will maintain the insurance coverage during the entire term of the Contract and that all insurance is to be placed with insurers with a current reasonable A.M. Best's rating authorized to sell insurance in the Commonwealth of Virginia by the Virginia State Corporation Commission. The Commonwealth of Virginia and Mason shall be named as an additional insured. 1. Commercial General Liability Insurance in an amount not less than $1,000,000 per occurrence for bodily injury or property damage, personal injury and advertising injury, products and completed operations coverage; 2. Workers Compensation Insurance in an amount not less than that prescribed by statutory limits; and, as applicable; 3. Commercial Automobile Liability Insurance applicable to bodily injury and property damage, covering owned, non-owned, leased, and hired vehicles in an amount not less than $1,000,000 per occurrence; and 4. An umbrella/excess policy in an amount not less than five million dollars ($5,000,000) to apply over and above Commercial General Liability, Employer's Liability, Workers' Compensation, and Commercial Automobile Liability Insurance. BB. INTELLECTUAL PROPERTY: Contractor warrants and represents that it will not violate or infringe any intellectual property right or any other personal or proprietary right and shall indemnify and hold harmless Mason against any claim of infringement of intellectual property rights which may arise under this Contract. Unless expressly agreed to the contrary in writing, all goods, products, materials, documents, reports, writings, video images, photographs or papers of any nature including software or computer images prepared or provided by Contractor (or its subcontractors) for Mason will not be disclosed to any other person or entity without the written permission of Mason. Work Made for Hire. Contractor warrants to Mason that Mason will own all rights, title and interest in any and all intellectual property rights created in the performance or otherwise arising from the Contract and will have full ownership and beneficial use thereof, free and clear of claims of any nature by any third party including, without limitation, copyright or patent infringement claims. Contractor agrees to assign and hereby assigns all rights, title, and interest in any and all intellectual property created in the performance or otherwise arising from the Contract, and will execute any future assignments or other documents needed for Mason to document, register, or otherwise perfect such rights. Notwithstanding the foregoing, for research collaboration pursuant to subcontracts under sponsored research Contracts administered by the University's Office of Sponsored Programs, intellectual property rights will be governed by the terms of the grant or contract to Mason to the extent such grant or contract requires intellectual property terms to apply to subcontractors. CC. NON-DISCRIMINATION: All parties to this Contract agree to not discriminate on the basis of race, color, religion, national origin, sex, pregnancy, childbirth or related medical conditions, age (except where sex or age is a bona fide occupational qualification, marital status or disability). DD. PAYMENT TO SUBCONTRACTORS: The Contractor shall take the following actions upon receiving payment from Mason: (1) pay the subcontractor within seven days for the proportionate share of the total payment received from the Institution attributable to the work performed by the subcontractor under that Contract; or (2) notify the Institution and subcontractor within seven days, in writing, of its intention to withhold all or a part of the subcontractor's payment with the reason for nonpayment. b. If an individual contractor, provide social security number in order to receive payment. c. If a proprietorship, partnership or corporation provide Federal employer identification number. d. Pay interest to subcontractors on all amounts owed by the Contractor that remain unpaid after seven days following receipt by the Contractor of payment from the Institution for work performed by the subcontractor under that Contract, except for amounts withheld as allowed by prior notification. e. Accrue interest at no more than the rate of one percent per month. f. Include in each of its subcontracts a provision requiring each subcontractor to include or otherwise be subject to the same payment and interest requirements with respect to each lower-tier subcontractor. EE. PUBLICITY: The Contractor shall not use, in its external advertising, marketing programs or promotional efforts, any data, pictures, trademarks or other representation of Mason except on the specific written authorization in advance by Mason's designated representative. FF. REMEDIES: If the Contractor breaches this Contract, in addition to any other rights or remedies, Mason may terminate this Contract without prior notice. GG. RENEWAL OF CONTRACT: This Contract may be renewed by Mason for four (4) successive one (1) year periods under the terms and conditions of this Contract except as stated in 1. and 2. below. Price increases may be negotiated only at the time of renewal. Written notice of the University's intention to renew shall be given approximately 90 days prior to the expiration date of each contract period. 1. If the University elects to exercise the option to renew the Contract for an additional one-year period, the Contract price(s) for the additional one year shall not exceed the Contract price(s) of the original Contract increased/decreased by more than the percentage increase/decrease of the "other goods and services" category of the CPI-U section of the Consumer Price Index of the United States Bureau of Labor Statistics for the latest twelve months for which statistics are available. 2. If during any subsequent renewal periods, the University elects to exercise the option to renew the Contract, the Contract price(s) for the subsequent renewal period shall not exceed the Contract price(s) of the previous renewal period increased/decreased by more than the percentage increase/decrease of the "other goods and services" category of the CPI-U section of the Consumer Price Index of the United States bureau of Labor Statistics for the latest twelve months for which statistics are available. HH. REPORTING OF CRIMES, ACCIDENTS, FIRES AND OTHER EMERGENCIES: Any Mason Employee, including contracted service providers, who is not a staff member in Counseling and Psychological Services (CAPS) or a pastoral counselor, functioning within the scope of that recognition, is considered a "Campus Security Authority (CSA)." CSAs must promptly report all crimes and other emergencies occurring on or near property owned or controlled by Mason to the Department of Police & Public Safety or local police and fire authorities by dialing 9-1-1. At the request of a victim or survivor, identifying information may be excluded from a report (e.g., names, initials, contact information, etc.). Please visit the following website for more information and training: http://police.gmu.edu/clery-act-reporting/campus-security-authority-csa/." II. RESPONSE TO LEGAL ORDERS, DEMANDS, OR REQUESTS FOR DATA: Except as otherwise expressly prohibited by law, Contractor will: i) immediately notify Mason of any subpoenas, warrants, or other legal orders, demands or requests received by Contractor seeking University Data; ii) consult with Mason regarding its response; iii) cooperate with Mason's reasonable requests in connection with efforts by Mason to intervene and quash or modify the legal order, demand or request; and iv) upon Mason's request, provide Mason with a copy of its response. If Mason receives a subpoena, warrant, or other legal order, demand (including request pursuant to the Virginia Freedom of Information Act) or request seeking University Data maintained by Contractor, Mason will promptly provide a copy to Contractor. Contractor will promptly supply Mason with copies of data required for Mason to respond, and will cooperate with Mason's reasonable requests in connection with its response. JJ. SEVERABILITY: Should any portion of this Contract be declared invalid or unenforceable for any reason, such portion is deemed severable from the Contract and the remainder of this Contract shall remain fully valid and enforceable. KK. SOVEREIGN IMMUNITY: Northing in this Contract shall be deemed a waiver of the sovereign immunity of the Commonwealth of Virginia and of Mason. LL. SUBCONTRACTS: No portion of the work shall be subcontracted without prior written consent from Mason. In the event that the Contractor desires to subcontract some part of the work specified herein, the Contractor shall furnish Mason the names, qualifications and experience of their proposed subcontractors. The Contractor shall, however, remain fully liable and responsible for the work to be done by its subcontractor(s) and shall assure compliance with all requirements of this Contract. This paragraph applies to, but is not limited to, subcontractor(s) who process University Data. MM. SWaM CERTIFICATION: Contractor agrees to fully support the Commonwealth of Virginia and Mason's efforts related to SWaM goals. Upon contract execution, Contractor (as determined by Mason and the Virginia Department of Small Business and Supplier Diversity) shall submit all required documents necessary to achieve SWaM certification to the Department of Small Business and Supplier Diversity within 90 days. Vendors currently SWaM certified agree to maintain their certification for the duration of the Contract and shall submit all required renewal documentation at least 30 days prior to existing SWaM expiration at https://www.sbsd.virginia.gov/. NN. UNIVERSITY DATA: University Data includes all Mason owned, controlled, or collected PII and any other information that is not intentionally made available by Mason on public websites, including but not limited to business, administrative and financial data, intellectual property, and patient, student and personnel data. Contractor agrees to the following regarding University Data it may collect or process as part of this contract: a. Contractor will use University Data only for the purpose of fulfilling its duties under the Contract and will not share such data with or disclose it to any third party without the prior written consent of Mason, except as required by the Contract or as otherwise required by law. University Data will only be processed by Contractor to the extent necessary to fulfill its responsibilities under the Contract or as otherwise directed by Mason. b. University Data, including any back-ups, will not be accessed, stored, or transferred outside the United States without prior written consent from Mason. Contractor will provide access to University Data only to its employees and subcontractors who need to access the data to fulfill Contractor's obligations under the Contract. Contractor will ensure that employees who perform work under the Contract have read, understood, and received appropriate instruction as to how to comply with the data protection provisions of the Contract and to maintain the confidentiality of the University Data. c. The parties agree that as between them, all rights including all intellectual property rights in and to University Data shall remain the exclusive property of Mason, and Contractor has a limited, nonexclusive license to use the University Data as provided in the Contract solely for the purpose of performing its obligations under the Contract. The Contract does not give a party any rights, implied or otherwise, to the other party's data, content, or intellectual property, except as expressly stated in the Contract. d. Contractor will take reasonable measures, including audit trails, to protect University Data against deterioration or degradation of data quality and authenticity. Contractor shall be responsible for ensuring that University Data, per the Virginia Public Records Act, is preserved, maintained, and accessible throughout their lifecycle, including converting and migrating electronic data as often as necessary so that information is not lost due to hardware, software, or media obsolescence or deterioration. e. Contractor shall notify Mason within three business days if it receives a request from an individual under any applicable law regarding PII about the individual, including but not limited to a request to view, access, delete, correct, or amend the information. Contractor shall not take any action regarding such a request except as directed by Mason. f. If Contractor will have access to University Data that includes "education records" as defined under the Family Educational Rights and Privacy Act (FERPA), the Contractor acknowledges that for the purposes of the Contract it will be designated as a "school official" with "legitimate educational interests" in the University education records, as those terms have been defined under FERPA and its implementing regulations, and the Contractor agrees to abide by the limitations and requirements imposed on school officials. Contractor will use the education records only for the purpose of fulfilling its duties under the Contract for Mason's and its end user's benefit, and will not share such data with or disclose it to any third party except as provided for in the Contract, required by law, or authorized in writing by the University. g. Mason may require that Mason and Contractor complete a Data Processing Addendum ("DPA"). If a DPA is completed, Contractor agrees that the information in the DPA is accurate. Contractor will only collect or process University Data that is identified in the DPA and will only handle that data (e.g., type of processing activities, storage, security, disclosure) as described in the DPA. If Contractor intends to do anything regarding University Data that is not reflected in the DPA, Contractor must request an amendment to the DPA and may not take the intended action until the amendment is approved and documented by Mason. OO. UNIVERSITY DATA SECURITY: Data security is of paramount concern to Mason. Contractor will utilize, store and process University Data in a secure environment in accordance with commercial best practices, including appropriate administrative, physical, and technical safeguards, to secure such data from unauthorized access, disclosure, alteration, and use. Such measures will be no less protective than those used to secure Contractor's own data of a similar type, and in no event less than reasonable in view of the type and nature of the data involved. At a minimum, Contractor shall use industry-standard and up-to-date security tools and technologies such as anti-virus protections and intrusion detection methods to protect University Data. Immediately upon becoming aware of circumstances that could have resulted in unauthorized access to or disclosure or use of University Data, Contractor will notify Mason, fully investigate the incident, and cooperate fully with Mason's investigation of and response to and remediation of the incident. Except as otherwise required by law, Contractor will not provide notice of the incident directly to individuals who's PII was involved, regulatory agencies, or other entities, without prior written permission from Mason. Mason reserves the right in its sole discretion to perform audits of Contactor, at Mason's expense, to ensure compliance with all obligations regarding University Data. Contractor shall reasonably cooperate in the performance of such audits. Contractor will make available to Mason all information necessary to demonstrate compliance with its data processing obligations. Failure to adequately protect University Data or comply with the terms of this Contract with regard to University Data may be grounds to terminate this Contract. PP. UNIVERSITY DATA UPON TERMINATION OR EXPIRATION: Upon termination or expiration of the Contract, Contractor will ensure that all University Data are securely returned or destroyed as directed by Mason in its sole discretion within 180 days of the request being made. Transfer to Mason or a third party designated by Mason shall occur within a reasonable period of time, and without significant interruption in service. Contractor shall ensure that such transfer/migration uses facilities and methods that are compatible with the relevant systems of Mason or its transferee, and to the extent technologically feasible, that Mason will have reasonable access to University Data during the transition. In the event that Mason requests destruction of its data, Contractor agrees to destroy all data in its possession and in the possession of any subcontractors or agents to which the Contractor might have transferred University Data. Contractor agrees to provide documentation of data destruction to the University. Contractor will notify the University of any impending cessation of its business and any contingency plans. This includes immediate transfer of any previously escrowed assets and University Data and providing Mason access to Contractor's facilities to remove and destroy Mason-owned assets and University Data. Contractor shall implement its exit plan and take all necessary actions to ensure a smooth transition of service with minimal disruption to Mason. Contractor will also provide a full inventory and configuration of servers, routers, other hardware, and software involved in service delivery along with supporting documentation, indicating which if any of these are owned by or dedicated to Mason. Contractor will work closely with its successor to ensure a successful transition to the new equipment, with minimal downtime and effect on Mason, all such work to be coordinated and performed in advance of the formal, final transition date. QQ. UNIVERSITY REVIEW/APPROVAL: All goods, services, products, design, etc. produced by the Contractor for or on behalf of Mason are subject to Mason's review and approval. RR. WAIVER: The failure of a party to enforce any provision in this Contract shall not be deemed to be a waiver of such right. Contractor Name George Mason University Signature Signature Name: Name: Title: Title: Date: Date: ATTACHMENT C CONSULTANT PROFILE FORM TO BE COMPLETED BY OFFEROR A. Firm Name and Address Firm Name: Telephone Facsimile Street Address: , , Street Address City & State Zip Code B. Year Company was Established Year established: C. Name and Title of Princ i p a l- i n - C h arge, Managing Director, or CEO Name, Title Telephone Email D. Type of Business Organization Corporation: State of Incorporation: Partnership: Joint Venture: Sole Proprietorship: Other: (Please list) E. Number of Staff Employed Firm Wide Full Time Employees on Payroll: Total Staff: 2020 2021 2022 Architects: Planners: Engineers: Drafting Technicians: Landscape Architects: Administration and Support: Interior Design: Other: F. Financial Capability Provide the firm's Total Revenue for the last three (3) fiscal years. Year Ending $ Year Ending $ Year Ending $ Complete the following information for the office that will perform the work: (IF NOT THE SAME AS ABOVE) A. Firm Name and Address Firm Name: Telephone Facsimile Street Address: , , Street Address City & State Zip Code B. Year Company was Established Year established: C. Name and Title of Principal-in-Charge, Managing Director, or CEO Name, Title Telephone Email D. Number of Staff Employed in the Office Proposed to Perform the Work Full Time Employees on Payroll: Total Staff: 2020 2021 2022 Architects: Planners: Engineers: Drafting Technicians: Landscape Architects: Administration and Support: Interior Design: Other: ATTACHMENT D
Member Communication Experience D&I Training: What Works and What Doesn't Written by: Brent Darnell, Owner and President, Brent Darnell International The following is based on an article by Dr. Jane Bozarth. She did a thorough review of the current research and articles (a study of data) to find out what works and what doesn't regarding diversity and inclusion (D&I) training. Her measure of the effectiveness of D&I training was simple: Did the training efforts increase minority and women participation in the company? I also want to take this topic a bit further and talk about creating a sense of belonging, which is a vital ingredient for diversity, equity, and inclusion and our efforts concerning industry image and workforce development. THE GOOD NEWS D&I training can help. With a focus on training your folks on D&I, you can raise some awareness and get them talking about this topic. THE BAD NEWS It mostly doesn't work. A study of 800 companies, according to Dr. Bozarth, "actually saw declines in the numbers of some demographic groups - African American women and Asian American men and women - and no improvement among white women and other minorities." (measured by increase in representation) The Issues with Training and What to do Instead AWARENESS ALONE WILL NOT CHANGE BEHAVIOR! Most D&I training is centered in raising awareness. This is a \|1 cmaanet.org good first step, but long-term, will do little in promoting more diversity and inclusion in the workplace. We say this all the time in our leadership development training. Awareness alone will not change behavior. Information will not change behavior. I saw one article that talked about inserting anti-bias clauses into contracts. You could certainly do that, but it will likely not change people's behavior. What to do instead: For your D&I training to be successful, you need instruction, interventions, behavior modeling, realistic practice, and other application methods. Here is a simple behavioral model we have created with specific behavioral guidelines. If everyone is taught this model and leaders exhibit this model and behavior, your folks will be much more likely to shift perspectives and behaviors over time. » Assume positive intent! » Speak up when something is said or done that makes you uncomfortable. Allow the feelings to come out. Honor them. Explore them. Express them. » The person you bring this up to agrees not to defend or justify (You took it wrong. You're too sensitive. I didn't mean it that way.), but simply to apologize and vow to not say or do that thing in the future. » The person apologizing can ask more questions with curiosity and learning in mind to be able to understand the other person and ask how to approach this subject if it ever comes up again. Explore the feelings. Forgive yourself and others. » Everyone approaches this exercise without judgment and without assigning ulterior motives. They both agree not to take anything personally. Everyone moves on having learned more about others and connect with them in a positive way without any labels placed on either side. Let go and move on. » This is easier to say and much harder to do! Get comfortable being uncomfortable. MANDATORY VS. VOLUNTARY Mandatory (seen as punishment or remedial), according to Dr. Bozarth, "may activate, rather than reduce bias." What to do instead: Don't make it mandatory and never use it as a punishment. Encourage attendance with certificates, CEUs, make it part of existing training, tie it into promotions and upper positions. STEREOTYPE DISCREDITING MAY NOT WORK Disproving their own perspective may suppress rather than convert. What to do instead: Everyone should be able to tell their story. Don't negate anyone's experience. We relate to each other through story. It is the most ancient form of connection and establishes and promotes culture. If we can tell our stories and everyone can listen with curiosity and without judgment, perhaps this will help us to understand each other better. Some examples: "I don't trust black people." During one of our trainings, one of \|2 cmaanet.org the white men said to me, "I don't trust black people." I could have discredited him, told him he was wrong, and given him examples of trustworthy black people. Instead, I asked him to tell me more about his experience so that I could fully understand his position. This led to a deeper discussion and a slight shift in the way he viewed this situation. "I don't see color." When I hear this during training, it is often a middle-aged, white male. I always thank them for the comment and tell them that I appreciate what they are attempting to do, which is to reduce the differences due to race. But this statement can do more harm than good. We need to see color and realize that a person of color's experience might be different than our own, especially a white male. Think of being pulled over by a policeman. This starts the dialogue instead of shutting it down. We can explore privilege and how to help level the playing field. "People from the south are racist." It's good to discuss this, especially if you have representatives from this group. As a white, southern male, I think there is a tendency to stereotype. I was raised in a racist environment and can tell some stories about that experience and how I have moved beyond that environment. In fact, it has helped me to more be in tune with my own biases and stereotypes. MORE ON STORYTELLING Origin Story Exercise: Divide into small groups. Have everyone tell their origin story about the first time they encountered folks who were different than them. Here is my origin story: I grew up in the deep south where Jim Crow was still firmly in place in the '60s and segregation was the norm. I remember accidentally walking into a "colored only" waiting room for my doctor's appointment. In Jonesboro, Georgia, in 1968, I was 9-years-old and on the first integrated little league football team in Jonesboro, the Clayton County Eagles. (I'm number one in the second row.) Coach Furlong followed Dr. Martin Luther King and his concepts of nonviolence. Although most all-white teams treated us with respect, there were a few who reacted violently. Our coach taught us to react with love to the other teams when they called us racial epithets and other vile names and played dirty. What an amazing lesson for a 9-year-old. Later in life, I graduated from Fairhope High School in Fairhope, Alabama, and was one of two white players on the team (I'm number 22). I was a starter on the Fairhope Pirates. On a sports team, the best players played regardless of skin color. It was a true meritocracy. This shaped my worldview on folks who were outwardly different than me. We connected through sports. REINFORCING SOCIAL GROUP CATEGORIZATIONS According to Dr. Bozarth, diversity training may "reinforce social group categorizations and may enhance prejudices." Coverage of differences may reinforce dissimilarities and put folks into their perspective groups. What to do instead: Recognize the differences, then focus on what connects us and makes us human. It's all about the balance of similarities and differences! One approach that might work well is to recognize bias and differences, have everyone tell their stories and experiences, recognize those different experiences, then focus on all the things that connect us as humans. Some examples of connection: » Music (and for the deaf, something visual). For every leadership course, we have folks choose their favorite \|3 cmaanet.org piece of music and create a group or project playlist. Music transcends culture and differences and connects us. And most of the time, there is an emotional component to a music choice, which further connects. » Food (learn about other cultures). Every culture and every family have celebrations around food. Have everyone bring their favorite family or cultural dish in for a potluck. Have everyone explain the origin of the dish and how it became a family tradition. Also, be mindful of any pre-meal prayers. I was at an industry event and someone said a Christian prayer before the evening meal. That is a very nice thing to do, but it made me think about who was in the audience. What about the Jews, Muslims, Hindus, Buddhists, Atheists, and Agnostics in the room? They must have felt excluded. What if we gave these various groups opportunities to share their pre-meal ritual with the group? Even something as simple as a pre-meal ritual, like a prayer or showing gratitude can be a source of connection and doesn't have to be exclusive. » Holidays (learn about other cultures). Have everyone explain how they celebrate their holidays. Fall and Winter have a myriad of celebrations (Christmas, Hanukah, Kwanza, Diwali, Chinese New Year, and many others) and learning about them can teach us to appreciate those difference and celebrate the common themes. You could even rotate decorations and rituals in the office or on your project. » Movement/Dance (from the book, Intrinsic Inclusion). When we move together, something happens in our brains that creates a connection. What if we offered movement as a way to connect? It doesn't have to be dance, although line dancing or the electric slide is something that most could get into, especially with some encouragement. Moving together creates a connection in our brains. Any type of movement will do. We do an exercise called "Mirror" where everyone pairs up. There is a leader and a follower. The follower must emulate the leader's movements. Then you switch roles. This simple exercise not only explores how to lead and follow, but it can create strong connections. Other Ideas: » Make it ongoing: According to Dr. Bozarth, for D&I initiatives to be successful, they must be "… targeted to both awareness and skills development and conducted over a significant period of time." Always include post training work that includes behavioral coaching and follow-up sessions. » Have learners create content: Always/Never exercise the completion of these statements: inclusive managers always… and inclusive managers never… list to another table and have that table come up with the top two or three and how you can implement and reinforce those into the workplace. (courtesy thiagi.com). Divide into small groups. Brainstorm Once each group has come up with 10 for each, give your top two or three for each. Have each table discuss their » Belonging Exercise: Divide into small groups. Have everyone tell a story about when they felt excluded. Then have everyone tell a story about when they felt included. Talk about the themes that came out of each of these experiences. One extension of this exercise is to look at your company website and social media and ask the women and people of color whether they feel like they belong at the company. I remember reading an industry magazine where the cover was on diversity, but when you opened the magazine one of the first things you saw was a historical photo of an event that showed a large group of white men. Images matter. Make sure your media reflects what you want to convey, which is an inclusive, welcoming place. » Robust Evaluation: According to Dr. Bozarth, companies should "… go beyond self-reporting and conduct research" to measure if behaviors are changing. You can also track women and minority participation. » Don't call it diversity training: According to Dr. Bozarth, we should focus on "communication skills, improving work relationships, effective hiring (and retention) practices, managing others, working effectively on teams, discussion planning techniques, working effectively with others, and understanding self and others." Think about collaborative project delivery methods and concepts like Lean. The two tenants of Lean are Respect for People and Continual Improvement. This initiative on diversity and inclusion could be a true lean initiative to increase respect for people. » Improve the individual: Think of this initiative as improving the human. Focus on personal mastery of communication, conflict resolution, cultural competence, high performing teams, and relationships. These are all worthwhile efforts \|4 cmaanet.org that will improve business results and support and enhance any efforts toward better diversity, inclusion, equity, and belonging. » Embed into larger initiatives: Any initiatives should be permanent and part of organizational strategy. Work culture and environment should support diversity training. Create the business case for D&I and make it a business initiative. » Implicit association test: The implicit association test is a powerful way to check in with your own biases and start a discussion. Lessons Learned From My Experiences A TALE OF TWO GROUPS I worked with a company on a D&I Initiative. There were two different groups separated by several weeks. This was in an online format using Zoom. The first group was a cohesive group and they had some of the difficult D&I discussions already. The exercise we were doing was called "Is it teasing or bullying?" The construction world traditionally has a lot of hazing and teasing. We wanted to know where that line was. We gave the participants scenarios and had them discuss whether it was teasing or bullying. One of the scenarios was "A white employee teases a black employee for being chronically late." This created a great discussion where one of the black participants explained CPT or Colored People Time, a cultural stereotype where black people tend to be late. We decided, as we did for all these scenarios, that "it depends". It depends on the relationship, the level of trust, and the context of the teasing. We also had some deeper discussions about this culture of teasing and whether construction needs to change that culture in the future. The second week, we did the same content, but this second group didn't know each other as well and there wasn't the same level of trust. We had the same discussion on the scenario of the white employee teasing the black employee. One of the black participants felt triggered and was very upset by this exercise. I felt terrible. Lesson learned. The session came to a screeching halt and participants were uncomfortable. Be sure the participants know that these discussions can be quite difficult for some and encourage them to take care of themselves during the process. Unfortunately, this incident happened before we had a chance to cover our Rules of Engagement. RULES OF ENGAGEMENT To lay down the ground rules, we have created these rules of engagement. 1. Listen actively. Respect others when they are talking. 2. Speak from your own experience instead of generalizing ("I" instead of "they," "we," and "you"). 3. Do not be afraid to respectfully challenge one another by asking questions but refrain from personal attacks - focus on ideas. 4. Participate to the fullest of your ability. Community growth depends on the inclusion of every individual voice. For participants with privilege, check in with yourself to make sure your silence is not perpetuating the status quo. 5. Instead of invalidating somebody else's story with your own spin on their experience, share your own story and experience. 6. The goal is not to agree - it is to gain a deeper understanding. 7. Be conscious of body language and nonverbal responses. They can be as disrespectful as words. 8. Share the air. Notice if your voice is dominating the space, if so, step back, allow other voices, particularly those from more marginalized communities to speak. 9. Challenge yourself by choice. If there are topics that are triggering that come up, that you would like more privacy with, or that you just aren't sure about, be sure to "pass" when it's your turn to share. Growth and resilience comes from being challenged to grow, but you don't want to be in the "danger zone" of oversharing and going beyond your own personal boundaries. ONLINE VERSUS LIVE: KNOW YOUR PARTICIPANTS, CHECK IN OFTEN For this type of training, for facilitators and the participants, live is much better than online. When you have 40 participants and you can only see a tiny head in a Zoom call, it's very hard to read reactions and it is impossible to read the energy in a virtual room. If you must do this online, check in often with anonymous surveys and ask people how they are doing. If you see problems in the survey responses, stop and address them immediately. \|5 cmaanet.org Be a change agent: This is a change initiative! Treat it as such. You can't just put out a brochure and change your website and be done. This must be strategic and ongoing with measurement and follow-up. In Closing My philosophy has always been that the lack of women and people of color in our industry is a symptom of a larger issue, which is that our industry has trouble embracing change. Any change. We resisted safety way back when, and now it's just the way we do business. Then we resisted the environmental movement, LEED, and sustainability and we continue to make inroads into sustainable solutions for projects. Now there is a tendency by some in the industry to resist diversity, equity, and inclusion. Despite this resistance, we are making some progress on that front as well. It's time we embrace all diversity: diversity of thought, diversity of ideas, diversity of project approaches, and diversity of project execution. We must embrace lean, collaborative project delivery methods, prefabrication, modularization, and technology. We must create a future for construction that is inclusive, where we create a sense of belonging so strong that people are drawn to the industry and want to be a part of it. As I said in my book, The People Profit Connection, first published in 2007, "Consider the power of communication and teamwork so widespread that project teams love to come to work each morning, where relationships are so strong and concern for others is so pervasive that people look out for each other and working safely is as natural as breathing. Imagine a diverse workplace that draws millions of young men, women, and minorities because they want to be a part of this wonderful business. Imagine an industry where people reach their maximum level of performance mentally, spiritually, physically, and emotionally, thrive during their career and retire full of health and vigor. imagine an industry where we all work together to build something, to create something from nothing. That is the industry I want to be a part of, that is waiting to be." Best of luck with your D&I endeavors. If you need any resources, please let me know. \|6 cmaanet.org About the Author Brent Darnell is the owner and president of Brent Darnell International and a mechanical engineer and a graduate of Georgia Tech. He is a leading authority on emotional intelligence and a pioneer in its use in the construction industry to improve social competence and leadership skill among managers and executives. He is an adjunct professor at Auburn and Penn State universities and author of the well-received book, The People-Profit Connection and the Tough Guy series. His programs, books, and online courses, including CMAA's Leadership Library, are helping to transform the industry. Any views and opinions expressed in this article may or may not reflect the views and opinions of the Construction Management Association of America (CMAA). By publishing this piece, CMAA is not expressing endorsement of the individual, the article, or their association, organization, or company.
Automating Network Application Dependency Discovery: Experiences, Limitations, and New Solutions Xu Chen § Ming Zhang † Z. Morley Mao § Paramvir Bahl † † Microsoft Research § University of Michigan Abstract – Large enterprise networks consist of thousands of services and applications. The performance and reliability of any particular application may depend on multiple services, spanning many hosts and network components. While the knowledge of such dependencies is invaluable for ensuring the stability and efﬁciency of these applications, thus far the only proven way to discover these complex dependencies is by exploiting human expert knowledge, which does not scale with the number of applications in large enterprises. by a user can involve calls to multiple services mentioned above. Problems at any of these services may lead to failure of the request, leaving the user frustrated and IT managers perplexed. Recently, researchers have proposed automated discovery of dependencies from network trafﬁc [8, 18]. In this paper, we present a comprehensive study of the performance and limitations of this class of dependency discovery techniques (including our own prior work), by comparing with the ground truth of ﬁve dominant Microsoft applications. We introduce a new system, Orion, that discovers dependencies using packet headers and timing information in network trafﬁc based on a novel insight of delay spike based analysis. Orion improves the state of the art signiﬁcantly, but some shortcomings still remain. To take the next step forward, Orion incorporates external tests to reduce errors to a manageable level. Our results show Orion provides a solid foundation for combining automated discovery with simple testing to obtain accurate and validated dependencies. 1 Introduction Modern enterprise IT infrastructures comprise of large numbers of network services and user applications. Typical applications, such as web, email, instant messaging, ﬁle sharing, and audio/video conferencing, operate on a distributed set of clients and servers. They also rely on many supporting services, such as Active Directory (AD), Domain Name System (DNS), Kerberos, and Windows Internet Name Service (WINS). The complexity quickly adds up as different applications and services must interact with each other in order to function properly. For instance, a simple webpage fetch request issued We say one service depends on the other if the former requires the latter to operate properly. Knowledge of service dependencies provides a basis for serving critical network management tasks, including fault localization, reconﬁguration planning, and anomaly detection. For instance, Sherlock encapsulates the services and network components that applications depend on in an inference graph [8]. This graph is combined with end-user observations of application performance to localize faults in an enterprise network. When IT managers need to upgrade, reorganize, or consolidate their existing applications, they can leverage the knowledge of dependencies of their applications to identify the services and hosts that may potentially be affected, and to prevent unexpected consequences [9]. When continually discovered and updated, dependencies can help draw attention to unanticipated changes that warrant investigation. While there are network management systems that perform topology and service discovery [21, 12], IT managers currently do not have proven tools that help to discover the web of dependencies among different services and applications. They commonly rely on the knowledge from application designers and owners to specify these dependencies. These speciﬁcations can be written in languages provided by commercial products, such as Mercury MAM [4] and Microsoft MOM [5]. While straightforward, this approach requires signiﬁcant human effort to keep up with the evolution of the applications and their deployment environment. This becomes a massive problem for large enterprises with thousands of applications. For example, a survey conducted by the Wall Street Journal in 2008 found that HP and Citigroup each operate over 6,000 and 10,000 line-ofbusiness (LOB) applications [6]. Microsoft runs over 3,100 LOB applications in its corporate network, most of which have no documentations describing their dependencies. More recently, there have been a few attempts to automate dependency discovery by observing network trafﬁc patterns [8, 9, 18]. However, there is very little understanding about how well these approaches work, where and how they fall short, and whether their limitations can be overcome without human intervention. We have built a system called Orion that overcomes all these challenges. Speciﬁcally, it discovers dependencies by passively observing application trafﬁc. It uses readily available information contained in IP, TCP, and UDP headers without parsing higher-level application-speciﬁc protocols. Most of the computation is done locally by individual hosts, and the amount of information exchanged between hosts is small. There are a few challenges in designing a system that discovers dependencies in a complex enterprise network: First, it should require minimal human effort; Second, it should be applicable to a diverse set of applications; Third, it should be non-intrusive to applications and be easily deployable; and Fourth, it should scale with the number of services, applications, and hosts in the network. These challenges are hard to address, especially given that expert knowledge of application internals cannot be assumed for thousands of new and legacy applications. Incorporating such knowledge in a system is a formidable task. In this paper, we describe our experiences in designing, implementing, and deploying Orion in Microsoft's corporate network. We make the following contributions: * We introduce a new dependency discovery technique based on trafﬁc delay distributions. For the applications we studied, we can narrow down the set of potential dependencies by a factor of 50 to 40,000 with negligible false negatives. * We comprehensively study the performance and limitations of a class of dependency discovery techniques that are based on trafﬁc patterns (including Orion). The results reveal insights into the shortcomings of such techniques when they are applied to real-world applications. * We are the ﬁrst to extract the dependencies for ﬁve dominant enterprise applications by deploying Orion in a portion of Microsoft's corporate network that covers more than 2,000 hosts. These extracted dependencies can be used as input to create more realistic scenarios for the evaluation of various fault localization and impact analysis schemes * We conduct extensive experiments to compare Orion with the state of the art (Sherlock [8] and eXpose [18]). While their false negatives are similar, the false positives of Orion are 10-95% fewer than Sherlock and 94-99% fewer than eXpose. Even though Orion cannot avoid all the false positives, we can obtain accurate dependencies using simple external tests. In the rest of the paper, we elaborate on our techniques, implementation, and evaluation of automated dependency discovery. Additionally, we provide concrete examples about how to use extracted dependencies for fault diagnosis and reconﬁguration planning. 2 Related Work Many sophisticated commercial products, such as EMC SMARTS [1], HP OpenView [2], IBM Tivoli [3], Microsoft MOM [5], and Mercury MAM [4], are used for managing enterprise networks. Some of them provide support for application designers to specify the dependency models. However, these approaches require too much manual effort and are often restricted to a particular set of applications from the same vendor. Magpie is a toolchain that correlates events generated by operating system, middleware, and application to extract individual requests and their resource usage [10]. However, it heavily relies on expert knowledge about the systems and applications to construct schemas for event correlation. There is a large body of prior work on tracing execution paths among different components in distributed applications. For example, Pinpoint instruments the J2EE middleware on every host to track requests as they ﬂow through the system [15]. It focuses on mining the collections of these paths to locate faults and understand system changes. X-Trace is a cross-layer, cross-application framework for tracing the network operations resulting from a particular task [16]. The data generated by XTrace can also be used for fault detection and diagnosis. Both Pinpoint and X-Trace require all the distributed applications to run on a common instrumented platform. This is unlikely to happen in large enterprise networks with a plethora of applications and operating systems from different vendors. Project5 [7] and WAP5 [22] apply two different correlation algorithms to message traces recorded at each host to identify the causality paths in distributed systems. They both focus on debugging and proﬁling individual applications by determining the causality between messages. The message correlation in Project5 is done by computing the cross correlation between two message streams. WAP5 developed a different message correlation algorithm based on the assumption that causal delays follow an exponential distribution for wide-area network applications. In contrast, Orion focuses on discovering the service dependencies of network applications. Brown et al. propose to use active perturbation to infer dependencies between system components in distributed applications [14]. While this methodology requires little knowledge about the implementation details of the applications, it has to use a priori information to learn the list of candidate services to perturb, which is inherently difﬁcult to obtain in large enterprise networks. The closest prior work to Orion is Sherlock [8, 9] and eXpose [18]. The former focues on localizing faults using dependency graphs while the latter focuses on extracting and clustering signiﬁcantly dependent ﬂow groups. They both use trafﬁc co-occurrence to identify dependencies. To determine whether one service depends on the other, they compute either the conditional probability [8] or the JMeasure [18] of the two services within a ﬁxed time window. A key issue with both approaches is the choice of the time window size. In fact, it is fundamentally difﬁcult to pick an appropriate window size that attains a good balance between false positives and false negatives. While they seem to extract certain meaningful dependencies, neither of them quantiﬁed the accuracy of their results in terms of how many true dependencies they missed or how many false dependencies they mistakenly inferred. In contrast, our technique does not rely on any co-occurrence window size. Through ﬁeld deployment, we show that Orion extracts dependencies much more accurately than Sherlock [8] and eXpose [18] for a variety of real-world enterprise applications. We also validated our results with the owners of all these applications. 3 Goal & Approach Given an enterprise network application, our goal is to discover the set of services on which it depends in order to perform its regular functions. Before describing the technical details, we ﬁrst introduce a few concepts and terms that will be used in the paper. We then motivate our design decisions, outline our approach, and discuss our challenges. Enterprise networks consist of numerous services and user applications. Applications, such as web, email, and ﬁle sharing, are directly accessed by users. Most applications depend on various network services to function properly. Typical network services include Active Directory (AD), Domain Name System (DNS), and Kerberos. These services provide basic functions, such as name lookup, authentication, and security isolation. An application or a service can run on one or more hosts. 3.1 Services and dependencies In this paper, we do not make a formal distinction between services and applications, and we use both terms interchangeably. We use a three-tuple (ip, port, proto) to denote either an application or a service. In an enterprise network, an ip normally maps to a unique host and the port and proto often identify a particular service running on that host. Many ports under 1024 are reserved for well-known services, such as Web (80, TCP), DNS (53, TCP/UDP), Kerberos (88, TCP/UDP), WINS (137, TCP/UDP), and LDAP (389, TCP/UDP). Another type of service is RPC-based and does not use well-known ports. Instead, these services register an RPC port between 1025 and 65535 when a host boots up. Clients who intend to use these services will learn the RPC service port through a well-known port of RPC endpoint mapper (135). We deﬁne service A to depend on service B, denoted as A → B, if A requires B to satisfy certain requests from its clients. For instance, a web service depends on DNS service because web clients need to lookup the IP address of the web server to access a webpage. Similarly, a web service may also depend on database services to retrieve contents requested by its clients. Note that A → B does not mean A must depend on B to answer all the client requests. In the example above, clients may bypass the DNS service if they have cached the web server IP address. The web server may also bypass the database service if it already has the contents requested by the clients. While it is a common practice to associate a service with an (ip, port, proto) tuple, we may deﬁne service at either coarser or ﬁner granularities. On the one hand, many enterprises include fail-over or load balancing clusters of hosts for particular services, which can be denoted as (ipCluster, port, proto). Other services, such as audio and video streaming, could use any port within a particular range, which can be denoted as (ip, portRange, proto). On the other hand, multiple services may share the same port on a host in which case we must use additional service-speciﬁc information to identify each of them. 3.2 Discovering dependencies from trafﬁc Conﬁguration ﬁles on hosts are useful sources for discovering dependencies. For instance, DNS conﬁguration ﬁles reveal information about the IP addresses of the DNS servers, and proxy conﬁguration ﬁles may contain the IP addresses and port numbers of HTTP and FTP proxies. However, the conﬁguration ﬁles of different applications may be stored in different locations and have different formats. We need application-speciﬁc knowledge to parse and extract dependencies from them. Moreover, they are less useful in identifying dependencies that are dynamically constructed. A notable example is that web browsers often use automatic proxy discovery We consider three options in designing Orion to discover dependencies of enterprise applications: i) instrumenting applications or middlewares; ii) mining application conﬁguration ﬁles; and iii) analyzing application trafﬁc. We bypass the ﬁrst option because we want Orion to be easily deployable. Requiring changes to existing applications or middlewares will deter adoption. protocols to determine their proxy settings. Orion discovers dependencies based on the observation that the trafﬁc delay distribution between dependent services often exhibits "typical" spikes that reﬂect the underlying delay for using or providing these services. While conceptually simple, we must overcome three key challenges. First, it is inherently difﬁcult to infer dependencies from application trafﬁc without understanding application-speciﬁc semantics. Packet headers and timing information are often insufﬁcient to resolve ambiguity. This may cause us to mistakenly discover certain service correlations (false positives) even though there are no real dependencies between the services. Second, packet headers and timing information can be distorted by various sources of noise. Timing information is known to be susceptible to variations in server load or network congestion. Third, large enterprise networks often consist of tens of thousands of hosts and services. This imposes stringent demand on the performance and scalability of Orion. We introduce new techniques to address each of the three challenges. In Orion, we take the third approach of discovering dependencies by using packet headers (e.g., IP, UDP, and TCP) and timing information in network trafﬁc. Such information is both easy to obtain and common to most enterprise applications. Note that it is natural to develop application-speciﬁc parsers to understand the application trafﬁc, e.g., when a message starts or ends and what the purpose of the message is. Such detailed knowledge is helpful in determining the dependency relationships between the trafﬁc of different services, eliminating ambiguities, and hence improving the accuracy of dependency inference. Nonetheless, developing parsers for every application requires extensive human effort and domain knowledge. For this reason, we refrain from using any packet content information besides IP, UDP, and TCP headers. Orion has three components. The ﬂow generator converts raw network trafﬁc traces into ﬂows. The purpose is to infer the boundaries of application messages based only on packet headers and timing information. The delay distribution calculator identiﬁes the potential services from the ﬂows and computes delay distributions between ﬂows of different services. Finally, the dependency extractor ﬁlters noise and discovers dependencies based on the delay distributions. We describe each of them in detail in the subsequent sections. 4 Flow Generation In client-server applications, services and their clients communicate with each other using requests and replies. For convenience, we use a message to denote either a request or a reply. Orion discovers service dependencies by looking for the time correlation of messages between different services. For instance, it infers the dependency of a web service on a DNS service by observing DNS messages precede web messages. While time correlation may not always indicate a true dependency, we rely on a large number of statistical samples to reduce the likelihood of false positives. While it is desirable to aggregate packets into messages for dependency inference, this is nontrivial because we do not parse the application payload in packets. Given that most services use UDP and TCP for communications, we aim to both reduce computation overhead and keep sufﬁcient correlation information by aggregating packets into ﬂows based on IP, TCP, and UDP headers and timing information: In reality, we are only able to observe individual packets in the network instead of individual messages. Multiple packets may belong to the same message and the time correlation among themselves do not explicitly convey any dependency information. If we consider the time correlation between every possible pair of packets, we could introduce: i) too much redundancy because we count the correlation between two dependent messages multiple times; and ii) signiﬁcant computation overhead because the number of packets is much larger than the number of messages. TCP packets with the same ﬁve tuple (locIP, locPt, remIP, remPt, proto) are aggregated into a ﬂow whose boundary is determined by either a timeout threshold, or TCP SYN/FIN/RST, or KEEPALIVE. Any two consecutive packets in a ﬂow must not be interleaved by an interval longer than the timeout threshold. TCP SYN/FIN/RST ﬂags are explicit indications of the start or the end of ﬂows. Certain services with frequent communications may establish persistent connections to avoid the cost of repetitive TCP handshakes. They may use KEEPALIVE messages to maintain their connections during idle periods. We also use such messages to identify ﬂow boundaries. We will evaluate the impact of ﬂow generation on our inference results in Section 7.2.3. UDP packets with the same ﬁve tuple (locIP, locPt, remIP, remPt, proto) are aggregated into a ﬂow solely based on timing information, since UDP is a connectionless protocol. Any two consecutive packets in a ﬂow must not be interleaved by an interval longer than the timeout threshold. 5 Service Dependency Discovery In this section, we ﬁrst present an overview of our approach to discovering service dependencies. We then describe the details of our approach, including how to calculate delay distributions between different services based on ﬂow information and how to extract dependencies from delay distributions. 5.1 Overview There could be multiple typical values for the message delay between two dependent services, each of which corresponds to a distinct execution path in the services. In the above example, the client may bypass the authentication if it has a valid authentication ticket cached. As a result, the message delay between the DNS and web services will simply be the time it takes for the client to send a web request after the DNS reply is received. This will lead to two typical spikes in the delay distribution. Orion discovers service dependencies by observing the time correlation of messages between different services. Our key assumption is if service A depends on service B, the delay distribution between their messages should not be random. In fact, it should reﬂect the underlying processing and network delays that are determined by factors like computation complexity, execution speed, amount of communication information, and network available bandwidth and latency. For instance, a web client may need to go through DNS lookup and authentication before accessing a web service. The message delay between the DNS and web services is the sum of: 1) the time it takes for the client to send an authentication request after the DNS reply is received; 2) the transmission time of the authentication request to the authentication service; 3) the processing time of the authentication request by the authentication service; 4) the transmission time of the authentication reply to the client; and 5) the time it takes for the client to send a web request after the authentication reply is received. Assuming the host and network load are relatively stable and relatively uniform service processing overhead, this message delay should be close to a "typical" value that exhibits as a "typical" spike in its delay distribution. While there could be thousands of hosts in the network, Orion focuses on discovering service dependencies from an individual host's perspective. Given a host, it aims to identify dependencies only between services that are either used or provided by that host. This implies the dependency discovery algorithm can run independently on each host. This is critical for Orion to scale with the network size. By combining the dependencies extracted from multiple hosts, Orion can construct the dependency graphs of multi-tier applications. The dependency graphs of a few three-tier applications are illustrated in Section 7.1. 5.2 Delay distribution calculation In the remainder of the section, we will describe a few important techniques in realizing Orion. This includes how to scale with the number of services, reduce the impact of noise, and deal with insufﬁcient number of delay samples. Orion uses the delay distribution of service pairs to determine their dependency relationship. Given a host, we use (IPloc, Portloc, proto) and (IPrem, Portrem, proto) to represent the local and remote services with respect to that host. We are interested in two types of dependency: i) Remote-Remote (RR) dependency indicates the host depends on one remote service to use another remote service. This type of dependency is commonly seen on clients, e.g., a client depends on a DNS service (DNSrem, 53rem, UDP ) to use a web service (Webrem, 80rem, T CP ); ii) Local-Remote (LR) dependency indicates the host depends on a remote service to provide a local service. This type of dependency is commonly seen on servers, e.g., the web service on a server (Webloc, 80loc, T CP ) depends on an SQL database service (SQLrem, 1433rem, T CP ) to satisfy the web requests from its clients. Orion calculates the delay distribution based on the ﬂow information generated in the previous stage (Section 4). Since a host may observe many ﬂows over a long time, Orion uses two heuristics to reduce the CPU and memory usage. First, it calculates the delays only between ﬂows that are interleaved by less than a predeﬁned time window. Ideally, the time window should be larger than the end-to-end response time of any service S in the network (from the time a client sends the ﬁrst request to a service that S depends on till the time the client receives the ﬁrst reply from S) to capture all the possible dependencies of S. In single-site enterprise networks, a time window of a few seconds should be large enough to capture most of the dependencies that we look for, given the end-to-end response time of services in such networks is typically small. In multi-site enterprise networks which are interconnected via wide-area networks, we may need a time window of a few tens of seconds. We currently use a three-second time window for our deployment inside Microsoft's corporate network. The second heuristic to reduce overhead is based on the observation that a host may communicate over a large number of services, many of which may not be persistent enough to attract our interest. For instance, clients often use many ephemeral ports to communicate with servers and the "services" corresponding to these ephemeral ports are never used by other services. Orion keeps track of the number of ﬂows of each service in the recent past and uses a ﬂow count threshold to distinguish between ephemeral and persistent services. It calculates and maintains delay distributions only for persistent services pairs. The ﬂow count threshold is determined by the minimum number of statistical samples that are required to reliably extract dependencies. We use a default threshold of 50 in the current system. Note that the window size and the ﬂow count threshold only affect the the computation and storage overhead but not the accuracy of Orion. Since Orion does not parse packet payload to under- stand the actual relationship between ﬂows, it simply calculates the delay between every pair of ﬂows, e.g., ( LocIP 1 , LocPt 1 , RemIP 1 , RemPt 1 , proto 1 ) and ( LocIP 2 , LocPt 2 , RemIP 2 , RemPt 2 , proto 2 ) , that are interleaved by less than the time window. We treat each delay sample as a possible indication of both a RR dependency, e.g., ( RemIP 2 , RemPt 2 , proto 2 ) → ( RemIP 1 , RemPt 1 , proto 1 ) , and an LR dependency, e.g., ( LocIP 1 , LocPt 1 , proto 1 ) → ( RemIP 2 , RemPt 2 , proto 2 ) , and add it to the delay distributions of both service pairs. This implies that there could be "irrelevant" samples in the delay distribution that do not reﬂect a true dependency between the service pair. This could be problematic if a delay distribution is dominated by such irrelevant samples. Nonetheless, in our current deployment, we identiﬁed only one false negative that is possibly caused by this problem (Section 7.2). 5.3 Service dependency extraction Suppose a host uses m remote services and provides n local services, Orion needs to maintain delay distributions for (m × m) RR service pairs and (m × n) LR service pairs for that host in the worse case. Because Orion discovers dependencies for each host independently, m and n are determined by the services observed at that host rather than all the services in the network. This allows Orion to scale in large enterprises with many services. We evaluate the scalability of Orion in Section 7.4.1. We now describe three important issues related to extracting dependencies from delay distributions: mitigating the impact of random noise, detecting typical spikes, and dealing with insufﬁcient samples. 5.3.1 Noise ﬁltering & spike detection Raw delay distributions may contain much random noise due to host and network load variations. The noise will introduce numerous random spikes in the delay distribution, which could potentially interfere with the detection of typical spikes. Realizing this problem, we treat each delay distribution as a signal and use signal processing techniques to reduce random noise. Intuitively, the number of typical spikes corresponds to the number of commonly-executed paths in the services, which is at most a few for all the services we study. In contrast, random noise tends to introduce numerous random spikes in the signal, which is more evident in the high frequency spectrum. The delay distribution of service pairs calculated from ﬂow information is stored as a histogram with a default bin width of 10ms. There are 300 bins if we use a threesecond time window. We denote bin-height as the number of delay samples that fall into each bin. This prompts us to use Fast Fourier Transform (FFT) to decompose the signal across the frequency spectrum and apply a low-pass ﬁlter to mitigate the impact of random noise [13]. The choice of low-pass ﬁlter reﬂects the trade-off between tolerance to noise and sensitivity to typical spikes. We have tried a few commonly-used ﬁlters and ﬁnd that Kaiser window (50 ≤ β ≤ 200) [17] achieves a reasonable balance between the two goals. The effect of ﬁltering is not particularly sensitive to the choice of β within the above range and we use β = 100 in the current system. Figure 2 shows two examples of noise ﬁltering and spike detection. The two horizontal lines in each graph represent the mean and the (mean + k × stdev) of the bin-heights. The two graphs on the left are the delay distributions of a true dependency before and after ﬁltering. Clearly, ﬁltering does not eliminate the typical spike. The two graphs on the right are the delay distributions of a non-dependency. In this case, ﬁltering significantly reduces the random spikes that could have led to false positives. Note that noise ﬁltering is effective only For each delay distribution, we plot the corresponding bin-height distribution. Each point in the bin-height distribution represents the number of bins with a particular bin-height. Interestingly, we ﬁnd these bin-height distributions closely follow normal distribution, as illustrated by an example in Figure 1. Based on this observation, we detect typical spikes whose bin-heights are among the top x% in the bin-height distribution. The parameter x determines the degree of tolerance to noise and sensitivity to typical spikes. In practice, we ﬁnd x between 0.1% and 1% works pretty well. We use a bin-height threshold of (mean + k × stdev) to detect typical spikes, where mean and stdev are the the mean and standard deviation of the bin-heights. With k = 3, we will detect typical spikes whose bin-heights are among the top 0.3% in the bin-height distribution. against random spikes in delay distributions. It has little effect on other non-typical spikes introduced by certain unexpected service pair interaction. 5.3.2 Client & service aggregation To facilitate client aggregation, we may have to perform service aggregation as well. Many enterprise networks use a failover or load balancing cluster of servers to provide a particular service. Clients may communicate with any of the servers in the cluster. By treating such a cluster of servers as a whole and representing the service with a (ipCluster, port, proto), it provides us much more opportunities in performing client aggregation. Similarly, a server may provide the same service (e.g., audio and video streaming) on any port in a particular range. We may represent such a service with (ip, portRange, proto) to help client aggregation. Orion requires a reasonably large number of samples in a delay distribution to reliably detect typical spikes. To avoid inaccuracy due to a lack of samples, it ignores delay distributions in which the number of samples is fewer than the number of bins in the histogram. This could be problematic for individual clients who use many remote services infrequently. Fortunately, clients in an enterprise network often have similar host, software, and network conﬁgurations. They also have a similar set of dependencies when using a particular remote service. Orion aggregates the delay distributions of the same service pairs from multiple clients to improve the accuracy of dependency extraction. Note that the service dependencies of clients may have slight difference, e.g., due to different software versions. By doing client aggregation, Orion will discover the aggregated dependencies of all the clients, which could be a superset of the dependencies of each individual client. While client and service aggregations help to improve accuracy, they require extra information beyond that embedded in the packet headers. In Microsoft's corporate network, most servers are named based on a well-deﬁned convention, e.g., xxx-prxy-xx is a proxy cluster and xxxdns-xx is a DNS cluster. We develop a simple set of naming rules to identify the clusters. We also examine the conﬁguration ﬁles to obtain the port range for a few services that do not use a ﬁxed port. In enterprises where such naming convention does not exist, we may have to rely on IT managers to populate the host-to-cluster mapping information. Normally, this type of information already exists in large enterprises to facilitate host management. We can also leverage existing work on service discovery to obtain this information [11]. We focus on discovering the service dependencies for client-server applications, which are dominant in many enterprise networks. Their dependencies change only when they are reconﬁgured or upgraded. As a result, 5.4 Discussion the dependencies that we aim to discover are usually stable over several weeks or even months. As we will see in Section 7.3, this is critical because Orion may need a few days of statistical samples to reliably infer dependencies. Recently, peer-to-peer (p2p) applications have gained popularity in enterprise networks. In contrast to traditional client-server applications, they are designed to be highly resilient by dynamically changing the set of hosts with which a client communicates. The dependencies of these applications could change even during short periods of time. As future work, we plan to investigate how to discover the dependencies of p2p applications. We emphasize that the issues above are not just speciﬁc to Orion but to the class of dependency discovery techniques based on trafﬁc patterns. We will comprehensively evaluate and compare their performance using ﬁve real-world enterprise applications in Section 7. In spite of these issues, Orion is surprisingly effective in discovering service dependencies. In fact, it not only discovers the majority of the true dependencies but also successfully eliminates most of the false positives. While some false positives are unavoidable, their numbers are sufﬁciently small to be removed with some simple testing. Orion discovers service dependencies by looking for typical spikes in the delay distributions of service pairs. While conceptually simple, false positives and false negatives may arise due to various types of noise (e.g., different hardware, software, conﬁguration, and workload on the hosts and load variation in the network) or unexpected service pair interaction (e.g., although service A → B, the messages of A and B could be triggered by other services). While the impact of random noise can be mitigated by taking a large number of statistical samples, unexpected service pair interaction is more problematic. In Section 7.2, we will illustrate examples of false positives where non-dependent service pairs show strong time correlations. Orion requires a large number of statistical samples to reliably extract service dependencies. This makes it less applicable to services which are newly deployed or infrequently used. It may also miss dependencies that rarely occur, such as DHCP. One possible solution is to proactively inject workloads to these services to help accumulate sufﬁcient number of samples. 6 Implementation We now describe the implementation of Orion as shown in Figure 3. Orion has three major components that run on a distributed set of hosts in an enterprise network. The ﬂow generators convert raw trafﬁc traces into ﬂow records in real time. The delay distribution calculators run on the same set of hosts as the ﬂow generators. They continually update the delay distributions for all the service pairs relevant to the services that administrators are Figure 3: System architecture Raw Packet Trace Flow Data Delay Distribu- tions Flow Generator Distribution Calculator Monitor Aggregated Delay Distribu- tions Cluster Informa- tion Noise Filtering Spike Detection Depen- dency Informa- tion Dependency Extractor interested in. A centralized dependency extractor collects and analyzes the delay distributions from multiple hosts to extract dependencies. 6.1 Flow generator In a fully distributed deployment, each host runs a ﬂow generator and a delay distribution calculator to build its own delay distributions (host-based deployment). Such organization scales well given the localized nature of computation. Trafﬁc traces can be captured by WinPcap or TDI drivers (a Windows API). The latter allows us to get the port and protocol information even when trafﬁc is encrypted by IPSec. When such a fully distributed deployment is not possible, Orion can operate on packet sniffers connected to span ports on switches and routers that are close to hosts (network-based deployment). It will build the delay distributions for each host on the same subnet. A ﬂow generator reads the (ip, port, proto) and timing information from the raw trafﬁc traces and outputs ﬂow records. It maintains a hash table in memory, which keeps track of all the active ﬂow records using the ﬁve-tuple (locIP, locPt, remIP, remPt, proto) as keys. locIP corresponds to a monitored host. Each ﬂow record contains a small amount of information, e.g., the timestamps of the ﬁrst and the last packets, the direction and TCP ﬂag of the last packet, and the current TCP state of the ﬂow. Based on this information, we can determine whether to merge a new packet into an existing ﬂow record, ﬂush an existing ﬂow record, or create a new one. To keep the hash table from growing excessively, we expire old ﬂow records periodically. The current version is implemented in C using the libpcap library with roughly 2K lines of code. The delay distribution calculator keeps a buffer that holds the recent ﬂow records of each monitored host. The ﬂow records in the buffer are sorted based on their starting time and ending time. When a new ﬂow record arrives, we use its starting time and ending time minus the threesecond time window to expire old records in the buffer. For each monitored host, we also maintain a set of delay distributions for the service pairs related to that host. We go through all the existing ﬂow records in the buffer, compute the delay between the new ﬂow record and each 6.2 Delay distribution calculator of the existing ones, and insert the delay samples into the delay distributions of the corresponding service pairs. Each delay distribution is maintained as a histogram with 300 bins and 10ms bin width. We implement this component using Perl with roughly 500 lines of code. The centralized dependency extractor waits for dependency extraction requests for a particular service from administrators. When a request arrives, it will retrieve the delay distributions of relevant service pairs from the servers where the service is hosted and the clients. Depending on whether there are enough samples to reliably extract dependencies, the dependency extractor may perform client and service aggregation when clustering information is available. Aggregation is done by adding the bin-heights of the same bins in the delay distributions of the same service pair. After retrieving and possibly aggregating the delay distributions, we ignore those delay distributions with fewer samples than the number of bins. For each remaining delay distribution, we use Matlab to perform Fast Fourier Transform, ﬁlter noise with Kaiser window, and then detect typical spikes whose bin-heights exceed (mean + k × stdev). If any typical spike exists, we consider the corresponding service pair a dependency and output the list of all the dependencies in the end. We use a combination of Perl and Matlab codes for aggregation, noise ﬁltering, spike detection, and report generation, with a total of 1K lines of code. 6.3 Dependency extractor 7 Experimental Results We deployed Orion in a portion of Microsoft's corporate network illustrated in Figure 4. Because we cannot directly access the clients and the production servers, we choose an network-based deployment by connecting packet sniffers to span ports on routers. We monitored the trafﬁc of 2,048 clients in 9 LANs at router R0 and the trafﬁc of 2 servers in the data center at routers R1 and R2. The client trafﬁc must traverse R0 to reach the data center, where most of the services are hosted. From the trafﬁc at R0, we extract the RR dependencies for ﬁve representative applications from the client's perspective. By examining the trafﬁc at R1 and R2, we extract the LR dependencies for two of the ﬁve applications from the server's perspective. The results in this section were obtained during a two-week period in January 2008. We thoroughly evaluate Orion in its accuracy of dependency extraction, its convergence properties, and its scalability and performance. Figure 5: OC client dependencies 7.1 Dependencies of ﬁve applications For each application, Table 1 lists the number of clients and the number of application instances of the same type based on the trafﬁc at R0. Clearly, each application attracts a reasonably large fraction of the monitored clients. There are also many application instances of the same types in the network. Since the same type of applications have similar dependencies, our results may be easily extended to many other application instances. For each application, we obtain its true dependencies from the deployment documents written by the application owners. This is one key distinction from previous work which does not have access to such ground truths to perform comprehensive validations. Note that due to the large amount of time and effort involved, application owners can only create these documents for a small subset of important applications. Microsoft's corporate network has thousands of applications. We select ﬁve distinct applications based on their popularity. These ﬁve applications include Ofﬁce Communications (integrated instant messaging, VoIP, and audio and video conferencing), Exchange (email), Sharepoint (web), Distributed File System (ﬁle serving), and Source Depot (version control system). There are four infrastructural services that most applications depend on. Among them, active directory (AD) and proxy services are provided by load balancing clusters and DNS and WINS services are provided by failover clusters. We aggregate all the servers in the same cluster and represent each service as an (ipCluster, port, proto). Since most services support both UDP and TCP, we omit the proto ﬁeld for simplicity in the remaining of this section. We next describe the service dependencies of the ﬁve applications studied based on the ground truths from deployment documents also conﬁrmed by their application owners. 7.1.1 Ofﬁce communications (OC) Ofﬁce Communications (OC) is an enterprise application that combines instant messaging, VoIP, and audio and video (AV) conferencing. It is one of the most popular applications and is being used by 50K+ users in Microsoft's corporate network. Figure 5 illustrates the dependencies of OC clients. They depend on eleven ser- vices to exploit the full functionality of OC: 1) DNS:53 for server name lookup during login; 2) Director:5061 for load-balancing login requests; 3) AD:88 for user authorization; 4) AD:389 for querying relevant domain objects; 5) AD:1025 (an RPC port) for looking up user proﬁle; 6) AD:135 for learning the port number of the AD:1025 service; 7) EdgeAV:3478 for AV conferencing with external users via UDP; 8) EdgeAV:443 for AV conferencing with external users via TCP; 9) AVConf:49152 for AV conferencing with internal users; 10) VoIP:49152 for voice-over-IP; 11) WebComp:443 for retrieving web contents via HTTPS. 7.1.2 Exchange Exchange is an enterprise email application. It is being used by all the users in Microsoft. Figure 6 and 7 illustrate its client and mailbox server dependencies. Exchange clients depend on six services to use the email service, ﬁve of which have been explained before. Because clients use RPC to communicate with the email service, it also depends on the endpoint mapper service on the mailbox server (Mailbox:135) to learn the RPC port of the email service. The email service on the mailbox server depends on eight services to answer the requests from Exchange clients, each of which is an email submission service running on a hub transport server. Note that we can obtain a three-tier dependency graph of Exchange by combining the client-side dependencies with the server-side dependencies. 7.1.3 Sharepoint Sharepoint is a web-based enterprise collaboration application. We studied one of the most popular internal Sharepoint websites. Figures 8 and 9 illustrate its client and front-end server dependencies. Sharepoint clients depend on six services to use the web service, three of which have been explained before. The remaining three services are: 1) WINS:137 is required because the web service uses a NetBios name which can only be looked up via WINS; 2) Proxy:80 is for notifying clients with proxy settings that Sharepoint is an internal website; 3) Proxy:1745 is for notifying clients without proxy settings that Sharepoint is an internal website. The web service on the front-end server depends on ten services to answer requests from clients: 1) ﬁve SQL services that store most of the web contents; 2) one web service that stores the remaining web contents; and 3) three query services that handle search requests. We can obtain a three-tier dependency graph of Sharepoint by combining the client-side dependencies with the server-side dependencies. 7.1.4 Distributed ﬁle system (DFS) DFS is an enterprise service that can organize many SMB ﬁle servers into a single distributed ﬁle system. We study one of the DFS services where internal users can download most of the installation packages of Microsoft softwares. Figure 10 illustrates the dependencies of DFS clients. They depend on eight services to access the ﬁles in DFS, four of which are unique to DFS. AD:445 and AD:139 help clients ﬁnd the DFS namespace servers (NS). NS:445 and NS:139 redirect clients to the appropriate ﬁle servers. 7.1.5 Source depot (SD) 7.2 Accuracy of dependency discovery Source depot (SD) is a CVS-like version control system. We study one of the SD services that is frequently used by our monitored clients. Figure 11 illustrates the service dependencies of SD clients. There are only four dependencies, all of which have been explained before. We ﬁrst examine the accuracy of the dependencies discovered by Orion for each of the ﬁve applications depicted above. We then further remove false positives with additional testing, compare our results with prior work based on co-occurrence probability, and study the effects of noise ﬁltering and ﬂow generation. For each application, we ﬁrst create a candidate set of services that the application could possibly depend on if we do not make any inference. For a client-side or a server-side application, it is simply the full set of the remote services that the client or the server ever communicates with. We classify the services in the candidate set into true positives (TP), true negatives (TN), false positives (FP), and false negatives (FN) by comparing the inferred dependencies with the true dependencies presented in the previous section. For the server-side Sharepoint web service, we miss one dependency on a database service. Further investigation indicates that there is no typical spike in the delay distribution between the two services, likely due to the noise induced by the background indexing trafﬁc between the two services which are unrelated to the web service. For the server-side Exchange email service, we miss the dependency on one of the eight email submission services. While visual inspection does reveal a typical spike in the corresponding delay distribution, it is not signiﬁcant enough to be caught by our spike detection. The rows starting with Orion in Table 2 and 3 present the breakdown of the client-side (with aggregation) and server-side dependencies respectively. The number of services in the candidate sets varies from several hundreds to hundreds of thousands for different applications, reﬂecting the difﬁculty in extracting the dependencies manually. Orion can narrow down the set of potential dependencies (T P + FP ) to fewer than a hundred, making it much easier to identify the true dependencies with some additional testing. This represents a factor of 50 to 44K reduction from the original candidate sets. Furthermore, we only miss two true dependencies on the server side (Table 3), one for each application. There is no false negative for any of the applications on the client side (Table 2). The number of FP's varies from 3 for the client-side Sharepoint service to 77 for the client-side OC service. They fall into two categories depending on whether they contain any signiﬁcant, non-typical spikes in their delay distributions. The FP's in the ﬁrst category are unlikely to be caused by random noise. Manual inspection indicates most of these non-typical spikes can be explained by the existence of certain correlation between the service pairs. As one example, the OC client has false dependency on the exchange email service, apparently due to many clients running both applications simultaneously. In another example, the Exchange client has false dependency on the proxy service. This can happen when Exchange clients open emails with embedded external web contents, causing these clients to access external websites via proxy. The FP's in the second category are apparently due to the limitation of our spike detection algorithm to fully distinguish noise from spikes. Table 2: Client side dependencies after aggregation neither of them quantiﬁed the accuracy of their results in terms of false negatives or false positives. Table 3: Server side dependencies 7.2.1 Removing false positives While conceptually simple, a key problem with both approaches is the choice of W . As we explained earlier in Section 7.2.3, the delay between two dependent services reﬂects the underlying processing and network delay. This delay could vary from a few milliseconds to hundreds of milliseconds. If W is small (as in Sherlock), we may miss the dependencies between the service pairs whose typical delays exceed W . If W is large (as in eXpose), we are likely to capture many co-occurrences of non-dependent service pairs. In contrast, Orion identiﬁes dependencies by looking for typical spikes in the delay distributions. It does not make any assumption about the location of the typical spikes in the distribution. To further reduce the FP's in Table 2, we perform controlled experiments on the client side. For each of the ﬁve applications, we use a ﬁrewall to block the services in the FP and TP sets one-by-one. Blocking the services in the FP set will not have any impact on the application while blocking the services in the TP set will disrupt its service function. To eliminate caching effect, we must start with a clean state for each test. Because this is a manual process, it took us roughly one working day to successfully identify all the 35 true dependencies from the 158 potential ones. We did not conduct such experiments on the server side because we have no control over the servers. Administrators can do such testing during maintenance hours to minimize the disruption to users. Note that developing test cases requires human knowledge of only how to drive applications but not of application internals. The former is relatively widely available while the latter is usually arduous to extract. We implemented both Sherlock and eXpose (without cluster pruning) for comparison. We use W = 10ms and 100ms for Sherlock and the W = 1s for eXpose. (In their papers, Sherlock uses W = 10ms and eXpose uses W = 1s.) We tune their threshold T so that their FN's roughly match ours, and then compare the FP's. The results are in the rows starting with Sher10, Sher100, and eXpose in Tables 2 and 3. Clearly, Orion has far fewer FP's than Sherlock or eXpose in all the cases. For the client side of Exchange, DFS, Sharepoint, and SD, the FP's inferred by Orion are only 5% - 50% of those inferred by Sherlock or eXpose. Assuming that the testing time to remove FP's grows linearly with the number of potential dependencies, Orion will save approximately two to twenty days of human testing time compared with Sherlock and eXpose. 7.2.3 Effect of noise ﬁltering & ﬂow generation Orion aggregates packets into ﬂows to reduce redun- Orion relies on noise ﬁltering to mitigate the impact of random noise on dependency discovery. It is important to understand to what extent noise ﬁltering helps to reduce FP's and FN's. In Table 2 and 3, the results in the rows starting with "noFilter" are computed by applying spike detection directly to the delay distributions without ﬁltering noise. Judging from the Orion results, noise ﬁltering is effective in reducing FP's and/or FN's in all but one case. Even in the Sharepoint server case where Orion has 3 more FP's, we consider it worthwhile given the decrease of 3 FN's. In the process of extracting dependencies from the candidate set, we have to trade off between FP's and FN's. Our primary goal is to avoid FN's even at the expense of increasing FP's. This is because we have almost no way to recover a true dependency once it is removed from the candidate set. In cases where dependencies are used for fault localization or reconﬁguration planning, missing dependencies may lead to unanticipated consequences that are expensive to diagnose and repair. (see Section 8 for details). 7.2.2 Comparison with Sherlock & eXpose Sherlock [8] and eXpose[18] attempt to extract dependencies from network trafﬁc. They are both based on the idea that the trafﬁc of dependent services are likely to cooccur in time. They use a ﬁxed time window W to compute co-occurrences and then use a threshold T either on the conditional probability (in Sherlock) or on the JMeasure (in eXpose) to identify dependencies. While they both seem to extract certain meaningful dependencies, dant correlation and computation overhead. Without ﬂow generation, big ﬂows are treated more favorably than small ﬂows since they will contribute more samples in the delay distributions. Such systematic bias may lead to undesirable spikes in the delay distribution. In Table 2, the row starting with "noFlow" contains the results without ﬂow generation. Compared with the Orion results, FN's stay the same but FP's are much larger, most likely due to the over-counting of delay samples related to big ﬂows. In terms of performance, calculating delay distribution directly from packets is roughly ten times slower than from ﬂows. This is because there are signiﬁcantly more packet pairs than ﬂow pairs. We now study the convergence properties of Orion along three dimensions: time, ﬂows, and clients. This is important because the dependencies of an application may change from time to time due to reconﬁguration. We evaluate whether Orion can produce stable results before the next change happens. Furthermore, Orion discovers dependencies based on the delay samples computed from ﬂows. Understanding its requirement on the number of ﬂows is essential for us to judge the reliability of the results. Finally, Orion sometimes needs client aggregation to overcome the problem of a lack of sufﬁcient samples. Measuring the impact of clients helps to avoid unnecessary overhead due to excessive client aggregation. 7.3 Convergence of dependency discovery Figure 12 illustrates how the inferred dependencies of Exchange server change as more ﬂows to the Exchange server are used for dependency discovery. The X-axis is the number of ﬂows. The number of samples in all the delay distributions related to the Exchange service grows with the number of ﬂows. Clearly, Orion can discover more TP's when more ﬂows are used. When the number of ﬂows reaches 65K, Orion discovers all the TP's and the number of FP's also stabilizes. This suggests that the variation of inferred dependencies (T P + FP ) is a good indication of whether Orion needs more ﬂows. The convergence behavior of other applications exhibits similar trend. Depending on the application, Orion needs 10K to 300K ﬂows to obtain stable results. Figure 13 shows how the inferred dependencies of Exchange client evolve over time. Not surprisingly, the accuracy of the inferred dependencies gradually improves as Orion uses longer duration of traces. After 200 hours, it has discovered all the TP's and the inferred dependencies ﬂuctuate only slightly thereafter. This conﬁrms that we can stop the inference when the inferred dependencies converge. For all the applications, the convergence time varies from two to nine days. We consider this acceptable since the dependencies of production client-server applications are usually stable for at least several weeks to several months in enterprise networks. Nonetheless, this convergence time could be a bit long for newly deployed applications. We may expedite the discovery process by applying dependency templates derived from other networks or provided by application designers to pre-ﬁlter the set of possible dependencies. 7.4 Performance & Scalability Figure 14 illustrates how the inferred dependencies of DFS client vary as we aggregate more clients. It is evident that client aggregation is important for improving the inference accuracy, especially when no individual clients have a sufﬁcient number of delay samples. The FN's drop from 5 to 0 as the aggregated clients increase from 10 to 90. After that, the inferred dependencies become stable even when more clients are aggregated. This suggests excessive client aggregation will only lead to more overhead instead of beneﬁt. For the remaining applications, we need to aggregate 7 (SD) to 230 (Sharepoint) clients to identify all the TP's. In this section, we focus on the performanceand scalability of Orion. We are interested in answering the following questions: i) does it scale with the number of services in the network? ii) what is the CPU and memory usage in a network-based or a host-based deployment? iii) how quickly can dependencies be extracted when administrators need such information? 7.4.1 Scalability of delay distribution calculator As described in Section 5.2, Orion uses a time window of three seconds and a ﬂow count threshold of 50 to ﬁlter unnecessary service pairs. To illustrate the effectiveness of these two heuristics, Figure 15 plots the CDF of the number of service pairs without any ﬁlter, only with the ﬂow count ﬁlter, and with both ﬁlters. The X-axis is the number of service pairs and the Y-axis is the cumulative fraction of hosts. The ﬂow count ﬁlter reduces the service pairs by almost three orders of magnitude. After applying the time-window ﬁlter, 99% of the hosts have fewer than 10 5 service pairs. As we show next, the actual memory usage is reasonably small for both the networkbased and the host-based deployment. 7.4.2 Performance of ﬂow generator & delay distribution calculator We also measure the performance of the host-based deployment. Given that Orion has to share resources with other services on the same host, we focus on its CPU and memory usage. We perform the evaluation on a regular client machine with 3GHz Pentium4 processor and 1GB memory. The packet sniffer, ﬂow generator, and As shown in Figure 4, we currently use the networkbased deployment by running Orion on dedicated snifﬁng boxes attached to three routers in the network. In this deployment, each snifﬁng box may capture large volumes of trafﬁc from multiple hosts in the same subnet. We want to understand whether the ﬂow generator and delay distribution calculator can keep up with such high trafﬁc rate. We use the trafﬁc at R0 for our evaluation because it contains the aggregate trafﬁc of all the clients and is bigger than the trafﬁc at the other two routers. We run the ﬂow generator and delay distribution calculator on a Windows Server 2003 machine with 2.4G four-core Xeon processor and 3GB memory. We measured their performance during the peak hour (2 - 3 PM local time) on a Thursday. The aggregate trafﬁc rate is 202 Mbps during that period. The ﬂow generator processed one hour of trafﬁc in only 5 minutes with an 8MB memory footprint. The delay distribution calculator ﬁnished in 83 seconds and used 6.7MB memory. delay distribution calculator normally use 1% of CPU and 11MB memory in total. Such overhead is reasonably small for long-term monitoring on individual hosts. 7.4.3 Performance of dependency extractor We now evaluate the execution time for extracting dependencies from the delay distributions. The results are measured on a Windows Server 2003 machine with 2G dual-core Opteron processor and 4GB memory. For all the applications, the dependency extraction was ﬁnished within two minutes. This is short enough for administrators to run on-demand. We also measured the network usage of client aggregation. Aggregation is required for merging the delay distributions from multiple clients when there are insufﬁcient delay samples. During the two-week evaluation period, the total size of the delay distributions from all the 2,048 clients is under 1MB after compression. This suggests it is feasible to use a centralized dependency extractor since it is unlikely to become the bottleneck. 8 Operational Use of Dependencies We now provide examples of how dependencies can facilitate fault localization and reconﬁguration planning. These examples are by no means exhaustive. Administrators may ﬁnd dependencies useful for other network management tasks, e.g., impact analysis and anomaly detection. A dependency graph summarizes all the components that are involved in particular services. Combined with observations from multiple services, it enables fast and accurate fault localization. Figure 16 illustrates an example of a dependency graph with two Sharepoint services. For simplicity, we ignore problems in the network and the port numbers in the graph. Sharepoint1 and Sharepoint2 use the same DNS, query, and web servers. However, they use different SQL servers for storing contents. Suppose Sharepoint1 is experiencing problems while Sharepoint2 is not. From the dependency graph, we deduce that the source of the problem is unlikely at The existence of complex dependencies between different services makes it extremely challenging to localize sources of performance faults in large enterprise networks. For instance, when a Sharepoint service fails, it could be caused by problems at the DNS servers, SQL servers, web servers, or query servers. Manually investigating all these relevant servers for each performance fault is time-consuming and often infeasible. the DNS, query, or web servers since Sharepoint2 has no problems using them. This leaves SQL1 as the most plausible candidate for the source of the problem. Another use of dependencies is in reconﬁguration planning. Large enterprises have many services and applications, which are continually being reorganized, consolidated, and upgraded. Such reconﬁgurations may lead to unanticipated consequences which are difﬁcult to diagnose and repair. A classic example involves a machine conﬁgured as a backup database. Since there is no explicit documentation about this dependency, the machine is recycled by administrators. Later on, when the primary database fails, applications that depend on the database becomes completely unavailable. While the above example is fairly simple, a dependency graph of a large enterprise network will be substantially more complex. In fact, it is almost impossible to inspect manually. Fortunately, there have been known techniques that automate the fault localization process by applying Bayesian inference algorithms to dependency graphs [8, 20, 19]. We omit the details here since they are not the focus of this paper. To avoid such unanticipated consequences, administrators must identify the services and applications that depend on a particular service before any changes can be made to that service. This often is a slow and expensive process. Given the dependencies extracted from all the service pairs, we can easily search for all the services that directly or indirectly depend on a particular service. This will signiﬁcantly save the time administrators spend in assessing and planning for the changes. Besides our own research prototype, a production implementation of Orion based on the TDI driver is currently being deployed in the Microsoft IT department (MSIT). The administrators will initially use the dependencies extracted by Orion for reconﬁguration planning. Orion has been set up on two web services and one Windows Messenger service. Preliminary results indicate Orion has successfully discovered the set of expected dependencies on database servers, AD servers, and presence servers. The plan is to roll out Orion to over 1,000 services managed by MSIT in the next six months. 9 Conclusion In this paper, we present a comprehensive study of the performance and limitations of dependency discovery techniques based on trafﬁc patterns. We introduce the Orion system that discovers dependencies for enterprise applications by using packet headers and timing information. Our key observation is the delay distribution between dependent services often exhibits "typical" spikes that reﬂect the underlying delay for using or providing such services. By deploying Orion in Microsoft's corporate network that covers over 2,000 hosts, we extract the dependencies for ﬁve dominant applications. Our results from extensive experiments show Orion improves the state of the art signiﬁcantly. Orion provides a solid foundation for combining automated discovery with simple testing to obtain accurate dependencies. References [1] EMC SMARTS. http://www.emc.com/products/ family/smarts-family.htm. [3] IBM Tivoli. http://www.ibm.com/software/ tivoli/. [2] HP OpenView. http://www.openview.hp.com. [4] Mercury MAM. http://www.mercury.com/us/ products/business-availability-center/ application-mapping. [5] Microsoft MOM. http://technet.microsoft.com/ en-us/opsmgr/bb498230.aspx. [7] M. K. Aguilera, J. C. Mogul, J. L. Wiener, P. Reynolds, and A. Muthitacharoen. Performance Debugging for Distributed Systems of Black Boxes. In Proceedings of SOSP, 2003. [6] Taming Technology Sprawl. http://online.wsj.com/ article/SB120156419453723637.html.html?mod= technology main promo left. [8] P. Bahl, R. Chandra, A. Greenberg, S. Kandula, D. A. Maltz, and M. Zhang. Towards Highly Reliable Enterprise Network Services via Inference of Multi-level Dependencies. In Proc. ACM SIGCOMM, 2007. [9] P. V. Bahl, P. Barham, R. Black, R. Chandra, M. Goldszmidt, R. Isaacs, S. Kandula, L. Li, J. MacCormick, D. Maltz, R. Mortier, M. Wawrzoniak, and M. Zhang. Discovering Dependencies for Network Management. 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CHAPTER 10 Early and Middle Childhood (EMC) Lead Agencies Administration for Children and Families Centers for Disease Control and Prevention Health Resources and Services Administration Contents Goal: Document and track population-based measures of health and well-being for early and middle childhood populations over time in the United States. This chapter includes objectives that monitor positive parenting and school health education standards. The Reader's Guide provides a step-by-step explanation of the content of this chapter, including criteria for highlighting objectives in the Selected Findings. 1 Status of Objectives Figure 10–1. Midcourse Status of the Early and Middle Childhood Objectives Of the 19 objectives in the Early and Middle Childhood Topic Area, 2 objectives were archived, 2 4 were developmental, 3 and 13 were measurable 4 (Figure 10–1, Table 10–1). The midcourse status of the measurable objectives (Table 10–2) was as follows: ideas with their parents and talk with them about things that mattered (Table 10–2, EMC-2.2: 69.8% in 2007; 70.4% in 2011–2012). * 1 objective was improving, 5 * 9 objectives had demonstrated little or no detectable change, 6 and * 3 objectives had gotten worse. 7 Selected Findings Positive Parenting Two of the three objectives monitoring positive parenting activities demonstrated little or no detectable change, and one objective had improved at midcourse. * There was little or no detectable change in the proportion of children aged 6–17 who could share » In 2011–2012, there were statistically significant disparities by sex, family income, and special healthcare needs status in the proportion of children aged 6–17 who could share ideas with their parents and talk with them about things that mattered (EMC-2.2). Disparities by race and ethnicity, geographic location, and health insurance status were not statistically significant (Table 10–3). * There was little or no detectable change in the proportion of children aged 0–5 whose family read to them every day (Table 10–2, EMC-2.3: 47.8% in 2007; 47.9% in 2011–2012). * The proportion of children aged 0–5 whose family read to them daily varied by state (Map 10–1, EMC-2.3). In 2011–2012, 22 states and the District of Columbia had achieved the national target. * In 2011–2012, there were statistically significant disparities by race and ethnicity, family income, health insurance status, and special healthcare needs status in the proportion of children aged 0–5 whose family read to them daily (EMC-2.3). Disparities by sex and geographic location were not statistically significant (Table 10–3). * The proportion of children aged 0–5 whose doctor had asked their parents about concerns regarding the child's development (EMC-2.4) increased from 48.0% in 2007 to 51.8% in 2011–2012, moving toward its 2020 target (Table 10–2). * The proportion of children aged 0–5 whose doctor had asked their parents about concerns regarding the child's development varied by state (Map 10–2, EMC-2.4). Twenty-seven states had achieved the national target in 2011–2012. * In 2011–2012, there were statistically significant disparities by race and ethnicity, family income, health insurance status, and special healthcare needs status in the proportion of children aged 0–5 whose doctor asked their parents about concerns regarding the child's development (EMC-2.4). Disparities by sex and geographic location were not statistically significant (Table 10–3). School Health Education Standards Seven of the 10 objectives monitoring school health education standards demonstrated little or no detectable change, while 3 objectives had worsened at midcourse. * Between 2006 and 2014, the proportion of elementary schools requiring that cumulative health education instruction meet the U.S. National Health Education Standards (EMC-4.3.1) decreased from 7.5% to 1.7%; and the proportion of middle schools requiring that cumulative health education instruction meet the U.S. National Health Education Standards (EMC-4.3.2) declined from 10.3% to 4.2%, moving away from their respective baselines and 2020 targets (Table 10–2). * Between 2006 and 2014, the proportion of health education classes taught by an instructor who had received professional development within the past 2 years related to teaching skills for behavioral development (EMC-4.4) declined from 52.5% to 41.2%, moving away from the baseline and 2020 target (Table 10–2). More Information Readers interested in more detailed information about the objectives in this topic area are invited to visit the HealthyPeople.gov website, where extensive substantive and technical information is available: * For the background and importance of the topic area, see: http://www.healthypeople.gov/2020/ topics-objectives/topic/early-and-middle-childhood * For data details for each objective, including definitions, numerators, denominators, calculations, and data limitations, see: http://www. healthypeople.gov/2020/topics-objectives/topic/ early-and-middle-childhood/objectives Select an objective, then click on the "Data Details" icon. * For objective data by population group (e.g., sex, race and ethnicity, or family income), including rates, percentages, or counts for multiple years, see: http:// www.healthypeople.gov/2020/topics-objectives/topic/ early-and-middle-childhood/objectives Select an objective, then click on the "Data2020" icon. * Many other Healthy People objectives are related to the Early and Middle Childhood objectives. For a list, please see the Early and Middle Childhood objectives page: http://www.healthypeople.gov/2020/ topics-objectives/topic/early-and-middle-childhood/ objectives Scroll down to view related objectives. Data for the measurable objectives in this chapter were from the following data sources: * National Survey of Children's Health: http://childhealthdata.org/learn/NSCH * School Health Policies and Practices Survey: http:// www.cdc.gov/healthyyouth/data/shpps/index.htm Footnotes 1The Technical Notes provide more information on Healthy People 2020 statistical methods and issues. 2Archived objectives are no longer being monitored due to lack of data source, changes in science, or replacement with other objectives. 3Developmental objectives did not have a national baseline value. 4Measurable objectives had a national baseline value. 5Improving—One of the following, as specified in the Midcourse Progress Table: * Movement was toward the target, standard errors were not available, and the objective had achieved 10% or more of the targeted change. * Movement was toward the target, standard errors were available, and the percentage of targeted change achieved was statistically significant. 6Little or no detectable change—One of the following, as specified in the Midcourse Progress Table: * Movement was toward the target, standard errors were not available, and the objective had achieved less than 10% of the targeted change. * Movement was toward the target, standard errors were available, and the percentage of targeted change achieved was not statistically significant. * Movement was away from the baseline and target, standard errors were available, and the percentage change relative to the baseline was not statistically significant. * There was no change between the baseline and the midcourse data point. * Movement was away from the baseline and target, standard errors were not available, and the objective had moved less than 10% relative to the baseline. 7Getting worse—One of the following, as specified in the Midcourse Progress Table: * Movement was away from the baseline and target, standard errors were not available, and the objective had moved 10% or more relative to the baseline. * Movement was away from the baseline and target, standard errors were available, and the percentage change relative to the baseline was statistically significant. Suggested Citation National Center for Health Statistics. Chapter 10: Early and Middle Childhood. Healthy People 2020 Midcourse Review. Hyattsville, MD. 2016. Table 10–1. Early and Middle Childhood Objectives LEGEND Data for this objective are available in this chapter's Midcourse Progress Table. Disparities data for this objective are available, and this chapter includes a Midcourse Health Disparities Table. A state or county level map for this objective is available at the end of the chapter. Not Applicable Midcourse data availability is not applicable for developmental and archived objectives. Developmental objectives did not have a national baseline value. Archived objectives are no longer being monitored due to lack of data source, changes in science, or replacement with other objectives. Table 10–1. Early and Middle Childhood Objectives—Continued LEGEND Data for this objective are available in this chapter's Midcourse Progress Table. Disparities data for this objective are available, and this chapter includes a Midcourse Health Disparities Table. A state or county level map for this objective is available at the end of the chapter. Not Applicable Midcourse data availability is not applicable for developmental and archived objectives. Developmental objectives did not have a national baseline value. Archived objectives are no longer being monitored due to lack of data source, changes in science, or replacement with other objectives. Table 10–1. Early and Middle Childhood Objectives—Continued LEGEND Data for this objective are available in this chapter's Midcourse Progress Table. Disparities data for this objective are available, and this chapter includes a Midcourse Health Disparities Table. A state or county level map for this objective is available at the end of the chapter. Not Applicable Midcourse data availability is not applicable for developmental and archived objectives. Developmental objectives did not have a national baseline value. Archived objectives are no longer being monitored due to lack of data source, changes in science, or replacement with other objectives. Table 10–2. Midcourse Progress for Measurable 1 Early and Middle Childhood Objectives LEGEND Target met or exceeded 2,3 Improving 4,5 Little or no 6–10 Getting worse 11,12 Baseline only 13 Informational 14 detectable change Table 10–2. Midcourse Progress for Measurable 1 Early and Middle Childhood Objectives— Continued NOTES FOOTNOTES—Continued See HealthyPeople.gov for all Healthy People 2020 data. The Technical Notes provide more information on the measures of progress. FOOTNOTES 1Measurable objectives had a national baseline value. 2At baseline the target was not met or exceeded and the midcourse value was equal to or exceeded the target. (The percentage of targeted change achieved was equal to or greater than 100%.) Target met or exceeded: 3The baseline and midcourse values were equal to or exceeded the target. (The percentage of targeted change achieved was not assessed.) 4Movement was toward the target, standard errors were available, and the percentage of targeted change achieved was statistically significant. 5Movement was toward the target, standard errors were not available, and the objective had achieved 10% or more of the targeted change. Improving: Little or no detectable change: 8Movement was away from the baseline and target, standard errors were available, and the percentage change relative to the baseline was not statistically significant. 6Movement was toward the target, standard errors were available, and the percentage of targeted change achieved was not statistically significant. 7Movement was toward the target, standard errors were not available, and the objective had achieved less than 10% of the targeted change. 9Movement was away from the baseline and target, standard errors were not available, and the objective had moved less than 10% relative to the baseline. 10There was no change between the baseline and the midcourse data point. 11Movement was away from the baseline and target, standard errors were available, and the percentage change relative to the baseline was statistically significant. Getting worse: 12 available, and the objective had moved 10% or more relative to the baseline. Movement was away from the baseline and target, standard errors were not 13Baseline only: The objective only had one data point, so progress toward target attainment could not be assessed. 14 attainment could not be assessed. Informational: A target was not set for this objective, so progress toward target 15For objectives that moved toward their targets, movement toward the target was measured as the percentage of targeted change achieved (unless the target was already met or exceeded at baseline): 16For objectives that moved away from their baselines and targets, movement away from the baseline was measured as the magnitude of the percentage change from baseline: ``` Magnitude of percentage = \| Midcourse value – Baseline value \| × 100 change from baseline Baseline value ``` 17Statistical significance was tested when the objective had a target and at least two data points, standard errors of the data were available, and a normal distribution could be assumed. Statistical significance of the percentage of targeted change achieved or the magnitude of the percentage change from baseline was assessed at the 0.05 level using a normal one-sided test DATA SOURCES 10–10 HEALTHY PEOPLE 2020 MIDCOURSE REVIEW \| Sex Ratio2 Disparity Summary Female Male Population-based Objectives \| \| Race and Ethnicity Islander Native Pacific Alaska Ratio3 other or or races Latino Hispanic Hispanic Disparity Indian Hawaiian more American Hispanic or not not Summary Asian Native or Black, White, Two \| \| Family Income4 Ratio3 Disparity Near-poor Near-high Summary Middle Poor High \| \| Location Ratio2 Disparity Nonmetropolitan Metropolitan Summary \| \| Health Insurance Ratio3 Disparity Uninsured Summary Private Public \| \| Special Healthcare Needs Ratio2 Disparity Summary Yes No \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| EMC-2.2 Children who talk and share ideas with parents (percent, 6–17 years) (2011–2012) EMC-2.3 Children whose family read to them every day (percent, 0–5 years) (2011–2012) EMC-2.4 Children whose doctor asked their parents about concerns regarding the child’s development (percent, 0–5 years) (2011–2012) \| 1.035* 1.009 1.016 \| a a a a a a a a a a a \| 1.120 1.321* 1.301* \| b b b \| 1.035* 1.357* 1.167* \| \| 1.012 1.008 1.039 \| \| 1.041 1.472* 1.361* \| \| 1.157* 1.105* 1.293* \| provide more information was the ratio of R b / R a , Technical Notes provide more information on the data and methods.
Zubair, M, Chadborn, NH, Gladman, JRF, Dening, T, Gordon, AL and Goodman, C (2017) Using comprehensive geriatric assessment for quality improvements in healthcare of older people in UK care homes: Protocol for realist review within Proactive Healthcare of Older People in Care Homes (PEACH) study. BMJ Open, 7 (10). ISSN 2044-6055 Downloaded from: https://e-space.mmu.ac.uk/622459/ Publisher: BMJ Journals DOI: https://doi.org/10.1136/bmjopen-2017-017270 Usage rights: Creative Commons: Attribution-Noncommercial 4.0 Please cite the published version https://e-space.mmu.ac.uk To cite: Zubair M, Chadborn NH, Gladman JRF, et al. Using comprehensive geriatric assessment for quality improvements in healthcare of older people in UK care homes: protocol for realist review within Proactive Healthcare of Older People in Care Homes (PEACH) study. BMJ Open 2017;7:e017270. doi:10.1136/ bmjopen-2017-017270 - Prepublication history for this paper is available online. To view these files please visit the journal online (http://dx.doi. org/10.1136/bmjopen-2017- 017270). Received 12 April 2017 Revised 21 July 2017 Accepted 4 August 2017 For numbered affiliations see end of article. Correspondence to Dr Neil H Chadborn; neil.chadborn@nottingham. ac.uk Using comprehensive geriatric assessment for quality improvements in healthcare of older people in UK care homes: protocol for realist review within Proactive Healthcare of Older People in Care Homes (PEACH) study Maria Zubair, 1 Neil H Chadborn, 1 John R F Gladman, 2,3 Tom Dening, 4 Adam L Gordon, 1,5 Claire Goodman 6 Abstract IntroductionCare home residents are relatively high users of healthcare resources and may have complex needs. Comprehensive geriatric assessment (CGA) may benefit care home residents and improve efficiency of care delivery. This is an approach to care in which there is a thorough multidisciplinary assessment (physical and mental health, functioning and physical and social environments) and a care plan based on this assessment, usually delivered by a multidisciplinary team. The CGA process is known to improve outcomes for communitydwelling older people and those in receipt of hospital care, but less is known about its efficacy in care home residents. Methods and analysisRealist review was selected as the most appropriate method to explore the complex nature of the care home setting and multidisciplinary delivery of care. The aim of the realist review is to identify and characterise a programme theory that underpins the CGA intervention. The realist review will extract data from research articles which describe the causal mechanisms through which the practice of CGA generates outcomes. The focus of the intervention is care homes, and the outcomes of interest are health-related quality of life and satisfaction with services; for both residents and staff. Further outcomes may include appropriate use of National Health Service services and resources of older care home residents. The review will proceed through three stages: (1) identifying the candidate programme theories that underpin CGA through interviews with key stakeholders, systematic search of the peer-reviewed and non-peerreviewed evidence, (2) identifying the evidence relevant to CGA in UK care homes and refining the programme theories through refining and iterating the systematic search, lateral searches and seeking further information from study authors and (3) analysis and synthesis of evidence, involving the testing of the programme theories. Ethics and disseminationThe PEACH project was identified as service development following submission to the UK Health Research Authority and subsequent review by the University of Nottingham Research Ethics Zubair M, et al . BMJ Open2017; 7 Strengths and limitations of this study - To our knowledge, this is the first review of the use of comprehensive geriatric assessment (CGA) in the care home setting (long-term care residence). - The review will develop and refine realist programme theories about the practice of CGA in care homes using evidence from literature and professional bodies and experts within the field. - A potential limitation will be the availability of relevant evidence for the care home setting. This will be mitigated by a realist theory-driven approach to evidence review. - Public involvement in studies of CGA has been limited and it is difficult to ascertain views from care home residents with frailty and/or dementia as to their personal experience of CGA. Committee. The study protocols have been reviewed as part of good governance by the Nottinghamshire Healthcare Foundation Trust. We aim to publish this realist review in a peer-reviewed journal with international readership. We will disseminate findings to public and stakeholders using knowledge mobilisation techniques. Stakeholders will include the Quality Improvement Collaboratives within PEACH study. National networks, such as British Society of Gerontology and National Care Association will be approached for wider dissemination. Trial registration numberThe realist review has been registered on International Prospective Register of Systematic Reviews (PROSPERO 2017: CRD42017062601). Introduction The challenge of healthcare in care homes A total of 433 000 older people in the UK live in care home. 1 Care home residents have complex medical needs and they use primary and secondary care more than similarly aged :e017270. doi:10.1136/bmjopen-2017-017270 1 people outside of long-term care. Healthcare to care home residents in the UK is provided by general practitioners under the General Medical Services contract, as it is for home-dwelling citizens. However healthcare for care home residents has often been found to be ad hoc, reactive and inequitable. 2 A recent study "Optimal NHS service delivery to care homes" noted that effective services for care home residents required dedicated and specific time and resources focused on the residents of care homes to foster relational working between the healthcare services and the care home staff. 3 4 The use of comprehensive geriatric assessment (CGA) for assessment, goal setting and care delivery could improve relational working. Why CGA? CGA has been shown to improve outcomes for older people including improved physical and cognitive function, reduced mortality and readmissions to hospital. 5–7 Its evidence base has predominantly derived from acute hospital settings, but it has also been found to improve outcomes in community settings. 8 Rubenstein et al have defined CGA as a 'multidisciplinary diagnostic process intended to determine a frail elderly person's medical, psychosocial and functional capabilities and limitations in order to develop an overall plan for treatment and long-term follow-up' 9 10 (see figure 1). Its focus on health and social care needs and recognition of the need for multidisciplinary working has potential for use in UK 2 care homes. However, its impact is unknown, 11 specifically, what needs to be in place for uptake and, if effective, sustained implementation. It is also likely that there are interventions that follow very similar processes but are not called CGA, for example, case management 12 or approaches to the identification and management of frail older people. 13 There is also variability, both within and between different types of settings, in terms of how CGA is actually used and implemented in practice and different forms or models of CGA have been identified. 7 14 15 Descriptions of CGA range from solely an assessment process, exemplified by its use in minimum data sets, 16 to a model of interprofessional working and integrated care across health and social care. 10 Existing systematic reviews and meta-analyses of the evidence around CGA illustrate that, even though the evidence in favour of CGA in general is promising, how it is delivered is not uniform and how the CGA process achieves its outcomes is unclear. 6 14 17 Greater attention is needed to understand and refine the processes of CGA in order to enhance its effectiveness. 7 Objectives of the Proactive Healthcare of Older People in Care Homes realist review The purpose of the Proactive Healthcare of Older People in Care Homes (PEACH) realist review is to propose the best ways of organising and implementing CGA within UK care home settings. The outcomes of interest are health-related quality of life, satisfaction with and appropriate use Zubair M, et al . BMJ Open2017; 7:e017270. doi:10.1136/bmjopen-2017-017270 of National Health Service (NHS) services and resources of older care home residents. The specific objectives of the PEACH realist review are: 1. To identify and characterise the particular elements of CGA which are potentially more likely to be effective with regard to our specific outcomes of interest, under what circumstances and why. 2. To understand the configuration of different contexts of implementation and how these may act as a resource, or trigger particular mechanisms, to achieve the successful implementation, uptake and working of CGA in UK care home settings. 3. To establish what evidence there is on the feasibility of using CGA within UK care home settings and its resource implications and costs. Methods CGA in care homes is a complex, context-dependent intervention. Realist review is a theory-driven review method which seeks to facilitate understanding of how complex interventions like CGA work and in what circumstances. 18–20 In critical realism, change is not directly achieved by an intervention, rather change is generated through the influence of an intervention resources and contextual factors on human reasoning. 21 22 By making explicit the evidence that informs our understanding of how the intervention and its different elements work in different settings for different participants (conceptualised as: context-mechanism-outcome (CMO), see box 1 for definitions) it is possible to build a plausible theory-informed account of how CGA might work in a care home setting. A key aim of realist review is to provide a plausible theoretical explanation based on the available evidence that can then inform and challenge implementation of programmes. Evidence is extracted from heterogeneous literature to inform the development and refining of relevant theories which may then be applied to specific settings or population groups. In this review relevant theories and their linked evidence sources that are likely to be relevant are those addressing multidisciplinary working, implementation science and person-centred care. Box 1 Building a realist theory involves a configuration of the following - Context: The many pre-existing factors which influence whether and how an intervention or programme works. These include spatial and institutional settings, social norms and inter-relationships between people. - Mechanism: Realist evaluation seeks to understand causal powers or mechanisms. These lead to patterns of behaviours and choices which influence the degree of success of a social intervention or programme. - Outcome: If a specific pattern of outcomes is observed, this provides evidence to support the realist theory and also to support the success of the programme in practice. Summarised from Pawson and Tilley. 22 Zubair M, et al . BMJ Open2017; 7:e017270. doi:10.1136/bmjopen-2017-017270 The PEACH realist review will take a three-stage approach as follows 21 : - Stage 1—Identifying the candidate programme theories that underpin CGA and defining the scope of the review. - Stage 2—Identifying the evidence relevant to CGA in UK care homes and testing and refining the programme theories. - Stage 3—Analysis and synthesis of evidence, involving the testing of the proposed programme theories. The review will be reported according to Realist And Meta-narrative Evidence Syntheses: Evolving Standards (RAMESES) guidelines for realist review (see Wong et al 21 ). Stage 1: identifying the candidate programme theories and defining the scope of the review The basic unit of analysis in a realist review are the ideas and assumptions (ie, the programme theories) that underlie an intervention and explain how it works to achieve the desired outcomes. 23 As a starting point therefore, and to address objective 1 of the PEACH realist review, the focus will be to develop explanatory models of why and how CGA as an intervention is believed to work. This will be done through: a. Exploratory, semistructured, qualitative interviews with a group of relevant professionals with expert knowledge on CGA and its use; b. A review and analysis of research and scholarly literature on CGA, alongside professional literature and documentary evidence from the UK, such as official policies and guidelines, in relation to the use of CGA within different settings. Interviews with experts Exploratory, semistructured, qualitative interviews will be undertaken with healthcare and care home practitioners working in the area of older people's health and social care, specifically with those who are seen to have expert knowledge regarding CGA and its use. Identification and recruitment of stakeholders will include members of the research team who are actively involved in CGA (ALG, JRFG) and a wider network of practitioners known to the team. This will include geriatricians, care home managers and therapists. We anticipate completing up to 10 interviews with individuals who are either part of the team or known to the team. The purpose of these interviews will be to identify and test the range of assumptions or theories about why and how CGA is believed to work and why it might be needed for UK care homes. 24 This will be done by presenting participants with propositions about what needs to be in place for CGA to be effective. Participants will be asked to articulate how the contextual circumstances of CGA may impact on professional, resident and family behaviours. Residents and family carers will also be invited for interview as 'experts by experience'. Only residents with capacity to provide consent to participate in interviews 3 will be included. These interviews will focus on the experience of assessment and care planning, and include questions about data sharing between practitioners. This section will also draw on findings of the "Optimal NHS service delivery to care homes" study 4 about how residents and relatives understood healthcare provision, and medical involvement in assessment and decision-making about their care. Consensus documents that have been developed to describe the priorities expressed by patient groups in terms of organisation of care and services 25 26 will also be drawn on. Practitioners, residents and family carers will be given participant information sheets and requested to sign consent forms. Governance of the project has been approved by Nottinghamshire Healthcare Foundation Trust. Scoping of research and professional literature Alongside the analysis of the interviews with experts in CGA, professional literature and documentation, such as written documents and published communications about official policies and guidelines on CGA use in UK care homes, will be reviewed. These sources of information will provide us with more detailed data regarding how, for the UK care home context, CGA has been conceptualised to work effectively (or not) in terms of achieving positive outcomes for older people's health-related quality of life and their use of NHS healthcare services. Alongside the data from the interviews with the local CGA experts, this scoping of the CGA literature will make explicit the range of assumptions underlying CGA's proposed use within UK care home settings. Professional literature will be accessed mainly through literature searching on the websites of the relevant UK-based organisations and also requesting information through identified contacts within the organisations. Members of the PEACH project team with professional affiliations and/or knowledge of the various relevant organisations will lead the process of contacting the identified organisations. These organisations will include: - British Geriatrics Society, Community Geriatrics Special Interest Group - AGILE—Chartered Physiotherapists working with older people - College of Occupational Therapists - Association of Directors of Adult Social Services. Interview data will be organised using Excel spreadsheet using the following themes: the type of theory being used to describe why and how CGA works; the proposed context of its implementation or the resources described as needing to be in place for it to work; and details of its presumed mechanism of action. NVivo V.11 (QSR International) qualitative software will be used to index and link relevant sections of data to the emerging framework of the relevant candidate programme theories. A review of the empirical literature on CGA will summarise the range of approaches to implementing CGA in care homes and other similar community settings. The relevant literature on CGA will be searched electronically 4 Box 2 Electronic literature searching and shortlisting criteria Search concepts/areas: comprehensive geriatric assessment (CGA), non-acute/community settings. Relevant search terms and related terminology: CGA, geriatric assessment, geriatric case management, geriatric evaluation and management, geriatric evaluation, multidisciplinary geriatric care, multidisciplinary geriatric assessment, multidisciplinary geriatric review, multidisciplinary geriatric case management, multidimensional geriatric care, multidimensional geriatric assessment, multidimensional geriatric review, multidimensional geriatric case management and community, home, care home, nursing home, residential home, residential care, long-term care. Electronic databases: Medline, CINAHL, EMBASE, PsycInfo, Scopus, Applied Social Sciences Index and Abstracts, DH-Data (UK Department of Health Library), Kings Fund, Open Grey. In addition, use of lateral search techniques, such as checking reference lists of relevant papers and using the 'Cited by' option on Web of Science (WoS), Google Scholar and Scopus, and the 'Related articles'/'Find similar articles' option on PubMed, WoS and Ovid. Inclusion criteria: - UK and non-UK based literature focussing on the implementation or use of CGA in care homes and other similar non-acute/community settings, reflecting the more widely prevailing assumptions and theories regarding CGA (and why and how it works) which may be applicable to and/or shared with the UK care home context. - All types of relevant research papers, opinion pieces, editorials, comments, letters, critical pieces and so on. - Literature available in English language from 2000 onwards (this date was chosen because it is prior to the development of assessment approaches in care homes such as US Minimum Dataset, the International Resident Assessment Instrument and Easycare). Exclusion criteria: - Literature on the implementation or use of CGA in acute/noncommunity settings. - Non-UK and/or non-care-home-based publications that do not offer any easily transferable knowledge in relation to the assumptions or theories behind CGA and why and how it may be seen to work similarly within the UK care home context. - Literature which does not address in any way Proactive Healthcare of Older People in Care Homes' outcomes of interest, that is, care home residents' health-related quality of life, satisfaction and use of healthcare services/resources. in the first instance (see box 2) using a searching methodology that is well aligned with the methods employed in undertaking a systematic review, that is, following a systematic, transparent and replicable process of literature searching and shortlisting. 27 A series of 'if then' statements that capture the range of possible situations that need to be in place for CGA to work will be developed and tabulated with supporting evidence from the interviews, professional and research literature and discussed within the team. From this, candidate programme theories that can capture the different accounts with linked putative CMO configurations will be presented to the PEACH study steering group for review and challenge. Discussion will focus on the plausibility Zubair M, et al . BMJ Open2017; 7:e017270. doi:10.1136/bmjopen-2017-017270 and relevance of the programme theories for CGA in care home settings. These will be set specifically against the evidence identified in this first stage of the review process. This stage will result in candidate programme theories and related contexts that will inform the remainder of the review process. Stage 2: identifying the evidence and testing and refining the programme theories Stage 2 will address objective 2 of the PEACH realist review, that is, understanding the contextual resources that are likely to trigger particular mechanisms which will achieve the successful implementation, uptake and working of the various components of CGA in care home settings. The focus of the analysis here will mainly be on evidence relevant to the UK care home context and outcomes consistent with the PEACH study aims and objectives, building on earlier related work. For example, it is likely that we will expand the searches from stage 1 to address approaches that overlap or are very similar to CGA, but we will exclude literature that is not relevant to longterm care or, as in the case of some US Minimum Dataset-derived systems, have not gained traction in UK care homes. 28 We also know that person-centred approaches are the mainstay of care home work and particularly for those living with dementia. Drawing on the findings from two recent care home reviews, we anticipate however that there will be limited evidence on the process of how person-centred care is implemented that can explain how CGA might work. 3 29 An expanded and iterative, review of the relevant literature will be conducted. The literature search terms will be based on the description above but will also take into account other sources of evidence relevant to the candidate theories. For example, if evidence around what supports implementation in care homes is identified as key to developing a theory of what needs to be in place for CGA to be effective, the searches will be expanded to include evidence in this area. In addition to the above electronic database searches we will undertake the following lateral searches: - Checking of reference lists from primary studies and relevant systematic reviews (snowballing). - Citation searches using the Cited by option on Web of Science (WoS), Google Scholar and Scopus, and the Related Articles option on PubMed and WoS (Lateral Searching). - Contact with experts and those with an interest in, care homes and CGA to uncover grey literature. The guiding principle for the review is that the quality of the evidence will be judged on its contribution to the building and testing of relevant theory. Appraisal of the included primary studies and the data extraction process will be conducted taking into account the guidelines for undertaking realist reviews 21 23 and the use of the method as illustrated by Rycroft-Malone et al. 30 Hence, appraisal of the evidence from the primary studies will involve an assessment of relevance Zubair M, et al . BMJ Open2017; 7:e017270. doi:10.1136/bmjopen-2017-017270 Box 3 Principles of realist enquiry have been summarised as follows 23 30 1. Organisation of extracted information into evidence tables representing the different bodies of literature (eg, assessment of older people with comorbid conditions including dementia, multidisciplinary working, integrated care). 2. Theming across the evidence tables in relation to emerging patterns (demiregularities in realist literature) among context– mechanisms–outcomes, seeking confirming and disconfirming evidence. 3. Linking these demiregularities (patterns) to develop hypotheses. Data synthesis will involve individual reflection and team discussion and will: - Question the integrity of each theory - Adjudicate between competing theories - Compare the stated theory with actual practice Coded data from the studies will then be used to confirm, refute or refine the candidate theories. Where theories fail to explain the data, alternative theories will be sought. and rigour—involving a consideration of whether the research does address one or more of the theories under test and if it supports the conclusions drawn from it by the researchers. Data extraction will be based on the content of the programme theory. If the evidence meets the test of relevance described above, data will be extracted by one member of the team 19 using the form and then checked by a second member (RD, ALG, CG) of the team. Data extraction and review forms for stage 2 will gather information on the relevant theory area being addressed by a research article—including which specific programme idea they address; what claims are made or conclusions drawn (either explicitly or implicitly) with respect to which theories; and how the apposite evidence is marshalled 23 (see box 3). Once data have been extracted and reviewed for all the papers found to be relevant, the analytical task is in synthesising the relationships between mechanisms (eg, underlying processes, structures and entities), contexts (eg, conditions, types of settings, organisational configurations) and outcomes (ie, intended and unintended consequences and impact). Stage 3: analysis and synthesis of evidence This stage will address objective 3 of the PEACH realist review. Following the methods employed by the PEACH research team in an earlier study, 3 once the preliminary mapping of the evidence into tables is complete, we will consult with the whole project team and steering group. This will be carefully structured to facilitate in-depth discussion of the findings and to develop and confirm or reject the resultant hypotheses. Those confirmed will act as synthesised statements of findings around which a narrative can be developed summarising the nature of the context, mechanism and outcome links, and the characteristics of the evidence underpinning them. 5 The iterative process of data analysis, synthesis and discussion will continue until the programme theories are refined enough for use as an organising framework for the next phase involving the PEACH realist evaluation work. During this next phase, the theories will be further tested and refined in relation to the CGA delivery work undertaken locally by the PEACH Quality Improvement Collaborative. Discussion Care homes are complex environments and many residents have frailty or multimorbidity. CGA is a complex intervention which may be able to improve quality of care within care homes. Care homes are also heterogeneous, ranging in size from a few beds to hundreds, resourced through a mix of funding models and types of healthcare support. 1 CGA has been extensively described and tested within hospital settings and also for people living in their own homes in the community, but there is limited understanding of how CGA may be optimally implemented within a care home setting, or indeed the extent to which CGA, when operationalised for this setting, overlaps with other models of integrated and patient-centred care already in place. This realist review will describe some of the causal mechanisms that may explain how CGA may bring about improvements in quality of care in care homes. The findings from this realist review will feed into the next phase of the PEACH study work, involving a realist evaluation of CGA's implementation in local care homes. In this latter phase, these findings from the realist review will be further analysed, tested and refined against the empirical evidence gathered, in order to improve our understandings regarding how CGA can work in UK care homes to support older residents' health-related quality of life, satisfaction and use of NHS services and resources. Ethics and dissemination The PEACH project was identified as service development following submission to the UK Health Research Authority and subsequent review by the University of Nottingham Research Ethics Committee. The study protocols have been reviewed as part of good governance by the Nottinghamshire Healthcare Foundation Trust. We aim to publish this realist review in a peer-reviewed journal with international readership. We will disseminate findings to public and stakeholders using knowledge mobilisation techniques. Stakeholders will include the Quality Improvement Collaboratives within PEACH study. National networks, such as British Society of Gerontology and National Care Association, will be approached for wider dissemination. Author affiliations 2Division of Rehabilitation and Ageing, School of Medicine, University of Nottingham, Nottingham, UK 1Division of Medical Sciences and Graduate Entry Medicine, School of Medicine, University of Nottingham, Nottingham, UK 6 3Collaboration for Leadership in Applied Health Research and Care East Midlands, National Institute of Health Research, Nottingham, UK 5 4Division of Psychiatry and Applied Psychology, School of Medicine, University of Nottingham, Nottingham, UK School of Health Sciences, City University of London, London, UK 6Centre for Research in Primary and Community Care, University of Hertfordshire, Hatfield, UK Acknowledgements The PEACH study research team are, in addition to the authors: Mr Zimran Alam, Ms Anita Astle, Professor Tony Avery, Dr Jaydip Banerjee, Professor Clive Bowman, Mr Michael Crossley, Dr Reena Devi, Professor Heather Gage, Dr Kathryn Hinsliff-Smith, Ms Gemma Housely, Dr Jake Jordan, Dr Sarah Lewis, Professor Pip Logan, Ms Annabelle Long, Professor Finbarr Martin, Professor Julienne Meyer, Dr Dominick Shaw, Professor David Stott and Ms Adeela Usman. Contributors CG and ALG conceived the study, MZ and NHC drafted the protocol, with JRFG, TD, CG and ALG developing and refining methods and objectives. All authors have read and approved the final version. Funding This work has been undertaken as part of the Proactive Healthcare of Older People in Care Homes (PEACH) study, funded by the Dunhill Medical Trust, award number FOP1/0115. Competing interests None declared. Provenance and peer review Not commissioned; externally peer reviewed. Open Access This is an Open Access article distributed in accordance with the Creative Commons Attribution Non Commercial (CC BY-NC 4.0) license, which permits others to distribute, remix, adapt, build upon this work non-commercially, and license their derivative works on different terms, provided the original work is properly cited and the use is non-commercial. See: http://creativecommons.org/ licenses/by-nc/4.0/ © Article author(s) (or their employer(s) unless otherwise stated in the text of the article) 2017. All rights reserved. No commercial use is permitted unless otherwise expressly granted. References 2. Iliffe S, Davies SL, Gordon AL, et al. Provision of NHS generalist and specialist services to care homes in England: review of surveys. Prim Health Care Res Dev 2016;17:122–37. 1. Buisson L. Care of older people. 27th edn. 2015. 3. Goodman C, Dening T, Gordon AL, et al. Effective health care for older people living and dying in care homes: a realist review. BMC Health Serv Res 2016;16:269. 5. Ellis G, Whitehead MA, O'Neill D, et al. Comprehensive geriatric assessment for older adults admitted to hospital. Cochrane Database Syst Rev 2011;7:CD006211. 4. Goodman C, Davies SL, Gordon AL, et al. Relationships, expertise, incentives, and governance: supporting care home residents' access to health care. An interview study from England. 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A Trusted Third-Party Computation Service Sameer Ajmani Robert Morris Barbara Liskov MIT Laboratory for Computer Science 200 Technology Square, Cambridge, MA 02139, USA {ajmani,rtm,email@example.com Abstract 1 Introduction We present TEP, a system that supports general-purpose shared computation between mutually-distrusting parties. TEP is useful for applications, such as auctions and tax preparation, that use private information from multiple participants. Such applications cannot be run on any one participant's computer without sacriﬁcing the other participants' privacy. TEP acts as a trusted service that hosts the sensitive parts of such applications. TEP uses a Java VM to load and run computations on behalf of clients. TEP uses Java security mechanisms and cryptographic protocols to ensure that (1) a program can communicate only with the speciﬁc participants identiﬁed for a computation and (2) each participant knows exactly what program is being run and who the other participants are. This lets participants determine whether information they send to the computation can be exposed to other participants; we show how static analysis greatly simpliﬁes this task. Example programs show that the TEP model is useful and easy to program; benchmarks show that the TEP prototype implementation is fast enough to be practical. Keywords: multiparty computation, trusted third party, information ﬂow, privacy This research was supported by DARPA under contract F30602-98-1-0237 monitored by the Air Force Research Laboratory. Sharing private data in a computation presents a paradox. How can two parties combine their private data in a computation without revealing their data to one another? Many systems, such as online auctions, solve this problem by introducing a trusted third party to run the computation. However, such systems are usually specialized to a single application and provide only vague guarantees on the system's ability to control information leaks. This paper presents the Trusted Execution Platform (TEP), a new system that supports general-purpose multiparty computation with speciﬁc guarantees on information leaks. Consider an online tax-preparation application called "WebTax". WebTax uses a proprietary database provided by a tax preparer and requires private income data from the client. If WebTax runs on a computer controlled by either the client or the preparer, the privacy of the other party's data is compromised. Running WebTax on TEP protects the privacy of both parties. There are two general types of diﬃculties that might aﬄict a trusted third-party computation service. First, the third party might turn out not to be trustworthy, due to either malice or incompetence. We have nothing new to oﬀer here. We assume that TEP is trustworthy and simply guarantee that users of TEP can authenticate their connections to TEP. The second type of diﬃculty arises when the participants in a shared computation try to trick each other. A participant might not realize that a shared computation's algorithms reveal its data to another participant. A participant might be misled about what computation it is participating in; for example, it might submit a bid to the wrong auction. A participant might understand the computation involved, but be mistaken about who else is participating. A participant might understand the computation and know the participants, but be misled about the role of each participant. Any of these errors could result in undesired exposure of private data, even if TEP is completely trustworthy. The key to avoiding these errors is thorough identiﬁcation. TEP provides enough information to each participant to allow a precise understanding of whom the participant's private data may be exposed to. TEP identiﬁes speciﬁc properties about each computation to every participant involved in that computation: TEP authentication of TEP itself Program the exact bytecodes of the program used for a computation Participants the participants in a computation Roles the role each participant plays in the computation Instance distinguishes between computations with the same program, participants, and roles. To make these properties meaningful, TEP must guarantee that data used in a computation cannot escape through unidentiﬁed channels: Isolation Ensure that data given to a program cannot leak to parties that are not participants. Although TEP can prevent data from being exposed to non-participants, it is still up to each user to determine whether a program leaks his or her information to legitimate participants. Doing this requires inspection of the code. This inspection process is likely to be tedious and error prone, so we explain how inspection can be automated using static information-ﬂow analysis. Section 2 presents a design for TEP that provides the required identiﬁcation and isolation. Section 3 details how the design is implemented. Section 4 describes how TEP incorporates static analysis, and Section 5 presents performance results for a prototype implementation. Finally, Section 6 discusses related work, and Section 7 concludes. 2 Design This section describes how TEP satisﬁes its identiﬁcation and isolation requirements. The design uses a "call back" model, in which a computation is invoked with a set of parameters that identify the participants. The computation initiates connections to the participants speciﬁed in the parameters. Participants run trusted local agents that accept connections from computations on TEP and handle the necessary authentication and policy decisions on their participant's behalf. An alternate model is to allow participants to initiate connections to computations on TEP. This has the convenience of following the standard client-server model and allowing participants to join long-running computations dynamically. However, this adds complexity to TEP, since TEP must forward incoming connections to the correct computations. We plan to support this model in future work. All communication between a computation running on TEP and the participants in the computation occurs through channels. A channel is a bidirectional communication connection between a program on TEP and a participant. A program on TEP can only communicate with participants using channels, which allows TEP to authenticate each source and sink for the data used in the computation. 2.1 TEP Identiﬁcation Whenever TEP opens a channel to a participant, it carries out a two-way authentication protocol in which it identiﬁes itself to the participant. This allows the participant to be certain that it is communicating with TEP. We assume that participants can ﬁnd the public key for TEP from a key distribution authority. 2.2 Program Identiﬁcation To identify a program, TEP creates a ﬁngerprint of the program bytecodes. The ﬁngerprint is calculated using a cryptographic hash of the bytecodes in a canonical order. Given this ﬁngerprint, a participant can determine (with high probability) what program is running on TEP and so base its decision about whether to participate on local knowledge about that program. 2.3 Participant Identiﬁcation Each participant is identiﬁed by a public key, which it uses to authenticate itself when TEP opens a channel to it. TEP checks that this key matches the one for the expected participant for that channel. 2.4 Role Identiﬁcation In any computation, a participant plays a particular role. A role is a name for the part a participant plays in a computation, such as client or bidder. Each channel speciﬁes a role for the participant it connects to; a participant can refuse the connection if the role isn't what it expects. Additionally, roles help users understand how their data is used in the computation, since there will typically be a direct connection between a role and a program variable. 2.5 Instance Identiﬁcation It is possible that multiple computations with the same program, participants, and roles are running on TEP simultaneously. To distinguish these instances, TEP assigns each computation an instance identiﬁer. This identiﬁer is a nonce: a new value that, with high probability, is different from the identiﬁer for any other computation with the same program, participants, and roles. This identiﬁer can be used to identify the computation and its results after the fact, e.g., in an auditing procedure. 2.6 Isolation TEP must ensure that data used in a computation does not leak to any parties outside that computation. This requires that TEP restrict a program's behavior in a few ways. First, TEP restricts all program input and output to channels, so that TEP can intervene before any data enters or leaves the system. Furthermore, all communication over these channels is encrypted and authenticated to prevent eavesdropping and impersonation. Next, since TEP is a multi-process system, TEP must isolate the data areas and name spaces for concurrent programs from one another. TEP must also ensure that programs cannot corrupt TEP's own process or access system resources directly, since this might allow programs to circumvent TEP's protection mechanisms. TEP denies programs direct access to the network, disk, and runtime system, since access to any of these could allow programs to leak data or attack on TEP directly. This means programs cannot store any persistent state on TEP between invocations. This is usually acceptable, since programs can send intermediate results to participants over channels and read them back later. 3 Implementation This section describes how TEP's design can be implemented eﬃciently. Programs for TEP are written in Java. Java provides many features that make the implementation straightforward, such as type safety (backed up by bytecode veriﬁcation) and the ability to load code dynamically [7]. An example of a Java program for TEP is given in Figure 1. WebTax is a tax preparation application with two participants: a client that provides private income data and a tax preparer that provides a proprietary tax database. WebTax reads data from both participants, calculates the client's tax, and writes the result back to the client. This section will refer to this example as each new concept is introduced. 3.1 Code Structure Any program that can be run by TEP must provide exactly one run method. The run method must be public and static, return void, and throw no exceptions. This ensures that TEP can invoke the run method and that TEP need not provide any speciﬁc information on to the participants how the the method terminates. Additionally, the parameters of the run method are limited to the type Participant; we discuss this type further below. For example, WebTax takes two participants as arguments, the client and the tax preparer. 3.2 Invocation Anyone can invoke a computation on TEP by specifying a URL for the program, a ﬁngerprint for the bytecodes, and a set of participant bindings. Say a client with key Kc wants to invoke WebTax for a tax preparer with key Kp. The client must provide TEP with a URL for WebTax, a ﬁngerprint for the code, and a role, host, port, and key for itself and the tax preparer (presented here in an XML format): ``` <Invocation url="http://tax.com/app.jar" md5-hash="L1vqv6VrqBk5OVCXTdhOUA=="> <Participant role="client" host="host-c.domain.com" port=1234 key=Kc /> <Participant role="preparer" host="server.tax.com" port=6060 key=Kp /> </Invocation> ``` Typically, the user does not need to provide this information directly. For example, the tax preparer might have a web site that would allow a client to sign up for tax preparation by ﬁlling out a form. Then the form would be processed automatically to provide the invocation description and send it to TEP. When TEP receives an invocation request, it fetches the WebTax application from the URL and checks that it matches its ﬁngerprint. Then it runs the bytecode veriﬁer on every class in the entire application. If either of these fails, TEP refuses the request. TEP then looks for WebTax's run method. The number of participants in run's signature must match the number of participants speciﬁed by the invoker. Given the above computation request, WebTax's run method must have this signature: ``` public static void run(Participant, Participant); ``` the invocation request is incompatible with the method signature, TEP refuses the request. TEP next creates objects that represent the participants: one for each participant in the request. TEP then runs the application, passing it the Participant objects in the order speciﬁed in the invocation request. The participant objects are of type Participant, which is a Java class that is provided by TEP for use in programs that will run on TEP. Each Participant contains a role, host, port, and key: ``` public class Participant { final public String role; final public String host; final public int port; final public PublicKey key; Participant(String role, String host, int port, PublicKey key); } ``` Participant is an immutable type that has a package visible constructor. This means that only TEP's code can create Participant objects. Programs on TEP use participants for channel creation, as explained in the next section. To support variable numbers of participants, TEP provides the ability to create an array of participants that share the same role. For example, say participants with keys Ka and Kb wish to bid in an auction. Each participant can ﬁll out a form to provide an auction site with their host, port, and key information (this is not a ``` public class WebTax { public static void run(Participant clnt, Participant prep) { try { // read client's income data Channel clientChan = new Channel(clnt); Income income = new Income(clientChan.getInputStream()); //get tax preparer's channel Channel prepChan = new Channel(prep); // calculate taxes Tax tax = calcTax(income, prepChan); // send tax to the client tax.writeTo(clientChan.getOutputStream()); } catch (Exception e) { // ignored } } } ``` Figure 1: WebTax Java Code serious privacy risk since the agents running at the participants can ﬁlter out any unsolicited computations). The auction site then invokes the auction on TEP with the command: ``` public static void run(Participant, Participant[]); ``` ``` <Invocation url="http://tbay.com/app.jar" md5-hash="6Pjqrrxv6yi+wOYDMdpROA==" app-ident="1997 Ford Explorer"> <Participant role="auctioneer" host="tbay.com" port=7070 key=Kt /> <ParticipantArray role="bidder"> <Participant host="host-a.domain.com" port=1234 key=Ka /> <Participant host="host-b.domain.com" port=4321 key=Kb /> </ParticipantArray> </Invocation> ``` In an auction, many participants ﬁll the same role (bidder). This is represented in the request as a list of participants nested under a ParticipantArray element that speciﬁes the role. The corresponding run method for this request is: Another point about this example is that the invocation description includes an application identiﬁer. The app-ident ﬁeld allows the invoker to provide an uninterpreted string that can be used in an application-speciﬁc way. In this case, it is being used to identify the particular auction being run. While this ﬁeld isn't strictly necessary, it can be useful to allow an application to easily distinguish diﬀerent computations that use the same program. The application identiﬁer ﬁeld is separate from the instance identiﬁer assigned by TEP. 3.3 Channels TEP provides programmers with an API for creating and using channels. The implementation of this API is stored on TEP and linked with a program when it is loaded. The API deﬁnes one class, Channel: ``` public class Channel { public Channel(Participant p) throws AccessControlException, ``` ``` GeneralSecurityException, IOException; public Participant getParticipant(); public InputStream getInputStream(); public OutputStream getOutputStream(); } ``` Channel contains four instance methods: a constructor and three accessors. A program creates a channel by calling the constructor with a Participant as an argument. The constructor opens a secure connection to the given participant and throws an exception if an error occurs. getParticipant provides access to the participant used to create the channel. The other accessors provide access to the channel using the standard Java input and output stream abstractions [8]. TEP's underlying implementation of these streams provides secure information transfer. TEP creates a channel as follows: 1. connects to p.host and p.port, where p is the Participant passed to the channel (throws an IOException if this fails) 2. authenticates the channel and checks that the peer's public key matches p.key (throws an AccessControlException if this fails) 3. uses encryption and message authentication codes (MACs) to protect the channel's privacy and integrity (throws a GeneralSecurityException if this fails) 4. sends the computation information (the program ﬁngerprint, the application identiﬁer, this channel's participant, the other participants, and the instance identiﬁer) to the peer in a format similar to the one for invoking a computation The required authentication and encryption can be implemented using any secure session protocol, such as SSL [21]. The peer checks that it is connected to the correct program and that its role is what it expects; it disconnects if not. The peer may also check the application identiﬁer and the other participants; for example, the client of WebTax may check to be sure that the other participant is the tax preparer it expects. If TEP receives no response from the participant, it times out and throws an IOException to the program. 3.4 Example: WebTax The Java code for WebTax is presented in Figure 1. WebTax deﬁnes a run method, which is the top-level method invoked by TEP. When TEP receives a computation request for WebTax, it creates two Participant objects, one for the client and one for the tax preparer. WebTax creates a channel to the client using the ﬁrst participant. If the channel is created successfully (i.e., the agent acting as the client accepts the channel), WebTax reads the client's income data by constructing an Income object from the channel's input stream. Income is a class included with WebTax that knows how to read its value from a Java InputStream. Next WebTax creates a channel to the tax preparer and calls the method calcTax to calculate the client's tax. This method uses the preparer's channel to read the preparer's database and uses that information along with the client's income data to compute the taxes. Finally, WebTax writes the result to the client's output stream by calling the result's writeTo method on the client's output stream. This program leaks data. Since the client's tax incorporates information read from the preparer's database, some amount of the preparer's private information is leaked to the client. This is presumably acceptable for the tax preparer (or the program would not have been made available for general use), and without this leak no useful computation can be shared. Section 4 will show how static analysis can detect such leaks. 3.5 Example: Auction The Auction example in Figure 2 implements a silent auction for a set of bidders. This application is invoked with two types of participants: a single auctioneer and a set of bidders. The auctioneer invokes the auction and identiﬁes the item up for bid by setting an application identiﬁer. The auctioneer also sets the reserve price. The bidders each check the application identiﬁer to conﬁrm they are in the correct auction, send in a bid, then read the winning bid at the end of the auction. First, the program connects to the auctioneer. If this fails, the program exits, since there is no reason to continue (it could also contact each bidder to report the error). The program then uses the channel to read the reserve price. Next, the program creates a channel for each bidder. If the bidder discovers that it is in the wrong auction, it refuses the connection. In this case, the program will get an IOException and continue to the next bidder. After all the bids have been read and the winning bid has been calculated, the program reports the winning bid to each bidder. 3.6 Policies When a computation connects to a participant, TEP provides the participant with enough information to determine whether that computation can leak the participant's data. Each participant decides independently whether to participate in a computation according to its own local security policies. Since policies are local, participants can automate policy processing using a policy engine [23]. A policy engine can answer queries about policy and, given a computation, decide whether the participant should participate. These decisions might consider whether the computation can leak the participant's data and, if so, whether the participant considers the leak acceptable. By automating the approval process, policy engines enable participants to connect their own programs to TEP over channels. Typically, a particular shared computation will require a specialized client-side agent to interact with the computation, and that agent acts as the policy engine for that computation. For example, an agent for WebTax accepts a connection from a computation on TEP and checks that the computation has the correct parameters. A client-side agent might help a participant "sign up" for a group computation, such as an auction, and then wait for a connection from TEP. When TEP connects to the agent, the agent checks that the computation is using the correct bytecodes and that it is bound to the correct channel. The agent might also check the bindings for the other participants in the computation. A participant must trust its agent, since the agent has access to the participant's local data. This is a serious risk, since an agent could reveal the participant's data directly to other parties on the network. To alleviate this risk, TEP provides the TepAgent class: ``` public class TepAgent { public TepAgent(KeyPair localKeys); public Invocation getInvocation(); public InputStream getInputStream(); public OutputStream getOutputStream(); } ``` When constructed, TepAgent waits for a connection from a computation on TEP, authenticates TEP, authenticates itself to TEP using the local participant's keys, and reads the invocation information from the connection. TepAgent provides accessors for the invocation information and the connection to the computation. Invocation is a Java type that provides the same information used to invoke the computation. Application-speciﬁc agents can be built on top of TepAgent. Participants can then deny application agents direct access to the network (using Java-style security policies [10]), since those agents should only communicate to TEP using TepAgent. TepAgent can provide additional protection mechanisms, such as requesting direct participant approval of a computation. Since there can be more than one TEP server, each server should provide a signed implementation of TepAgent (or an appropriate certiﬁcate) that will properly authenticate that server. 3.7 Isolation TEP must isolate programs from each other to ensure they cannot share data outside their ``` public class Auction { public static void run(Participant a, Participant bs[]) { try { // create a channel to the auctioneer and // read the reserve price Channel auctionChan = new Channel("auctioneer", a); Bid reserve = new Bid(auctionChan.getInputStream()); Bid max = reserve; // the current max bid } catch (Exception e) { return; // bad auctioneer: unrecoverable } // create an array of channels for the bidders Channel bidChans[] = new Channel[bs.length]; // open a channel to each bidder and read each bid, // updating max as needed for (int i = 0; i < bs.length; i++) { try { bidChans[i] = new Channel("bidder", bs[i]); Bid bid = new Bid(bidChans[i].getInputStream()); if (bid.value > max.value) max = bid; } catch (Exception e) { continue; // bad bidder: move on to the next one } } // send the winning bid to each bidder for (int i = 0; i < bs.length; i++) { try { max.writeTo(bidChans[i].getOutputStream()); } catch (IOException e) { /* ignored */ } } } } ``` Figure 2: Auction Java Code channels. TEP must also prevent programs from accessing system resources directly, since otherwise programs could use the disk or the network to leak data. TEP implements these measures using speciﬁc features of Java: type safety, classloaders, and security managers. TEP must ensure the memory safety of each program. A number of techniques have been developed to isolate dynamically-loaded code [22, 18, 16]. TEP depends on Java's type safety to provide this protection. TEP runs each program in its own thread in TEP's Java virtual machine (JVM). TEP creates a new instance of a custom Java classloader for each program. This classloader provides each program with its own class namespace and static data area [11]. The classloader only allows a program to load the TEP-provided classes Channel and Participant and the application classes that are included in the program's JAR ﬁle [9]. Java classloaders provide a form of name space management that prevents programs from accessing each other's code and data [23]. This allows multiple copies of the same program to execute independently in the same JVM. TEP uses Java's security manager to deny programs direct access to system resources, such as the Java runtime environment, the disk, and the network [10]. This prevents programs from circumventing TEP's channel API and ensures that TEP can intervene before any data leaves the system. This also protects TEP's own code from attack by the programs it runs. Although these mechanisms suﬃce, other research has explored providing much stronger process isolation in Java [3]. TEP does not use any resource allocation scheme to protect programs from CPU or network starvation. Although unnecessary for privacy, such a scheme is needed to protect TEP and the programs it runs against denialof-service attacks. Adding resource control would require that programs include information about their resource needs and would require that TEP either monitor programs' resource consumption [18] or check them statically [16]. Finally, TEP makes no claims on covert channels, such as timing channels. However, static information-ﬂow analysis will allow TEP to detect implicit information ﬂows in the control structure of a program, as discussed in Section 4. 3.8 Extensions 3.8.1 Auditing Even though TEP identiﬁes each computation to the participants, participants might disagree about the result of a computation (for example, the winner of an auction or the item up for bid). The solution to this problem is auditing: keeping logs of computations for use in settling future disputes. TEP can act as a trusted auditor by recording all data sent to a program over each channel. Provided programs are deterministic, TEP can "replay" a recorded program by simulating the channels. To ensure deterministic behavior, TEP must deny program access to all sources of nondeterminism, such as the system clock. This is not a serious limitation since such information can be provided by participants over channels (and so logged by TEP). To match audit logs with particular computations, participants need only provide the instance identiﬁer assigned by TEP for that computation. Keeping audit logs places a heavy load on TEP and introduces the risk that TEP might leak the logs, since they must be stored for an extended period of time. A solution is for TEP to encrypt a computation's logs once the computation is complete and store the encrypted logs in a reliable oﬄine database. The computation information must be public for indexing, but the privacy of the logs themselves is protected by encryption. 3.8.2 Using a PKI for Role Bindings In TEP, each computation has its own bindings from participant's roles to keys. This relation maps naturally to name-key bindings in a public key infrastructure (PKI), such as PKIX (X.509) [17] or SPKI [19]. Instead of inspecting the role bindings for a computation at runtime, participants can create role bindings before a computation by issuing the appropriate certiﬁcates. Using a PKI, an invocation no longer needs to include keys in the role bindings. Instead, an invocation needs to identify the root naming authority. This is the public key of the certiﬁcation authority (CA) that issues the role-key bindings for the computation. When a computation opens a channel, TEP veriﬁes that the peer's key is bound to the channel's role by certiﬁcates issued by the root CA. TEP sends the root CA key to each participant along with the other computation information, so each participant can verify that TEP is using the correct bindings. This structure has the beneﬁt of simplifying participants' computation approval process at runtime, since each participant need only check the root CA key [1]. A drawback is that TEP must now verify role-key bindings when channels are created. If this involves searching a PKI, this can be very slow. Another issue is that a PKI is less ﬂexible than including role bindings with each computation, since certiﬁcate propagation and revocation can take time. This is a drawback when bindings need to change often. A solution to both these problems is to include the required certiﬁcates with the invocation, as in proof-carrying authentication [2]. Role bindings can be represented as chains of name certiﬁcates in SDSI/SPKI-style linked local name spaces; these chains must be provided to TEP when the computation with those bindings is invoked. This alternative still requires that TEP verify the proofs of each property; but this may be faster than requiring that each participant individually approve the bindings. A client using a PKI can invoke WebTax with these parameters: ``` <Invocation url="http://tax.com/app.jar" md5-hash="L1vqv6VrqBk5OVCXTdhOUA==" root-key=Kr> <Participant role="client" host="host-c.domain.com" port=1234 /> <Participant role="preparer" ``` ``` host="server.tax.com" port=6060 /> <Proof role="client" key=Kc> <!-- sequence of certificates --> </Proof> <Proof role="preparer" key=Kp> <!-- sequence of certificates --> </Proof> </Invocation> ``` The top-level element speciﬁes the root CA key with the root-key attribute. The participant elements no longer specify keys, since the role-key bindings are speciﬁed by certiﬁcates in the PKI. This invocation include proofs for these bindings, so TEP doesn't need to search the PKI for them. TEP sends this information, except for the proofs, to each participant in the computation. Given just the root CA key, the participants can determine whether TEP is using the correct bindings for the computation. 3.8.3 Anonymous Participants Not all participants may want to be identiﬁed to every other participant. In an auction, bidders' identities are irrelevant to the computation, and a bidder may want hide its identity for a given auction. TEP can support this with anonymous participants: the invoker of a program can mark certain participants as anonymous, which means their public key, host, and port will not be sent to the other participants. However, TEP will report to each participant the number of anonymous participants in each role. This allows a participant to refuse to participate in a computation where roles should not be anonymous, such as the tax preparer in WebTax. 4 Information Flow Analysis As described so far, TEP allows computations to share data with participants without leaking their data. But there is a major problem: how does a participant decide whether the program being run leaks his or her data? The only way this can be done so far is for the participant to carefully inspect the code. Unfortunately, inspection is tedious and error-prone, especially as programs become more complex. For example, a client of WebTax would need to examine the code to be sure that his or her income information is not leaked to the tax preparer. This would require reading the code of the calcTax method and all the code it calls. This may very well be a huge program, so reading it and understanding whether it leaks information is a formidable undertaking. Furthermore, the code may be proprietary: the tax preparer may not want to allow the code to be read. The solution to this problem is static information-ﬂow analysis. This analysis checks a program at compile-time for information leaks. Any information that a program leaks must be explicitly declassiﬁed; the participant whose data is leaked must explicitly authorize that leak. For example, the tax preparer must authorize WebTax. The client, however, knows that it does not authorize WebTax, and so does not need to inspect the code (which also protects the tax preparer's privacy interests for the code). Static analysis tracks not only explicit information ﬂows through direct computation, but also implicit ﬂows through the control ﬂow of a program. For example, the statement if (secret) channel.write(true) leaks the value of secret. Static analysis catches this leak and makes it possible to ﬁnd leaks that would be extremely diﬃcult to ﬁnd by inspection. TEP supports static information-ﬂow analysis using Myers' Java information ﬂow language, Jif [15, 14]. Jif extends Java with decentralized information-ﬂow labels, a type of annotation that converts information ﬂow analysis to an extended form of type-checking. A Jif compiler or bytecode veriﬁer can eﬃciently analyze a labelled Jif program to determine whether it leaks any data without explicitly declassifying it, and will reject the program if it does [14, 12]. 4.1 Labels Jif labels are annotations on the type of a variable that represent the privacy policies for that variable. Labels contain policies owned by principals, which are named entities that embody some authority in a program. Jif deﬁnes an ordering on labels that prevents data with a given label from being written to a variable with a less restrictive label, and so prevents data from being leaked as it moves between variables in a program. Jif allows the roles in a computation to be captured directly in labels. In particular, a participant's role will be captured by the label on the Participant object created for that user. For example, the client's participant in WebTax would have type Participant{client:}. This label means that the labeled data item is readable only by the client. Jif labels have a far richer structure than shown here, but TEP does not use anything more. To illustrate the power of Jif, the Jif version of WebTax is presented in Figure 3. The ﬁrst thing to note is the use of labels in the header of the run method to capture the roles of the two participants. This header indicates that there are two principals involved in running the program, one representing the client, and the other, the tax preparer. The next thing to notice is the use of channels. In Jif, channels are parameterized by the principal of the participant that will be using that channel. Such a channel restricts the labels of data that can be read and written to the channel, namely to have the label {principal:}. Thus the channel to the client will produce data labeled {client:} and will also only accept data labeled {client:}. Similarly the channel produced for the tax preparer produces and accepts only data with the label {preparer:}. Note that this prevents the client's data from being written to the preparer's channel and vice versa. The tax computation produces a result that has a compound label {client:, preparer:}, since the result involves data from both parties. This result cannot be written to the client's ``` public class WebTax authority (preparer) { public static void run(Participant{client:} clnt, Participant{preparer:} prep) where authority (preparer) { try { // read client's income data Channel[client] clientChan = new Channel[client](clnt); Income{client:} income = new Income(clientChan.getInputStream()); //read preparer's tax database Channel[preparer] prepChan = new Channel[preparer](prep); // calculate taxes Tax{client:, preparer:} tax = calcTax(income, prepChan); // send tax to the client declassify(tax,{client:}).writeTo(clientChan.getOutputStream()); } catch (Exception{client:} e) { // ignored } catch (Exception{preparer:} e) { // ignored } } } ``` Figure 3: WebTax Jif Code channel since its label doesn't match what the channel requires. To handle this case, Jif allows data to be declassiﬁed. However, a program can declassify data only if it runs with the authority of the principal in the label being removed. WebTax runs with the authority of the tax preparer, as indicated in the authority clause in its header. Therefore, it can declassify the result and return it to the client. However, WebTax does not run with the authority of the client. This means that it cannot remove any of the client's labels from the data, and therefore it is unable to leak the client's information to the tax preparer. Furthermore, the client can determine this by simple inspection of the header of WebTax; it is not necessary to read the code. For other programs, however, things aren't so simple. For example, the bidders in the auction need to authorize the program to run with their authority so that it can let all of them know about the winning bid. Even so, less reading of code may be required because the code can be organized so that all declassiﬁcation happens in the top level code. For example, even if the client of WebTax gave the program some authority (e.g., to release the name and address of the user to the tax preparer), it would be unnecessary to examine the code of calcTax provided it did not run with the client's authority, which can be determined by examining its header. 4.2 Runtime Authority Jif is far more ﬂexible than described in this paper; discussion of many of Jif's features has been omitted for brevity. However, one feature of Jif that is particularly helpful to TEP is Jif's ability to represent and reason about principals whose authority is unknown at compile-time. This feature makes it possible to protect distinct participants in a TEP computation from accidentally sharing data when they have the same role, such as the bidders in an auction. Supporting these features requires some simple extensions to TEP, which are described here. Jif represents unknown authorities as runtime principals , which are ﬁrst-class values of type principal . Runtime principals can be used in labels and so can represent the role of a participant in a TEP computation. Participants whose labels contain runtime principals cannot be compared directly, and so cannot accidentally share data. When the authority of the participant needs to be known (eg. to do a declassiﬁcation), the program must check whether the participant's authority can be represented with a known static authority. Jif has two features that make this check possible: the ability to compare the authorities of static and runtime principals and the ability to determine the value of an unknown label. Runtime principals can be compared to static principals using an actsfor test in Jif. actsfor checks whether one principal is authorized to act on behalf of another, in which case the authorized principal can use the other's authority. In an auction, each bidder is a distinct participant, but a static principal (such as bidder) must be authorized to declassify each bidder's bid. An auction can use an actsfor test to check whether this authorization exists at runtime: if so, the declassiﬁcation is allowed; otherwise, the auction must ignore that bidder's bid. Although this may seem similar to the original auction model, this model limits the use of bidder's authority to only the code where it is needed. Jif supports a similar runtime test for labels that provides similar beneﬁts. To support Jif's ability to represent and reason about runtime authority, TEP must be extended in two ways. First, TEP must provide a way to represent principals at runtime. TEP does this by providing a class that stores the information about a runtime principal, such as the underlying participant's public key. Second, TEP must provide a way to compare principals. TEP does this using a principal hierarchy, which is a data structure that represents the actsfor relation between principals. TEP can then determine whether one principal can act for another by searching for a path between those principals in the principal hierarchy. 5 Prototype 5.1 Model The prototype implementation of TEP is based on a design that uses a PKI, as described in Section 3.8.2. All policy decisions are made by TEP, rather than distributed to the participants [1]. The prototype both accepts certiﬁcate chains for policies [2] and supports on-demand policy generation using certiﬁcate-chain discovery [4, 1]. The prototype also automatically includes the invoker of a computation as one of the computation's participants. The prototype is implemented entirely in Java and is available online [20]. While Java provides the beneﬁts of type safety and ease of development, it results in signiﬁcant performance degradation compared to native code. We believe that our design admits more eﬃcient implementations and plan to demonstrate this in future work. 5.2 Performance This section present performance results for two applications: empty, an empty application to test baseline invocation, and tax, a tax preparation application. The experiments use three machines: one TEP server and two participants. Each machine is a 600MHz Intel Pentium III with 512MB RAM. Each runs RedHat Linux 6.0 and Sun's Java Runtime Environment 1.2.2 with a just-in-time compiler. The machines communicate over 100Mb local Ethernet and use 1024-bit RSA keys for public-key cryptography. 5.2.1 Empty In the empty application, an invoker connects to TEP, establishes a secure session, and requests a program by URL. TEP fetches the program, checks it using the standard Java bytecode veriﬁer, and executes the requested method (which is empty). The total time spent at the invoker is 185ms: 148ms on cryptography for the secure session and 37ms communicating with TEP. TEP spends 148ms on crypto and 35ms handling the request: 25ms waiting for the invoker to complete the session protocol and send its request; 10ms fetching, loading, and verifying the program; and 0ms executing the requested method. The vast majority of this time is spent on cryptography. Each secure channel creation requires one RSA decryption, encryption, signature, and veriﬁcation. On the test platform, 1028-bit RSA private key operations take 71ms each and public key operations take 2ms each. The same operations in C++ on a 450MHz Celeron take 27ms and 0.7ms each, an improvement of over 60% [5]. Thus, a native code implementation of cryptography can greatly improve the performance of the system. 5.2.2 Tax The tax application involves two parties: the client (the invoker) and the tax preparer. The application reads income data from the client, opens a channel to the tax preparer, reads data from the preparer, calculates the result, and writes the result to the client. The preparer runs its own agent to accept connections from TEP, create secure sessions, and provide the data needed by the application. The total time spent at the client is 665ms: 150ms on crypto, 25ms waiting for TEP to ﬁnish the session protocol, 60ms waiting for TEP to load and start the application, and 430ms interacting with it. TEP spends 150ms on crypto and 450ms handling the request: 20ms loading the application and 430 ms running it. The tax application spends 180ms establishing a secure session with the tax preparer and 170ms dynamically generating the policy that binds the preparer's key to its channel name. The remaining 80ms are spent reading data from the participants and writing the result to the client. A large part of the application time is spent generating a policy using certiﬁcate-chain discovery. This time can be eliminated by caching policies ahead of time. Application providers and invokers can provide TEP with the certiﬁcate chains needed to prove the required bindings, and thus improve performance. 6 Related Work 6.1 Secure Program Partitioning The most closely related work to ours is secure program partitioning, a technique that protects the privacy and integrity of data in shared computations by splitting programs among multiple hosts [26]. Whereas TEP assumes that there is a single host trusted by all participants, secure program partitioning supports heterogeneous trust of the hosts used in the computation. Both systems take advantage of static information ﬂow analysis and cryptographic techniques to provide privacy and integrity assurances. Both systems currently require that computations be conﬁgured statically at invocation, although future work promises greater ﬂexibility. 6.2 Java Applets Java applets authorize programs by checking that the program is signed by a trusted provider [10]. This form of program authorization requires that the user decide what permissions to grant to code signed by a particular signer and only applies to code that runs on the local machine. In the TEP model, this sort of authorization is required to restrict participants' application-speciﬁc agents to accessing the network only through a trusted TEPprovided agent. TEP's main advantage over the Java model is that a computation does not run locally to any participant in a computation, so no participant gets access to the other participants' data. It does not suﬃce to run a Java program on an arbitrary third-party server, since the server must provide the appropriate identiﬁcation and isolation of the computation to ensure that data is not leaked. 6.3 Active Networks Active networks permit applications to inject programs into networks to deploy new network services [25, 24]. This system shares certain features with TEP: the ability to load new code dynamically and the need to isolate and control that code. When code is executed at an active node, it must use a restricted API to access the underlying system, much like TEP's channel API. Active nodes use this API to regulate the code's access to shared resources. TEP can be extended similarly to provide certain types of resource control. 6.4 Secure Multiparty Computation Secure multiparty computation uses cryptographic techniques to run shared computations with minimal or no need for a trusted third party [6, 13]. Such techniques can reduce the amount of trust required of TEP, providing greater assurance for computation participants. However, these techniques often require a majority of honest participants, while TEP does not. TEP's main advantage over these techniques is ﬂexibility. New applications for TEP are easy to develop, whereas no simple technique exists for developing new secure multiparty applications. 7 Conclusion We have presented TEP, a trusted third-party computation service. We began by identifying a set of requirements for such services and presented a design that satisﬁes those requirements while maintaining generality. The design ensures that each participant in a computation has enough information to determine if that computation can leak its data. We then described an implementation of the design and demonstrated its ﬂexibility with examples. TEP supports programs written in Java that use channels, a general mechanism for communicating with the participants in a computation. TEP assigns roles to participants to aid in reasoning about computations and supports client-side agents that can provide general interfaces to computations on TEP. We then improved the safety of the system by incorporating static information-ﬂow analysis for TEP programs. TEP accepts programs written in Jif, a Java-based language that can be checked at compile-time for information leaks. We showed how the concepts in the Java version of TEP are represented in Jif and provided a Jif example to demonstrate the changes. Using Jif, TEP can guarantee the privacy of participants in certain computations without requiring that the participants inspect the code. Finally, we presented the performance for a prototype implementation of TEP. We showed that the prototype can run a simple thirdparty tax preparation application with reasonable performance. We found that the majority of the time for a computation is spent on the cryptography for creating secure channels. This suggests that optimizing the cryptography and channel protocol can greatly improve performance. Throughout this paper, we have identiﬁed ways in which TEP can be extended. The most fundamental of these is enabling participants to initiate connections to computations on TEP. This allows TEP computations to act as servers for requests from participants. Another important extension is resource control: TEP can protect participants' privacy but currently cannot withstand denial-of-service attacks from the programs it runs. A ﬁnal extension is support for Jif's runtime mechanisms. These enable programmers to create more general programs for TEP that are guaranteed to protect participants' privacy. References [1] S. Ajmani. A Trusted Execution Platform for multiparty computation. Master's thesis, Massachusetts Institute of Technology, July 2000. http://www.pmg.lcs.mit.edu/˜ajmani/papers/thesis.ps. [2] A. W. Appel and E. W. Felten. Proofcarrying authentication. In Proc. of the 6th ACM Conf. on Computer and Communications Security, Nov. 1999. [3] D. Balfanz and L. Gong. Experience with secure multi-processing in java. Technical Report 560-97, Princeton University, Sept. 1997. [4] D. Clarke, J. Elien, C. Ellison, M. Fredette, A. Morcos, and R. L. Rivest. Certiﬁcate chain discovery in SPKI/SDSI. Draft, Nov. 1999. [5] W. Dai. Speed comparison of popular crypto algorithms. Web Page, Apr. 1999. http://www.eskimo.com/˜weidai/benchmarks.html. [6] O. Goldreich, S. Micali, and A. Wigderson. How to play ANY mental game, or A completeness theorem for protocols with honest majority. In Proc. 19th ACM Symp. on Theory of Computing (STOC), pages 218– 229, 1987. [7] J. Gosling, B. Joy, and G. Steele. The Java Language Speciﬁcation. Addison-Wesley, Aug. 1996. ISBN 0-201-63451-1. [8] Java 2 platform, standard edition, v1.2.2 API speciﬁcation. Web Page, 1999. http://java.sun.com/products/jdk/1.2/docs/api/. [9] The JAR guide. Web Page, 1997. http://java.sun.com/products/jdk/1.2/docs/guide/jar/jarGuide.html. [10] JDK 1.2 security documentation. Web Page, Apr. 1998. http://java.sun.com/products/jdk/1.2/docs/guide/security/. [11] S. Liang and G. Bracha. Dynamic class loading in the Java Virtual Machine. In Proc. OOPSLA '98, volume 33, pages 36– 44, Vancouver BC, Canada, Oct. 1998. ACM Special Interest Group on Programming Languages, ACM Press. [12] N. Mathewson. Information ﬂow in Java bytecodes. Master's thesis, Massachusetts Institute of Technology, 2000. [13] S. Micali. Distributed split-key cryptosystem and applications. United States Patent 6,026,163, USPTO, Dec. 1996. [14] A. C. Myers. Mostly-Static Decentralized Information Flow Control. PhD thesis, Massachusetts Institute of Technology, Cambridge, MA, Jan. 1999. [15] A. C. Myers and B. Liskov. Protecting privacy using the decentralized label model. ACM Transactions on Software Engineering and Methodology, Apr. 2001. http://www.cs.cornell.edu/andru/pubs.html. [16] G. C. Necula and P. Lee. Safe kernel extensions without run-time checking. In Proc. USENIX Symp. on Operating Systems Design and Implementation (OSDI), pages 229–243, Seattle, Washington, Oct. 1996. [17] Public-key infrastructure (X.509) (PKIX). Web Page, Feb. 2000. http://www.ietf.org/html.charters/pkix-charter.html. [18] M. I. Seltzer et al. Dealing with disaster: Surviving misbehaved kernel extensions. In Proc. of the 2nd Symp. on Operating Systems Design and Implementations (OSDI), pages 213–227, Seattle, WA, Oct. 1996. [19] Simple public key infrastructure (SPKI). Web Page, Feb. 1998. http://www.ietf.org/html.charters/spki-charter.html. [20] http://www.pmg.lcs.mit.edu/˜ajmani/tep/. [21] Transport layer security (TLS). Web Page, Mar. 2001. http://www.ietf.org/html.charters/tls-charter.html. [22] R. Wahbe, S. Lucco, T. Anderson, and S. Graham. Eﬃcient software-based fault isolation. In Proc. 14th ACM Symp. on Operating System Principles, pages 203–216. ACM Press, Dec. 1993. [23] D. S. Wallach, D. Balfanz, D. Dean, and E. W. Felten. Extensible security architectures for Java. In Proc. 16th ACM Symp. on Operating System Principles (SOSP), pages 116–128, Saint-Malo, France, Oct. 1997. [24] D. Wetherall, U. Legedza, and J. Guttag. Introducing new Internet services: Why and how. IEEE Network Magazine, July 1998. http://www.sds.lcs.mit.edu/activeware/. [25] D. J. Wetherall, J. V. Guttag, and D. L. Tennenhouse. ANTS: A toolkit for building and dynamically deploying network protocols. In Proc. IEEE OPENARCH, San Francisco, CA, Apr. 1998. http://www.sds.lcs.mit.edu/activeware/. [26] S. Zdancewic, L. Zheng, N. Nystrom, and A. C. Myers. Untrusted hosts and conﬁdentiality: Secure program partitioning. In Proc. 18th ACM Symp. on Operating System Principles (SOSP), volume 35, Banﬀ, Alberta, Canada, Oct. 2001. ACM Operating Systems Review, ACM Press.
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We are IntechOpen, the world's leading publisher of Open Access books Built by scientists, for scientists Open access books available 6,200 International authors and editors 168,000 Downloads 185M Countries delivered to 154 Contributors from top 500 universities 12.2% Our authors are among the TOP 1% most cited scientists Selection of our books indexed in the Book Citation Index in Web of Science™ Core Collection (BKCI) Interested in publishing with us? Contact firstname.lastname@example.org Numbers displayed above are based on latest data collected. For more information visit www.intechopen.com Depression During Pregnancy: Review of Epidemiological and Clinical Aspects in Developed and Developing Countries Priscila Krauss Pereira, Giovanni Marcos Lovisi, Lúcia Abelha Lima, Letícia Fortes Legay, Jacqueline Fernandes de Cintra Santos, Simone Agadir Santos, Daianna Lima Thiengo and Elie Valencia Federal University of Rio de Janeiro Brazil 1. Introduction Contrary to general belief, gestation is not always characterized by joy and accomplishments. Many women experience sadness or anxiety in these periods of their lives. Gestation and postpartum (puerperium) are periods of woman´s life which involve many physical, hormonal, psychic and social insertion changes which can have a direct effect on her mental health (Camacho et al., 2006). The changes caused by the newborn arrival are not limited to psychological and biochemical variables but also involve socioeconomic factors, especially in societies in which women are active in the labor market, contributing to the family income, and pursuing diverse professional and social interests (Maldonado, 1997). The scientific literature indicates that in the gestational-postpartum period is the phase with the highest prevalence of mental disorders of women´s life, particularly in the first and third quarters of gestation and during the first 30 days of postpartum (Botega & Dias, 2006). The intensity of these mental health alterations depend and are regulated by interaction of multiple factors, including organic, family, marital, social, cultural aspects and the pregnant woman's personality (Falcone et al., 2005). Approximately one fifth of pregnant women and women in puerperium present symptoms of depression (Limlomwongse & Liabsuetrakul, 2006). Most of these women are not diagnosed neither adequately treated (Andersson et al, 2003). Depression is the most prevalent mental disorder during pregnancy and the puerperium period (Bennett et al., 2004) and is associated with risk factors such as a psychiatric history, financial hardships, low education level, teenage pregnancy, lack of social support, stressful events and a history of domestic violence. There is evidence that pre-natal depression is not only more common, but it constitutes the main risk factor for postpartum depression. Indeed, in many cases it is the continuation of the depression that started during pregnancy (Alami et al., 2006; Andersson et al., 2006; Da Costa et al., 2000; Heron et al., 2004; Josefsson et al., 2001; Lovisi et al., 2005; Patel et al., 2003; Rich-Edwards et al., 2006; Ryan et al., 2005). Current studies suggest that gestational depression needs to be addressed in a more consistent manner. Although there is a consensus that the factors that affect the relationship between mother and fetus begin in the prenatal period, there has been little research addressing this issue. Most studies focus on postpartum depression. Gestational depression needs to be considered as an important public health issue since it constitutes a strong risk factor that may lead to postpartum depression. Within this context, there is need to implement preventive interventions prior to childbirth. Some studies suggest that gestational depression is related to low birth weight, premature births and other problems in the development of the child (Patel & Prince, 2006; Rahman et al., 2004). The belief that the pregnant woman's feelings may affect the baby's health is very old but only recently it has aroused scientific interest (Allister et al., 2001; Andersson et al., 2004; Chung et al., 2001; Dayan et al., 2006; Diego et al., 2004; Hoffman & Hatch, 2000; Patel & Prince, 2006; Patel et al., 2004; Rahman et al., 2002; Rahman et al., 2004). It is known that the mother's nutritional, hormonal, metabolic, psychological and social environment during gestation is related to the newborn's health. A woman suffering from gestational depression can be less concerned with her health in general. This can lead her to not follow through with prenatal care, to abuse alcohol, tobacco and other drugs, suffer from insomnia and diminished appetite, which results in a decrease in the quantity and quality of her nutrition. Furthermore, the literature indicates that there is also a relationship between maternal psycho-social stress and low fetal growth. Women with depression have higher cortisol rates which may lead to prematurity and low birth weight (Hobel et al., 1999; Wadhwa et al., 1996). In developing countries, premature birth and low birth weight are the main causes of infant morbimortality. Studies suggest that depressive states that are not treated during pregnancy tend to decrease the frequency of prenatal consultations, which has been closely associated with neonatal mortality (Carvalho et al., 2007). Studies carried out in developed countries indicate that maternal depression is linked to long term emotional, cognitive and behavioral problems in children (Huot et al., 2004; Motta et al., 2005; Newport et al., 2002). In addition, the prevalence rates of depression during pregnancy have been significantly higher in developing countries than developed ones (Patel & Kleinman, 2003). Within this context, the main objective of this chapter is to present a systematic review of epidemiological studies that investigated the prevalence and risks factors associated with depression during pregnancy in developing and developed countries. 2. Systematic review of epidemiological studies on the prevalence and factors associated with gestational depression We carried out a literature review of epidemiological research on the prevalence of gestational depression or depression symptoms and their associated risk factors, including longitudinal research that estimated this prevalence before and after birth, in developed and low income countries. 2.1 Methods The following bibliographical databases were consulted: PubMed/MEDLINE, ISIWEB, Scopus, LILACS, SciELO, with the last two databases used primarily to retrieve Latin American publications. The criteria for inclusion were: published articles in the last 10 years (from 2000 to April 2011) in English, Spanish or Portuguese with an observational epidemiological study design (cross-sectional, case-control, and cohort). In searching the databases LILACS and SciELO used the following descriptors, according to their definition in DeCS (Health Descriptors): "depression" or "depressive disorder" or "mood disorders" and "pregnancy" and "prevalence" and "risk factors". In searching the databases PubMed/MEDLINE, ISIWEB and Scopus, we used keywords defined according to their description in MeSH (Medical Subject Headings): "depression" or "depressive disorder" or "unipolar depression" or "mood disorders" and "pregnancy" and "prevalence" and "risk factors". Different keywords were used in each database according to the definition that each database proposed in the descriptors. With this process, it was possible to find a greater number of articles related to the topic of interest in each database. Also, we also reviewed the bibliographical references of the principal articles found and specialized books on the subject. The articles were evaluated and chosen according to methodological criteria proposed by Downs & Black (Downs & Black, 1998), applicable for the delineation of articles for the evaluation of their quality. These criteria evaluate the quality of information, the internal validity (bias and confounding), external validity and the ability of the study to detect a significant effect. The present article used the original version made up of 27 items, only excluding the item associated with experimental studies. Hence, in the end, 17 items were used for the cohort and case control studies, adding up to a maximum 18 points. Of these, 13 items referred to cross-sectional studies and represented at the most 14 points. These criteria were used by authors in national review articles (Araujo et al., 2010; Rossi & Vasconcelos, 2010). The analysis of the methodological quality of the articles took the following items into consideration: clearly described hypotheses or objectives; an endpoint that was clearly described in the introduction or methodology; characteristics of the participants; distribution of main confounding variables; main results clearly described; information on estimates of the random variability of data; characteristics of losses; information on probability values of outcomes; representativeness of individuals included in the study; clear information on results that were not based on hypotheses established a priori; information on adjustments of the analysis for different follow-up durations in cohort studies; same amount of time allowed between intervention and the endpoint for cases and controls in case-control studies; adequacy of statistical tests; accuracy of the measures used for the main outcomes; recruitment of participants in different groups from the same population and in the same period of time; adequate inclusion of confounding factors in the analysis; and consideration of participant drop out during follow-up. The study only included articles that obtained at least 50% of the maximum score on the Downs & Black scale (Downs & Black, 1998) - that is 9 points for cohort and case-control studies and 7 points for cross-sectional studies. Selected articles were compared on the following methodological aspects: year of publication, study location (developed or developing countries), study design, sample size, instruments used for assessment of depression, prevalence of depression during pregnancy, related factors (epidemiological and clinical aspects) and methodological assessment score (Downs & Black Scale). 2.2 Results and discussion A total of 543 studies were identified in the database searches. However, only 51 articles met the pre-established criteria and were selected for inclusion in this comparison (Figure 1). Excluded studies were literature review and qualitative research reports and studies that had been repeated in different databases or because they were not associated with the subject. Thirty-seven studies were excluded for obtaining a score below the 50% of the maximum score on the Downs and Black methodological evaluation scale. Fig. 1. Flowchart of inclusion and exclusion of original articles in the systematic review Total of 543 studies were identified through database searches 2 studies were identified through other sources (references, manual research) 117 articles were excluded because they were duplicated 428 studies were screened 340 articles were excluded because they were literature reviews, qualitative research or for not referring to the subject 88 complete articles were eligible for evaluation 37 studies with complete text were excluded for obtaining low scores on the Downs and Black methodological evaluation scale 51 studies were included for systematic review The selected studies were divided into two categories: studies in developed countries (Chart 1) and studies in developing countries (Chart 2). This division was made with the purpose of observing possible variations in the prevalence of gestational depression and associated factors, since an unfavorable economic situation seems to be an important risk factor in the development of minor mental disorders such as depression, including depression during pregnancy (Patel & Kleinman, 2003). Together with the main methods and instruments used in collecting the comparison data in this study, this procedure allowed for the analysis of variations in depression frequency rates and associated factors reported in studies carried out in developed countries when compared to those carried out in developing countries. 2.2.1 Studies on the prevalence of gestational depression in developed countries The prevalence of gestational depression reported in studies included in this review, originating in developed countries, showed a broad variation- oscillating from 5% to 30%. Few studies found prevalence rates above 20%. Prevalence rates were more frequently reported in the 10% to 15% range. Among the risk factors elucidated by these studies were psychiatric histories, use of substances, negative attitude towards pregnancy, lack of social support, presence of stressful events and marital conflicts (Chart 1). These factors were assessed through standardized questionnaires, including questions developed raised by the authors, and scales such as Stressful Life Event Scale (Holmes & Rahe, 1967), Intimate Bond Measure (Wilhelm & Parker, 1988), Parental Bonding Instrument (Parker et al., 1979), Index of Marital Satisfaction – IMS (Hudson, 1982), Social Desirability Scale (Crowne & Marlowe, 1960), Medical Outcome Studies Social Support Survey – SSS (Sherbourne & Stewart, 1991), Social Support Questionnaire – SSQ (Sarason et al., 1983) and TWEAK – Tolerance Worry Eye-opener Annoyed Cut-down (Russell, 1994) - this latter scale being measures problematic alcohol use and risk of alcohol drinking during pregnancy. Among the instruments used to evaluate gestational depression, more than half of these investigations used the Edinburgh Postnatal Depression Scale– EPDS (Cox et al., 1987), a self-administered questionnaire that evaluates the intensity of postpartum depression symptoms – which has also been validated to measure depression during pregnancy (Ortega et al., 2001; Murray & Cox, 1990). Standardized diagnostic interviews used included the Clinical Interview Schedule – CIS-R (Lewis et al., 1992), the Mini International Neuropsychiatric Interview – MINI (Sheehan et al., 1997), the Structure Clinical Interview – SCID (First et al., 1994) and the Composite International Diagnostic Interview – CIDI, based on DSM-III-R and DSM-IV diagnostic criteria (APA, 1987, 1994). Others administered instruments were The Primary Care Evaluation of Mental Disorders – PRIME-MD (Spitzer et al., 1994) and the Center for Epidemiologic Studies Depression (CES-D) Scale (Radloff, 1977). This latter was developed by the National Institute of Mental Health to assess depression symptoms using self-administered questionnaires. Another utilized instrument was the Beck Depression Inventory – BDI (Beck et al., 1998), which is also a self-administered questionnaire and measures the severity of depression symptoms. Most of these studies had a longitudinal design. The majority of them were carried out in the USA and in European countries like England, Switzerland, Italy and Spain. There was a considerable variation in the size of the samples included in these investigations. However, many studies reported on samples that were relatively large, over 1000 women. Only one study used a sample below 100 women. Prenatal services and maternities were the most frequently selected research sites. A few studies were carried out at the participants' homes, usually using self-administered questionnaires sent by correspondence. The average score obtained on the Downs & Black scale by these studies was 14 points but four of them obtained the scale´s maximum score. 2.2.2 Studies on the prevalence of gestational depression in developing countries Most gestational depression prevalence rates found in studies in developing countries were around 20%. Among the risk factors elucidated by these studies, most were associated with poverty such as low income, unemployment, financial hardships and poor educational backgrounds. Other reported factors associated with gestational depression were being single or divorced, having violence and psychiatry histories, stressful events and lack of social support (Chart 2). In order to evaluate these factors, most studies used structured questions and questionnaires developed by the authors. However, some scales were used such as the Krause-Markides Index (Krause & Markides, 1990) to evaluate social support received and the Paykel Life Events (Paykel, 1983) to assess stressful events during pregnancy and the puerperium period. For the assessment of depression, half of these investigations used the Edinburgh Postnatal Depression Scale – EPDS (Cox et al., 1987). Some of these studies used standardized interviews to corroborate positive cases detected by this scale. This included the use the Mini International Neuropsychiatry Interview – MINI (Sheehan et al., 1997) that aims at reaching a diagnosis of Axis I mental disorder according to DSM-IV (APA, 1994) criteria. The Brazilian studies mainly used the Composite International Diagnostic Interview – CIDI (Wittchen et al., 1991), a standardized WHO instrument, and to a lesser extend the used other scales such as the Beck Depression Inventory (Beck et al., 1998), the Hospital Anxiety and Depression Scale (Zigmond & Snaith, 1983) and the Primary Care Evaluation of Mental Disorders – PRIME-MD (Spitzer et al., 1994). The majority of these investigations were carried out in Brazil and the rest in other low income countries such as Turkey, India, Nigeria and Mexico. Research with a crosssectional design was more common among these studies in developing countries, particularly in the case of Brazilian studies. The sample size of these studies was mostly in the range of 100 to 500 women. There were only a few investigations with samples over 1000 women. Prenatal services and maternities were the predominant research sites and no study was carried out in residence of participants. The average score obtained through these studies on the Downs & Black scale was 12 points and few were close to the maximum score of the scale. 1 Edinburgh Postpartum Depression Scale 2 General Health Questionnaire 3 Structural Clinical Interview for DSM IV 4 Beck Depression Inventory 5 Mini International Neuropsychiatric Interview 6 Patient Health Questionnaire 7 Primary Care Evaluation of Mental Disorders 8 Composite International Diagnostic Interview \| \| pregnancy \| \|---\|---\| \| - ar \| \| 9 Structure Diagnostic Interview (DSM-III-R) 10 Clinical Interview Schedule – revised edition (DSM-IV) \| ss \| on Sweden, Longitudinal 1558 H 2001 M \| ospital / EPDS 17.0% Postpartum 15 aternity depression \| \| \|---\|---\|---\|---\| \| lo \| \| \| 7% Substance 14 abuse; difficulties \| Chart 1. Studies on the prevalence of gestational depression in developed countries \| unplanned pregnancy; low self- esteem \| \| \|---\|---\| \| e- \| % Advanced age; 11 poor \| \| \| stressful events \| \| \|---\|---\|---\| \| om gs su \| \| % Single; 16 negative attitude towards \| 11 Hospital Anxiety and Depression Scale Chart 2. Studies on the prevalence of gestational depression in developing countries \| \| \| \| Report \| \| \|---\|---\|---\|---\|---\| \| \| Brazil, Sectional 930 H 2007 M \| ospital / CIDI 13% physical 17 aternity violence \| \| \| \| l- \| \| e- \| \| % Poor 13 educational background; \| 2.2.3 Epidemiological and clinical aspects of gestational depression in different socioeconomic contexts In general, in this review the average prevalence of gestational depression found in developing countries was about 20% while in developed countries it ranged between 10% and 15%. Only a few studies in developed countries reported prevalence similar to that of developing countries. This fact suggests that this disorder ought to be of importance for world Public Health. The prevalence between 15% and 20% is significant and this higher rate seems to be associated with factors found in disadvantaged contexts such as poverty, violence, low education (Patel & Kleinmann, 2003). On one hand, it should be noted that the prevalence above this average was only found in some studies that used non-representative and non-randomized samples (Da Costa et al., 2000; Dhillon & MacArthur, 2010; Golbasi et al., 2010; Matos et al., 2009; Skouters et al., 2009; Wojcicki et al., 2011). On the other hand, gestational depression values a little below this prevalence average were found when standardized diagnostic interviews were used, particularly with the CID-10 (OMS, 1993) or DSM-IV (APA, 1994) diagnosis criteria, compared to studies that used inventories or symptomatology scales, such as the Beck Depression Inventory (Beck et al., 1998) and the Hospital Anxiety and Depression Scale (Zigmond & Snaith, 1983). The gestational depression prevalence reported in the majority of these studies was approximately 20% (Alami et al., 2006; Bowen & Muhajarine, 2006; Faisal-Cury & Rossi Menezes, 2007; Freitas & Botega, 2002; Gulseren et al., 2006; Josefsson et al., 2001; Limlomwongse & Liabsuetrakul, 2006; Lovisi et al., 2005; Marcus et al., 2003; Mohammad et al., 2010; Ortega et al., 2001; Patel et al., 2002; Silva et al., 2010). This prevalence appears to be higher in the third gestational quarter and relatively higher in low income countries. It also tends to increase in high risk pregnancy cases (Lovisi et al., 2005). Studies have shown that depression symptoms are more common and severe during pregnancy than in the postnatal period (Andersson et al., 2006; Banti et al., 2010; Evans et al., 2001). Depression tends to be higher among pregnant adolescents than in adult pregnant women. The same can be said of adolescent parents (Quinlivan & Condon, 2005). Depression is a frequent mental disorder in adolescence and pregnancy be an important risk factor in triggering its development in this stage of the life of woman. A study reported that anxiety and depression symptoms are more frequent in primiparous adolescents compared to nonpregnant adolescents (Caputo & Bordin, 2007). Another study carried out in Brazil reported high rates of prevalence of depression, anxiety and suicidal ideation in adolescent pregnant women: 20.8% for depression, 23.3% for anxiety and 16.7% for suicidal ideation (Freitas & Botega, 2002). It should be noted that adolescents between the ages of 10 and 19 account for approximately one quarter of the total number of childbirths that take place in developing countries such as Brazil, and constitutes the main cause of hospitalization in this population (Freitas & Botega, 2002). In studies included in this review, investigations carried out in Eastern countries reported low rates of gestational depression. Investigations among Chinese women indicated a gestational depression rate of approximately 5% (Lee et al., 2004; Qiao et al., 2009). A Japanese study reported rates of 5.6% (Kitamura et al., 2006). These rates are lower than the average rates found in research studies carried out in Western societies. The explanation for this fact underlined in these studies consists in specific cultural aspects of these contexts whereby, among other factors, it was believed that pregnant women should refrain from having unhealthy behavior and feelings and this belief could favor the sub-notification of depressive symptoms (Lee et al., 2004). It should be noted that there is an insufficiency of studies on the incidence of gestational depression since most studies address prevalence measures. In this review, only one incidence study was found (Kitamura et al., 2006). The importance of this kind of study lies in it enabling identification of new cases that really begin during the period being studied. In other words, that they are not pre-existing cases of depression and therefore can be rightly considered gestational depression cases. However, it is known that psychiatric incidence studies are hindered by the lack of a biological marker for mental disorders and by specific characteristics of the initiation, development and course of these disorders, which makes the exact moment of incidence almost impossible to determine. In relation to the methodological quality of the articles, the studies carried out in developed countries did better on the Downs & Black scale than the studies carried out in developing countries, which may reflect, among other difficulties, the lack of governmental incentives for research in these countries. As for the instrument used assess depression, regardless of their country of origin, most authors used the Edinburgh Postnatal Depression Scale – EPDS (Cox et al., 1987) to detect the presence of depressive symptoms, both during the gestational and post-anatal periods. Some investigators used the Beck Depression Inventory – BDI (Beck et al., 1998), the Hospital Anxiety and Depression Scale – HAD (Zigmond & Snaith, 1983), among other instruments, to evaluate symptoms of depression. It should be noted that many of these instrument are selfadministered and not appropriate for contexts with population with poor educational background, as it is the case in many developing countries. However, there are few standardized diagnostic interviews for assessing depressing during pregnancy in the reviewed study, such as for instance, the Composite International Diagnostic Interview – CIDI (Wittchen et al., 1991), the Mini International Neuropsychiatry Interview – MINI (Sheehan et al., 1997), the Clinical Interview Schedule-Revised – CIS-R (Lewis et al., 1992) and the clinical diagnostic interview based on the DSM-IV (APA, 1994), Structured Clinical Interview – SCID (First et al., 1994). Among the risk factors that may lead to a gestational depressive condition, the studies on this reviewed identified a prior history of depression; financial hardships; low education levels; unemployment; lack of social support; instability in relationships; stressful life events; unwanted pregnancy; alcohol, tobacco or drug abuse; and a history of violence against women. It is highlighted that these factors are inter-related in varying degrees in the development of gestational depressive episodes. In general, the majority of risk factors associated with gestational depression were the same for developed and developing countries, with the exception of factors related to unfavorable economic contexts, low education, unemployment, financial hardships and violence which were predominant in studies carried out in low income countries. In the last decades, epidemiological studies have significantly contributed to a greater understanding of the interrelation between social environment factors and the origin and course of mental disorders. A considerable amount of academic literature addresses the role that the so-called stressful life events play as risk factors in anxiety and depression (Lopes et al., 2003). Stressful events refer to life changes that require a social and psychological readjustment, such as the death of a loved one, marital conflicts, the loss of a job, having been a victim of a mugging. Several recent studies has reported an association between stressful events and the development of gestational depression (Alami et al., 2006; Fisher et al., 2010; Gulseren et al., 2006; Leigh & Milgrom, 2008; Lovisi et al., 2005; Pereira et al., 2009; Rodriguez et al., 2008; Rubertsson et al., 2005; Silva et al., 2010). On the other hand, stress seems also to be, in part, a result of the presence of gestational depression and anxiety (Da Costa et al., 2000). Studies suggests that social support received before and during pregnancy, particularly support offered by the spouse, seems to be crucial to the pregnant woman's mental health since its absence has been associated with the manifestation of gestational depression symptoms (Adewuya et al., 2007; Chee et al., 2005; Felice et al., 2004; Freitas & Botega, 2002; Golbasi et al., 2010; Mohammad et al., 2010). It is also suggested that the perception of low level of spouse social support perception received is related to the prevalence of depression after childbirth (Cruz et al., 2005). Furthermore, marital problems also seem to be related to the prevalence of gestational depression (Alami et al., 2006; Felice et al., 2004; Johanson et al., 2000; Karaçam & Ançel, 2009). Single or divorced women report the higher level of symptoms of depression during this period (Adewuya et al., 2007; Faisal-Cury & RossiMenezes, 2007; Felice et al., 2004; Freitas & Botega, 2002; Gavin et al., 2010; Limlomwongse & Liabsuetrakul, 2006; Lovisi et al., 2005; Silva et al., 2010). A crucial factor in the development of gestational depression symptoms, which has a direct impact on the mother and the child's health, is violence against women, whether it is carried out by the spouse, a relative or a stranger. Although it is not restricted to poor areas, it is in these environments that we find the highest rates of violence. However, poverty and violence are both independent risk factors for gestational depression, which suggests that maternal mental health prevention strategies should include policies that aim at decreasing violence and offer financial aid to women in low income countries (Lovisi et al., 2005). Domestic violence against women during pregnancy, particularly when committed by the woman's partner, has several negative impacts on the baby's intra-uterine health and the mother's mental health, particularly in the development of gestational depression (Anderson et al., 2002; Ferri et al, 2007; Fisher et al., 2010; Gavin et al., 2010; Leigh & Milgrom, 2008; Lovisi et al., 2005; Patel et al., 2002; Rodriguez et al., 2008). Financial hardships, unemployment, and low education levels stand out as risk factors for gestational depression (Faisal-Cury & Rossi-Menezes, 2007; Fisher et al., 2010; Gavin et al., 2010; Leigh & Milgrom, 2008; Martinéz et al., 2008; Mitsuhiro et al., 2006; Mohammad et al., 2010; Patel et al., 2002; Pereira et al., 2009; Pottinger et al., 2009; Qiao et al., 2009; RichEdwards et al., 2006; Silva et al., 2010; Spoozak et al., 2009). It has been suggested that a higher level of education rises the level of protection against gestational depression, (Lovisi et al., 2005; Patel et al., 2002). An unwanted or unplanned pregnancy can also be a strong cause for gestational depression symptoms (Alami et al., 2006; Benute et al., 2010; Dhillom & MacArthur, 2010; Karaçam & Ançel, 2009; Kitamura et al., 2006; Matos et al., 2009; Mohammad et al., 2010; Pereira et al., 2009). Moreover, women with depression usually have low level of quality of life (Nicholson et al., 2006). Among the risk factors frequently associated with gestational and puerperal depression in the reviewed studies, it stands out a prior psychiatric history, particularly a prior history of depression (Chee et al., 2005; Dhillom & MacArthur, 2010; Felice et al., 2004; Marcus et al., 2003; Micali et al., 2010; Patel et al., 2002; Pereira et al., 2009; Rich-Edwards et al., 2006). Most women who developed gestational depression had had prior depressive episodes (RichEdwards et al, 2006). Additionally, alcohol, tobacco and drug abuse problems seem to be related to a considerable number of gestational anxiety and depression symptoms (Marcus et al., 2003; Pajulo et al., 2001; Silva et al., 2010). In order to approach predictors of depression, reviewed studies used scales like the Stressful Life Events (Holmes & Rahe, 1967) and the Paykel Life Events Inventory (Paykel, 1983) to assess stressful events; the Social Support Questionnaire – SSQ (Sarason et al., 1983) to evaluate social support; the Index of Marital Satisfaction – IMS (Hudson, 1982) and the Abuse Assessment Screen – AAS (MacFarlane et al., 1992) to measure the satisfaction and violence suffered in a marital relationship and the Substance Abuse Subtle Screening Inventory – SASSI (Miller, 1994) to assess use of alcohol and drugs. Most studies only used questions and questionnaires elaborated by the study researchers to assess risk factors associated with depression. Several longitudinal studies reported on the prevalence of gestational as well as postpartum depression (Alami et al., 2006; Andersson et al., 2006; Banti et al., 2010; Chee et al., 2005; Da Costa et al., 2000; Evans et al., 2001; Felice et al., 2004; Gulseren et al., 2006; Heron et al., 2004; Johanson et al, 2000; Josefsson et al., 2001; Kitamura et al., 2006; Limlomwongse & Liabsuetrakul, 2006; Patel et al., 2002; Rich-Edwards et al., 2006; Rubertsson et al., 2005). All these studies reported gestational depression rates greater than those found in postpartum depression, except one study which reported a higher rate for postpartum depression (Patel et al., 2002). According to the authors of this latter study, cultural aspects in India may have influenced the results since the birth of girls in that country is not appreciated. The birth of a girl brings about discontentment and represents a strong risk factor, raising the probability of maternal depression threefold. The reviewed studies indicate that the prevalence of postpartum depression is usually lower than during pregnancy - below 15% (Banti et al., 2010; Chee et al., 2005; Evans et al., 2001; Felice et al., 2004; Heron et al., 2004; Johanson et al., 2000; Josefsson et al., 2001; Kitamura et al., 2006; Rich-Edwards et al., 2006; Rubertsson et al., 2005). The intensity of perinatal depression symptoms tend to decrease from the gestational period to the period after childbirth (Chee et al., 2005; Gulseren et al., 2006; Pottinger et al., 2009). Further, a study reported that out a rate of 8.7% postpartum depression prevalence only 3.9% were incidental - they had begun during this period. The other 4.8% represented cases that had started in the gestational period or before (Felice et al., 2004). 3. Diagnosis and treatment of gestational depression The evaluation of gestational depression, particularly of mood disorders, may be confounded by the fact that some gestational period characteristics can be misinterpreted as depressive, as is the case of fatigue, changes in sleep habits, appetite and libido. Moreover, during pregnancy, a woman may present a high incidence of metabolic changes such as gestational diabetes, anemia and thyroid malfunction, all of which may suggest a secondary mental disorders (Botega & Dias, 2006; Camacho et al., 2006). Further, many women who suffer from depression do not reveal their symptoms for fear of possible stigmatization, since they perceive that society expects them to be content. They end up feeling guilty for having depressive symptoms at a time when they should be feeling happy (Epperson, 1999, as cited in Camacho, 2006). The diagnostic criteria for gestational depression are the same as those for depressive disorders, regardless of the period of life in reference. There are no specific scales for the detection of gestational depression. However, there are symptoms which are particularly associated to gestational depression, such as depressed moods, diminished interest or pleasure, weight loss or gain, insomnia or hypersomnia, psychomotor agitation or retardation, fatigue or loss of energy, feeling of worthlessness or guilt, difficulty in concentrating and suicidal ideation. According to the DSM-IV (Diagnostic and Statistical Manual for Mental Disorders), classification of a Major Depressive Episode requires that at least five of the above symptoms be present during a period of at least two weeks. At least one of the symptoms must be depressed mood or diminished interest or pleasure (APA, 2002). The CID-10 Classification of Mental and Behavioral Disorders (International Classification of Diseases) uses the same criteria as the DSM-IV for diagnosis of a Major Depressive Episode. According to the CID-10 and the DSM-IV, the Major Depressive Episode, characterized by one or more Major Depressive Episodes, can also be classified as mild, moderate or severe (APA, 2002; WHO, 1993). Treatment of gestational depression is a complex task. Cases need to be treated on an individual basis and taking in account the patients' autonomy and their social context, emphasizing early intervention (Coverdale et al., 1997; Marcus et al., 2001; Gold, 1999; Soares et al., 2001). The use of psychoactive medication during pregnancy and lactation must take needs to be carefully evaluated since treating may affect the fetus' health (Bonari et al., 2004; Cohen et al., 2004; Jablensky, 2005; O'Brien et al., 2007; Paton, 2008). The possible risks in using antidepressants include fetal toxicity, intra-uterine death, physical malformations, growth impairment, behavioral teratogenicity and neonatal toxicity (Camacho et al., 2006). However, these possible associations has not been adequately proven and several current studies have reported that the use of antidepressants during pregnancy is safe, especially the use of serotonin reuptake inhibitors. Electroconvulsive therapy (ECT) is advised in more severe cases of gestational depression or in those in which all other forms of treatment have failed. It is the last resource used in treating gestational psychiatric disorders. Recent research has suggested that the risk of its use during gestation may be very small and that it can be a safe and effective alternative method in more severe cases (Camacho et al., 2006). Psychotherapy is recommended for women who develop a mild or moderate depressive condition, especially cognitivebehavioral and interpersonal therapy (Botega & Dias, 2006; Spinelli, 1997; Spinelli & Endicott, 2003; Weissman, 2007). This may be a good choice of treatment for women who do not agree to pharmacological treatment when they find out they are pregnant and in less severe cases of depression. However, it is not adequate to discontinue pharmacological treatment in more severe or recurrent cases. Pharmacological treatment and psychotherapy during pregnancy have also proven to be efficient in preventing postpartum depression (Zinga et al., 2005). An intervention study reported that the participation of women in multi-professional educational groups contributed to decreasing the rate of gestational affective disorders (Falcone et al., 2005). The groups included a team of nurses, nutritionists, pedagogues, physiotherapists, social workers and community workers. They complemented formal prenatal care through monitoring the pregnancy, facilitating access to care and strengthening the mother-fetus relationship to safeguard maternal mental health. This study suggests that this sort of inter-disciplinary prenatal intervention is an effective approach for preventing, detecting and treating affective disorders in pregnant women and their children. It is quite common for mental health problems, particularly depression, to complicate pregnancy. Depression is associated with certain risk factors and not treating this disorder may increase health risks factors to the mother and the fetus. Hence, preventive strategies that aim at detecting and preventing risk factors and early diagnosis of depression during prenatal care seem to be more effective than posterior therapeutic strategies. They ought to constitute a crucial aspect of preventive policies in the area of mother and child health (Austin, 2003; Gordon et al., 2006). 4. Conclusion In this review, most gestational depression prevalence rates reported in developing countries were about 20%. The most common risk factors associated with depression in this stage of life were a psychiatric history- particularly a history of depression; factors related to poverty such as low income, financial difficulties, low education level, informal work and unemployment; lack of social, family or marital support, instability in relationships; stressful life events; unwanted pregnancy; alcohol, tobacco and other drug abuse; and a history of domestic violence. These factors are more frequent in disadvantaged socioeconomic contexts such as those found in developing countries where, many times, prenatal care is the only contact a woman in reproductive age will have with health services. Within this context, this prenatal period is a crucial to intervene in order to promote women's health and mental health in the long term (Neumann et al., 2003), as well as their children preventive health (Patel et al., 2004). The data reported in the reviewed studies support the need for integrating mental health and prenatal care for women in reproductive age. Postnatal depression prevention needs to be also started on the prenatal period (Patel et al, 2002). Lastly, the findings reported in these reviewed studies suggests that gestational depression is associated with poverty indicators, above all, to unemployment and low education levels, all for public policies which will address these social issues. In sum, depression is a worldwide public health problem and tops the list of causes resulting on higher years lived with disability (YDLs) in the world (WHO, 2001). 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Mood disturbance in pregnancy and the mode of delivery. Am J Obstet Gynecol, 187(4): 864-7. Zigmond, A. & Snaith, R. (1983). The Hospital Anxiety and Depression Scale. Acta Psychiatr Scand, 67: 361-70. Zinga, D.; Shauna, D.P. & Born, L. (2005). Postpartum depression: we know the risks, can it be prevented? Rev Bras Psiquiatr, 27(Supl II): S56-64. Psychiatric Disorders - Trends and Developments Edited by Dr. Toru Uehara ISBN 978-953-307-745-1 Hard cover, 514 pages PublisherInTech Published online 26, October, 2011 Published in print edition October, 2011 Due to their prevalence, pervasiveness and burden inflicted on men and women of today, psychiatric disorders are considered as one of the most important, sever and painful illnesses. This impairment of cognitive, emotional, or behavioural functioning is in some cases tragic. Aside from knowing the physical organic factors, such as infections, endocrinal illnesses or head injuries, the aetiology of psychiatric disorders has remained a mystery. However, recent advances in psychiatry and neuroscience have been successful in discovering subsequent pathophysiology and reaching associated bio-psycho-social factors. This book consists of recent trends and developments in psychiatry from all over the world, presented in the form of multifarious and comprehensive articles. The first two sections of the book are reserved for articles on schizophrenia and depression, two major illnesses present in this field. The third section of the book is reserved for addiction psychiatry, related not only to socio-cultural but also biological alterations. The last section of the book, titled Biological Neuropsychiatry, consists of three topics - updated molecular biology, fundamental neuroscience and clinical neuropsychiatric conditions. Doubtlessly, this book will be fruitful for future developments and collaboration in world psychiatry. How to reference In order to correctly reference this scholarly work, feel free to copy and paste the following: Priscila Krauss Pereira, Giovanni Marcos Lovisi, Lucia Abelha Lima, Leticia Fortes Legay, Jacqueline Fernandes de Cintra Santos, Simone Agadir Santos, Daianna Lima Thiengo and Elie Valencia (2011). Depression During Pregnancy: Review of Epidemiological and Clinical Aspects in Developed and Developing Countries, Psychiatric Disorders - Trends and Developments, Dr. Toru Uehara (Ed.), ISBN: 978-953-307-7451, InTech, Available from: http://www.intechopen.com/books/psychiatric-disorders-trends-anddevelopments/depression-during-pregnancy-review-of-epidemiological-and-clinical-aspects-in-developed-anddevelopi InTech Europe InTech China University Campus STeP Ri Slavka Krautzeka 83/A 51000 Rijeka, Croatia Phone: +385 (51) 770 447 Unit 405, Office Block, Hotel Equatorial Shanghai No.65, Yan An Road (West), Shanghai, 200040, China Phone: +86-21-62489820 Fax: +385 (51) 686 166 www.intechopen.com Fax: +86-21-62489821 © 2011 The Author(s). Licensee IntechOpen. This is an open access article distributed under the terms of the Creative Commons Attribution 3.0 License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
RESEARCH ARTICLE Open Access Extreme expansion of NBS-encoding genes in Rosaceae YanXiao Jia † , Yang Yuan † , Yanchun Zhang, Sihai Yang * and Xiaohui Zhang * Abstract Background: Nucleotide binding site leucine-rich repeats (NBS-LRR) genes encode a large class of disease resistance (R) proteins in plants. Extensive studies have been carried out to identify and investigate NBS-encoding gene families in many important plant species. However, no comprehensive research into NBS-encoding genes in the Rosaceae has been performed. Results: In this study, five whole-genome sequenced Rosaceae species, including apple, pear, peach, mei, and strawberry, were analyzed to investigate the evolutionary pattern of NBS-encoding genes and to compare them to those of three Cucurbitaceae species, cucumber, melon, and watermelon. Considerable differences in the copy number of NBS-encoding genes were observed between Cucurbitaceae and Rosaceae species. In Rosaceae species, a large number and a high proportion of NBS-encoding genes were observed in peach (437, 1.52%), mei (475, 1.51%), strawberry (346, 1.05%) and pear (617, 1.44%), and apple contained a whopping 1303 (2.05%) NBS-encoding genes, which might be the highest number of R-genes in all of these reported diploid plant. However, no more than 100 NBS-encoding genes were identified in Cucurbitaceae. Many more species-specific gene families were classified and detected with the signature of positive selection in Rosaceae species, especially in the apple genome. Conclusions: Taken together, our findings indicate that NBS-encoding genes in Rosaceae, especially in apple, have undergone extreme expansion and rapid adaptive evolution. Useful information was provided for further research on the evolutionary mode of disease resistance genes in Rosaceae crops. Keywords: NBS-encoding gene, Rosaceae, Cucurbitaceae, Expansion, Rapid evolution Background The battle between plants and pathogens has gone on since they first emerged in the Earth's ecosystem. This ongoing battle against pathogens has led to two types of immune responses in plants: a basal response to pathogen-associated molecular patterns (PAMPs) and a gene-for-gene response specific to a pathogen [1-4]. The former is present constitutively and the latter is induced upon exposure to pathogens. The latter, which is mediated by plant resistance (R) genes, is better studied. Plants have R genes whose products can recognize the complementary avirulence genes of pathogens. This defense mechanism has aroused people's great interest, because it is possible to exploit the natural inducible defenses to engineer * Correspondence: email@example.com; firstname.lastname@example.org † Equal contributors State Key Laboratory of Pharmaceutical Biotechnology, School of Life Sciences, Nanjing University, 210023 Nanjing, China broad-spectrum pathogen resistance. It will be of great significance in crop breeding. Numerous R genes from many plants have been cloned and characterized over the past few decades. Most cloned R genes belong to a large gene family. In this family, the genes encode proteins with nucleotide binding sites and leucine rich repeats (NBS-LRR) domain [5]. Moreover, according to the N-terminal of proteins, the NBS-LRR gene family can be further classified into two types, TIR-NBS-LRR (TIR) genes with a Toll/ Interleukin-1 (TIR) receptor domain and non-TIR-NBSLRR (non-TNL) genes that lack the TIR domain. These often have a coiled-coil (CC) domain instead [6,7]. When a genome sequence is available, the analysis of large gene families is helpful to understand the major events responsible for their molecular evolution. In recent years, lots of plant species have been whole-genome sequenced and these provide abundant materials for investigating the evolutionary patterns of R genes. Studies of the NBS gene family has been performed in many monocots and dicots, such as Oryza sativa, Zea mays, Populus trichocarpa, Malus domestica, Arabidopsis thaliana, Brassica rapa, Citrus sinensis, and Solanum tuberosum [8-18]. All the results have shown that the size of the NBS gene family differs in each species. In general, approximately 0.2–1.6% of genes predicted in plant genomes are NBSencoding genes. They also have diverse evolutionary characters. Frequent gene duplications and gene loss of NBS-encoding genes in different species have been observed, indicating a rapid evolution of this gene family. A few studies focused on comparative analysis of NBS genes among closely related species provide more information that can be used to assess the evolutionary process and identify unique and identical evolutionary patterns of R genes. Comparative analysis of NBS-LRR genes in four gramineous species, rice, maize, sorghum, and brachypodium, showed considerable copy number variation and a tendency of gene loss in grass species [19]. Similarly, Luo et al. also investigated the R genes in four Poaceae species and observed frequent deletions and translocations [20]. A survey of R genes in different Cucurbitaceae species has indicated that Cucurbitaceae species harbor a limited number of R gens. It can be inferred that the reasons for the low copy number of R genes are frequent loss and infrequent duplications [21]. Recently, four species of the legume family, including Medicago truncatula, soybean, common bean, and pigeon pea, also have been studied in genome-wide to investigate the NBS-LRR genes [12]. This study indicated differential NBS gene loss and frequent duplications during legume evolution and ectopic duplications were supposed to create many novel NBS gene loci in individual legume genomes. As more genomic data have been available for some angiosperm families, NBS-LRR genes should be further investigated among phylogenetically similar related species to fill the gaps in the understanding of their evolutionary patterns. The Rosids comprise a very large group of eudicots, containing 16 orders and splitting between the Fabids (Euroside I) and the Malvids (Euroside II). The Fabids contains many plants of great agricultural importance, such as members of the Rosaceae, Cucurbitaceae and Fabaceae. Rosaceae comprises approximately 3400 species and it grows throughout the world. The family is important, because it includes many economically important genera such as Malus (apples), Pyrus (pears), Prunus (plums, cherries, almonds, apricots), Rubus (raspberries, blackberries), and Fragaria (strawberries). The rose family is also a source of ornamental plants. The Rosaceae constantly face threats from various pathogens, including bacteria, fungi, nematodes, and viruses. However, few functional R genes in Rosaceae have been identified and cloned [22,23]. Therefore, it would be interesting to investigate the R gene repertoire among different Rosaceae species. The gourd family (Cucurbitaceae) also contains many useful species of food and ornamental plants. It includes the gourds, melons, squashes, and pumpkins. Like other plants, the gourd family also faces an extensive damage in productivity because of lots of diseases. It is reported that NBS genes in Rosaceae have experienced expansion and more than 1000 NBS-LRRs have been detected in apple [8,24], whereas Cucurbitaceae species have been found to contain a limited number of R genes (<100) [21]. The distinct features of R genes in the two families of Euroside I provide an interesting topic for comparing and uncovering the different evolutionary patterns of R genes in the two families of Rosids. Here, five genomes of representative species in various Rosaceae genera, Prunus persica, Prunus mume, Fragaria vesca, Pyrus bretschneideri Rehd, and Malus domestica, were used for a comprehensive analysis of R genes [24-28]. Meanwhile, we reannotated R genes from three sequenced genomes in the gourd family, including Cucumis sativus, Cucumis melo, and Citrullus lanatus [29-32]. A comparative analysis of R genes was performed between Rosaceae and Cucurbitaceae. Considerable copy number variations of NBS-encoding genes were observed between the Cucurbitaceae and Rosaceae species. Fewer than 100 NBS-encoding genes were identified in Cucurbitaceae while 346-1303 NBS genes were found in Rosaceae. Many more species-specific gene families were detected in Rosaceae species, especially in the apple genome, suggesting a recent expansion of R genes in these genomes. The possible reason for the differentiation in the gene copy number is discussed. Results Numbers of NBS-encoding gene in different plant genomes Eight plant species from Cucurbitaceae and Rosaceae were selected to identify and compare NBS-encoding genes in their genomes (Figure 1). Three of the eight species were from the Cucurbitaceae: cucumber (Cucumis sativus), melon (Cucumis melo) and watermelon (Citrullus lanatus), while the other five were from the Rosaceae, peach (Prunus persica), mei (Prunus mume), strawberry (Fragaria vesca), pear (Pyrus bretschneideri) and apple (Malus domestica). Additionally, Cannabis (Cannabis sativa) was selected as an outer group species of the Rosaceae [33], while poplar (Populus trichocarpa), soybean (Glycine max) and grape (Vitis vinifera) were chosen as examples of the Salicaceae, Leguminosae, and Vitaceae families [34-36]. Different patterns in NBS-encoding gene numbers were observed between Cucurbitaceae and Rosaceae. Fewer than 100 NBS-encoding genes were identified in all of these cucurbitaceous species (Table 1). Three sequenced genomes of cucumber (V1,V2 and VW) had 59, 62, and 71 NBS-encoding genes, respectively, while melon and watermelon contained 80 and 45 NBSencoding genes, respectively. The proportions of NBSencoding genes in the whole genome were also low (0.19%–0.27%), which may be the lowest level reported so far, indicating that the cucurbitaceous species may have other mechanisms of disease resistance that reduced their need to have as many NBS-encoding genes as other plants [30,31]. On the contrary, the rosaceous species had a large number and a high proportion of NBS-encoding genes. Peach, mei, strawberry and pear each had 437, 475, 346, and 617 NBS-encoding genes, while apple even contained 1303 NBS-encoding genes, which might have the highest R-gene numbers in all of these reported diploid plants (Table 1). These NBS-encoding genes accounted for about 1.05–2.05%, of all predicted genes in the five rosaceous species. Only 234 NBS-encoding genes were identified in the outgroup, Cannabis, suggesting a common expansion of NBS-encoding genes after the split between cannabis and the ancestor of Rosaceae species. Moreover, NBS-encoding genes in the five Rosaceae species might have different evolutionary patterns after their split from the common ancestors due to that their copy numbers of NBS-encoding genes varied great differently. For example, although pear and apple are both Maloideae species and diverged from each other not long ago, the number of NBS-encoding genes in apple was 2-fold greater than in pear. Meanwhile, pear and apple contained 1.3-3.8 times of NBS genes than their relative species. The other three species, poplar, grape and soybean, which are evolutionarily distant from the Cucurbitaceae and Rosacea in the phylogenetic tree, contained 402, 341, and 392 NBS-encoding genes, respectively. Table 1 NBS-encoding genes among surveyed plant species Classification of TIR and non-TIR NBS-encoding genes The NBS-encoding genes usually can be further classified into two types based on the structures of N-terminus: the TIR subclass and the non-TIR subclass. Based on Pfam results and the phylogenetic tree (Figures 2, Additional file 1: Figure S1, Additional file 2: Figure S2, and Additional file 3: Figure S3), we divided all NBS-encoding genes into TIR and non-TIR NBS-encoding genes. A total of 1705 TIR genes and 1754 non-TIR genes were detected. In general, each genome had similar numbers of TIR genes and non-TIR genes (41% to 55%, Table 2). To further classify these TIR genes and non-TIR genes, we categorized them into different groups based on N and C terminal domains. Of the TIR-NBS-encoding genes, four sub-types, TIR-NBS-LRR (TNL), TIR-NBS (TN), X-NBS-LRR (XNL), and X-NBS (XN) were identified (Table 2). Over 60% TIR genes had the LRR domains (1028/1705). In each genome, TNL genes made up the greatest proportion of all genes detected. Similarly, nonTIR genes were also classified into four types, including 158 CC-NBS (CN), 799 CC-NBS-LRR (CNL), 214 X-NBS (XN), and 608 X-NBS-LRR (XNL) (Table 2). Although the number of TIR and non-TIR genes in each species was almost identical, the average exon number was greatly different (Additional file 4: Table S1). TIR genes were predicted to have 6.2 exons in average, which is significantly larger than the average number of non-TIR genes, 2.9 (t-test, P < 0.001). For each plant, the average numbers of TIR exons were 1.5–2.8-fold greater than non-TIRs. This was consistent with the results of a previous study in the Arabidopsis, poplar and grapevine genomes, which may support the idea that CNLs tend to be encoded by a single exon while TNLs gravitate towards multiple exons [9,37]. Results showed both the exon numbers of TIR and non-TIR genes in strawberry were the largest. Identification of different types of gene families and genome organization analysis All NBS-encoding genes were classified into families based on the sequence similarity >60% and coverage >60%. A total of 1006 gene families were identified, including 828 species-specific gene families and 178 multi-species gene families (Tables 3, 4 and 5). Different features of speciesspecific and multi-species gene families were observed in different species. About 70–100% of species-specific gene families are single gene families. All peach-specific and watermelon-specific gene families contained exactly one member each. The average gene number of speciesspecific gene families ranged from 1–1.7 (Table 3). The proportions of genes in species-specific gene families focused on and mostly resided in 14.2–31.1%. The proportions of species-specific genes were oddly high in strawberry (84.4%) and cannabis (99.1%). Meanwhile, only 9 and 5 large families (family members ≥5) were identified in strawberry and cannabis, respectively. These results indicate that the two species have a relatively distant relationship with other Rosaceae species and have experienced few recent duplication events. For Cucurbitaceae, most lineage-specific families contained genes from all the three species, suggesting that most NBS-encoding genes in multi-species gene families are present in the ancestor and retained after the split of the three species (Table 4). Then, the cucumber-melonlineage-specific gene families occupied the second largest proportions, far exceeding to the other types. This is consistent with the fact that cucumber is more similar to melon than to watermelon. Although 16 types of multi-species families were classified in Rosaceae and Cannabis, only 12 types had no more than three families (Table 5). The four main types of gene families are Apple-Mei-Peach-Pear-Strawberry (AMPcPrS, 14), Apple-Mei-Peach-Pear (AMPcPr, 28), Apple-Pear (APr, 37), and Mei-Peach (MPc, 48). The 14 AMPcPrS-type gene families containing 453 genes are relatively conserved and ancient. The average number of genes for 14 families is 11.1 in apple, 5.9 in mei, 6.3 in peach, 6.1 in pear and 3 in strawberry. In these ancient gene families, gene duplication and gene loss events have occurred frequently in these species. Similar results could be inferred from other three types of families. There are 28 AMPcPr-type large families that lack any genes from strawberry and the mean number of genes in each family of the four species ranged from 5.3–17.8, which suggested that these families were produced in the progenitor of the four species but after the divergence from strawberry. The average number of genes per family in apple was always at least 2-fold larger than other species, and the average number in mei and peach was similar. Together with the fact that more than 1000 NBS-encoding genes were found in apple but their sister species, pear, only contained about 600 NBS genes, it is reasonable that large scale of gene duplications have occurred in the apple genome after it is raised up. Additionally, there is a family of Apple -Pear-Strawberry (APrS)-specific, containing 99 members, 49 apple genes, 45 pear genes, and 5 strawberry genes. It indicates that some ancient genes had been lost in mei and peach, and new genes emerged and spread in the progenitors of apple and pear. To estimate and compare the evolutionary characters of genes in different types of families, the average nucleotide divergence was calculated and their selection force was estimated. Families that had fewer than 3 members were excluded from further study. On the whole, the average nucleotide divergence of genes in each species-specific gene family was much lower than in multi-species gene families (Table 4). In species-specific gene families, melon and watermelon-specific genes have lowest nucleotide Figure 2 Phylogenetic tree based on NBS domain of NBS-encoding genes in cucumber, melon and watermelon. Red lines represent TIR genes and black lines represent non-TIR genes. NBS-encoding genes from cucumber, melon and watermelon are shown as light green circles, green circles and brown circles, respectively. The brackets denote species-specific gene clades. Table 2 Numbers of TIR and non-TIR NBS-encoding genes divergence and strawberry and cannabis, which have large number of species-specific gene families, show higher nucleotide divergence. The average nucleotide divergence of multi-species gene families ranged from 0.109 to 0.548. Although all the average values of Ka/Ks <1 were observed, according to the result of PAML, 117 of 154 (76.0%) gene families were detected with significant positive selection sites and about 82.4% species-specific gene families and 72.8% multi-species gene families were significant under a positive selection (P < 0.05). Gene expansions are common in NBS-encoding genes. Here, the phenomenon is also observed in Rosaceae species. It is reported that both tandem and large-scale block duplication contributed to the expansion of this gene group [38]. To check the genome organization of these expanded genes in Rosaceae species, tandem duplicated and segmental duplicated NBS-encoding genes were identified (see Methods for details). The apple genome has not been assembled into chromosomes or large scaffolds but into metacontigs and small scaffolds. Therefore, according to our definitions of tandem duplication, only 34 of 1100 NBS-endoing genes were identified as tandem duplication genes, because most genes in a gene family reside in the different scaffolds. Under the same reason, it is impossible to identify the segmental duplication events in the apple genome. Except the apple genome, we successfully identify the tandem duplication and segmental duplication in other four Rosaceae species. If the definition of physical length for tandem duplication is 100 kb, about 83.6, 73.3, 74.3 and 54.1% of NBS-encoding genes in peach, pear, plum and strawberry were respectively detected in tandem duplicated manners. These values become slight lower (75.8, 65.6, 65.9 and 49.7%, respectively) when 50 kb is used for defining the tandem duplicated genes. Conversely, in peach, pear, plum and strawberry, only 22, 36, 29 and 11 segmentally duplicated blocks with syntenically homoelogous NBS-encoding genes and their flanking genes were detected, containing 22.9, 31.7, 32.6 and 27.5% NBS-encoding genes. These results suggested that tandem duplication, but not segmental duplication, played a Table 3 Analysis of species-specific gene families in Cucurbitaceae and Rosaceae P * P < 0.01; ** <0.05. Table 4 Analysis of multi-species gene families in Cucurbitaceae C: Cucumber; M: Melon; W: Watermelon. P < 0.01; P <0.05. major role in NBS-encoding gene expansion in the four Rosaceae species. Phylogenetic analysis of NBS-encoding genes in Cucurbitaceae and rosacea To analyze the evolutionary relationships of NBS genes in these relatives, three phylogenetic trees were constructed, one cucurbitaceae-specific tree, one tree containing genes from peach, mei and strawberry and an apple-pear tree (Figures 2, Additional file 1: Figure S1, Additional file 2: Figure S2, and Additional file 3: Figure S3). TIR NBS genes and non-TIR NBS genes were clearly separated in all of the three trees. To survey how many NBS genes were produced after each species splitting, the speciesspecific clades were defined if the gene number of speciesspecific genes are larger than 2, the minimum nucleotide similarity >80% and the bootstrap value >50%. These defined clades indicated the genes experienced recent expansion in each species. No cucumber-specific clade was detected in cucurbitaceaespecific tree (Figure 2 and Additional file 1: Figure S1). Except for several clades that contained exactly two cucumber genes each, cucumber genes always clustered with melon genes. Two watermelon-specific clades, each containing three genes, were found and all the three copies were very similar (nucleotide similarity >95%), suggesting that genes in the two clades expanded recently. One large melon-specific clade was found to have eight members, which was the largest species-specific clade in the cucurbitaceae tree. Only 0–13.0% of all the NBS genes in cucurbitaceae were supposed to expand recently, which states that there have been very few duplications of NBS genes Table 5 Analysis of multi-species gene families in Rosaceae A: Apple; M: Mei; Pc: Peach; Pr: Pear; S: Strawberry; C: Cannabis. P < 0.01; *P <0.05. after speciation of cucumber, melon and watermelon. Another 13 clades of single-copy alleles retained gene order in three-way genome comparisons were defined. All the cucumber genes in these clades were found to be closer to melons genes. This was consistent with the genetic relationship among these three species. Outside of these 13 clades, others were present in only one or two genomes, showing presence and absence polymorphism among different species. This low number of species-specific clades in cucurbitaceae tree demonstrated that the three species split not long ago. At the bottom of the cucurbitaceae tree (Figure 2), more than 10 melon NBS genes, including TIR and nonTIR genes, with long branch were found. This and the phenomena that no genes were very similar between cucumber and watermelon, these results indicated that the melon genes were relative ancient and retained from ancestors but lost in cucumber and watermelon. For the phylogenetic tree of peach, mei and strawberry, 8 peachspecific, 15 mei-specific and 26 strawberry-specific clades were defined (Additional file 2: Figure S2). The average member of genes in the three types of clades was 3.4, 3.1, and 4.8. The two largest clades both contained strawberry-specific genes. One had 12 members and the other had 13 genes. Strawberry had more new produced NBS genes. Although strawberry had the lowest number of NBS genes of any of the least in the three genomes, there were many other large strawberry-specific gene clades that showed considerable higher nucleotide divergence. The species-specific gene clades found in applepear tree were much more numerous (Additional file 3: Figure S3). Here, 84 apple-specific clades and 30 pearspecific clades were identified, including 330 (25.3%) and 113 (18.3%) genes, respectively. There were more applespecific clades but they had lower bootstrap values due to the large number of sequences. Apple contained more than twice as many NBS genes as pear. This very strongly indicated that after the split of apple and pear, apple experienced a large gene duplication event. Discussion Small numbers of NBS-encoding genes in Cucurbitaceae Compared with other reported reports, the numbers of cucurbitaceous NBS-encoding genes are relatively small [21]. In the current study, the three cucurbitaceous genomes, cucumber, melon and watermelon only harbor 45-80 NBS-encoding genes (0.19–0.27% of total genes). All the sequenced plant genomes except Carica papaya were found to contain more than 100 NBS-encoding genes [11]. The average percentage of NBS genes among all the genes in surveyed plant genomes ranged from 0.6% to 1.8% [16]. Compared the genome size and the whole genome gene number of the cucurbitaceous species with the other plants, the cucurbitaceous species did not stand out in either genome size or number of genes in the genome. Their lack of NBS-encoding genes is most possibly due to the loss of NBS-encoding genes after their split from other species. To Cucurbitaceae, grape is an outer group species and Rosaceae is a parallel group, whereas all these plants have many more NBS-encoding genes (>300) than Cucurbitaceae. The Cucurbitaceae species are annual herbaceous plants, having short generation time. Herbaceous species are often regarded as faster evolving than woody species. Compared with wood perennial plants, short life history might benefit these annual plants to catch the evolutionary rates of pathogens [37,39,40]. Unlike the perennial species, for instance, the Rosaceae species, few recent gene duplications of R genes are found in Cucurbitaceae. This indicates that few duplication events of NBS genes have happened after speciation of cucumber, melon and watermelon. Whole-genome sequences of cucumber, melon and watermelon revealed that the three genomes are absence of recent whole-genome duplications [29-31]. These duplications are very common in angiosperms and this process provides raw materials for gene genesis. However, the evolutionarily important recent and recurrent wholegenome duplication is absent in the three Cucurbitaceae species. Due to a mass of loss and little duplication of NBS genes, the Cucurbitaceae have very low copy numbers of NBS-encoding genes. It is reported that there is fitness cost of resistance gene [41]. High copy numbers of resistance genes might be not benefit for plants in absence of corresponding pathogens. As a cost, the plants might grow slowly, have low seed productions or taste not good enough. Cucumber, melon and watermelon are all economically important crops and products of human selection. In order to cater to human needs, these cucurbitaceous plants are reserved as what they now look like. Actually, cucumber, melon and watermelon suffer from a range of fungal and viral diseases, such as downy mildew, angular leaf spot, bacterial wilt, and anthracnose. The Cucurbitaceae may have other specific defense mechanisms beyond NBS-encoding genes. One possible mechanism is the lipoxygenase (LOX) genes. The LOX gene family creates the oxidized fatty acid catalyzer and is considered involved in plant defense and pest resistance [42]. Usually, plant LOXs provide front-line defense against pathogens in plant immunity. Recent studies have shown that the LOX gene family in rice plays an important role in blast pathogen infection [43]. It is reported that the LOX gene family has been notably expanded in the cucumber and watermelon genomes [30,31]. This indicates that the expanded LOX gene family may be a complementary or candidate mechanism by which plants to deal with pathogens. However, expansion of the LOX gene family in the melon genome has not been found [29]. The number of NBS genes in melon is larger than in cucumber and watermelon. It is not necessary for melon to produce large number of LOX genes as cucumber and watermelon. The LOX gene family cannot completely replace NBS-encoding genes with respect to disease resistance. Rice, grapevine, poplar and many other plants also have some LOX genes [30], but they still have more than 400 NBS-encoding genes. The reason for the deficient NBS-encoding genes in cucurbitaceous plants needs further study. Expansion of NBS-encoding genes in the apple genome Although Rosaceae has a worldwide range and is thriving, it is subject to many various pathogens, such as the bacterial disease fire blight, and the fungal diseases, rust and powdery mildew. Genome-wide analysis of R genes in Rosaceae revealed that the rose family contained a relatively large number of R genes. Meanwhile, the number of genes and the proportions of R genes in the five surveyed Rosaceae species were not totally identical. According to the species relationships of the five species, peach and mei are similar to each other, pear and apple are more closer and strawberry is relatively more distant to them. Peach and mei have numbers of genes and similar proportions of NBS genes. There are 48 peach-mei lineage gene families, containing 235 genes. It is obvious that these two species have the identical evolutionary patterns in R genes after they split from common ancestor. Among the five species, strawberry is the most different from the others. This is because it is a woodland and herbaceous species with a short generation time while the others are tree species. Strawberry has the fewest R genes of any Rosaceae species, which might owe to the specific characters of strawberry plants, especially the short generation time. Strawberry might rely on their rapid breeding and reproduction to escape from the invading of pathogens. The strawberry genome is the only plant genome sequenced to date with that shows no evidence of whole genome duplication, which is found in all other rosid genomes. This might be the direct reason for the small number of the strawberry genome. A recent whole genome duplication (WGD) event was shared by apple and pear, but peach, mei and strawberry has not undergone recent WGD (Figure 1). It is therefore not strange that the genomes and number of genes of apple and pear are much larger than those of the three relatives. The R gene numbers found in pear and apple are also larger than the other three species. However, the number of R genes found in pear is much lower (2 fold lower) than that of the closely related apple genome. Even though the sequenced genome of apple is larger than that of other plants within the Rosaceae, the relative number of NBS-encoding gene is still highest (2%), which is the largest proportion reported so far in any plant, except bread wheat [44]. Based on the phylogenetic tree of pear and apple, large number of apple-specific clades was found. And the results of classification of gene families show high number of apple-specific gene families while for applepear lineage gene families, the average numbers of gene in apple was 2.3 times higher than that of pear. It can reasonably be inferred that many NBS-encoding genes in the apple genome might be produced after apple-pear differentiation. It has been reported that the WGD events and tandem duplications are responsible for the high number of NBS genes in the apple genome [8,10]. These and the present results suggest that recent WGD might contribute to the expansion of R genes in the common ancestor of apple and pear, resulting in more R genes in Maloideae. After the split between apple and pear, more small-scale duplications have taken place in the apple genomes, leading to a great increase in the number of R genes. It is not clear why so many more R genes were retained in apple because pear and apple are close cousins species and they might have diverged from each other 5.4–21.5 million years ago (MYA). Pear has a cultivation history of 3000 years and domesticated apple appeared around 4000 years ago. Their habitats are also similar. The retention of so many R genes in apple might be the result of selection during domestication. Apple might encounter more diseases than pear, such as some rust. These R genes might be kept as a library to cope with uncertain and unknown pathogens. The real reason for the huge number of R genes in apple requires more materials and evidence. Conclusion This study provides a genomic framework for the identification of NBS-encoding genes in Rosaceae and Cucurbitaceae through comparative genomics. Considerable differences in the copy number of NBS-encoding genes were observed between Cucurbitaceae and Rosaceae species. In Rosaceae species, a large number and a high proportion of NBS-encoding genes were observed in peach (437, 1.52%), mei (475, 1.51%), strawberry (346, 1.05%) and pear (617, 1.44%), and apple (1303, 2.05%). The number of apple NBS genes might be the largest number in all of the reported diploid plants. However, only 45-80 NBS-encoding genes (0.19–0.27%) were identified in Cucurbitaceae. Comprehensive analysis of NBS-encoding genes, including phylogenetic analyses, calculation of nucleotide divergence and estimation of selection forces, indicates that NBS-encoding genes in Rosaceae crops, especially in apple, have undergone extreme expansion and rapid adaptive evolution. This research could contribute to a better understanding of the evolutionary history of NBS-encoding genes in Rosaceae. Methods Sequence retrieval and identification of NBS-encoding genes Nine whole-genome sequenced plants were used in the present study, including three Cucurbitaceae, cucumber (Cucumis sativus, http://www.icugi.org/cgi-bin/ICuGI/ index.cgi, http://csgenome.sggw.pl/, http://phytozome.jgi. doe.gov/pz/portal.html#!info?alias=Org_Csativus), melon (Cucumis melo, https://melonomics.net/files/Genome/) and watermelon (Citrullus lanatus, http://www.icugi.org/cgi-bin/ ICuGI/index.cgi); five Rosaceae, peach (Prunus persica, http://www.rosaceae.org/peach/genome), mei (Prunus mume, http://prunusmumegenome.bjfu.edu.cn/), strawberry (Fragaria vesca, ftp://ftp.jgi-psf.org/pub/compgen/ phytozome/v9.0/Fvesca/), pear (Pyrus bretschneideri Rehd, http://peargenome.njau.edu.cn), and apple (Malus domestica, ftp://ftp.jgi-psf.org/pub/compgen/phytozome/ v9.0/Mdomestica/. Cannabis (Cannabis sativa, http:// www.ncbi.nlm.nih.gov/nuccore/JP449145) served as an outgroup. A three-step process was used to identify the greatest possible number of candidate NBS-encoding genes in the surveyed species. First, the predicted protein sequences in the given annotation data were used. All the candidate genes that presented NB-ARC domains (Pfam: PF00931) from Pfam results (E value cut-off of 10 -4 ) were selected and considered as candidate NBS-encoding genes. Second, to find NBS genes that might be ignored in the intergenic regions, the amino acid sequence of the NB-ARC domain was used as a query to BLASTp against the genome sequences. All BLAST hits, together with flanking regions of 5000 base pairs on both sides, were annotated using the gene-finding programs FGENESH with the training set of the closest species (http://www.softberry.com/). To exclude potentially redundant candidate NBS-encoding genes, all candidate NBS genes were orientated by BLASTn, and sequences located in the same location were eliminated. Last, all non-redundant NBS-encoding genes were surveyed to further confirm whether they encoded NBS or LRR motifs using the Pfam database v23.0 (http://pfam.janelia.org/), SMART protein motif analyses (http://smart.embl-heidel-berg.de/). CC motifs were detected using COILS program with a threshold of 0.9 in the first 200 amino acids (http://www.ch.embnet.org/software/ COILS_form.html). Alignment and analysis of gene families To facilitate calculation of genetic parameters and identify the different characteristics of various genes, all NBS-encoding genes were classified into families based on the sequence similarity >60% and coverage >60%. Multiple alignments of amino acid sequences were performed using ClustalW with default options. The resulting alignments were then used to guide the alignment of nucleotide coding sequences using MEGA 6.0 [45]. For each gene family, the average nucleotide diversity or divergence (π or Dxy) was estimated with the Jukes and Cantor correction using DnaSP v5.0. The number of nonsynonymous substitutions per nonsynonymous site is here denoted by Ka while the number of synonymous substitution per synonymous site is denoted by Ks. The ratio of nonsynonymous to synonymous nucleotide substitutions (Ka/Ks) among paralogs were evaluated using MEGA 6.0 based on the Nei-Gojobori method with Jukes–Cantor correction. Diversifying selection or positive selection was investigated using PAML [46,47]. Models M7 and M8 in program 'codeml' of PAML were run for all gene families with more than two members. Positive selection was confirmed using a likelihood-ratio test by comparing the likelihood calculated using models M8 and M7. Determining tandem duplication genes and segmental duplication genes Tandem duplicated NBS-encoding genes are defined as those closely related genes in the same family falling with 50 kb or 100 kb of one another. To investigate the segmental duplication events containing NBS-encoding genes, all NBS-encoding genes in a gene family were oriented on the chromosomes or scaffolds by using BLASTn. Thirty genes on the same chromosomes or scaffolds, including the NBS-encoding gene and 15 flanking genes on each side, were then compared by pairwise BLAST analysis to identify duplicated genes between two independent segmental blocks. If more than five gene pairs with syntenic relationships (BLAST E-value < 10 -10 ) were detected, the two blocks were defined as segmentally duplicated regions. Phylogenetic analysis of NBS-encoding genes Generally, for NBS-encoding genes, the regions that follow the NBS, such as LRR regions, have high variability and not included for phylogenetic construction. For this reason, only the NBS regions were used to build phylogenetic tree. All proteins of NBS-encoding genes were trimmed to extract the NBS domain sequences according to Pfam results. Then, multiple alignments of these amino acid sequences were performed using ClustalW with a default option. The aligned amino acid sequences were transferred to nucleotide sequences again and used to construct a phylogenetic tree using MEGA 6.0, based on neighbor-joining (NJ) method. A Kimura twoparameter model and the internal node stability were explored with 1000 replicates. Availability of supporting data The phylogenetic data has been deposited in TreeBase (http://purl.org/phylo/treebase/phylows/study/TB2:S17504). Additional files Additional files 1: Figure S1. Phylogenetic tree based on NBS domain of NBS-encoding genes in cucumber, melon and watermelon. Additional files 2: Figure S2. Phylogenetic tree based on NBS domain of NBS-encoding genes in peach, mei and strawberry. Red lines represent TIR genes and black lines represent non-TIR genes. NBS-encoding genes in peach, mei and strawberry are shown as pink circles, purple circles, and dark green circles, respectively. The vertical bars with different colors beside the tree are used to represent species-specific gene clades of three different species. Additional files 3: Figure S3. Phylogenetic tree based on NBS domain of NBS-encoding genes in apple and pear. Red lines represent TIR genes and black lines represent non-TIR genes. Apple NBS genes are shown as red circles and pear NBS genes are shown as green circles. The red brackets and green brackets respectively indicate the apple-specific gene clades and pear-specific gene clades. Additional files 4: Table S1. Exon statistics in TIR and non-TIR NBS-encoding genes. Competing interests The authors declare that they have no competing interests. Authors' contributions SY and XZ designed the study. YJ, YY and YZ contributed extensively to the bioinformatic analyses. YY, SY and XZ wrote the manuscript. SY, YJ and XZ prepared and revised the manuscript. All authors read and approved the final manuscript. Acknowledgements This work was supported by National Natural Science Foundation of China (91331205, J1103512 and J1210026), NSFC of Jiangsu province (BK2011015), Program for Changjiang Scholars and Innovative Research Team in University (IRT_14R27). Received: 6 April 2015 Accepted: 24 April 2015 References 1. Jones JD, Dangl JL. The plant immune system. Nature. 2006;444(7117):323–9. 2. Mcdowell JM, Simon SA. Recent insights into R gene evolution. Mol Plant Pathol. 2006;7(5):437–48. 3. Bent AF, Mackey D. Elicitors, effectors, and R genes: The new paradigm and a lifetime supply of questions. Annu Rev Phytopathol. 2007;45:399–436. 4. Flor HH. Current Status of Gene-for-Gene Concept. Annu Rev Phytopathol. 1971;9:275. +. 5. McHale L, Tan X, Koehl P, Michelmore RW. 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Macbeth Macmillan Readers The Road to Delphi Foul is Fair The Gripping Beast GCOM- APEF READERS MOROCCO UPPER INTERMEDIATE LEVEL READER MACBETH. Audio CDs Jennifer, Hecate, Macbeth, William McKinley, and Me, Elizabeth From the Stage to the White House As I Descended Macbeth Macbeth Mom Doth Murder Sleep That Way Madness Lies Macbeth Shakespeare: The Tragedies The Seven Deadly Sins of London Collected Poems, 1958-1970 Twelfth night マクベス Tempest Drawn in Seven Several Coaches, Through the Seven Several Gates of the City; Bringing the Plague with Them Macbeth: A Critical Reader Penguin Readers Level 1: Macbeth (ELT Graded Reader) A Novel The Life and Afterlife of Oracles Golden Boys Beware King Arthur and the Knights of the Round Table Weyward Macbeth Dominoes: One: Macbeth Shakespeare's Mortal Knowledge The Stratford Zoo Midnight Revue Presents Romeo and Juliet L.A. Movie An Anthology of Criticism Just Macbeth Berryman's Shakespeare The Stratford Zoo Midnight Revue Presents Macbeth Women Reading Shakespeare, 1660-1900 Shakespeare: Macbeth 総語数15,913語 Macbeth Macbeth Macmillan Readers Downloaded from blog.gmercyu.edu by guest DECKER BELTRAN The Road to Delphi Springer In Northern Scotland The Gripping Beast introduces readers to a land full of ancient history and modern day intrigue. Orkney Island was ﬁrst inhabited by the Picts and then the Vikings and the residents now believe that witches live among them. Margot Wadley uses the dramatic background to debut her heroine, Isabel Garth, a young American woman who has come to the island to illustrate her deceased father's notebooks. As soon as Isabel steps oﬀ the ferry she is accosted by a beautiful young woman who warns her to leave. Andrew, a young boy she met on the ferry, proudly announces that the woman, Thora, is a witch. Isabel doesn't know what to think and as she continues her vacation she starts to feel that maybe Thora was right--maybe she is in danger. She is puzzled by the behavior of two men who seem to be following her and by the rash of accidents that are plaguing her. Then, while out sketching one day, Isabel ﬁnds Thora's body-apparently murdered. In a dramatic climax, a life is lost, a life is saved, and the treasure at the root of all the violence disappears forever. Foul is Fair 3 ABDO Publishing Company A history of oracles considers such examples as the oracles at Delphi, preHispanic America, and in numerous works of ﬁction and popular culture, oﬀering insight into humanity's beliefs about signs and astrology while noting the inﬂuence of oracles over civilization. Reprint. 10,000 ﬁrst printing. The Gripping Beast First Second This Guide oﬀers a comprehensiv e survey of the key criticism on Shakespeare's tragedies, from the seventeenth century through to the present day. Introducing essential concepts, themes and debates, and summarising major critical texts, Nicolas Tredell examines how the category of Shakespeare's tragedies has been constructed, contested and changed. GCOM- APEF 4 READERS MOROCCO UPPER INTERMEDIAT E LEVEL READER MACBETH. Picador Australia Memoir about the author's grandfather's 1927 poisoning of his two sons, a deed which was subsequently covered up by his wife and sister. Examines the consequences of her grandfather's crime and ruminates on links with the great cases of the 19th century - in myths, ﬁction and poison lore. Tells of the workings of arsenic, cyanide and strychnine and why it is so hard to poison someone these days. Questions whether it was ever easy. Explores themes of death, deceit and language. Author has published short stories, travel journalism, and writings on medicines and poisons. Audio CDs Minotaur Books The works of William Shakespeare 4 5 5 Lisa - the Just trio, whose madcap exploits have already delighted hundreds of thousands of readers for the last ten years. - Mix them all together to create one of the most hilarious, most dramatic, moving stories of love, Whizz Fizz, witches, murder and madness, from the bestselling and funniest children's author in Australia. As I Descended MacbethGekür zte und bearbeitete Fassung von äMacbethä von William Shakespeare als englischsprac higer Lektüreband (Niveaustufe B2); mit CD und Übungsaufgab en.MacbethMa cbethMacbeth The Stratford Zoo Midnight Revue Presents Macbeth One Day a Dot explores the age-old question: Where did we come from? Where did everything come from? Starting with one tiny dot and continuing through the Big Bang to the rise of human societies, the story of our universe is told in simple and vivid terms. But the biggest question of all cannot be answered: Where did that one dot come from? One Day a Dot is a beautiful and vibrant picture book that uses the visual motif of circles as to guide young readers through the stages of life on Earth. Macbeth Penguin UK 6 Weyward Macbeth, a volume of entirely new essays, provides innovative, interdisciplinar y approaches to the various ways Shakespeare's 'Macbeth' has been adapted and appropriated within the context of American racial constructions. Comprehensiv e in its scope, this collection addresses the enduringly fraught history of 'Macbeth' in the United States, from its appearance as the ﬁrst Shakespearea n play documented in the American colonies to a proposed Hollywood ﬁlm version with a black diasporic cast. Over two dozen contributions explore 'Macbeth's' haunting presence in American drama, poetry, ﬁlm, music, history, politics, acting, and directing — all through the intersections of race and performance. MACMILLAN Comprehensiv ely 7 rediscovers a lost tradition of women's writing on Shakespeare. Macbeth Macmillan International Higher Education Macbeth Mom Doth Murder Sleep Simon and Schuster Macbeth is one of Shakespeare's most performed and studied tragedies. This major new Arden edition oﬀers students detailed onpage commentary notes highlighting meaning and theatrical ideas and themes, as well as a lengthy introduction setting the play in its historical, theatrical and critical context and outlining the recent debates about Middleton's possible coauthorship of some scenes. A comprehensiv e and informative edition ideal for students and teachers seeking to explore the play in depth, whether in the classroom or on the stage. That Way Madness Lies A&C Black Penguin Readers is an ELT graded reader series. Please note that the eBook edition does NOT include access to the audio edition and digital book. Written for learners of English as a foreign language, each title includes carefully adapted text, new illustrations and language learning exercises. Titles include popular classics, exciting contemporary ﬁction, and thoughtprovoking non-ﬁction, introducing language learners to bestselling authors and compelling content. The eight levels of Penguin Readers follow the Common European Framework of Reference for language learning (CEFR). Exercises at the back of each Reader help language learners to practise grammar, vocabulary, and key exam skills. Before, 8 during and after-reading questions test readers' story comprehensio n and develop vocabulary. Macbeth, a Level 1 Reader, is A1 in the CEFR framework. Short sentences contain a maximum of two clauses, introducing the past simple tense and some simple modals, adverbs and gerunds. Illustrations support the text throughout, and many titles at this level are graphic novels. Macbeth meets three witches. They can see into the future. They tell Macbeth, "You are King of Scotland in the future." Are they right? Can Macbeth be king? Visit the Penguin Readers website Register to access online resources including tests, worksheets and answer keys. Exclusively with the print edition, readers can unlock a 9 digital book and audio edition (not available with the eBook). Macbeth Macmillan Gekürzte und bearbeitete Fassung von äMacbethä von William Shakespeare als englischsprac higer Lektüreband (Niveaustufe B2); mit CD und Übungsaufgab en. Shakespeare: The Tragedies Pan Australia Essays, lectures, and letters discuss Shakespeare's background, the early dramas, as well as the more mature plays, their texts, and the sonnets The Seven Deadly Sins of London Manchester University Press Trouble is afoot, and Mom is on the case! Chief Investigator Dave is at the ﬁrst night of the local amateur theatre's production of Macbeth when the curtain is brought down abruptly on a real-life murder. "The show must go on" and does, but the killings do not end, and there is more drama oﬀstage than on for the doomed production before Dave-and (sshh!) Mom--arrive at the bottom of it all. Collected Poems, 1958-1970 Minotaur Books A ﬁctional account of the life of the eleventhcentury Queen Gruadh of Scotland describes how this female descendant of the country's royal line is widowed and forced to wed her husband's murderer, the warlord Macbeth. Twelfth night Broadway Books The Stratford Zoo looks like a normal zoo... until the gates shut at night. That's when the animals come out of their cages to stage elaborate performances of Shakespeare's greatest works. They might not be the most accomplished thespians, but they've got what counts: heart. Also fangs, feathers, scales, and tails, in The 10 Stratford Zoo Midnight Revue Presents Macbeth. Ian Lendler's hilarious tale of after-hours animal stagecraft is perfectly paired with the adorable, accessible artwork of Zack Giallongo (Broxo, Ewoks). And with Romeo and Juliet coming in book two, this is a promising new series of graphic novels for young readers. マクベス HarperCollins A lonely girl discovers a magical world and a new friend when she meets a young witch on Halloween. Tempest Bloomsbury Publishing From the acclaimed author of Lies We Tell Ourselves, Robin Talley, comes a Shakespeareinspired story of revenge and redemption, where fair is foul, and foul is fair. Maria Lyon and Lily Boiten are their school's ultimate power couple—but one thing stands 11 between them and their perfect future: campus superstar Delilah Dufrey. Golden child Delilah is a legend at exclusive Acheron Academy, and the presumptive winner of the distinguished Cawdor Kingsley Prize. But Delilah doesn't know that Lily and Maria are willing to do anything—abs olutely anything—to unseat Delilah for the scholarship. After all, it would lock in Maria's attendance at Stanford—and assure her and Lily four more years in a shared dorm room. Together, Maria and Lily harness the dark power long rumored to be present on the former plantation that houses their school. But when feuds turn to fatalities, and madness begins to blur the distinction between what's real and what's imagined, the girls must attempt to put a stop to the chilling series of events they've accidentally set in motion. Related with Macbeth Macmillan Readers: * Slope Field Generator With Solution Curve : click here 12
SCM9B-A1000 and SCM9B-A2000 SERIES CONVERTER BOXES USERS MANUAL REVISED: 07-26-18 DATAFORTH CORPORATION 3331 EAST HEMISPHERE LOOP TUCSON, AZ 85706 TELEPHONE: 520-741-1404 The information in this publication has been carefully checked and is believed to be accurate; however, no responsibility is assumed for possible inaccuracies or omissions. Applications information in this manual is intended as suggestions for possible use of the products and not as explicit performance in a specific application. Specifications may be subject to change without notice. GENERAL DESCRIPTION The SCM9B-A1000 and SCM9B-A2000 series converter boxes convert RS-232 communications signal levels to the correct electrical signals required by RS-485. The RS-485 communications standard is recommended when many DATAFORTH modules, or other addressable devices, must be connected to a host computer over long distances. The SCM9B-A1000 and SCM9B-A2000 converters allow communications bus lengths up to 4,000 feet and baud rates up to 115K baud using one twisted pair of wires. The RS-485 communications standard is half-duplex, therefore data can be transmitted in only one direction at a time. The SCM9B-A1000 and SCM9B-A2000 automatically control the bus direction without external handshaking signals from the host. Therefore, host software written for RS-232 may be used without modification. RS-485 bus control is completely transparent to the user. The SCM9B-A1000 and SCM9B-A2000 can also operate as RS-485 repeaters. Repeaters are required to extend communications bus lengths or allow more than 32 RS-485 devices to be connected to a communications bus. A repeater simply reamplifies, or boosts, existing RS-485 signals transmitted over long distances. The SCM9B-A1000 converter boxes are powered by either 115Vac or 230Vac and contain an internal +24-volt 1A power supply for powering DATAFORTH modules. The SCM9B-A1000 power supply is protected against overloads and short circuits. The internal power supply may be used to power accessory circuits such as relays or 4-20mA transmitters. The SCM9B-A2000 converter boxes operate on a wide range of power supply input voltage:+10 to +30Vdc unregulated. SPECIFICATIONS NRZ asynchronous data format; 1 start bit, 7 data bits, 1 parity bit and 1 stop bit. Max Common Mode Voltage: 1500Vrms, 1 minute duration. Baud Rates: 300, 600, 1200, 2400, 4800, 9600, 19200, 38400, 57600, 115200. Relative Humidity: 0 - 95% Noncondensing. Temperature Range: Operating and Storage: -25 to +70°C Ambient. SCM9B-A1000 Power Specifications Power Consumption: 30W Full Load. Power Requirements: 115 or 230 Vac ±10%, 50-60 Hz. Power Supply Output: +24Vdc @ 1A. Power Requirements: +10 to +30Vdc unregulated. SCM9B-A2000 Power Specifications Power Consumption (@+15Vdc): Max. Current w/RS-485 output Idle Current w/LEDs off, less than 10mA. short,100mA. MECHANICAL AND DIMENSIONS Weight: 2.8 lbs.(SCM9B-A1000), 1.0 lb.(SCM9B-A2000). Dimensions: 8.08"W x 2.50"H x 6.25"D (SCM9B-A1000). 7.06"W x 1.53"H x 5.30"D (SCM9B-A2000). RS-485 Connectors: Phoenix screw terminal barrier plug (supplied). Replace with Phoenix MSTB 2.5/4 ST 5.08 or equivalent. Warranty: 3 years on workmanship and materials. Case: Impact resistant ABS. CONNECTIONS The SCM9B-A1000 and SCM9B-A2000 have three connectors located on the rear panel, two RS-485 connectors and one RS-232 connector. The RS-485 connectors are 4 position screw-terminal plugs labelled RS485 IN and RS-485 OUT. The RS-232 input connector is a female subminiature DB-9 connector labelled RS-232 IN. The functional description of each terminal is labelled directly above the connector on the rear panel. The RS-485 descriptions are all preceded by letters which correspond to the color coded wires used in standard telephone cable: (B) Black, (R) Red, (G) Green and (Y) Yellow. All DATAFORTH hardware using RS-485 contains this color coded nomenclature. Figures 1A & 1B show the rear panel connections for the SCM9B-A1000 & SCM9BA2000. SCM9B-A1000/2000 RS-232 DB-9 CONNECTOR The SCM9B-A1000 and SCM9B-A2000 contain a female DB-9 connector normally used with modems or other Data Communications Equipment (DCE). This connector should be connected to a host computer, or controller, when converting RS-232 signals to RS-485. The Transmit, Receive and Ground signal lines are all that is required for proper RS-232-to-RS-485 operation. The remaining RS-232 flow control signals Carrier Detect (CD), Data Set Ready (DSR) and Clear to Send (CTS) are internally biased to their ACTIVE, or high, using 330 Ohm resistors connected to +10Vdc. The RS-232 connector pinout is listed below. The RS-232 connector is left open when the SCM9B-A1000 or SCM9BA2000 is used as an RS-485 Repeater. The only connections normally required for proper SCM9B-A1000 operation are pins 2, 3 and 5 of the DB-9 connector. DB-9 to DB-25 adapters can be made using the connections below. 5 7 SCM9B-A1000/2000 RS-485 IN CONNECTOR The SCM9B-A1000 and SCM9B-A2000 converters contain a four-pin screw-terminal plug labelled RS-485 IN. This connector is considered the HOST input when using the SCM9B-A1000 or SCM9B-A2000 as a RS485 repeater. An RS-485 repeater is necessary to extend the length of an RS-485 network, or connect more than 32 RS-485 devices on an RS485 network. The RS-485 IN data lines should be attached to the end of an existing RS-485 network. The serial data received on the RS-485 IN data lines will be reamplified and retransmitted on to the RS-485 OUT connector data lines. This connector is left open when the SCM9B-A1000 or SCM9B-A2000 is used as an RS-232-to-RS-485 converter. SCM9B-A1000/2000 RS-485 OUT CONNECTOR The SCM9B-A1000 and SCM9B-A2000 converters contain a four-pin screw terminal plug labelled RS-485 OUT. This connector is the RS-485 output for the SCM9B-A1000 and SCM9B-A2000 when used as either a converter or repeater. BAUD RATE The SCM9B-A1000 and SCM9B-A2000 series converters each contain a 10-position DIP switch located on the rear panel. The DIP switch is used to select the correct communications baud rate and must be set to the same value as the devices connected to the RS-485 OUT connector. Only one baud rate switch may be turned on at one time. LEDS The SCM9B-A1000 contains three status LEDs labelled FAULT, POWER and TRANSMIT located on the converter front panel. The SCM9B-A2000 contains two status LEDs labelled PWR and TX located on the converter rear panel. The status indicators are useful while troubleshooting suspected system faults and provide visual status indication during normal system operation. The SCM9B-A2000 converter LEDs may be disabled internally. Low power applications, typically powered by batteries or solar panels, can benefit significantly by disabling the status LEDs. The SCM9B-A2000 power consumption may be reduced by up to 50% with the LEDs disabled. To disable the status LEDs, remove the SCM9B-A2000 top cover and locate the 3-pin strip on the PC board directly behind the LEDs. Lift the jumper bar from the pin strip and place it over the two pins located closest to 'LEDS OFF' written on the PC board. The POWER (SCM9B-A1000) and PWR (SCM9B-A2000) LEDs are pilot lights that indicate adequate power supply voltage is applied to the converter. The TRANSMIT (SCM9B-A1000) and TX (SCM9B-A2000) LEDs illuminate as data is transmitted from a host computer onto the RS-485 communications bus. The illumination intensity will vary and may become hard to detect as the baud rate increases. The SCM9B-A1000 FAULT LED will illuminate if excessive current is being drawn from the internal +24Vdc one amp power supply. RS-485 TERMINATIONS The proper termination techniques for any RS-485 system require two biasing resistors and two termination resistors. There must be one pull-up resistor between the DATA+ line and +5Vdc on each RS-485 network. There should also be a pull-down resistor from the DATA- line to ground. These two resistors are the biasing resistors and are normally positioned at the HOST end of the cable. The RS-485 standard also requires two resistors across the data lines for proper termination. Two 220 Ω resistors should be placed across the data lines DATA+ and DATA-. The resistors should be placed at each end of the RS-485 cable. Please refer to Figure 2 for a typical RS-485 system application. The SCM9B-A1000 and SCM9B-A2000 each contain the biasing and termination resistors necessary to interface any equipment on an RS-485 network. These resistors are switch-selectable making it easier to interface the SCM9B-A1000 and SCM9B-A2000 to other pieces of equipment that may or may not contain the biasing and/or termination resistors. SCM9B-A1000 RS-485 TERMINATIONS Each SCM9B-A1000 contains internal RS-485 termination and biasing resistors for proper termination of a RS-485 system. The resistors are enabled or disabled via two 3-position DIP switches located on the SCM9B-A1000 rear panel. One three-position switch enables termination resistors for the RS-485 IN (HOST) data lines and the other switch enables termination of the RS-485 OUT data lines. The threepositioned DIP switches are located to the left of each RS-485 connector on the SCM9B-A1000 backpanel. The three positioned switches are used to enable or disable a 1KΩ pull-up between +5Vdc and the DATA+ line, a 1KΩ pull-down resistor between the DATA- line and ground or a 220 Ω termination resistor between the DATA+ and DATA- lines. Each switch is labelled +1K, -1K and 220. Set the appropriate switch to the "up" position to enable a resistor. NOTE: The RS-485 IN +1K and -1K switches should be "up" when the SCM9B-A1000 is used as a RS-232/RS-485 converter. SCM9B-A2000 RS-485 TERMINATIONS Proper biasing and termination resistors in the SCM9B-A2000 may be enabled by using the internal jumpers contained in the SCM9B-A2000. Figure 3 shows the location of the jumpers on the SCM9B-A2000 printed circuit board. The jumpers are shown in the factory setting to enable a resistor, insert a jumper into the jack position adjacent to the resistor nomenclature written on the SCM9B-A2000 printed circuit board. NOTE: The RS-485 IN +1K and -1K jumpers should be installed when the SCM9B-A2000 is used as a RS-232/RS-485 converter. FACTORY RS-485 TERMINATION SETTINGS SCM9B-A1000: 300 BAUD, +1K, -1K on RS-485 IN & RS-485 OUT connectors enabled, all other switches off. SCM9B-A2000: 300 BAUD, +1K, -1K, on RS-485 IN & RS-485 OUT enabled via internal jumpers, all other termination jumpers disabled.
Clinical Policy: Bendamustine (Belrapzo, Bendeka, Treanda, Vivimusta) Effective Date: 02.01.17 Last Review Date: 11.22 Line of Business: Commercial, HIM, Medicaid Reference Number: CP.PHAR.307 Coding Implications Revision Log See Important Reminder at the end of this policy for important regulatory and legal information. Description ____________ Bendamustine hydrochloride (Belrapzo ® , Bendeka ® , Treanda ® , Vivimusta ™ ) is an alkylating drug. For Health Insurance Marketplace (HIM), if request is through pharmacy benefit, generic bendamustine is nonformulary and should not be approved using these criteria; refer to the formulary exception policy, HIM.PA.103. FDA Approved Indication(s) * Chronic lymphocytic leukemia (CLL). Efficacy relative to first line therapies other than chlorambucil has not been established. Belrapzo, Bendeka, Treanda, and Vivimusta are indicated for the treatment of patients with: * Indolent B-cell non-Hodgkin lymphoma (NHL) that has progressed during or within six months of treatment with rituximab or a rituximab-containing regimen. Policy/Criteria Provider must submit documentation (such as office chart notes and lab results or other clinical information) supporting that member has met all approval criteria. It is the policy of health plans affiliated with Centene Corporation ® that Belrapzo, Bendeka, Treanda, and Vivimusta are medically necessary when the following criteria are met: I. Initial Approval Criteria 1. Diagnosis of chronic lymphocytic leukemia (CLL) (i.e., small lymphocytic lymphoma [SLL]); A. Chronic Lymphocytic Leukemia/Small Lymphocytic Lymphoma(must meet all): 2. Prescribed by or in consultation with an oncologist or hematologist; 4. Prescribed in combination with rituximab, Arzerra ® , or Gazyva ® 3. Age ≥ 18 years; 5. Request meets one of the following (a or b):* ; a. Dose does not exceed 100 mg/m 2 on Days 1 and 2 of a 28-day cycle, up to 6 cycles; Prescribed regimen must be FDA-approved or recommended by NCCN b. Dose is supported by practice guidelines or peer-reviewed literature for the relevant off-label use (prescriber must submit supporting evidence). Approval duration: HIM – 6 months (refer to HIM.PA.103 for generic bendamustine if pharmacy benefit) Commercial/Medicaid –6 months B. Non-Hodgkin B-Cell Lymphomas (must meet all): a. Indolent B-cell non-Hodgkin lymphoma that has progressed during or within six months of treatment with rituximab or a rituximab-containing regimen; 1. One of the following diagnoses (a through k): b. Follicular lymphoma; d. Nongastric MALT lymphoma; c. Gastric MALT lymphoma; e. Nodal marginal zone lymphoma; g. Mantle cell lymphoma; f. Splenic marginal zone lymphoma; h. Diffuse large B-cell lymphoma (DLBCL) (as subsequent therapy); j. Monomorphic post-transplant lymphoproliferative disorder (PTLD) (B-cell type) (as subsequent therapy);* i. AIDS-related B-cell lymphoma (as subsequent therapy);* k. High-grade B-cell lymphomas: not otherwise specified or with translocations of MYC and BCL2 and/or BCL6 (double/triple hit lymphoma) (as subsequent therapy);* 2. Prescribed by or in consultation with an oncologist or hematologist; See Appendix B - prior authorization may be required for prior therapies 3. Age ≥ 18 years; 5. For mantle cell lymphoma, prescribed in combination with rituximab; 4. For nodal/splenic marginal zone lymphoma or gastric/nongastric MALT lymphoma, prescribed in combination with rituximab or Gazyva; 6. Request meets one of the following (a or b):* b. Dose is supported by practice guidelines or peer-reviewed literature for the relevant off-label use (prescriber must submit supporting evidence). a. Dose does not exceed 120 mg/m 2 on Days 1 and 2 of a 21-day cycle, up to 8 cycles; Prescribed regimen must be FDA-approved or recommended by NCCN Commercial/Medicaid – 6 months Approval duration: HIM – 6 months (refer to HIM.PA.103 for generic bendamustine if pharmacy benefit) C. NCCN Recommended Uses (off-label) (must meet all): a. Classic or nodular lymphocyte-predominant Hodgkin lymphoma (HL) (as subsequent therapy); 1. Diagnosis of one of the following (a, b, c, d, e, f, or g): b. Pediatric HL (as re-induction or subsequent therapy);* d. T-cell lymphomas (i, ii, iii, or iv): c. Multiple myeloma (MM); i. Hepatosplenic T-cell lymphoma (HSTCL) (as subsequent therapy);* iii. Peripheral T-cell lymphoma (PTCL) (as subsequent therapy): relapsed/refractory ALCL, peripheral T-cell lymphoma not otherwise specified, angioimmunoblastic T-cell lymphoma, enteropathy-associated Tcell lymphoma, monomorphic epitheliotropic intestinal T-cell lymphoma, ii. Adult T-cell leukemia/lymphoma (ATLL) (as subsequent therapy); CLINICAL POLICY Bendamustine nodal peripheral T-cell lymphoma with T-follicular helper (TFH) phenotype, or follicular T-cell lymphoma; e. Waldenstrom's macroglobulinemia (i.e., lymphoplasmacytic lymphoma); iv. Breast implant-associated ALCL (as subsequent therapy);* f. Systemic light chain amyloidosis (SLCA) in combination with dexamethasone (as subsequent therapy);* See Appendix B - prior authorization may be required for prior therapies g. Hematopoietic cell transplantation in combination with etoposide, cytarabine, and melphalan for NHL without central nervous system (CNS) disease or for HL; 2. Prescribed by or in consultation with an oncologist or hematologist; 4. Dose is within FDA maximum limit for any FDA-approved indication or is supported by practice guidelines or peer-reviewed literature for the relevant off-label use (prescriber must submit supporting evidence). 3. Age ≥ 18 years, unless diagnosis is pediatric HL; Prescribed regimen must be FDA-approved or recommended by NCCN Commercial/Medicaid – 6 months Approval duration: HIM – 6 months (refer to HIM.PA.103 for generic bendamustine if pharmacy benefit) D. Other diagnoses/indications (must meet 1 or 2): a. For drugs on the formulary (commercial, health insurance marketplace) or PDL (Medicaid), the no coverage criteria policy for the relevant line of business: CP.CPA.190 for commercial, HIM.PA.33 for health insurance marketplace, and CP.PMN.255 for Medicaid; or 1. If this drug has recently (within the last 6 months) undergone a label change (e.g., newly approved indication, age expansion, new dosing regimen) that is not yet reflected in this policy, refer to one of the following policies (a or b): b. For drugs NOT on the formulary (commercial, health insurance marketplace) or PDL (Medicaid), the non-formulary policy for the relevant line of business: CP.CPA.190 for commercial, HIM.PA.103 for health insurance marketplace, and CP.PMN.16 for Medicaid; or 2. If the requested use (e.g., diagnosis, age, dosing regimen) is NOT specifically listed under section III (Diagnoses/Indications for which coverage is NOT authorized) AND criterion 1 above does not apply, refer to the off-label use policy for the relevant line of business: CP.CPA.09 for commercial, HIM.PA.154 for health insurance marketplace, and CP.PMN.53 for Medicaid. II. Continued Therapy 1. Currently receiving medication via Centene benefit, or documentation supports that member is currently receiving Belrapzo, Bendeka, Treanda, or Vivimusta for a covered indication and has received this medication for at least 30 days; A. All Indications in Section I (must meet all): 2. Member is responding positively to therapy; a. New dose does not exceed (i or ii): 3. If request is for a dose increase, request meets (a or b): i. CLL/SLL: 100 mg/m 2 on Days 1 and 2 of a 28-day cycle, up to 6 cycles; ii. Non-Hodgkin indolent B-cell lymphoma: 120 mg/m 2 on Days 1 and 2 of a 21day cycle, up to 8 cycles; Prescribed regimen must be FDA-approved or recommended by NCCN b. New dose is supported by practice guidelines or peer-reviewed literature for the relevant off-label use (prescriber must submit supporting evidence). Approval duration: HIM – 12 months (refer to HIM.PA.103 for generic bendamustine if pharmacy benefit) Commercial/Medicaid – 12 months B. Other diagnoses/indications (must meet 1 or 2): a. For drugs on the formulary (commercial, health insurance marketplace) or PDL (Medicaid), the no coverage criteria policy for the relevant line of business: CP.CPA.190 for commercial, HIM.PA.33 for health insurance marketplace, and CP.PMN.255 for Medicaid; or 1. If this drug has recently (within the last 6 months) undergone a label change (e.g., newly approved indication, age expansion, new dosing regimen) that is not yet reflected in this policy, refer to one of the following policies (a or b): b. For drugs NOT on the formulary (commercial, health insurance marketplace) or PDL (Medicaid), the non-formulary policy for the relevant line of business: CP.CPA.190 for commercial, HIM.PA.103 for health insurance marketplace, and CP.PMN.16 for Medicaid; or 2. If the requested use (e.g., diagnosis, age, dosing regimen) is NOT specifically listed under section III (Diagnoses/Indications for which coverage is NOT authorized) AND criterion 1 above does not apply, refer to the off-label use policy for the relevant line of business: CP.CPA.09 for commercial, HIM.PA.154 for health insurance marketplace, and CP.PMN.53 for Medicaid. III.Diagnoses/Indications for which coverage is NOT authorized: A. Non-FDA approved indications, which are not addressed in this policy, unless there is sufficient documentation of efficacy and safety according to the off label use policies – CP.CPA.09 for commercial, HIM.PA.154 for health insurance marketplace, and CP.PMN.53 for Medicaid, or evidence of coverage documents. IV. Appendices/General Information ALCL: anaplastic large cell lymphoma Appendix A: Abbreviation/Acronym Key ATLL: adult T-cell leukemia/lymphoma CNS: central nervous system CLL: chronic lymphocytic leukemia DLBCL: diffuse large B-cell lymphoma HL: Hodgkin lymphoma FDA: Food and Drug Administration HSTCL: hepatosplenic gamma-delta Tcell lymphoma MF: mycosis fungoides Page NCCN: National Comprehensive Cancer Network NHL: non-Hodgkin lymphoma PTCL: peripheral T-cell lymphoma PTLD: post-transplant lymphoproliferative disorder SLCA: systemic light chain amyloidosis SLL: small lymphocytic lymphoma SS: Sezary syndrome MM: multiple myeloma 4of5 Appendix B: Therapeutic Alternatives \| Drug Name \| \| Dosing Regimen \| \| Dose Limit/ \| \|---\|---\|---\|---\|---\| \| \| \| \| \| Maximum \| \| \| \| \| \| Dose \| \| \| Examples of primary therapies (NCCN) \| \| \| \| \| \| DLBCL \| \| \| \| \| RCHOP (Rituxan® [rituximab], cyclophosphamide, doxorubicin, vincristine, prednisone) \| \| Varies \| Varies \| \| \| EPOCH (etoposide, prednisone, vincristine, cyclophosphamide, doxorubicin) + Rituxan® (rituximab) \| \| Varies \| Varies \| \| \| \| AIDS-related B-cell lymphoma \| \| \| \| \| EPOCH (etoposide, prednisone, vincristine, cyclophosphamide, doxorubicin) + Rituxan® (rituximab) \| \| Varies \| Varies \| \| \| CHOP (cyclophosphamide, doxorubicin, vincristine, prednisone) + Rituxan® (rituximab) \| \| Varies \| Varies \| \| \| \| PTCL \| \| \| \| \| CHOP (cyclophosphamide, doxorubicin, vincristine, prednisone) \| \| Varies \| Varies \| \| \| EPOCH (etoposide, prednisone, vincristine, cyclophosphamide, doxorubicin) \| \| Varies \| Varies \| \| \| \| ATLL \| \| \| \| \| CHOP (cyclophosphamide, doxorubicin, vincristine, prednisone) \| \| Varies \| Varies \| \| \| HyperCVAD (cyclophosphamide, vincristine, doxorubicin, dexamethasone) alternating with high-dose methotrexate and cytarabine \| \| Varies \| Varies \| \| \| \| HSTCL \| \| \| \| \| DHAP (dexamethasone, cisplatin, cytarabine) \| \| Varies \| Varies \| \| \| ICE (ifosfamide, carboplatin, etoposide) \| \| Varies \| Varies \| \| \| \| MM \| \| \| \| \| Bortezomib/liposomal doxorubicin/dexamethasone \| \| Varies \| Varies \| \| \| Carfilzomib/lenalidomide/dexamethasone \| \| Varies \| Varies \| \| \| Daratumumab/bortezomib /dexamethasone \| \| Varies \| Varies \| \| \| \| Monomorphic PTLD (B-cell type) \| \| \| \| \| RCHOP (Rituxan® [rituximab], cyclophosphamide, doxorubicin, vincristine, prednisone) \| \| Varies \| Varies \| \| This table provides a listing of preferred alternative therapy recommended in the approval criteria. The drugs listed here may not be a formulary agent for all relevant lines of business and may require prior authorization. \| Drug Name \| \| Dosing Regimen \| \| Dose Limit/ \| \|---\|---\|---\|---\|---\| \| \| \| \| \| Maximum \| \| \| \| \| \| Dose \| \| \| SLCA \| \| \| \| \| Daratumumab and hyaluronidase- fihj/bortezomib/cyclophosphamide/dexamethasone \| \| Varies \| Varies \| \| Therapeutic alternatives are listed as Brand name ® (generic) when the drug is available by brand name only and generic (Brand name ® ) when the drug is available by both brand and generic. Appendix C: Contraindications/Boxed Warnings o Belrapzo, Bendeka: patients with a history of a hypersensitivity reaction to bendamustine, polyethylene glycol 400, propylene glycol, or monothioglycerol Contraindication(s): o Treanda: patients with a history of a hypersensitivity reaction to bendamustine * Boxed warning(s): none reported o Vivimusta: patients with a history of a hypersensitivity reaction to bendamustine, polyethylene glycol 400, dehydrated alcohol, or monothioglycerol V. Dosage and Administration Non-Hodgkin lymphomas \| \| Indication \| \| Dosing Regimen \| Maximum Dose \| \|---\|---\|---\|---\|---\| \| CLL/SLL \| \| Bendeka: 100 mg/m2 IV over 10 minutes on Days 1 and 2 of a 28-day cycle, up to 6 cycles Belrapzo, Treanda: 100 mg/m2 IV over 30 minutes on days 1 and 2 of a 28-day cycle, up to 6 cycles Vivimusta: 100 mg/m2 IV over 20 minutes on Days 1 and 2 of a 28-day cycle, up to 6 cycles \| \| \| \| Indolent B-cell lymphoma* \| \| Bendeka: 120 mg/m2 IV over 10 minutes on Days 1 and 2 of a 21-day cycle, up to 8 cycles Belrapzo, Treanda: 120 mg/m2 IV over 60 minutes on days 1 and 2 of a 21-day cycle, up to 8 cycles Vivimusta: 120 mg/m2 IV over 20 minutes on Days 1 and 2 of a 21-day cycle, up to 8 cycles \| \| \| VI. Product Availability \| Bendamustine (Belrapzo, Bendeka, Vivimusta) \| Solution (multiple-dose vial): 100 mg/4 mL \| \|---\|---\| \| Bendamustine (Treanda) \| Solution (single-dose vial): 45 mg/0.5 mL; 180 mg/2 mL Lyophilized powder (single-dose vial): 25 mg in a 20 mL vial; 100 mg in a 20 mL vial \| Drug Name Availability VII. References 2. Bendeka Prescribing Information. North Wales, PA: Teva Pharmaceuticals USA, Inc.; October 2021. Available at: http://www.bendeka.com/. Accessed June 24, 2022. 1. Belrapzo Prescribing Information. Woodcliff Lake, NJ: Eagle Pharmaceuticals, Inc; June 2022. Available at: www.belrapzo.com. Accessed June 24, 2022. 3. Treanda Prescribing Information. North Wales, PA: Teva Pharmaceuticals USA, Inc.; June 2021. Available at: http://treandahcp.com/. Accessed June 24, 2022. 5. National Comprehensive Cancer Network Drugs and Biologics Compendium. Available at: http://www.nccn.org/professionals/drug_compendium. Accessed June 24, 2022. 4. Vivimusta Prescribing Information. Princeton, NJ: Slayback Pharma; December 2022. Available at: https://www.accessdata.fda.gov/drugsatfda_docs/label/2022/212209s000lbl.pdf. Accessed December 27, 2022. 6. National Comprehensive Cancer Network. Chronic Lymphocytic Leukemia/Small Lymphocytic Lymphoma Version 3.2022. Available at: https://www.nccn.org/professionals/physician_gls/pdf/cll.pdf. Accessed June 24, 2022. 8. National Comprehensive Cancer Network. Hodgkin Lymphoma Version 2.2022. Available at: https://www.nccn.org/professionals/physician_gls/pdf/hodgkins.pdf. Accessed June 24, 2022. 7. National Comprehensive Cancer Network. B-cell Lymphomas Version 4.2022. Available at: https://www.nccn.org/professionals/physician_gls/pdf/b-cell.pdf. Accessed June 24, 2022. 9. National Comprehensive Cancer Network. Multiple Myeloma Version 5.2022. Available at: https://www.nccn.org/professionals/physician_gls/pdf/myeloma.pdf. Accessed June 24, 2022. 11. National Comprehensive Cancer Network. Waldenstrom Macroglobulinemia/Lymphoplasmacytic Lymphoma Version 3.2022. Available at: https://www.nccn.org/professionals/physician_gls/pdf/waldenstroms.pdf. Accessed June 24, 2022. 10. National Comprehensive Cancer Network. T-cell Lymphomas Version 2.2022. Available at: https://www.nccn.org/professionals/physician_gls/pdf/t-cell.pdf. Accessed June 24, 2022. Coding Implications Codes referenced in this clinical policy are for informational purposes only. Inclusion or exclusion of any codes does not guarantee coverage. Providers should reference the most up-todate sources of professional coding guidance prior to the submission of claims for reimbursement of covered services. Reviews, Revisions, and Approvals Date P&T \| Age and dosing added Safety information removed. NCCN recommended uses added separately. Removed HCPCS code for bevacizumab. Removed ICD-10-CM codes. \| 09.05.17 \| 11.17 \| \|---\|---\|---\| \| 4Q 2018 annual review: HIM-Medical Benefit added; summarized NCCN and FDA-approved uses for improved clarity; added age requirement and specialist involvement in care; added PTLD (category 2A recommendation) as a covered indication per NCCN compendium; updated continued therapy section to include language for continuity of care; references reviewed and updated. \| 07.17.18 \| 11.18 \| \| Added Commercial line of business to policy. \| 10.08.19 \| \| \| 4Q 2019 annual review: added HIM* line of business for Treanda based on formulary status; added additional therapeutic alternatives to Appendix B with NCCN category 1: MM; added hepatosplenic gamma-delta T-cell lymphoma to non-Hodgkin T- cell lymphomas (off-label) uses and related therapeutic alternatives to Appendix B; references reviewed and updated. \| 08.14.19 \| 11.19 \| \| 4Q 2020 annual review: HIM-Medical Benefit line of business removed; off-label criteria sets combined into one - additional criteria limited to subsequent therapy requirement; appendix B prior therapy examples truncated; references reviewed and updated. \| 08.11.20 \| 11.20 \| \| 4Q 2021 annual review: added Belrapzo; per NCCN category 2A recommendations: added requirements for combination use for CLL, MALT lymphoma, and marginal zone lymphoma; clarified types of PTCLs; removed gamma delta requirement from HSTCL; added off-label indications of breast-implant ALCL, nodular lymphocyte-predominant HL, pediatric HL, and high- grade B-cell lymphomas; for off-label indications, revised age requirement to allow bypass if diagnosis is pediatric HL; references to HIM.PHAR.21 revised to HIM.PA.154; references reviewed and updated. \| 06.28.21 \| 11.21 \| \| 4Q 2022 annual review: added SLCA and hematopoietic cell transplantation under NCCN recommended use given category 2A recommendation; removed primary cutaneous lymphomas as use is no longer supported by NCCN primary cutaneous lymphoma guideline; references reviewed and updated. Template changes applied to other diagnoses/indications. \| 06.24.22 \| 11.22 \| \| RT4: added new dosage form Vivimusta; removed reference to HIM.PA.103 formulary exception policy for Belrapzo and Bendeka as these brands require PA on at least one HIM state formulary (FL). \| 12.28.22 \| \| Important Reminder This clinical policy has been developed by appropriately experienced and licensed health care professionals based on a review and consideration of currently available generally accepted standards of medical practice; peer-reviewed medical literature; government agency/program approval status; evidence-based guidelines and positions of leading national health professional organizations; views of physicians practicing in relevant clinical areas affected by this clinical policy; and other available clinical information. The Health Plan makes no representations and accepts no liability with respect to the content of any external information used or relied upon in developing this clinical policy. This clinical policy is consistent with standards of medical practice current at the time that this clinical policy was approved. "Health Plan" means a health plan that has adopted this clinical policy and that is operated or administered, in whole or in part, by Centene Management Company, LLC, or any of such health plan's affiliates, as applicable. The purpose of this clinical policy is to provide a guide to medical necessity, which is a component of the guidelines used to assist in making coverage decisions and administering benefits. It does not constitute a contract or guarantee regarding payment or results. Coverage decisions and the administration of benefits are subject to all terms, conditions, exclusions and limitations of the coverage documents (e.g., evidence of coverage, certificate of coverage, policy, contract of insurance, etc.), as well as to state and federal requirements and applicable Health Plan-level administrative policies and procedures. This clinical policy is effective as of the date determined by the Health Plan. The date of posting may not be the effective date of this clinical policy. This clinical policy may be subject to applicable legal and regulatory requirements relating to provider notification. If there is a discrepancy between the effective date of this clinical policy and any applicable legal or regulatory requirement, the requirements of law and regulation shall govern. The Health Plan retains the right to change, amend or withdraw this clinical policy, and additional clinical policies may be developed and adopted as needed, at any time. This clinical policy does not constitute medical advice, medical treatment or medical care. It is not intended to dictate to providers how to practice medicine. Providers are expected to exercise professional medical judgment in providing the most appropriate care, and are solely responsible for the medical advice and treatment of members. This clinical policy is not intended to recommend treatment for members. Members should consult with their treating physician in connection with diagnosis and treatment decisions. Providers referred to in this clinical policy are independent contractors who exercise independent judgment and over whom the Health Plan has no control or right of control. Providers are not agents or employees of the Health Plan. This clinical policy is the property of the Health Plan. Unauthorized copying, use, and distribution of this clinical policy or any information contained herein are strictly prohibited. Providers, members and their representatives are bound to the terms and conditions expressed herein through the terms of their contracts. Where no such contract exists, providers, members Page9of10 and their representatives agree to be bound by such terms and conditions by providing services to members and/or submitting claims for payment for such services. Note: For Medicaid members, when state Medicaid coverage provisions conflict with the coverage provisions in this clinical policy, state Medicaid coverage provisions take precedence. Please refer to the state Medicaid manual for any coverage provisions pertaining to this clinical policy. ©2017 Centene Corporation. All rights reserved. All materials are exclusively owned by Centene Corporation and are protected by United States copyright law and international copyright law. No part of this publication may be reproduced, copied, modified, distributed, displayed, stored in a retrieval system, transmitted in any form or by any means, or otherwise published without the prior written permission of Centene Corporation. You may not alter or remove any trademark, copyright or other notice contained herein. Centene ® and Centene Corporation ® are registered trademarks exclusively owned by Centene Corporation. Page10of10
December 22, 2021 The Honorable Pete Buttigieg Secretary U.S. Department of Transportation 1200 New Jersey Avenue SE Washington, D.C. 20590 Re: Returning to a Ban on Bulk LNG by Rail PHMSA-2021-0058 (HM-264A) Dear Secretary Buttigieg, The undersigned organizations write to urge the Department of Transportation to rescind the Trump-era regulation allowing the transportation of liquefied natural gas (LNG) by rail (the "LNG-by-rail rule"). 1 The transportation of LNG by rail endangers communities and accelerates the climate crisis. Continuing to permit LNG by rail across the country would undermine the Biden Administration's commitment to environmental justice and the dramatic reduction of greenhouse gas emissions, particularly methane. While we are grateful for the Department's recent proposal to suspend the LNG-by-rail rule, 2 we remain concerned that any replacement rule may still provide for the transportation of LNG by rail in some form. To protect our communities from lethal fires and explosions and from the ravages of climate change, the LNG-by-rail rule should be rescinded; further, the transportation of bulk LNG by rail should be banned. We wish to raise two points in this letter. First, the transportation of LNG by rail endangers communities and heats the planet. Second, the Biden Administration should rescind the LNG-by-rail rule and restore a categorical prohibition on this dangerous practice. I. The Transportation of LNG by Rail Endangers Communities and Heats the Planet A. LNG by Rail Endangers Communities LNG is highly flammable and explosive—as a consequence, transporting LNG by rail can expose fence-line communities to uncontrollable fires and devastating explosions. LNG fires 1 "Hazardous Materials: Liquefied Natural Gas by Rail," Final Rule, 85 Fed. Reg. 44,994 (July 24, 2020). 2 "Hazardous Materials: Suspension of HMR Amendments Authorizing Transportation of Liquefied Natural Gas by Rail," Notice of Proposed Rulemaking, 86 Fed. Reg. 61,731 (Nov. 8, 2021). are hotter and burn more rapidly than fires caused by oil or gasoline. 3 And once ignited, LNG fires are extremely difficult to control—emergency responders can only extinguish "very small" LNG fires. 4 In most cases, LNG fires continue until they consume all the available gas—which, for a fire burning a rail car's worth of LNG, could amount to thousands of gallons of burned gas. 5 If LNG does not immediately ignite after leaking from its container, it can pool in lowlying areas like sewers or ditches, causing fires up to 1.5 miles away from the source of release and second degree burns in people located up to 0.4 miles away from the fire. 6 If not ignited, these LNG pools can warm from their liquid state into harmful, flammable vapor, 7 aggregating into low-lying flammable clouds that spread even farther than the vapor clouds formed by other hydrocarbons like oil, 8 which makes it more likely that a cloud composed of gas will reach an ignition source. 9 Fires involving LNG can also lead to boiling liquid expanding vapor explosions or "BLEVEs," which occur when an LNG container such as a tank car is heated to the point of rupturing. When the pressure of the container is released, LNG can rapidly reach its boiling point and expand to gas form, which can cause a fireball, create a blast wave, and shoot shrapnel from the broken LNG container. 10 A fireball created by spilled LNG can cause second degree burns in people located 0.14 miles away from the fireball. 11 LNG spills are dangerous to human health and the environment even if they do not result in fires or explosions. LNG vapor clouds can displace breathable air and asphyxiate people trapped within them. 12 In addition, LNG is stored at extremely cold temperatures to keep it in a 3 Rail Transportation of Liquefied Natural Gas: Safety and Regulation, CONGRESSIONAL RESEARCH SERVICE (July 28, 2020), https://fas.org/sgp/crs/misc/R46414.pdf, at 2. 5 Id. 4 Id. 6 NATIONAL ACADEMY OF SCIENCES, ENGINEERING, AND MEDICINE, PREPARING FOR LNG BY RAIL TANK CAR: A REVIEW OF A U.S. DOT SAFETY RESEARCH, TESTING, AND ANALYSIS INITIATIVE 30 (2021) (available at https://www.regulations.gov/document/PHMSA-2021-0058-0001). LNG pool fires are so intense that they are difficult to manage even in testing scenarios. An example of this can be seen in the use of liquefied petroleum gas (LPG) to simulate LNG pool fires during tests of portable tanks. An LNG fire would have burned 2-3 times hotter than the simulated fire. Id. 8 Id. at 19. 7 Id. 9 Id. at 28-29. 11 It is important to note that estimates of the heat flux emitted by a fireball during the Trump-era rulemaking were likely conservative. The National Academies of Sciences, Engineering, and Medicine recommends that future tests employ a heat flux twice the level used during the initial tests. NATIONAL ACADEMY OF SCIENCES, ENGINEERING, AND MEDICINE, PREPARING FOR LNG BY RAIL TANK CAR: A REVIEW OF A U.S. DOT SAFETY RESEARCH, TESTING, AND ANALYSIS INITIATIVE 19 (2021), https://www.regulations.gov/document/PHMSA-2021-0058-0001. 10 What You Should Know About Liquefied Natural Gas and Rail Cars, EARTHJUSTICE (Mar. 17, 2021), https://earthjustice.org/features/liquefied-natural-gas-lng-by-rail-tanker-car. 12 Rail Transportation of Liquefied Natural Gas, supra note 3, at 2. Since LNG must be stored at -260℉, it is a cryogenic liquid with the associated safety risks. See Berkeley College of Chemistry, Section 7: Safe Handling of Cryogenic Liquids, in Health & Safety Manual, Univ. of Cal. Berkeley (2021), https://chemistry.berkeley.edu/research-safety/manual/section-7/cryogenic-liquids. liquid state, so direct contact with LNG causes frostbite or freeze burns that can result in tissue damage in people, animals, and plants. 13 The transportation of LNG by rail also raises environmental justice concerns. 14 Communities located near potential rail routes are disproportionally environmental justice communities, 15 and under the LNG-by-rail rule, the burden of tracking and opposing LNG transport now falls to them. Since the LNG-by-rail rule eliminates notice and comment requirements that would have otherwise accompanied every instance of LNG transportation by rail, and given the misleading marketing efforts that describe LNG as a safe and clean energy source, many communities could remain unaware of the risks posed by these trains. 16 Moreover, environmental justice communities face additional economic and social challenges that preclude focusing time and resources investigating and opposing LNG transport by rail near their neighborhoods. As a result, these communities may be unable to protect themselves from the threat of LNG by rail absent a categorical prohibition of this activity. B. LNG by Rail Heats Our Planet As you are well aware, LNG is primarily composed of methane, which is the second most prevalent greenhouse gas after carbon dioxide and responsible for about half of the 1.1 degree temperature rise since the 1850s. 17 Methane is 80 times more potent than carbon dioxide over a 20-year horizon and 28 times more potent over a 100-year horizon. 18 During the production and transportation of LNG, methane is flared or vented from wells and processing facilities into the atmosphere. 19 Overall, the greenhouse gas emissions produced from the extraction, transport, and re-gasification of LNG can be equivalent to the emissions from the burning of the gas itself. 20 13 Id. 15 Id. 14 Low-income communities of color are frequently at greatest risk of experiencing the health and safety consequences posed by train travel. See, e.g., Decrease Port, Train, and Truck Pollution, NRDC (last visited Nov. 19, 2021), https://www.nrdc.org/issues/decrease-port-train-and-truck-pollution (explaining that pollution from trains, among other modes of transport, "increase regional smog and creates toxic hot spots, particularly in lowincome communities of color."); New Study: Philly's Minority Communities at Greatest Risk from Oil Trains, PENNENVIRONMENT (Feb. 16, 2016), https://pennenvironment.org/news/pae/new-study-philly%E2%80%99sminority-communities-greatest-risk-oil-trains (finding that "people of color in Philadelphia are more likely to live in the possible oil train blast zone"). 16 See Stefanie Herweck, Straight Talk, Not Sales Pitch, About LNG Dangers, SIERRA CLUB (Aug. 26, 2016), https://www.sierraclub.org/texas/blog/2016/08/straight-talk-not-sales-pitch-about-lng-dangers (describing companies spreading the message to communities surrounding a proposed export terminal that LNG is safe). 17 More Countries Join Global Pledge to Cut Methane Emissions, SCIENTIFIC AMERICAN (Oct. 12, 2021), https://www.scientificamerican.com/article/more-countries-join-global-pledge-to-cut-methane-emissions/. 19 Flaring refers to a controlled burn of natural gas, while venting is the release of natural gas directly into the atmosphere. Pennsylvania Natural Gas Flaring and Venting Regulations, OFFICE OF OIL & NATURAL GAS, U.S. DEP'T OF ENERGY, https://www.energy.gov/sites/prod/files/2019/08/f66/Pennsylvania.pdf (last updated May 2019). 18 Overview of Greenhouse Gases, UNITED STATES ENVIRONMENTAL PROTECTION AGENCY (last updated Jul. 27, 2021), https://www.epa.gov/ghgemissions/overview-greenhouse-gases#methane. 20 Christina Swanson & Amanda Levin, Natural Resources Defense Council, Sailing to Nowhere: Liquefied Natural Gas is Not an Effective Climate Strategy, at 4 (Dec. 2020), https://www.nrdc.org/sites/default/files/sailing-nowhereliquefied-natural-gas-report.pdf. When combined with the emissions produced from the use of LNG at its destination, as well as methane leakage during the export process, the planet heating potential of LNG is just as dangerous as the other fossil fuels LNG seeks to replace. 21 If fracked LNG exports increase as projected, the LNG industry alone will generate 130 to 213 million metric tons of new GHG emissions in the United States by 2030, equal to the annual emissions of 28 to 45 million fossil fuel-powered cars—enough to reverse the one percent per year decline in total U.S. GHG emissions measured during the past decade. 22 Furthermore, permitting increased LNG production and use in the coming decades would render the Biden Administration's goals of achieving net-zero GHG emissions by 2050 and limiting global warming to 1.5 degrees Celsius nearly impossible. 23 In light of the high global warming potential of methane, the Biden administration has pledged to slash methane emissions. 24 As climate envoy John Kerry has noted, cutting methane emissions is "the single fastest strategy that we have to keep a safer, 1.5-degree Centigrade future within reach." 25 Closing the floodgates of LNG transportation by rail before it begins is not just important but necessary to achieve this goal. II. The Department of Transportation Can Reverse This Trump-Era Rule Before It Takes Effect A. Despite the Clear Harms Associated with LNG by Rail, the Trump Administration Took Steps to Expand This Activity The shipment of LNG by rail is a relatively new practice—prior to the LNG-by-rail rule, PHMSA and the Federal Railroad Administration agreed that the shipment of LNG by rail was too dangerous to categorically approve. Instead, the transportation of LNG by rail required a PHMSA special permit or approval from the Federal Railroad Administration for the shipment of LNG in a special portable tank. 26 21 Id. 23 Id.; see also Fact Sheet: President Biden Sets 2030 Greenhouse Gas Pollution Reduction Target Aimed at Creating Good-Paying Union Jobs and Securing U.S. Leadership on Clean Energy Technologies, THE WHITE HOUSE (Apr. 22, 2021), https://www.whitehouse.gov/briefing-room/statements-releases/2021/04/22/fact-sheetpresident-biden-sets-2030-greenhouse-gas-pollution-reduction-target-aimed-at-creating-good-paying-union-jobsand-securing-u-s-leadership-on-clean-energy-technologies/. 22 Swanson & Levin, supra note 20, at 14. 24 Lisa Friedman, More than 30 countries join U.S. pledge to slash methane emissions, NYTIMES (Oct. 11, 2021), https://www.nytimes.com/2021/10/11/climate/methane-global-climate.html. 25 26 LNG-by-Rail Rule, HARVARD LAW SCHOOL ENVIRONMENTAL & ENERGY LAW PROGRAM (January 22, 2021), https://eelp.law.harvard.edu/2021/01/lng-by-rail-rule/. Id. In 2019, following the Trump Administration's mandate by Executive Order, PHMSA proposed a rule allowing for the bulk transportation of LNG by rail. 27 In public comments, the National Transportation Safety Board—an independent federal agency charged with investigating transportation-related accidents and issuing safety recommendations to transportation agencies—concluded that the rule proposed by PHMSA "would be detrimental to public safety." 28 Nonetheless, PHMSA issued the final rule allowing for bulk transportation of LNG by rail. 29 After the LNG-by-rail rule was promulgated, twelve states and a coalition of environmental groups challenged the rule in court. 30 The Department of Transportation recently asked the D.C. Circuit to hold this case in abeyance pending PHMSA review of the rule, and the court granted this motion. 31 B. The Department Now Has an Opportunity to Rescind the Rule In early 2021, the Biden Administration issued an executive order directing the Department to review the LNG-by-rail rule. 32 Shortly thereafter, PHMSA announced that it was suspending authorization of the LNG-by-rail rule, 33 and that PHMSA would amend the rule after consulting with experts and reviewing new research. 34 In November 2021, PHMSA issued notice of a proposed rulemaking to suspend the Trump-era rule until the completion of a new rulemaking to modify the LNG-by-rail rule or June 30, 2024, whichever comes first. 35 This proposed rule acknowledges that uncertainty regarding the safety and environmental risk of LNG transport by rail has not only continued but increased since the LNG-by-rail rule was promulgated in 2019. 36 27 See Executive Office of the President, "Promoting Energy Infrastructure and Economic Growth," Exec. Order No. 13868, 84 Fed. Reg. 15495 (Apr. 10, 2019); U.S. Dep't of Transp., "Hazardous Materials: Liquefied Natural Gas by Rail," Notice of Proposed Rulemaking, 84 Fed. Reg. 59694 (Oct. 24, 2019). 29 See U.S. Dep't of Transp., "Hazardous Materials: Liquefied Natural Gas by Rail," Final Rule, 85 Fed. Reg. 44994, 45011 (July 24, 2020). 28 See Public Comment from Robert L. Sumwalt III, Chairman, National Transportation Safety Board, Re: Docket No. PHMSA-2018-0025 (HM-264) (Dec. 5, 2019). 30 Maryland v. U.S. Dep't of Transp., No. 20-1318 (D.C. Cir., complaint filed Aug. 18, 2020). 32 Executive Office of the President, "Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis," Exec. Order No. 13990, 86 Fed. Reg. 7037 (January 20, 2021). 31 Sierra Club v. U.S. Dep't of Transp., No. 20-1317, Doc No. 1886940 (D.C. Cir., motion to hold in abeyance filed Feb. 24, 2021 and granted Mar. 16, 2021) (this case has been consolidated with Maryland v. U.S. Dep't of Transportation, cited supra at footnote 30). 33 Hazardous Materials: Suspension of HMR Amendments Authorizing Transportation of Liquefied Natural Gas by Rail, 2137-AF55 (proposed Nov. 2021) (to be codified at 49 C.F.R. 172, 173, 174, 179, 180). 35 U.S. Dep't of Transp., "Hazardous Materials: Suspension of HMR Amendments Authorizing Transportation of Liquefied Natural Gas by Rail," Notice of Proposed Rulemaking, 86 Fed. Reg. 61731 (Nov. 8, 2021). 34 Hazardous Materials: Improving the Safety of Transporting Liquefied Natural Gas, 2137-AF54 (to be proposed Apr. 2022) (to be codified at 49 C.F.R. 172, 173, 174, 179, 180). 36 Id. at 86 Fed. Reg. 61735. Conclusion The transportation of LNG by rail is disastrous for the health and safety of fence-line communities, especially environmental justice communities. The transportation of LNG by rail also escalates the climate crisis. We respectfully urge the Department and PHMSA to conclude their evaluation of an alternative LNG-by-rail rule by permanently rescinding the Trump-era LNG-by-rail rule and categorically banning the bulk transport of LNG by rail. The safety of our communities and the future of our planet demand it. Sincerely, Susan Penner Liaison, Legislative Working Group 1000 Grandmothers for Future Generations Drew Hudson Founder 198 Methods Micah Walker Parkin Executive Director 350 Colorado Patricia Hine President 350 Eugene Carolyn C. Barthel Executive Committee Member 350 Mass Renate Heurich Co-Founder 350 New Orleans Selden Prentice Federal Policy Lead 350 Seattle David Perk Leadership Team 350 Seattle Daniel Villa Volunteer 350 Tacoma Jackie Weisberg 350 Brooklyn Jeanne Jordan Action Together Gloucester County Chair Action Together New Jersey Sarah Stewart President Animals Are Sentient Beings, Inc. Marcia Lehman Executive Board Member, Treasurer Beaver County Marcellus Awareness Community (BCMAC) Karen Feridun Founder Berks Gas Truth Mark Hefflinger Esteban Arenas-Pino Communications and Digital Director Bold Alliance Edil Sepulveda Co-Founder and Spokesperson Boricuas Unidos en la Diáspora (BUDPR) Rebecca Roter Chairperson Breathe Easy Susquehanna County Sharon Furlong Spokesperson Bucks Environmental Action Wes Gillingham Associate Director Catskill Mountainkeeper Sid Madison Member Central Jersey Coalition Against Endless War Linda R. Powell Outreach Coordinator Central Jersey Environmental Defenders Amelia Hummel Member Citizens Acting for Rail Safety - Twin Cities Joe Minott Executive Director and Chief Counsel Clean Air Council Eric Benson NJ Campaigns Director Clean Water Action Policy Associate Climate Justice Alliance Ken Dolsky Organizer Coalition Against Pilgrim Pipeline - NJ Hayley Rhiannon Jones VT and NJ State Director Community Action Works B. Arrindell Director Damascus Citizens for Sustainability Tracy Carluccio Deputy Director Delaware Riverkeeper Network Ken Dolsky Co-Leader Don't Gas the Meadowlands Coalition Mary F. Gutierrez Director Earth Action, Inc. Federico Cintron Moscoso Program Director El Puente John Rumpler Senior Director, Clean Water for America Campaign and Senior Attorney Environment America Alison L. Steele Executive Director Environmental Health Project Sarah Randolph Naomi Yoder Chair Escambia County Democratic Environmental Caucus of Florida Eva Welchman Artistic Director Eva Dean Dance Adam Carlesco Staff Attorney Food & Water Watch Julia Walsh Director Frack Action Shannon Smith Interim Executive Director FracTracker Alliance Leatra J. Harper Managing Director FreshWater Accountability Project Marcie Keever Oceans and Vessels Program Director Friends of the Earth Zorka Milin Senior Advisor Global Witness Fletcher Harper Executive Director GreenFaith Andrea Marpillero-Colomina Clean Transportation + Energy Lead GreenLatinos Staff Scientist Healthy Gulf Dr. F. Taylor Coordinator Hilton Head for Peace Linda Hood Team Leader, Indivisible Tacoma Legislative Action Team Indivisible Tacoma Ann Pinca President Lebanon Pipeline Awareness John Weisheit Conservation Director Living Rivers & Colorado Riverkeeper Cheryl Nenn Riverkeeper Milwaukee Riverkeeper Hunter Lovins President Natural Capitalism Solutions Sahana Rao Project Attorney Natural Resources Defense Council Silvia Solaun Executive Director & Founder New Jersey Forest Watch Carol Gay President NJ State Industrial Union Council Jill McManus Event Coordinator NYC Grassroots Alliance Barbara Jarmoska President Project CoffeeHouse Event Coordinator NYC Grassroots Alliance Sally Jane Gellert Member Occupy Bergen County Courtney Vail Campaign Director Oceanic Preservation Society Lorne Stockman Research Director Oil Change International Jim Black Director Partnership for Sustainability Fermin Morales Member Philly Boricuas Tammy Murphy Medical Advocacy Director Physicians for Social Responsibility Pennsylvania Dianna Cohen CEO and Co-Founder Plastic Pollution Coalition Donna Pitt Coordinator Preserve Giles County Catherine Hunt Coordinator, NJ Chapter Progressive Democrats of America President Project CoffeeHouse Diana G. Dakey Facilitator Protect Northern PA Sean Dixon Executive Director Puget Soundkeeper Alliance Glenn Olcerst Co-Founder & General Counsel Rail Pollution Protection Pittsburgh (RP3) Ron Kaminkow General Secretary Railroad Workers United Bill Schultz Riverkeeper Raritan Riverkeeper Mark Lichty CEO Resolution Media Fund Robert Cross President Responsible Drilling Alliance Kim Ross Executive Director ReThink Energy Florida Kim A. Fraczek Director Sane Energy Project Sharon Osika-Michales Core Member Shaleshock CNY Grace Nichols Solidarity Coordinator Save the Pine Bush Ann S. Horan Member Shaleshock CNY Sharon Osika-Michales Core Member Shaleshock CNY Charles Varni STOP Climate Change Campaign Coordinator SLO Surfrider Chapter Bill Moyer Executive Director Solutionary Rail Jennifer Nielsen Co-Chair Climate Committee SOMA Action Stanley Petrowski President/Director Sotuh Umpqua Rural Community Partnership Matt Krogh U.S. Oil & Gas Campaign Director Stand.earth Linda Reik Board of Directors, Member Sullivan Alliance for Sustainable Development Jean Tepperman Co-Coordinator Sunflower Alliance Matt Gove Mid-Atlantic Policy Manager Surfrider Foundation Yangbo Du Managing Director Sustainable Development Investment Finance Partnership of New York David Whiteside Executive Director Tennessee Riverkeeper Robin Schneider Executive Director Texas Campaign for the Environment Jackie Nuñez Founder The Last Plastic Straw Joanie Steinhaus Gulf Program Director Turtle Island Restoration Network Daniel E. Estrin General Counsel and Advocacy Director Waterkeeper Alliance Caleb Merendino Co-Executive Director Waterway Advocates Emily Keel Steering Committee Member Women’s International League for Peace and Freedom of the Triangle, NC
Full Episode Transcript With Your Host Tobi Fairley You are listening to The Design You Podcast with Tobi Fairley, episode number 60. 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 there friends. I am so happy you're here today because I want to talk to you about something that I literally work on every day of my life. And it may not be what you think. It's digital marketing. And you may be thinking, "Boy, Tobi, you have a super boring life if you think about digital marketing every day," and that may be true. But what I really love to think about is making money, and I love being an entrepreneur, and I have shifted to a lot more of my business being online. An online business model, but scalable. You know, that makes me money while I sleep. And that happens by marketing primarily online, digitally. And it was the biggest game-changer I've made in my business in the last 10 years when I shifted to this way of working just a few years ago. So how did it change things, you ask? Well, prior to that time, to make money, I spent a lot of time traveling. Traveling to out of town design projects, traveling for speaking engagements, traveling to teach in-person courses and mastermind events, and traveling for work sounds really glamorous, but it's hard when you're operating a traditional business model where you aren't at work when you're traveling. Because when you're not there in that kind of business model, you're not making any money really. And yes, technically, the travel is work, but you can't really work while you're traveling to work. Even when you're doing the work thing that you're traveling for, it's usually not making you that much money. And so you can't bring your whole office with you, you can't bring everything you need with you, so it's really an either-or situation when you don't have an online business. You either travel or you do all the stuff that needs to be done at the office, but you can't do them both at the same time with that type of business. Now, I love to travel when I can do it for fun and with my family, but traveling for work, it's a whole other thing. And it's okay occasionally, but doing it multiple times a month is exhausting because there's always twice as much work waiting for you when you get back, and really, twice as much to do before you even leave. And it's just not very efficient or effective for running a business, especially if you're operating an old, outdated business model. One that's broken, really. Because when you're never in the office, it's really hard to work on the business, and that kind of work is often even more important than working in your business, if you know what I mean. So creating an online business where I can work on all facets of my work; interior design, coaching designers and creatives, creating content like podcasts and blogs and more all right from my desk at home, or my laptop where I happen to be, that is totally different. And there's no need for me to attend speaking engagements or events unless I just really want to, for me to reach my potential audience, because I can meet them right from my computer. And frankly, if I do want to travel, I can take them with me just by bringing my laptop, or my phone even, or my iPad because wherever I am, my business is now there with me when I want it to be. Now, this approach really increased the quality of my life in so many ways, and it drastically changed my profits. That's one of the best parts. Because all of that marketing and promotion and following up with interested people that I always had to do before meant that I had to find time to get around to it, and it happened to be very manual and sending out individual emails or calling people on the phone or trying to meet people in person. There was nothing automated about it. And the number of leads that were coming my way at that time were pretty small because I just really didn't have the time or energy to put into it. But when I shifted to an automated way of marketing digitally online, the number of leads per customers and clients and all parts of my business literally exploded. And the best part was my leads didn't die with my good intentions anymore. You know, the good intentions were always going to take time to call somebody or check in with them or text them or email them, but I was always just too tired. Well, that didn't happen anymore because it's always running in the background because we've set up a digital marketing system and yeah, it takes some attention from some of us, but it can be happening in an automated way without me literally typing an email or getting on the phone and connecting with a potential client, and that was a huge, huge game-changer, time-changer, money-maker, all the stuff that I was looking for. I can't even tell you how much it changed my life. It also made me more available for my family when I am home, which is so fulfilling. Because in the past when I would travel, then when I got home, there was so much to do that I always heard myself saying, "Mommy has to work, or I can't go to this thing, or I wish I could," and that didn't happen anymore because everything keeps going no matter where I am. And I have teams of people and contract employees and software and other stuff that's making things happen and that means that there's so much more time for me to not miss out anymore on the good stuff, on my priorities that I have for the other parts of my life besides business. So I'm not always ignoring those or putting those on the backburner because I'm busy catching up on work or manually trying to contact and convert clients 24/7 anymore because that is the absolute slow boat to success, I'm here to tell you. And a lot of you have tried it. And some of you didn't even try because you're like, I don't even know, that's just too much time. The online business with digital marketing means having the freedom to have more time off work and creating more balance while making more money than ever, if you do it right. I mean, there are people not doing it right and not setting it up right, and it's really not turning into anything. And you have to work hard, let's be clear. It's not like you can just have nothing of value to give to the world. You got to have valuable products and services to start. But when you do, when we take that for granted, that's a given. Check the box. Yeah, I'm super valuable. Getting the message out into the world, to your audience, connecting with the people that really want what you're selling, that is where it really changes. Because you're meeting clients where they are, including with digital assets like things they can download and print off and learn from, or things that you can sell like courses. The opportunities are endless once you take your business online. It's so cool because you can create something once and sell it many times to people right where they are. And guess what, people don't want to leave where they are. They don't want to come to you, so why not go to them, and that's been so much fun. And the best part of this is that your cash flow can become balanced as you wait for your ideal clients who are going to come and really trickle all the way down through your sales funnels to your highest in services. Those people that you're waiting on, you can keep waiting on them and wait for the right people to really be a fit for those services because you got other things that are happening and selling that are really bridging that gap for you financially while you really wait and you're choosey about who you want to work with. That really is probably the best part because we know that those really ideal clients for our top-level premium services, they're fewer and farther between, right? There's so many more people that just need some help or some guidance or some information, but if you're an interior designer or a creative like me, you probably haven't ever been offering anything that was a fit for all of those people. You were just waiting around like I was for the phone to ring at that tippy-top part of your service ladder. Really that premium high-end service. That's not very fun. That is stressful when you are trying to run a business and a life waiting for your ideal clients to show up. So it's just, as I've said, so game changing. It's a huge business shift, really that ends what I call and we all call - those of you who know this term - feast or famine in our bank accounts. It's either a whole bunch of clients at once that you really don't even have time to take care of and do it well, or there's none and it's like, crickets chirping and your bank account is like an empty well that you hear yourself echo in. There's nothing in there, right? And that's what it used to look like in the past for me, before I started creating these other services and these other things to sell initially, but even that was hard because I was trying to convert them one-on-one. And then when I started using the internet in the way I do now, wow, totally and completely different. Because guess what, before if I wasn't doing a design project personally at any given time, or I wasn't traveling to teach a live class personally, me in person, then I wasn't really getting paid. But by creating things online where I can have classes and courses and programs and all kinds of cool stuff for people to buy, which by the way, it's super fun to create this stuff, now that I'm into it, it's not scary and it's so cool and I totally geek out on all the cool stuff I can create because I know how many people I can help with it all. But now that I've done that and I have all those options for people to buy, and really, I've created video and audio and all sorts of methods of people consuming my content and if I wanted to be and if I get in front of enough people, it can actually be delivered to hundreds or thousands or actually, it could be delivered to millions of people in an ongoing way without me having to be there to teach something live every single time, now that is a whole other level of game changing. That is when what I call financial freedom and time freedom, my two main goals, that's when those started to actually look like a possibility. And it's been so fun to achieve higher levels of financial and time freedom, and I'm just getting started. I now know all of these exciting things that I'm going to do and create and be, and really truly as they say, the possibilities are endless. So, why am I telling all of you this? Well today, what I really want to do is I want to talk to you about this some more, about what digital marketing really is, besides what I've told you so far, what an online business really could look like, and why you should consider this option. And here's what I want to do real quick. I want to stop for just a second because I know there are going to be a lot of you listening that are either in interior design and you have been for a long time, or even if you're new, you have a vision of what it's supposed to look like. Or if you're in another creative industry, you're feeling the same way about your industry. You're like, "That's not how my business works, that's doesn't apply to me, Tobi, because I am a" - fill in the blank. Whatever you are that you believe about yourself. I'm in a one-to-one service business, high-end interior design business, or really any other number of things that make you believe you're the exception instead of the rule, as far as whether digital marketing and scalable products and all of that stuff could work for you, well, I want you to know that you're not the exception. You're really not the exception. And we all want to think we're special, and you are special, and I'm so happy you're here. You're special just because you're here, taking your time to listen to me and I thank you so much. But in the grand scheme of things in businesses, we're not special. None of us are special. We're not exceptions. So any time we hear ourselves thinking that we're an exception, I want us to check in and say, "Yeah, Tobi said I'm not." Because that is only your brain's way of holding you back from doing something new and uncomfortable. And even if you never ever, ever intend to have all of those cool types of online products that I was just talking about that can make you a lot of money while you sleep and I mean, seriously, who doesn't want money while they sleep? But even if you never did any of that, I want you to know this; you absolutely in 2019 and in 2020 and in 2021 and in all the years past that, you absolutely need digital marketing for your business even if you're not going to have those online business offerings or products because your customers are online. There are literally thousands of businesses including people who only work one-on-one, and those who are in very high-end industries, even like the financial industry, where people spend tens of thousands of dollars in services with them and those people are having extreme success with digital marketing once they see what the possibilities are, and they can really get their head around the results that they can get. And when that happens, when they start to see it, they can get really on board with it. And a lot of times, those people that start with us some type of digital marketing, when they start to see the results and the reach and the opportunities that are created by the internet and Facebook ads and retargeting customers and all the cool things that you can do, then they even get on board with scalable services and product offerings. So I'm just saying, you're not the exception. I promise you're not. And I'm just asking you to try this new way of doing business because you just might get really excited about it, once you really start to believe that it can actually work. And that's really where I am. So I just want you to just open your mind about the possibilities. And I do realize that maybe you believe you are the exception, and that's a mindset thing, and if you have a mindset that it's not going to work for you, then you're going to be right. So if you're in a place mentally where you're thinking, "Tobi, I really need to create additional revenue streams, I've got to have something to make my cash flow more consistent and to get rid of the ups and downs, the feast or famine nature of my business, but that online stuff, that's just not for me." I want you to think hard about that. So when you're saying, Tobi, just help me find way more of my ideal, perfect - what I call idealized client. The ones who let me spend thousands and thousands of dollars and they really understand my creative vision and they'll just get out of the way and they'll trust me to do the whole kit and caboodle and then they're just so happy afterwards, I just want more of those people. And guess what, I'd absolutely love to give you an entire business full of those people, but that's what's called waving the magic wand or finding the place where the unicorns live. Seriously. Because we're never going to have a business full of those people. Maybe a handful of people are, depending on where you live, and you might. But that is the exception and not the rule. And here's the thing about those clients anyway. They're amazing, and they do exist. I've had some. Most of you, a lot of you have had some, but when we get one of them or even a few of them, I mean, it's super fun, right? And those people, they're 20% maybe, of our business. And just those 20% bring in 80% of our revenues a lot of times, and we get that whole thing, it's called Pareto's law. The 80/20 rule. So we just have 20% of our customers that are going to be bringing in 80% of the revenues. And I understand that. And sure, we can do some things to attract more of them and by the way, it's through digital marketing and clarifying your message, believe it or not, but I just want you to see that we will never have a business that is made up of 100% of those people. We just said they're the 20%, right? The 20% of our business. And here's another thing about that 20% that's really important. Big projects with big budgets, which trust me, I love them too, they're super fun. They allow us to bask in our creativity and get a taste of success, but delivering those projects often comes with long hours and for interior designers like me, they come with a lot of procurement or purchasing. Purchasing furniture, so procurement related headaches. And they really can rob us of the time we need to really prime our pipeline for the next client. Even another one like them, which means we have all these gaps in between projects. That's the famine part, that plunges there into that famine phase of the cycle where we're feeling desperate and waiting for that next big client, but because of the nature of these big jobs, kind of don't have another option because they're all encompassing. When we have a handful of those, we literally do not have time to be out marketing, to be out trying to network and get the next client. At least not in the old-fashioned way. So sure, this new digital way of working does seem foreign to a lot of us, especially when you start thinking about selling a service or some kind of a course or something online, and yeah, it's super uncomfortable. And it's easy to want to believe that it doesn't apply to us because we'd rather just think of business as usual being finding and signing more of those high-end clients, those unicorns. And of course, we all want that. We all want to be working with million-dollar budgets, and things that we consider long-term projects, and really that dream situation. But here is the most important part of that. What I call the hard truth. Only 1% of Americans have annual household incomes over $421,926. Only 1%. So think of your best most lucrative clients, or if you've never gotten one, think about what they would be like. Those unicorns, those dreamy ideal or idealized clients that many of us are looking for. If they're to qualify for the dreamy budgets that we really want to work in, their incomes have to be well over the $421,926 mark a year, right? I The Design You Podcast with Tobi Fairley mean, I know how much my husband and I make, and I'm my own interior designer. I didn't even have to pay for me. We make a lot of money. But we spend a lot of money to live. We all have houses and cars and private schools for our kids and we want to go on vacations, and so you got to have way more than a $400,000 a year income to be qualifying for the level of interior design that we're all wishing we could be working in. So what does that mean? Well, it means we're all scrambling to sign people not from just the 1%, but the tippy-top of the 1%. And when we do land one of those unicorn clients, as I lovingly call them, we are continuing to toil away in those procurement nightmares, not just selling our ideas. Heck, a lot of us don't even really charge for our ideas the way we should, but we're mainly being a seller of stuff and we're pushing through the old, broken business model where we're buying and selling stuff, and that model gives us a paltry 30% profit margin a lot of times, if that. But we just keep doing it anyway because we don't see another alternative. So we're all fighting for the tippy-top of the 1% and we're all doing business the hard way, and we just don't see any other way of working but to do more of both of those. But I want to tell you, there is another way and it works far beyond what you can imagine, but you first have to believe that it does. And I've even had people tell me that other industry experts in my industry, the design industry and consultants have told them, have literally said to them at conferences or at meetings not very long ago honestly, and I quote what some of these people have told me, one in particular said that a consultant told her no high-end designer would ever have an online program or course, no way a digital business, implying that it's just beneath them and unsophisticated as a high-end reputable interior designer or other creative to have that type of business. Well, guess what I think when I hear that? First of all, I just laugh because guess what, A, I'm a high-end interior designer. B, I have online courses and programs, and C, I don't think I'm unsophisticated but maybe I am. but here's the thing; I'd rather be unsophisticated making a ton of money and living the life I want than pretending to be sophisticated and hardly having enough money to live on and then I spend all of that energy trying to look like I still have money. The bank account, like the big empty well that I mentioned earlier. So I want you to think about this. I want you to open your mind and say okay, well if 20% of my business, or even 10 was still those dreamy clients because I get to scratch my creative itch and I get to work with amazing things and I love these clients and they let me be creative, what if there was another way for the other parts of my business? Well, I want to tell you first, if you're thinking, "Yeah Tobi, you are unsophisticated," maybe so, I'll own it. I want to tell you that one of my favorite authors, Jen Sincero, who wrote You Are a Badass and she wrote You Are a Badass at Making Money, which is one of my very favorite books, she puts it this way. Would you rather be rich and cheesy or cool and poor? Well, I absolutely know which one of the two I'm going for. So ask yourself that. I want you to ask yourself right now, which one are you? Which place? And are you in that place of believing that it's not very sophisticated and I am the exception and it doesn't apply to me, and would you change your mind about creating an online business or even just starting to digitally market your existing business if it could create a six-figure or multiple sixfigure income for you? What about if it could create a seven-figure income for you? Revenues or even salary. What about that? What if it could create an eight-figure business? That's 10 million or more. What if it could take you from barely keeping your head above water a lot of times to a seven or eight-figure business? And what if instead of a 30% profit margin that a lot of us are operating on, especially with regard to selling product, what if you were at a 75% profit margin or higher with those numbers? If that was possible, would you open your mind to the opportunity that's in front of you with the online world? I sure hope that you would. I want to give you a little insight into the potential of being in the online scalable information products industry, or what Tony Robbins, which I know you've heard of Tony Robbins, even if you're not into personal development like I have. You may or may not have heard of another guy named Dean Graziosi but they're both big time gurus in that whole online personal development and really what they call knowledge industry. And they're two huge players in it. Tony makes six billion a year, a measly six billion, and Dean makes multiple hundred million. Over a hundred million, but I think several hundred million. Not bad, right? Now, Tony's been doing his work for, I think he says 40something years and Dean 20-something, but whatever. Hundred million, six billion, pretty good. So just last week, they had a product launch and they shared that the online information or knowledge business as they call it, and what is that? That's this business of being in the online world and selling your knowledge. Not a physical product like a chair, but selling your ideas through a course or a program or a membership or a mastermind or something like that. That online information business is currently a 355 million dollar a day business right now and by 2025, it is projected to be a one billion dollar - which is 365 billion friends, a year, industry. So one billion dollars a day by 2025. That sounds pretty similar to the interior design business, right? No. Absolutely not. So do you see? And it's going to basically triple, more than double in the next six years, they're projecting. So it's going to go from 355 million a day to one billion a day. So do you want to be part of that 600 million dollar a day growth over the next six years? Or do you want to sit back and not jump in and see what this can do to change your business? And for what it's worth, I bought the program they were selling for $1997 and trust me, I buy tons of stuff all the time and I use it all and I get so much out of it, and it's crazy valuable and it's not in any way unsophisticated or stupid or cheap or silly or worthless. So when I bought theirs for $1997 and I got inside their community, guess what? So the very first day I joined and I went into the accompanying Facebook group that they have to go with it, and on day one when I got access, what's really the next morning because they had so many people buy it it basically broke the internet. So when I got my credentials and got inside and logged into the Facebook group, there were 4200 people on the first day. Now, these people are huge names, granted, they are, but let's look at that. What does that mean? That means that they had made 8.3 million dollars in about 12 hours. Now, as of writing this podcast, which was even a few days before I recorded it, when I was writing this content for you, they were at 7300 people, so that's 14 million that they had made in less than a week, and now I should have checked before I started recording this because it's been a few more days since then. I think it closes on the day I'm recording this, so I have no doubt they're obviously well over 15 million, they might even be at 20 million in about a 10-day period. 20 million dollars. Now, yes, they are amazing and they are masters at this and they're very famous. So I'm not saying we're all going to make 20 million dollars in a week, but what I can tell you is that if you aren't willing to jump into the 255 million a day business, which is 124 billion dollars a year right now, then you are keeping yourself from getting a piece of that pie. And if you do it right, you can get a big piece of that pie, if you bring real value, really good stuff that makes a difference for the people that purchase it. So what I know most people will likely do in the design industry and some other creative industries that are similar to ours is not believe in it right now because it still feels new and it feels weird, right? It's like, I don't know, I'm going to hang back and watch for a little while. And for our industry, not getting in now means not being really on the front end of this curve because there's not a ton of people operating this way right now in the interior design for sure, but some other creative businesses that some of you may be in, not a huge part of the industry is operating this way fully at the moment, if at all. So most of you are going to wait, and you're going to see a lot of evidence over the next few years, six years maybe when we hit the billion dollar a day mark because it'll probably actually happen, so you'll start to see evidence that others in your industry besides me are having great success with these types of business models and then you're going to jump in years after it could already make an enormous difference in your business to the tune of six, seven, maybe even eight figures. When the landscape is way more crowded, two or three, or four, or six years from now in our industry, in the online world, then you're going to decide to get in. And it's not going to be too late. It's not going to be too late because you're going to eventually have to do this if you want to be viable as a business in the future because all businesses are going to have to be way more online than we've even thought about being, but I want you to think about this as an example in our industry So do you remember those who became design bloggers very early on? I've been blogging for 11 or 12 years, and I was really early as far as an actual interior designer blogging. A lot of the first bloggers in the design industry were enthusiasts. And then a lot of them went on to become very successful designers. They started with blogs. But at first, we were like, what is this blog thing? And I just happened to learn about it early on and because I'm such a progressive thinker and a futurist, one of my five strengths from Strength Finders, you all may have heard me say before is futurist, so I love real progressive thinking things, so I leapt in pretty early, and it paid off in a humongous way. But remember when that was first happening and we were like, what is this blogging thing and I don't really understand it, and then it started catching on and then there were so many more people and then by the time everybody else just all of us kind of started to get in there, it was pretty dang crowded when it had trickled down to mainstream. And it was near impossible at that point to really set yourself apart and monetize blogging at the level that people had monetized it just a few years prior. So really, by that time, a lot of people weren't even reading blogs anymore. By the time everybody gets in and it's trickled all the way down to the masses, then the next thing is already happening, and that was very much true for blogging. Now, does that mean you don't need a blog? No, you still need one for a number of reasons, which is a whole other thing or a whole other podcast, or come join Design You, my program. But I'm just saying, don't be late to this party. It takes time to build just like with a blog and with a blogging audience. It takes time to build a digital marketing strategy, an audience, a tribe, an online business, followers, fans. So in my opinion, there is never too early of a time to get in. There is no time like right now to get started. And in fact, I think this is so important. It's the main thing I teach in my whole Design You coaching program. So we teach other things about design and mindset, which mindset was one of the main reasons I got in there and we still cover mindset, I promise. I'll tell you about that in a second because as you can tell right now, you might need some mindset work if you're not buying into this. We really do three things primarily in my program. I call them my three pillars of the program and we transform your business model, which is this stuff. We transform your schedule and time management system because we need time to work on your business and really be efficient, and then we transform your mindset or help you do it because the mindset is what you have to do first really a lot of times before you can believe in the other two, or you're going to quit on yourself. But the number one pillar, the main one is the business model. And the way I help people transform their business model is through this very thing, digital marketing and scalable services, because I know it works. But don't just listen to me. Look at the size of that 124 billion a year marketplace of the knowledge business, y'all. That is humongous. And it is so important that all of the big guys know that it's important, if you look at huge companies today this year and next year and beyond, guess what they're making a huge priority. Companies like Apple and PepsiCo, LinkedIn, they're all investing millions of dollars in content creation and some even creating entire divisions of content creation, which is online education, which is the knowledge industry that Tony and Dean are talking about. They're creating entire divisions of their company just for online content and education. Now, not all those people have something to sell online. Some of them still have physical products like a Pepsi or an iPad, or your Mac computer, but they're marketing in that space and it will not be surprising at all if a lot of those companies have online information products in the near future. So there has never been a time when consumers love learning as much as we do today. Hence the size of that knowledge industry. And the internet puts information and education right at our fingertips so we can access it easily and immediately. But designers in the traditional business model, we aren't really doing either of those things. We're not giving them a chance to buy from us easily, and we're not giving them a chance to get results and access immediately. We do the opposite. We make it hard for you. You better really want to hire us. We make it hard for you. Unless you are that unicorn with a great big budget, we make it pretty easy for those people, those unicorns. But we make our process take forever so that if you do hire us, you are so over it by the time you get the results and we're all frustrated a lot of times at that point, and there's usually no immediate access or gratification even because most of the people that want that, that stuff that we can get right now, that 99.9% of the customer base, those are the ones we're not serving. Those aren't the unicorns. They're everybody else and we're not creating anything for those people at all. And I'm not saying you have to be all things to all people, but I'm saying there is a part of the market that is a fit for your business. Doesn't even need to be cheap. I don't want to imply that getting online is buying things for $39. It can be, but I just told you last week I bought something for $1997 and what I didn't tell you is I bought two courses last week that cost $1997. And there are a ton of people exactly like me buying very valuable, very important things on the internet that are about knowledge and learning, and things we can put into practice in our own life that are spending a lot of money, and we just don't think that applies to us. So let's be clear. Those 99.9% of people are going to be interacting with and learning from somebody online. Whether we get in and get a piece of that is completely up to us and our own limiting beliefs. Remember the mindset pillar in Design You? Well, that's why you need it because whether we leap in and change our potential clients' lives forever and our own is completely up to us. It's going to get changed. Theirs are and ours eventually will get changed when we don't get in there, but those people are going to get what they're seeking because if we're not willing to give it to them, somebody else will. So the longer we hold out believing that online is not the place for our business, the farther behind we're getting, and the less often our phone will be ringing and the fewer profits we will be making. And I believe in just a few years, it will be a miracle if many interior designers and creatives who are in business today are still in business if you don't start doing things differently. We already see this evidence in our business. It's harder than ever to get clients the old-fashioned word of mouth way. We're going to get a few always. I'm not saying that these industries are going away as we know them at the top end. The Design You Podcast with Tobi Fairley It just is that those will continue to be a tiny piece of our business and maybe even a tinier piece because even some of those people will start doing their own work or doing it in a different way because it's just too easy to not because it's going to be so available and it's becoming more so all the time. So again, not that referrals don't still lead to the best clients in our opinion. They do. But there are so many distractions for even those customers that it seems harder than ever to get them to take the leap with us. Even to get our best clients to refer us. So those potential referrals are our considering all of their options, even if they've heard of us, and they're even considering doing their own projects, or even part of their own projects themselves because they can go find those options right at their fingertips. And when we only have one way of doing business, full service for unicorns as I call it, and to work with us they must go all in and they must have way more than the 1% who have $421,000 a year, then we just don't give very many customers a lot of ways to get started with us now, do we? So we spend a lot of time waiting around and hoping that today will be the day that a client finally wants to start a great big expensive project, and until they do a lot of times we just don't hear the phone ringing at all. We hear those crickets. And I want to be clear. I'm not suggesting again, that there's not a place for high-end one-on-one interior design or any other creative service. There will always be some version of that. I'm just saying that it's going to be - I mean heck, it already is really hard to sustain a whole business for most us waiting on those unicorns to show up, especially depending on the size of your local market and the average yearly income of the prospects where you live are willing to pay. So I live in a pretty small market. There's no near as many unicorns in Little Rock as there are in Dallas or in Chicago or in New York City or in Los Angeles. So in other words, charging you worth for the unicorns as I lovingly call them, and hey, I love unicorns so it's not disparaging and I'm The Design You Podcast with Tobi Fairley not making fun. It's just the best way to describe how they're so hard to find and they're really something that's kind of once in a lifetime or once in a year. Those clients and being able to charge what they're worth for those can really only happen in any geographic location a few times. Again, in Arkansas, it's not that many. So let's circle back to why I started this podcast to begin with and let me tell you why digital marketing is the solution to this problem and a few of the basic steps or parts if you haven't heard of them, you don't even really know what it is, just to start to help you understand what I'm talking about. The purpose of this digital approach is to meet customers where they are geographically and financially and really where they are physically at their computer, and offering them a range of options from free advice to inexpensive offerings to mid-range offerings, to filling all of the gap all the way up to your highest end services. And again, your least expensive option does not have to be $100 or $39. You can totally be like Tony and Dean and sell stuff for thousands of dollars and there is still a market for those types of online services. So in the lower parts of that price range or what we call the value ladder in the digital world, which is what you're probably calling your menu of services or your offerings. So in the lower parts of this what's called a value ladder and you can think of that as your menu of services or your offerings. So think of it like a ladder and you take steps up or even like a staircase. That's kind of what it looks like. So you're over on the far left if you're envisioning it at the bottom step and you're stepping all the way up to the top. That's your value ladder. Your services are on each one of those steps. And that doesn't mean you have 50 services. You might have two or you might have three, but the point being, at the bottom part you aren't offering one-on-one services. You're really likely not even offering things live. So it's either written or a video or something that gives you the option of creating it once like that, like a video and selling it over and over again. So I want you to understand, in no way are we suggesting that you do one-onone service but you do it really cheap with people. That is the opposite of what we're talking about. In fact, we're going to take a lot of the customers that you're currently doing one-on-one services with, if you go with this model, and you're not going to be working for them one-on-one anymore because they're really not paying you enough to get you in person. So you're offering something that is created once. It's called one to many, one of you, many of them, and it's scalable. It's recorded or it's in a format that it can be created one time and a whole bunch of people can keep buying it. And it doesn't mean that it's less valuable. I mean, trust me, both of the courses I just spent almost $5000 to buy the two of, super valuable products. So they're not inexpensive and they're not cheap and they're not of low value just because they're online products. So again, I'm not implying that they're free or that they're not super valuable because they are. If they're not, if they're fluff, if they're crap, if they are just kind of like, not really that interesting or that important and you're thinking I'll just whip something up and throw a bone to these people at the bottom, that's not going to convert. Nobody is going to buy really bad content if it's cheap. They don't even really want it if it's free. It's so funny. If your content and your offerings and your ideas and your programs and courses are not really good, you literally cannot even get people to give you their email to get it for free. And how will they know if it's good? Well, they'll try one of your things and they'll think it's terrible and so they won't ever try any of your things again, or they'll tell their friends, "Hey, don't get that thing, it's awful." So this is not in any way about dumbing down our offerings, our expertise at all. It's actually about maintaining our high standards, but just being very creative and innovative in the way we deliver the information and get the customer results. So now one of the first things that you really have to do to make this shift is to check in with yourself and really check your ego at the door, and you have to get over what people think about you. Because here's what I mean; did you realize that almost all other interior designers, including yourself, have websites that are not designed to speak to our audience other than maybe a few unicorns that we're speaking to? But most of our sites other than somebody with a whole lot of money and a whole lot of taste that lands on there and sees our work and is like yes, I have the confidence and the money to pick up the phone and call these people, but other than that, we're not designing customer centric websites that make people feel comfortable and like we're accessible and that there's something for them and they can download something to get a taste of what we do or what we believe or what we teach or what we offer. Now, we're not doing any of that because we're not designing our sites for our customers. Guess who we're designing our sites for? Other designers. Think about it. Think about your ego. If you're sitting there designing what you want your site to look like, you've gone on the websites of all these other designers, a lot of them probably famous, and you've fallen in love with those full bleed images and it's so beautiful and guess what, we're not sending a message to anybody that is accessible and open. We're pretty much sending a message that's intimidating and looks very expensive because it probably is, and we're hoping that they'll have the guts to go to the contact page and call us, and most of them don't because they have their own mindset things. They're like, oh my gosh, she's probably famous, she's probably booked, she's probably super expensive, I don't know. And we really don't make it easy for them to call us or contact us or work with us but we're not even thinking about them. That'd be a novel idea that they come out our customers. We're thinking about other designers because we're like, oh my gosh, if I do one of those sites that Tobi's talking about that looks sales-y and has her picture on the top and gives people freebies and other things to actually show them what it would actually be like to work with us, that would just be humiliating because my peers would think I had lost my mind and I wouldn't have a really fancy ritzy website that peers and magazines would come and think was spectacular and sophisticated and chic. Because that's our number one goal as designers is those kinds of websites where our peers, the people that we would really want to impress, that they would think they're sophisticated and chic. And I had one of those for years too, but guess what? It doesn't convert. There's a reason. It does not connect or send a message to our clients that we want to help them. It's not about them at all. In fact, it's about us. The site's about us, and that's one of the biggest mistakes that businesses make is they write a website about themselves instead of about their customers, the person who's coming there looking for a solution. So guess what? That kind of site, it does, it screams I'm too expensive, but if there's any way in the world you are brave enough to believe that you might afford me, then please get out of your comfort zone and pick up the phone and call us, and it's not happening. And we wonder why they're only few and far between. That's the reason that referrals work so well because those people are sending a trusted friend to a trusted service provider and so it builds a little bit more comfort so they're willing to reach out. But our sites, not comfortable at all. Beautiful, yes. I call them coffee table book websites. They're gorgeous, but they're not converting anything. So this is one of the first steps. You have to check your ego at the door, you have to say do I want to be popular with my peers and perceived as The Design You Podcast with Tobi Fairley sophisticated and chic, or do I want to meet my customers where they are? Do I want to make a lot of money, changing a lot of lives by creating amazingly valuable things that are sold online right where my customers want to find them? And then some people will trickle all the way down in your funnel, your sales funnel and get to the bottom, and that's great. The unicorns will filter all the way through that thing if you make the right kind of site. And I'm not saying an unsophisticated site. Don't get me wrong. I'm just wanting you to see that we are not making it easy for people to do business with us, we're not meeting people where they are. We're not talking to them in a way that builds trust, that builds rapport, that shows them what we can do to change their lives, and that is one of our biggest problems. So it's really crazy friends, and that's even just one tiny part. But what we should be doing is telling them, our customers, that we already understand their needs and that we're a perfect solution for their challenges and their pain points, that we offer a few different ways for them to get started with us. And that if they're not even ready to get started, they can read this free stuff and it's really valuable and it's going to help them and they're going to start to see that we are the business that they want to be working with, but we just don't do that. So the digital marketing process and the online business is really supposed to do two things if you do it well. It's supposed to build trust that we know you and we have your back, it's supposed to number two, give our customers some results ahead of time, even before they hire us so that we can show them in advance with something we've put on our site that they can get access to for free, but they have to give us their email address of course so can contact them again and nurture them with emails and all kinds of things. That's part of the whole system. But we have to show them in advance that we're the person for the job. And again, that's the exact opposite of what we've been doing. Relationship building, which is exactly what that is in 2019 and beyond must happen online because it's a miracle if we even get to speak to our potential clients and customers. If we don't connect with them for free in the right way, in the online space, we don't even get to talk to them. And to do that, you have to have an online digital marketing system, and you need to know exactly some stuff before you get started, which is part of the whole process, exactly who your ideal customer is and what their challenges are and what their frustrations are and what their pain points are and I'm here to tell you it's not just an ugly house. Because at the end of the day, that's not that painful when the money that would have to fix the ugly house, that would have to beautify the ugly house is in competition with cars and houses and vacations and college and all the other things that our money needs to go to. So it's a lot of times, you've got to get a lot deeper than just what we see visually in a house but what their house means to them, how their house makes them feel, why it's an important piece of their life. It's got to go way deeper. It even kind of has to be touchy-feely, and again, where some of the mindset stuff comes in. You need to know who they are and you also need to know what you're passionate about helping them with and how you do that better than anyone else. Because you've got to put this stuff into words or videos, y'all. And you've got to have valuable not fluff, not crap stuff, freebies that are called lead magnets, if you've ever heard that term, or a content upgrade, which is the same kind of thing. Piece of content online that really gets them on your email list but also starts to show them what it would be like to work with you. And by the way, I said gets them on your email list. You've got to have an email list if you're going to get them on there, and a lot of you don't even have that really, right? So whether they're ever going to hire you, these freebies are going to solve a problem for them first of all, just for free, that really builds trust, and I mean a real problem that's going to really solve something for them and it's going to show them that they need you to go to the next level of what they want to go to in whatever area you work in and whatever problem they have. So you need a lead magnet, you need an email list. To have an email list you have to have CRM software. If you don't know what that is, Google it, but it's customer resource management. So you might have heard of Mailchimp. There's a lot of other ones that are way more robust than that that you're going to want if you really get into this, and I hope you do. Like ConvertKit or I have this one called Infusionsoft. It's really robust. We sometimes call it confusionsoft because it's hard but it's important. So you've got to have one of those. You're going to have to regularly send these people valuable not sales-y email content that converts them into clients, but that's the part, remember earlier in the podcast where I said I used to have to call people or go out in-person to do that and now I have a series of really amazing emails that are valuable that offer more free stuff and a lot of other information that are running in the background all the time converting clients for me. You need that value ladder of service offerings that we talked about that aren't just random stuff like my high-end service and some cheapy thing at the bottom. No, it needs to be cohesive. A whole cohesive offering, group of services. Your whole service offering that are all supported by your main marketing message. Not random revenue streams that have nothing to do with each other that each need their own branding or their own marketing to get a foothold in the market place. That's not what we're talking about here. And you'll need to figure out how to create, if you want to get to that scalable place, online courses or products when you're ready so that you can really start making money while you sleep. And you really got to understand also on top of all of this, the new rules of social media and how they fit into the digital marketing plan because they are a huge piece of it. That's a whole other podcast that I promise to record soon. The new rules of social media or really kind of the new opportunities would be a better way to say that. But you have to know that too and you also - and you may have been ignoring this part of your business - you've got to have your finances in order so that you're engineering all these new online and even your offline offerings that you currently have so that you still create a business that is profitable, or maybe profitable for the first time in a way that is really sustainable for the long haul, because that's what a lot of us are trying to get out of. The feast or famine, the unprofitable stuff. So you'll likely need a team of people to help you do this. It's not inexpensive, but it can pay for itself if you do it right. So you'll need a team of virtual people potentially, not in person. There's no reason to have an in-person. There's people all over the world. I literally work with people on my team in - let's see. We've had people in Israel, we now have people in Denmark, we're got people in Canada, we've got people all across the United States. We have companies that we work with in the United States that also have people on their team in the Philippines. Literally all over the world. And I've got about 17 team members right now, but trust me, I didn't just get started. I've been doing this for years. So you're going to start with like, one or two people that are virtual employees to help you get this stuff off the ground. And the first steps are really just starting to market your existing high-end unicorn services to the world because people don't even know those are really available because you're not making yourself stand out. You're not showing up where your clients are. And that alone is going to start to fill your pipeline in a way that you can't really imagine if you start operating in an online digital way. But then you can add those other offerings and you can grow a whole tribe of people and they're going to love you. So every time that you launch something new, they're going to be lining up to buy it because you have cultivated a tribe or a following of people that are very aligned with your beliefs and your offerings and the value you create in what you're selling. And you're not just having a distant relationship with people because they're online, because believe it or not, online relationships for businesses who do this really well have very close relationships with their tribe of people, and their tribe really likes them, they know them inside and out, and they really trust them completely, and that's where you want to go. So that, my friends, that whole long, I hope you think, amazing episode, I think it's amazing. It's one of the most exciting things I've ever done and I get more excited about it every single day, that is a taste of what digital marketing looks like and why you have got to get on the digital marketing revolution now, sooner than later. And guess what? To show you how this online relationship building works and what those parts and pieces really are a little bit more, I've created something amazing for you that takes you deeper into what digital marketing strategy really looks like or the assets in a digital marketing strategy, what they really are and how it can work for you. And guess what, I call it my digital marketing primer e-series. It's an email series. It's 12 emails that are super packed with all kinds of really cool information about digital marketing and guess what, we're going to soon have this on my website as one of my freebies and with even some other downloadables and some other things. But if you don't want to wait until that's all ready and you're like, tell me more Tobi, I want to know all about digital marketing and what you have to say about it and I want your series of emails about this topic, then I want you to go to tobifairley.com/podcast/digitalmarketing. So go there and sign up and start getting these emails that I've crafted for you very meticulously to help you understand exactly what a digital marketing strategy is and another step in how you can start to envision this in your own life, in your own business. And if you want me to hold your hand through all of this because it sounds super scary and complicated so that you can work in the 124-billion-dollar industry right now, then you need to join me in Design You because this is what we do. And if you just want to ask me a question about Design You and how it could help you create a digital marketing system in your own business, then send me an email at email@example.com. So it's not free coaching. Don't send me all your questions so you can set this up on your own, like I would never get to all those emails, but if you want the information on what and how to do the digital marketing, get my eseries by going to that tobifairley.com/podcast/digitalmarketing. But if you want to ask me a question about how I can help you do this in your own business, about Design You, then send it to firstname.lastname@example.org. And in that subject line, put digital marketing or Design You question, either way. Tell me about it. Tell me why you're afraid of it, tell me the questions you have about how could this work for your business. All of that stuff you can put in that email. And then if you decide you want me to help you do it then we'll get you in the program and I'll literally start helping you put this to work in your business because it's so cool and it makes a lot of money and it frees up a lot of time, and I happen to think it's the coolest thing I've done in a long time. Okay friends, sorry for another long podcast, but guess what, there's just some topics that are super crazy important, and this one about the future of your business, I mean heck, the future of your life, I think it's super crazy important, and guess what, I'm going to bring you a couple of other long podcasts soon on finances and really getting that part of your business in order and then I will do one as I promised on social media because a lot of you have been asking me for both of those. So it's basically Tobi's free version of Design You right here on the podcast. If you want to go deeper, join me in the program and other than that, I will see you next week with another exciting interview I think because we've got some of those coming up again, or it'll be one of these super fun in-depth podcasts just like today and just like last week where you need to listen to it again and get out your notepad and start taking notes. But either way, we're going to have a really good time so I'll see you again really, really soon. Bye for now, friends. 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 exclusive monthly coaching program Design You at tobifairley.com.
DEPARTMENT OF COMMERCE International Trade Administration [A–570–894] Notice of Final Determination of Sales at Less Than Fair Value: Certain Tissue Paper Products from the People's Republic of China AGENCY: Import Administration, International Trade Administration, Department of Commerce. EFFECTIVE DATE: February 14, 2005. FOR FURTHER INFORMATION CONTACT: Alex Villanueva, Matthew Renkey, John Conniff or Kit Rudd, AD/CVD Operations, Office 9, Import Administration, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Washington, DC 20230; telephone: (202) 482–3208, (202) 482– 2312, (202) 482–1009, or (202) 482– 1385, respectively. Final Determination We determine that certain tissue paper products from the People's Republic of China (''PRC'') are being, or are likely to be, sold in the United States at less than fair value (''LTFV'') as provided in section 735 of the Tariff Act of 1930, as amended (''the Act''). The estimated margins of sales at LTFV are shown in the ''Final Determination Margins'' section of this notice. SUPPLEMENTARY INFORMATION: Case History On September 21, 2004, the Department of Commerce (''the Department'') published its preliminary determination of sales at LTFV, affirmative preliminary determination of critical circumstances, and postponement of the final determination in the antidumping investigation of certain tissue paper products from the PRC. See Certain Tissue Paper Products and Certain Crepe Paper Products from the People's Republic of China: Notice of Preliminary Determinations of Sales at Less Than Fair Value, Affirmative Preliminary Determination of Critical Circumstances and Postponement of Final Determination for Certain Tissue Paper Products, 69 FR 56407 (September 21, 2004) (''Preliminary Determination''). During the investigation, the Department examined sales information from two exporters of subject merchandise that were selected as Mandatory Respondents. 1 In addition, 1 China National Aero-Technology Import & Export Xiamen Corporation (''China National'') and 12 companies requested separate rates and we refer to them, collectively, as the Section A Respondents. 2 We invited interested parties to comment on our Preliminary Determination. Based on our analysis of the comments we received, we have made changes to our determinations for the two Mandatory Respondents. As a result of those changes, the rate assigned to companies which received a separate rate also changed. On November 24, 2004, the Department issued a memorandum in response to ministerial error allegations filed by China National and Petitioners 3 on September 24, 2004, and October 1, 2004. See Antidumping Duty Investigation of Certain Tissue Paper Products from the People's Republic of China (''China''): Analysis of Allegations of Ministerial Errors. On December 1, 2004, China National again filed comments regarding alleged ministerial errors. The Department replied to these ministerial error allegations via a letter dated January 3, 2005. The Department conducted verification of the Mandatory Respondents: Fujian Naoshan from November 1–7, 2004, and China National from December 6–17, 2004. See the ''Verification'' section below for additional information. On January 12, 2005, Mandatory Respondents and Petitioners submitted case briefs; on January 18, 2005, those same parties submitted rebuttal briefs. Also on January 18, 2005, two Section A Respondents filed case briefs; no party filed a rebuttal brief in response to these case briefs. On January 24, 2005, the Department held a public hearing in accordance with section 351.310(d)(l) of the Department's regulations. Representatives for the Mandatory Respondents and Petitioners attended. Fujian Naoshan Paper Industry Group Co., Ltd. (''Fujian Naoshan''). 2 Fujian Xinjifu Enterprises, Co., Ltd. (''Fujian Xinjifu''), Qingdao Wenlong Co., Ltd. (''Qingdao Wenlong''), Hunan Winco Light Industry Products Import & Export Co., Ltd. (''Hunan Winco''), Fuzhou Light Industry Import & Export Co., Ltd. (''Fuzhou Light''), Fujian Nanping Investment & Enterprise Co. (''Fujian Nanping''), Guilan Qifeng Paper Co. Ltd. (''Guilin Qifeng''), Ningbo Spring Stationary Limited Company (''Ningbo Spring''), Everlasting Business & Industry Corporation, Ltd. (''Everlasting''), Anhui Light Industrial Import & Export Co., Ltd. (''Anhui Light''), Samsam Production Limited & Guangzhou Baxi Printing Products Limited (''Samsam''), Max Fortune Industrial Limited (''Max Fortune''), and Fuzhou Magicpro Gifts Co., Ltd. (''Magicpro''). 3 Seaman Paper Company of Massachusetts Inc.; Eagle Tissue LLC; Flower City Tissue Mills Co.; Garlock Printing & Converting, Inc.; Paper Service Ltd.; Putney Paper Co., Ltd.; and the Paper, AlliedIndustrial, Chemical and Energy Workers International Union AFL-CIO, CLC (collective ''Petitioners''). VerDate jul<14>2003 15:28 Feb 11, 2005 Jkt 205001 PO 00000 Mandatory Respondents On October 18, 2004, Petitioners filed pre-verification comments regarding Fujian Naoshan. On October 19, 2004, Fujian Naoshan filed its sales reconciliation documentation. China National filed revised financial statements on October 21, 2004, and on October 25, 2004, it filed dye-specific factors of production (''FOP'') information. On October 29, 2004, China National submitted its sales reconciliation documentation. On November 10, 2004, China National, Fujian Naoshan, and Petitioners submitted information regarding surrogate values. On November 12, 2004, China National submitted comments on surrogate value information. On November 17, 2004, Petitioners submitted comments on China National's November 12, 2004, submission. On November 29, 2004, Petitioners replied to surrogate value comments submitted by Fujian Naoshan. On December 2, 2004, Petitioners submitted pre-verification comments for China National. On December 21, 2004, China National submitted the minor corrections that had been presented at verification. On January 7, 2005, Petitioners submitted information regarding a potential undisclosed affiliation for Fujian Naoshan, and supplemented this information with a January 10, 2005, filing. On January 12, 2005, China National submitted an affidavit from one of its counsel from a Chinese law firm concerning certain issues relating to China National's verification. Petitioners further clarified the information in their January 7 and January 10, 2005 filings with a letter submitted on January 14, 2005. On January 14, 2005, Fujian Naoshan submitted a reply to Petitioners' January 7 and January 10, 2005, filings. (Fujian Naoshan's additional arguments regarding this issue were included in its rebuttal brief.) Also on January 14, 2005, China National submitted an affidavit from an industry source regarding tissue paper basis weights. On January 18, 2005, China National filed a revised FOP database, pursuant to a request from the Department. Section A Respondents On October 18, 2004, Magicpro notified the Department that it would no longer participate in the investigation. On October 21, 2004, Fujian Xinjifu notified the Department that it would not participate in the verification of its section A response. On October 25, 2004, Hunan Winco submitted new factual information regarding its Frm 00008 Fmt 4703 Sfmt 4703 E:\FR\FM\14FEN1.SGM 14FEN1 separate rates claim. On January 14, 2005, a certain Section A Respondent submitted an affidavit regarding certain information that had been placed on the record concerning Fujian Naoshan. Scope Comments Parties did not submit comments regarding scope during the course of this investigation. However, the Department issued a scope ruling based on a request from CSS Industries, Inc. that considered whether jumbo rolls should be included within the scope of this investigation. The Department determined in its ruling that jumbo rolls were not covered by this investigation. See the memorandum entitled ''Final Scope Ruling: Antidumping Duty Order on Certain Tissue Paper Products From the People's Republic of China (A–570– 894); CSS Industries, Inc.,'' dated December 1, 2004. Scope of Investigation The tissue paper products subject to investigation are cut-to-length sheets of tissue paper having a basis weight not exceeding 29 grams per square meter. Tissue paper products subject to this investigation may or may not be bleached, dye-colored, surface-colored, glazed, surface decorated or printed, sequined, crinkled, embossed, and/or die cut. The tissue paper subject to this investigation is in the form of cut-tolength sheets of tissue paper with a width equal to or greater than one-half (0.5) inch. Subject tissue paper may be flat or folded, and may be packaged by banding or wrapping with paper or film, by placing in plastic or film bags, and/ or by placing in boxes for distribution and use by the ultimate consumer. Packages of tissue paper subject to this investigation may consist solely of tissue paper of one color and/or style, or may contain multiple colors and/or styles. The merchandise subject to this investigation does not have specific classification numbers assigned to them under the Harmonized Tariff Schedule of the United States (''HTSUS''). Subject merchandise may be under one or more of several different subheadings, including: 4802.30; 4802.54; 4802.61; 4802.62; 4802.69; 4804.39; 4806.40; 4808.30; 4808.90; 4811.90; 4823.90; 4820.50.00; 4802.90.00; 4805.91.90; 9505.90.40. The tariff classifications are provided for convenience and customs purposes; however, the written description of the scope of these investigations is dispositive. Excluded from the scope of this investigation are the following tissue paper products: (1) Tissue paper products that are coated in wax, paraffin, or polymers, of a kind used in floral and food service applications; (2) tissue paper products that have been perforated, embossed, or die-cut to the shape of a toilet seat, i.e. , disposable sanitary covers for toilet seats; (3) toilet or facial tissue stock, towel or napkin stock, paper of a kind used for household or sanitary purposes, cellulose wadding, and webs of cellulose fibers (HTSUS 4803.00.20.00 and 4803.00.40.00). Analysis of Comments Received The issue of applying total adverse facts available (''AFA'') raised in the case and rebuttal briefs by parties in this investigation are addressed in the Memorandum to Barabara E. Tillman, Acting Deputy Assistant Secretary for Import Administration from James C. Doyle, Director, AD/CVD Operations, Office 9, Regarding Application of Total Adverse Facts Available to China National Aero-Technology Import and Export Xiamen Corporation (''China National'') in the Final Determination of Sales at Less than Fair Value: Certain Tissue Paper Products from the People's Republic of China (''PRC'') (''China National AFA Memo''), and the Memorandum to Barabara E. Tillman, Acting Deputy Assistant Secretary for Import Administration from James C. Doyle, Director, AD/CVD Operations, Office 9, Regarding Application of Total Adverse Facts Available to Fujian Naoshan (''Naoshan'') in the Final Determination of Sales at Less than Fair Value: Certain Tissue Paper Products from the People's Republic of China (''PRC'') (''Fujian Naoshan AFA Memo''), both dated February 3, 2005, and which are hereby adopted by this notice. All other issues raised in the case and rebuttal briefs by parties in this investigation are addressed in the Issues and Decision Memorandum, dated February 3, 2005, which is also hereby adopted by this notice (''Issues and Decision Memorandum''). A list of the issues which parties raised and to which we respond in the Issues and Decision Memorandum is attached to this notice as an Appendix. The Issues and Decision Memorandum is a public document and is on file in the Central Records Unit (''CRU''), Main Commerce Building, Room B–099, and is accessible on the Web at http://ia.ita.doc.gov/. The paper copy and electronic version of the memorandum are identical in content. Verification As provided in section 782(i) of the Act, we verified the information submitted by the Mandatory Respondents for use in our final determination. See the Department's VerDate jul<14>2003 15:28 Feb 11, 2005 Jkt 205001 PO 00000 verification reports on the record of this investigation in the CRU with respect to China National and Fujian Naoshan. For all verified companies, we used standard verification procedures, including examination of relevant accounting and production records, as well as original source documents provided by the respondents. Period of Investigation The period of investigation (''POI'') is July 1, 2003, through December 31, 2003. This period corresponds to the two most recent fiscal quarters prior to the month of the filing of the petition. See section 351.204(b)(1) of the Department's regulations. Surrogate Country In the Preliminary Determination, we stated that we had selected India as the appropriate surrogate country to use in this investigation for the following reasons: (1) India is at a level of economic development comparable to that of the PRC; (2) Indian manufacturers produce comparable merchandise and are significant producers of certain tissue paper products; (3) India provides the best opportunity to use appropriate, publicly available data to value the FOPs. See Preliminary Determination. We received no comments from interested parties concerning our selection of India as the surrogate country. For the final determination, we have determined to continue to use India as the surrogate country and, accordingly, have calculated the PRC-wide rate using Indian data. We have obtained and relied upon publicly available information wherever possible. Separate Rates In the Preliminary Determination, the Department found that several companies which provided responses to Section A of the antidumping questionnaire were eligible for a rate separate from the PRC-wide rate. No party submitted comments challenging these separate rate determinations, so we continue to find that those companies remain eligible for a separate rate. For a complete listing of all the companies that received a separate rate, see the ''Final Determination Margins'' section below. The Department found that one Section A Respondent, Hunan Winco, did not provide sufficient information to support its request for a separate rate. Accordingly, Hunan Winco has not overcome the presumption that it is part of the PRC-wide entity and its entries will be subject to the PRC-wide rate. See Frm 00009 Fmt 4703 Sfmt 4703 E:\FR\FM\14FEN1.SGM 14FEN1 Issues and Decision Memo at Comment 5. Magicpro, another Section A Respondent, stated that it was withdrawing from the investigation. Section A Respondent Fujian Xinjifu stated that it would not participate in the verification of its response. As such, these two companies did not overcome the presumption that they are part of the PRC-wide entity, and their entries will be subject to the PRC-wide rate. We have also found that China National and Fujian Naoshan are not entitled to separate rates. See the ''Facts Available'' section below. The margin we calculated in the Preliminary Determination for the companies receiving a separate rate was 91.32 percent. The rates of the selected Mandatory Respondents have changed since the Preliminary Determination as we are applying total AFA to them. The rate for Section A Respondents that are eligible for a separate rate is thus now the same as the PRC-wide rate, which is 112.64 percent. This rate was calculated by revising the petition margin and is the only rate available for use in this final determination. See the ''PRC-Wide Rate'' and ''Margins for Cooperative Exporters Not Selected'' sections below, and the Memorandum from Kit L. Rudd, Case Analyst to the File Through Alex Villanueva, Program Manager, Regarding the Calculation and Corroboration of the PRC-Wide Rate, (''PRC-Wide Rate Calculation Memo''). Critical Circumstances As described below in the ''Facts Available'' section, we are applying total AFA to China National and Fujian Naoshan. As part of total AFA for China National and Fujian Naoshan, we determine that they are not eligible for separate rates and are therefore part of the PRC-wide entity. See Fujian Naoshan AFA Memo and China National AFA Memo. No party submitted comments challenging the Department's critical circumstances finding in the Preliminary Determination with regard to the PRCwide entity. As such, the Department continues to find that critical circumstances exist for the PRC-wide entity, including China National and Fujian Naoshan. Additionally, for this final determination we continue to find that critical circumstances do not exist with regard to imports of certain tissue paper products from the PRC for all the Section A Respondents granted a separate rate. For further details regarding the Department's critical circumstances analysis from the Preliminary Determination, see the Memo from Edward C. Yang, Office Director to Jeffrey A. May, Deputy Assistant Secretary for Import Administration, Regarding the Antidumping Duty Investigation of Certain Tissue Paper Products and Certain Crepe Paper Products from the People's Republic of China (the ''PRC'')—Partial Affirmative Preliminary Determination of Critical Circumstances for Importers of Certain Tissue Paper Products and Crepe Paper Products from the PRC, dated September 21, 2004. The PRC-Wide Rate Because we begin with the presumption that all companies within a non-market economy (''NME'') country are subject to government control and because only the companies listed under the ''Final Determination Margins'' section below have overcome that presumption, we are applying a single antidumping rate—the PRC-wide rate—to all other exporters of subject merchandise from the PRC. Such companies did not demonstrate entitlement to a separate rate. See, e.g., Final Determination of Sales at Less Than Fair Value: Synthetic Indigo from the People's Republic of China, 65 FR 25706 (May 3, 2000). The PRC-wide rate applies to all entries of subject merchandise except for entries from the respondents which are listed in the ''Final Determination Margins'' section below (except as noted). The information used to calculate this PRCwide rate was corroborated with some small changes in accordance with section 776(c) of the Act. See PRC-Wide Rate Calculation and Corroboration Memo, China National AFA Memo and Fujian Naoshan AFA Memo. Facts Available Section 776(a)(2) of the Act provides that if an interested party: (A) Withholds information that has been requested by the Department; (B) fails to provide such information in a timely manner or in the form or manner requested, subject to subsections 782(c)(1) and (e) of the Act; (C) significantly impedes a determination under the antidumping statute; or (D) provides such information but the information cannot be verified, the Department shall, subject to subsection 782(d) of the Act, use facts otherwise available in reaching the applicable determination. Section 776(b) of the Act states that if the administering authority finds that an interested party has not acted to the best of its ability to comply with a request for information, the administering authority may, in reaching its determination, use an inference that is adverse to that party. The adverse VerDate jul<14>2003 15:28 Feb 11, 2005 Jkt 205001 PO 00000 inference may be based upon: (1) The petition, (2) a final determination in the investigation under this title, (3) any previous review under section 751 or determination under section 753, or (4) any other information placed on the record. Total AFA for China National For the final determination, the Department is applying facts available to China National because it failed to provide verifiable FOP data and basis weight information that the Department had requested, in accordance with section 776(a)(2)(D) of the Act. Also, China National failed to report sales of subject merchandise to the United States made by one of its affiliates, in accordance with sections 776(a)(2)(A) and (B) of the Act. Moreover, certain information regarding the financial statements of China National's three affiliated companies involved in the production and sale of subject merchandise calls into question the reliability of the data that would be used to calculate a margin. Furthermore, in accordance with section 776(b) of the Act, the Department found that China National failed to cooperate to the best of its ability to comply with the Department's request for information, and, therefore, finds an adverse inference is warranted in determining the facts otherwise available. We also have determined that China National is not eligible for a separate rate. For a complete discussion of this matter, see the China National AFA Memo. Total AFA for Fujian Naoshan For the final determination, the Department is applying facts available to Fujian Naoshan because it failed to disclose information regarding a possible relationship between it and another exporter of subject merchandise in China, in accordance with sections 776(a)(2) (A) through (D) of the Act. Furthermore, in accordance with section 776(b) of the Act, the Department found that Fujian Naoshan failed to cooperate to the best of its ability to comply with the Department's request for information, and, therefore, finds an adverse inference is warranted in determining the facts otherwise available. We also have determined that Fujian Naoshan is not eligible for a separate rate. For a complete discussion of this matter, see the Fujian Naoshan AFA Memo. Changes Since the Preliminary Determination Based on our findings at verification, additional information placed on the Frm 00010 Fmt 4703 Sfmt 4703 E:\FR\FM\14FEN1.SGM 14FEN1 record of this investigation, and analysis of comments received, we have made changes that impact the dumping margins in this proceeding. For discussion of these changes, see Issues and Decision Memo, China National AFA Memo, Fujian Naoshan AFA Memo, and PRC-Wide Rate Calculation and Corroboration Memo. CERTAIN TISSUE PAPER PRODUCTS FROM PRC SECTION A RESPONDENTS—Continued Margins for Section A Respondents Receiving a Separate Rate As we are applying total AFA to the Mandatory Respondents, those exporters who responded to Section A of the Department's antidumping questionnaire, established their claim for a separate rate, and had sales of the merchandise under investigation, but were not selected as Mandatory Respondents in this investigation, will receive the same rate as the PRC-wide rate, which is 112.64 percent. See PRCWide Rate Calculation and Corroboration Memo. This rate was calculated by revising the petition margin and is the only rate available for use in this final determination. See, e.g., Notice of Final Determination of Sales at Less Than Fair Value and Affirmative Final Determination of Critical Circumstances: Certain Crepe Paper From The People's Republic of China, 69 FR 70233 (December 3, 2004). Continuation of Suspension of Liquidation Surrogate Values The Department made changes to the surrogate values used to calculate the PRC-wide rate from the Preliminary Determination. For a complete discussion of the surrogate values, see Issues and Decisions Memorandum at Comment 2. Final Determination Margins We determine that the following percentage weighted-average margins exist for the POI: CERTAIN TISSUE PAPER PRODUCTS FROM PRC SECTION A RESPONDENTS \| Manufacturer/exporter \| Weighted- average margin (percent) \| \|---\|---\| \| Qingdao Wenlong Co., Ltd. (‘‘Qingdao Wenlong’’) ............ Fujian Nanping Investment & Enterprise Co. (‘‘Fujian Nanping’’) .............................. \| 112.64 112.64 \| In accordance with section 735(c)(1)(B) of the Act, we are directing U.S. Customs and Border Protection (''CBP'') to continue to suspend liquidation of all entries of subject merchandise from the Section A Respondents that received a separate rate, that are entered, or withdrawn from warehouse, for consumption on or after the September 21, 2004, the date of publication of the Preliminary Determination. However, with respect to all other PRC exporters, the Department will continue to direct CBP to suspend liquidation of all entries of certain tissue paper products from the PRC that are entered, or withdrawn from warehouse, on or after 90 days before September 21, 2004, the date of publication of the Preliminary Determination. These suspension of liquidation instructions will remain in effect until further notice. Disclosure We will disclose the calculations performed within five days of the date of publication of this notice to parties in this proceeding in accordance with 19 CFR 351.224(b). United States International Trade Commission (ITC) Notification In accordance with section 735(d) of the Act, we have notified the ITC of our final determination of sales at LTFV. As our final determination is affirmative, in accordance with section 735(b)(2) of the Act, within 45 days the ITC will determine whether the domestic VerDate jul<14>2003 15:28 Feb 11, 2005 Jkt 205001 PO 00000 industry in the United States is materially injured, or threatened with material injury, by reason of imports or sales (or the likelihood of sales) for importation of the subject merchandise. If the ITC determines that material injury or threat of material injury does not exist, the proceeding will be terminated and all securities posted will be refunded or canceled. If the ITC determines that such injury does exist, the Department will issue an antidumping duty order directing CBP to assess antidumping duties on all imports of the subject merchandise entered, or withdrawn from warehouse, for consumption on or after the effective date of the suspension of liquidation. Notification Regarding APO This notice also serves as a reminder to parties subject to administrative protective order (''APO'') of their responsibility concerning the disposition of proprietary information disclosed under APO in accordance with 19 CFR 351.305. Timely notification of return or destruction of APO materials or conversion to judicial protective order is hereby requested. Failure to comply with the regulations and the terms of an APO is a sanctionable violation. This determination is issued and published in accordance with sections 735(d) and 777(i)(1) of the Act. Dated: February 3, 2005. Barbara E. Tillman, Acting Assistant Secretary for Import Administration. Appendix Comment 1: Treatment of Mixed Packages Comment 2: Calculation of the Surrogate Financial Ratios Comment 3: Request for Initiation of Circumvention Inquiry Comment 4: Section A Rate—Max Fortune Industrial Limited (''Max Fortune'') Comment 5: Section A Rate—Hunan Winco Light Industry Product Import & Export Co. Ltd. (''Hunan Winco'') [FR Doc. E5–595 Filed 2–11–05; 8:45 am] BILLING CODE 3510–DS–P DEPARTMENT OF COMMERCE International Trade Administration [C–357–813] Notice of Extension of Time Limit for Final Results of Countervailing Duty Administrative Review: Honey From Argentina AGENCY: Import Administration, International Trade Administration, U.S. Department of Commerce. Frm 00011 Fmt 4703 Sfmt 4703 E:\FR\FM\14FEN1.SGM 14FEN1
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These are very common issues to be facing, so don't worry about feeling like you're doing something wrong. The truth is, even if you have a stellar marketing plan in place and are consistent with your promotion strategy... it still might not be enough. People don't want to feel like they're being sold, and they're more aware of this than ever before. In today's world -- with mega marketing around every corner -- it can be hard to attract the right client, even if your product is truly top-notch. On top of that, people get very easily distracted, and lose interest at an alarming rate. But this doesn't have to be a constant uphill battle for you. The same tech that's oversaturated the marketing industry and left your clients with the attention span of goldfish is something you can use to your advantage. Social media is one of the greatest assets in network marketing to have ever hit the scene -- and once you know how to use it properly, both profit and fun are going to skyrocket! 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It's a simple set of straightforward and practical techniques that will help you relate to people on a very human level. Once trust is built and you understand how to maintain a good rapport, your business will grow all on its own. So what are you waiting for? If you're ready to leave the sleepless nights behind for good, and begin reeling in the profits you've always dreamed of, then scroll up and click the "Add to Cart" button right now. Romi shares exactly how she talked her way into a Seven-Figure network marketing business and how you can too. You'll learn: The Posture to confidently connect with anyone about your business and your products.The Possibilities for a lucrative, efficient and enormously fun turn-key businessThe Power that's already within you to build the life you really want'if you dare.Romi Neustadt is a former corporate chick (lawyer, PR executive) who traded in the billable hour for time and money freedom. She's built a 7-figure business that allows her and her husband John and two kids to LiveFullOut. And she's devoted to helping others design the lives they really want too! Everyone wants to be successful—and today's youth are no exception. After the massive success of Jack Canfield's The Success Principles, thousands of requests came rushing in to develop the most important success strategies for today's teenagers. Their calls have been answered. Even though many teens are urged to get good grades, many feel lost when it comes to setting powerful goals and creating the life they really want. Jack Canfield, cocreator of the famed Chicken Soup for the Soul series has teamed up with successful author and young entrepreneur Kent Healy to design a fun and engaging teen-friendly book that offers the timeless information and inspiration to get from where you are to where you really want to be. The Success Principles for Teens is a roadmap for every young person. It doesn't matter if your goal is to become a better student or athlete, start a business, make millions of dollars, or simply find guidance and direction, the principles in this book always work, if you work the principles. This is not merely a collection of "good ideas." This book includes twenty-three of the most important success strategies used by thousands of exceptional young people throughout history. With the right tools, anyone can be successful. This book will give teens the courage and the heart to get started and get ahead. NETWORK MARKETING SECRETS REVEALED! Learn the Best Strategies from REAL Network Marketing Professional! Finally, Go Pro with this Network Marketing Blueprint!Here is some of what you will be learning... Why Networking Marketing is NOT A SCAM and How it Can Be the Best Way to Become Financially Free! The Reasons Why So Many Are Using Network Marketing as a Retirement Plan B The Most Important Tips to Know from Real Network Marketing Experts! How to Commit to Winning, Every Single Time Learn the True Art of Prospecting and Inviting FREE 7 Step Presentation Tool How to Effectively Use Social Media and Email and Sign New People Everyday Fortune is in the Follow Up... Learn to Make the Most of the Follow Up! Discover the Real Reason People FAIL in Network Marketing and MLM Learn to Be Leader and Handle Reservedtags: network marketing, network marketing book, network marketing strategies, mlm, multilevel marketing, mlm book, entrepreneur, work from home, home based business Shoot, edit, and share action-packed video with a GoPro The world moves fast—so if you want to capture it in real time, only a fast-moving camera will do. Enter the GoPro! This small but powerful camera is easy to hold, wear, or mount to capture video of all your high-speed adventures. Unfortunately, to the uninitiated, it can be a bit intimidating—but fear not! With the help of this revised edition of GoPro Cameras For Dummies, you'll acquire the skills needed to shoot high-quality video or photos, edit raw footage into a final masterpiece, and share your GoPro works of art with the world. Compared with traditional digital video devices, the GoPro is a superhero. Okay, so it can't scale high rises, but it can go virtually anywhere and produce thrilling new perspectives of an epic slalom down the slopes or awesomely scenic hike—and everything in between. When still photos simply won't do the trick, GoPro Cameras For Dummies shows you step by step how to use your GoPro camera to make movies, work with available light, create time-lapse sequences, and so much more. Meet the full line of GoPro cameras, including the HERO5, and find the one that's right for you Get help setting your GoPro to shoot better video Discover what you need (or don't need) to shoot in the water Find step-by-step guidance for capturing better sound Edit your work like a GoPro guru Packed with full-color photos and updated to cover the latest GoPro cameras and software, this fun and accessible guide is a gadget lover's dream. From Chris Widener, the author of the breakout bestseller The Angel Inside, comes an inspiring new parable on the power of influence. The Art of Influence will make you think twice about everything you've ever learned about influence. As Chris Widener's inspiring story reveals, it's not something you "do" to other people but rather something that starts with how you shape and transform your own life. Forget about manipulation and slick fast-talking; The Art of Influence teaches that your ability to influence others begins from within. MLM Survival Guide: How to Survive in the Network Marketing Jungle MLM is not an easy road to walk on and there will be many obstacles along the way. That is why choosing the RIGHT company is of utmost importance as the journey of a thousand miles begin with the first step so I hope everyone reading this will take the first step in the RIGHT direction. Regardless of success or failure, MLM is a journey worth traveling on because of the things you will learn along the way. It is priceless. It is with my sincerest wishes that all who read this book would achieve tremendous success in the MLM journey. Buy Now and achieve Any Rejection with Ease! Much, much more! More info can be found here: http://kellycruze.com/www.kellycruze.com (c) 2015 Great Reads Publishing, LLC - All Rights tremendous success in the MLM journey! Tags: mlm, network marketing, mlm marketing, mlm business, marketing, mlm companies, multilevel, business opportunities. Instantly Get Paid 48 Times A Day! Go to: getpaid48timesaday.com What if there was a secret road or a less traveled pathway to your dreams? One that was 100 times shorter and one that required little-to-no struggle? What if this path became ridiculously obvious once someone pointed it out? Sometimes by simply shifting your viewpoint, invisible things will become visible and new opportunities to rapidly reach your dreams will appear. Have you ever noticed that breakthroughs in business are occurring at light speed all around us as a result of entrepreneurs that have chosen to see the world through a different set of lenses? In Better Than Beach Money, Jordan Adler shares real life stories that will help you to view your life from a different angle. From this new point of view, you will discover roads and pathways, and see opportunities that can cause your dreams to materialize almost instantaneously. You will realize that you don't have to wait. You can begin to stray from that long, tedious path to achieving your goals and embrace a new way that can take you there much quicker. Most personal development trainers and efficiency experts propose writing down your dreams and taking daily action towards them. Sounds logical; this is a linear and very human process. But our brains don't exactly work in this way when it comes to attaining our dreams. Our dreams rarely come to us in a linear fashion. Our dreams happen quickly once we meet the right people, shift our perspective and open our minds to the quantum growth opportunities that are all around us. Better than Beach Money can take you there. Over twenty years ago, Worre began focusing on developing the skills to become a network marketing expert. Now he shares his wisdom in a guide that will ignite your passion for this profession and help you make the decision to create the life of your dreams. He shows you how to find prospects, present your product, help them become customers or distributors, and much more. One tiny story ... changes everything. A ten-second story equals the impact of 1,000 facts. Now we can use micro-stories to communicate our network marketing message in just seconds. Our prospect becomes involved in the story, and instantly sees what we see. And isn't that what we want? Forget the flip chart, the presentation book, the website, the PowerPoint, and the video. Instead, use stories to get that "Yes" decision now. Later we can do our boring, fact-filled presentation. As an added bonus, stories answer objections. No more frustration or push-back from negative prospects. And of course, stories are easy to remember, both for us and our prospect. Here are the actual stories I use, word-for-word. Join the top earners now and become a professional storyteller. Order your copy now and start enjoying some great MLM and network marketing stories to move your business forward. The key to rising to the top of your company lies in a simple message and philosophy. The ultimate inspirational story for ambitious innovators, market-disruptors, and global business entrepreneurs. Celebrating DHL's fiftieth anniversary as a world-leading delivery company, global CEO Ken Allen tells the unique story of his journey to the top of the industry. In this business memoir, he shares the strategies and skills he has developed throughout his career, drawing on both his core values and extensive experience. This book is an inimitable guide to succeeding in any business, focusing on strategy and practical advice while revealing the simple lessons you need to learn to excel in life and work. It is an accessible read for entrepreneurs and managers at any stage of their career, packed with motivational material and no-nonsense tips. This simple and honest book is a must-have for anyone looking to reach the top of their field. Best-selling author Adam Freeman explains how to get the most from Go, starting from the basics and building up to the most advanced and sophisticated features. You will learn how Go builds on a simple and consistent type system to create a comprehensive and productive development experience that produces fast and robust applications that run across platforms. Go, also known as Golang, is the concise and efficient programming language designed by Google for creating high-performance, cross-platform applications. Go combines strong static types with simple syntax and a comprehensive standard library to increase programmer productivity, while still supporting features such as concurrent/parallel programming. Each topic is covered in a clear, concise, no-nonsense approach that is packed with the details you need to learn to be truly effective. Chapters include common problems and how to avoid them. What You Will Learn Gain a solid understanding of the Go language and tools Gain in-depth knowledge of the Go standard library Use Go for concurrent/parallel tasks Use Go for client- and server-side development Who This Book Is For Experienced developers who want to use Go to create applications A network marketing network marketing tips, network marketing, what is network marketing, multilevel marketing, multi level legend, Anthony Powell started in the industry at the age of 19 and by the time he was 26 years old, was eventually became one of the top earners. As a result of his leadership, many of those he's coached have gone on to become multiple 6 and 7 figure earners in the industry. If you're looking to go to the next level, here's your chance to work with a living legend. When you subtract the amount of hours you sleep, work, and commute, you probably don't have more than one or two hours a day to do what you would like to do and that's if you have the money to do it. Don Failla has been teaching his simple network marketing method which allows anyone to learn how to own his or her life by building a home-based business. It doesn't require selling, and the best part is, it won't take much of your time. The 45-Second Presentation That Will Change Your Life is a virtual training manual on network marketing, designed to teach you a step-by-step plan for building a profitable, sustainable network marketing business. Network marketing is a system for distributing goods and services through networks of independent distributors. This guide not only unlocks the secrets of successful network marketing, but it provides the method to sponsor people in your organization using Failla's 45-Second Presentation. With nearly four decades' worth of instructions and insights from Failla, The 45-Second Presentation That Will Change Your Life provides you with the essentials for building and maintaining your lucrative home business. No Good Deed Goes Unpunished. When he agrees to do a favor for his old friend Liz Carey in Corporate Fraud, Para-investigator Val Toreth is hoping for a simple case. After all, kidnapping and dismemberment are all in a day's work for the Investigation and Interrogation Division. But in the European Administration, simplicity is often a dangerous illusion, and anyone who goes looking for trouble in the corporate world is certain to find more than they bargained for. Fraud, sabotage, espionage, blackmail, decades-long vendettas, and murder--the more powerful the corporations, the darker their secrets. Corporate insiders and innocent bystanders alike are all too easily caught up in the conflicts, but when suspects can hide behind money and power, what chance is there of any justice? And on top of everything else, Toreth also has to deal with Keir Warrick. But that's easy. That's just sex. The sequel to Mind Fuck, this second book in the Administration series contains the novella Quid Pro Quo, as well as five short stories set in the near future dystopia of New London and centered around professional investigator and interrogator Val Toreth, and technical genius turned corporate Keir Warrick. If you want to be among the top 1% people, you must do what the top 1% people do. People come into network marketing because they believe they can fulfil their dreams faster here. But many are not able to achieve their dream income and lifestyle in spite of many years of hard work, commitment and motivation. What they lack is the right knowledge, skills, techniques and tools for success. This one of its kind guidebook will teach you everything you need to know to be a top achiever in any network marketing company with any product or income plan. This book will give amazing results to everyone—professionals, business owners, employees, students, retired people or housewives. If you want to be the best, learn from the best. This book is written by an iconic name in the direct selling industry, Deepak Bajaj, who became a multi-millionaire himself and has helped thousands of people become millionaires by using the principles and techniques detailed in this book. Be a network marketing millionaire will teach you how to: establish a new, more empowering belief system multiply your income and team size ten times in record time create a Duplication system for a lifelong passive income secret techniques to make a never-ending prospect list use effective social media strategy for big success put in place a 90-day game plan to turn your business around forever build your personal brand to pull the right people towards you how to invite people without affecting relationships how to build leaders within your team...And much more. Over twenty years ago at a company convention, Eric Worre had an aha moment that changed his life forever. At that event he made the decision to Go Pro and become a Network Marketing expert. Since that time, he has focused on developing the skills to do just that. In doing so, Eric has touched and been touched by hundreds of thousands of people around the world. Now he shares his wisdom in a guide that will ignite your passion for this profession and help you make the decision to Go Pro and create the life of your dreams. A contemporary approach to network marketing—from the author of the million-copy bestseller, Your First Year in Network Marketing This is a book about reality—an unpleasant reality that no one seems to want to address. A large number of the population was hit with substantial loss of income and savings during the recent economic meltdown. Many feel that they have no way to build back their savings in order to retire comfortably and securely. Many now believe that there financially retired. Anthony built one of the largest international organizations in the industry and just isn't enough time left to turn it around. How to Become Filthy, Stinking Rich Through Network opportunities and so many millions caught in the financial meltdown, there has never been a more important time for due diligence and a proven path to follow. In How to Become Filthy, Stinking Rich Through Network Marketing you will learn how to: Select the right networking company based on expert advice and solid criteria Thrive as an entrepreneur Deal with fear, rejection, inertia, and naysayers Build professional habits that drive success Lead, motivate, and serve your team Recruit with rejection-free strategies Learn how to develop an entrepreneurial spirit through network marketing in order to build dramatic prosperity today. How to Keep the Dream Alive! Network marketing is one of the fastestgrowing career opportunities in the United States. Millions of people just like you have abandoned deadend jobs for the chance to achieve the dream of growing their own businesses. What many of them find, however, is that the first year in network marketing is often the most challenging—and, for some, the most discouraging. Here, Mark Yarnell and Rene Reid Yarnell, two of the industry's most respected and successful professionals, offer you strategies on how to overcome those first-year obstacles and position yourself for lifelong success. The Yarnells provide you with a wealth of savvy advice on everything you need to know to succeed in network marketing, such as proven systems for recruiting, training, growing and supporting your downline, and much more. In an easy, step-by-step approach, you will learn how to: ·Deal with rejection ·Recruit and train ·Avoid overmanaging your downline ·Remain focused ·Stay enthusiastic ·Avoid unrealistic expectations ·Conduct those in-home meetings ·Ease out of another profession You owe it to yourself to read this inspiring book! "This will be the Bible of Network Marketing." — Doug Wead, former special assistant to the president, the Bush Administration This is the definitive guide to starting a business for all entrepreneurs. This book reveals what it is really like to start up your own business and explains how you can make it happen. It is jam-packed with practical advice and has extensive real life examples. Author, David Lester, is perfectly placed to write this book: himself a serial entrepreneur, he started his first business aged 22 and sold it for millions before he was 30. This guide that will prove invaluable to anyone who is thinking of starting their own business. Unravel the mystery around creating a large residual income in network marketing! Have you ever wondered if the average person can really make it big in network marketing? Have the secrets to success in network marketing always been a mystery to you? Have you given up on your dream lifestyle because it just seems too difficult or too far out of reach? Beach Money shows you how to compress a 30-year career into 3 to 5 years, design your life around your free time instead of around your work schedule, and turn your yearly income into your monthly income! Want to get your MLM and network marketing prospects to beg you for a presentation by using Ice Breakers? You can turn any warm or cold prospect into a hot prospect, wanting to know all about your business. How? By learning how to effectively introduce your business into a social conversation with an easy, rejection-free sequence of just a few words. Prospects want what you have to offer, but they are afraid of someone selling them. However, prospects love to buy and join. So why not use socially acceptable word sequences that compel any prospect to literally beg you for a presentation? This book contains several effective formulas with many examples of each formula that you can use or modify. Once we know how the formulas work, we can create unlimited Ice Breakers ondemand to use and pass on to our downline. Your distributors will no longer be afraid of prospecting; instead, they will love prospecting. It is much more fun when we are in control. Distributors want to work hard, but just don't know what to say. Their opening random remarks ruin their chances and they suffer bad experiences. That experience trains them to avoid prospecting. But with trained words and phrases, everything changes. Quick and positive results. Prospecting is fun again. Enjoy learning how to prospect negative people, positive people, relatives, co-workers, strangers, leads, cold prospects ... anyone, by using fun Ice Breakers that even the prospects enjoy. Spend the entire week giving presentations, instead of spending the entire week looking for someone to talk to. And never again will you have to hear one of your distributors complain, "I just don't have anyone to talk to." Ice Breakers are the best way to energize your MLM and network marketing business. Order your copy now! What is the one quality that all successful people have in common? They have mastered the art of dealing with people! Let this book show you how to: Achieve your goals Handle the human ego Become a master conversationalist Make others feel good about themselves And much more! Skill with people is the one essential ingredient for Marketing is for those who refuse to accept this nonsense. With such a confusing array of home business success and happiness at home and in business. "The Art of Dealing With People" gives you the skills to skill in any other field, in that success depends on understanding and mastering certain basic general principles. You must not only know what to do, but why you're doing it. As far as basic principles are concerned, people are all the same. Yet each individual person you meet is different. If you attempted to learn some gimmick to deal successfully with each separate individual you met, you would be face with a hopeless task. Influencing people is an art, not a gimmick. When you apply gimmicks in a superficial, mechanical manner, you go through the same motions as the person who "has a way," but it doesn't work for you. The purpose of this book is to give you knowledge based upon an understanding of human nature: why people act the way they do. The methods presented in this book have been tested on thousands of people who have attended my human relations seminars. They are not just my pet ideas of how you should deal with people, but ideas that have stood the test of how you must deal with people. That is, if you want to get along with them and get what you want at the same time. Yes, we all want success and happiness. And the day is long past, if it ever existed, when you could achieve these goals by forcing people to give you what you want. And begging is no better, for no one has respect for, or any desire to help, the person who constantly kowtows and literally goes around with his hand out, begging other people to like him. The one successful way to get the things you want from life is to acquire skill in dealing with people. Download now and you will learn how. The story of Pandora and her box, snakehaired Medusa, and the greedy King Midas are three of the twelve myths presented in a colorfully illustrated collection of Greek myths. Brian Carruthers has built one of the largest, most profitable downline teams in all of network marketing in the last decade. His success system helped his team grow to more than 350,000 distributors, including countless stories of lives being changed for the better by the incomes generated. Beyond the surface success of gaining wealth and living the dream lifestyle as an eight-figure income earner, Brian's alignment of personal goals with a greater purpose of helping to change lives has fueled his passion for this profession. Brian pours nearly 20 years of knowledge, experience, and wisdom from being in the field working with thousands of distributors into this groundbreaking book. Use it as your comprehensive manual/guidebook and you will save yourself from going down the wrong paths, avoid the pitfalls that stop many networkers in their journeys, and cut years off your learning curve. Applying the wisdom from this book will make you more effective, more profitable, and you will have more fun on your rise to the top while you are Building Your Empire! A self-made millionaire shows you how to make millions while living life on your own terms At just eighteen years old, Matt Morris founded his first marketing business. At twenty, he dropped out of college to pursue business full-time. At twenty-one, he was homeless and deeply in debt, living out of his car. It was then that he made a life-changing decision to re-invent himself and his career. By twenty-nine, Matt was a self-made millionaire. How did he do it? In The Unemployed Millionaire, Morris reveals how he turned his life around and shatters the myth that it takes money to make money. Thanks to the Internet explosion and the ease of global trade, it is possible for anyone to start a business and market their products worldwide to millions of customers. Here, Morris unlocks the secrets and provides you with the specific moneymaking formula he used to turn his ideas into a fortune. Equips you with a step-by-step formula for turning your great idea into a million-dollar business in as little as twelve months Proves you don't have to be smart, lucky, or rich to make millions Gives you the specific success principles all millionaires follow Author Matt Morris is an internationally recognized speaker who selectively mentors other entrepreneurs, traveling the world, working very little, and earning millions in the process With a foreword by Les Brown, motivational speaker, bestselling author, and television personality If you're serious about earning millions without working your fingers to the bone, The Unemployed Millionaire gives you the powerful strategies needed to turn your dreams into a reality. Instant bonding, instant communication, and how to get your network marketing prospects to fully understand and act on your message = fun!This is the most fun of the 25 skills of network marketing. Our prospects have a different point-of-view than we do. So how do we give them our message in a way they ¿get it" and enjoy it?By quickly identifying their color personality.This isn¿t a boring research textbook on the four different personalities. This book is a fun, easy way to know how your prospects think, and the precise magic words to say to each of the four personalities. The results are stunning. Shy distributors become confident take your people skills to a level that you never thought possible! Skill in human relations is similar to when they understand how their prospects think. Experienced distributors have short conversations that get prospects to join immediately.Why be frustrated with prospects? Instead, quickly discover the four personalities in a fun way that you will always remember. You will enjoy observing and analyzing your friends, co-workers and relatives, and you'll see the way they see the world. It feels like you have 3-D glasses in your network marketing career.Of the 25 skills, this is the first skill that new distributors should learn. Why? It gives new distributors instant confidence. It eliminates rejection. It helps prospects listen with open minds.It gets instant results. What could be better than that?You won¿t have to look for great prospects when you know the four color personalities. You will have the ability to turn ordinary people into hot prospects by knowing their color personality and by saying the right words.By using humorous, slightly exaggerated examples of the four personality traits, you will remember and use this skill immediately. Life is more fun when you are the only one with the 3-D glasses.This is the one skill that you'll use every day for the rest of your life!Get ready to smile and achieve quicker rapport and results. How to Become a Network Marketing ROCK STAR Not every prospect joins right away. They have to think it over, review the material, or get another opinion. This is frustrating if we are afraid to follow up with prospects. What can we do to make our follow-up efforts effective and rejection-free? How do we maintain posture with skeptical prospects? What can we say to turn simple objections into easy decisions for our prospects? Procrastination stops and fear evaporates when we have the correct follow-up skills. No more dreading the telephone. Prospects will return our telephone calls. And now, we can look forward to easy, bonded conversations with prospects who love us. Prospects want a better life. They are desperately searching for: 1. Someone to follow. 2. Someone who knows where they are going. 3. Someone who has the skills to get there. We have the opportunity to be that guiding light for our prospects. When we give our prospects instant confidence, contacting our prospects again becomes fun, both for the prospects and for us. 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Parus Fund PLC Summary The Fund promotes Environmental/Social (E/S) characteristics, but does not have as its objective sustainable investment. It aims to have a portfolio that results in a lower environmental footprint, not investing in companies with questionable corporate governance or poor moral practices and excluding companies that derive the majority of their revenue from illegal or nuclear weapons, adult entertainment, manufacturing of tobacco products or thermal coal, achieved by active management and integrating sustainability criteria into the investment process. Equities in which the fund invests will be in line with the environmental and social characteristics promoted. The promoted characteristics are monitored and determined from various quantitative and qualitative methods, including but not limited to carbon intensity analysis, a proprietary scoring model, and ESG questionnaires. A range of third party data providers are utilised and relied upon, though the existence and reliability of such data is a limitation. The due diligence is conducted at pre investment stage and on an ongoing basis. The fund looks to engage with its investee companies with the use of ESG questionnaires, and is able to participate in proxy voting. No index has been designated as a reference benchmark to meet the environmental or social characteristics promoted. No sustainable investment objective The Fund promotes Environmental/Social (E/S) characteristics, but does not have as its objective sustainable investment. Environmental or social characteristics of the financial product The Fund promotes the following Environmental/Social (E/S) characteristics: 1. The Fund aims to have a portfolio that results in a lower environmental footprint than the investable universe, as measured by carbon intensity. 2. The Fund does not invest in companies with questionable corporate governance or poor moral practices. 3. The Fund does not invest in companies that derive the majority of their revenue from illegal or nuclear weapons, adult entertainment, manufacturing of tobacco products or thermal coal. Investment strategy The Fund is actively managed and promotes environmental and/or social characteristics by integrating sustainability criteria into the portfolio construction process. Proportion of investments The Company invests at least 50% of its portfolio in equities. The long equity portfolio of the Company will be in line with the environmental and social characteristics that it promotes. The remaining portion of assets may be in cash equivalents or short positions that are not used to attain the environmental and social characteristics. The Company does not commit to making any sustainable investments. Monitoring of environmental or social characteristics The following sustainability indicators are used to measure the attainment of the environmental or social characteristics promoted by the Fund: 1. The Fund portfolio having a lower environmental footprint than the investable universe, as measured by carbon intensity. 2. The Fund not investing in companies with questionable corporate governance or poor moral practices. 3. The Fund not investing in companies that derive the majority of their revenues, greater than 50%, from illegal or nuclear weapons, adult entertainment, manufacturing of tobacco products or thermal coal. Methodologies The Investment Manager monitors the carbon intensity data at the level of each investee company and the Fund's overall portfolio as against the investable universe. The environment is a critical element of the ESG research and monitoring this metric ensures that the investment process leads to positive, demonstrable and independent outcomes which can be monitored over time. The Investment Manager aims to ensure that the Fund's investee companies follow good governance practices. The Investment Manager engages directly with the investee companies in relation to their ESG policies including where the relevant information may not be readily available through external data providers and to give a more qualitative view on the company's commitment to ESG by issuing a periodic questionnaire to the Fund's investee companies. The questionnaire is also a tool to promote ESG disclosure and improvement of policies. The Investment Manager also utilises the Fund's voting rights as a tool to encourage investee companies to follow good governance practices. The Investment Manager uses an internal proprietary model to assess the Sustainability Factors as they apply to potential investee companies which includes an analysis of and periodic internal reporting on a company's disclosure, trends and comparisons to peers from company-reported metrics and integrates the assessment of potential investee companies by multiple third party specialist solutions. The model tracks a company's behaviour and progress from an ESG perspective. Low scoring companies can be flagged for further research, to identify the reason for this and to help the Investment Manager decide if it is comfortable for the fund to hold the position. The fundamental nature of the Investment Manager's research process leads to a deep understanding of a company's business, the products and services it provides, as well as its corporate culture. This also results in an understanding of the qualitative outlook of a company's Sustainability Risk and the impact of ESG events on a company. Alongside the data elements of the investment process, the qualitative part of the research process and questionnaires issued to the investee companies allow the Investment Manager to understand how companies perform on such factors. The combination of the proprietary scoring model, third party rankings, carbon intensity data and questionnaires result in ongoing monitoring of a range of criteria at an individual investment and portfolio level. This allows for development over time and for any issues to be highlighted, considered and addressed. Data sources and processing The Investment Manager uses various data sources to attain the environmental and social characteristics promoted. It currently uses data directly reported by investee companies, Sustainalytics (for Carbon Intensity data), Bloomberg (for raw data inputs into the proprietary model) and MSCI, RobecoSam and CDP (for third party inputs). Using a wide range of sources ensures data quality. Providers are reviewed regularly, and alternative providers are explored for comparison. Data comes in different forms. Some data is received directly via Bloomberg terminal, subscription data is received from the provider in the form of xls files and other data is accessed directly from websites containing the information or linking to reports. The Investment Manager does not estimate data. Some of the data providers do use estimated data within their own product, such as Sustainalytics that provide an estimated carbon intensity where data is unavailable. Limitations to methodologies and data The methods used to achieve the environmental and social characteristics promoted rely on both qualitative and quantitative analysis, where the data element is very important in the underlying process. Limitations come from the fact that we are still at an early stage of companies reporting appropriate data in a complete and consistent manner, such that sometimes data does not exist or cannot be relied upon. This is something that is considered within the broad analysis and built into the quantitative methods. These limitations are managed by the variety of data sources used throughout the analysis. Engagement policies give investee companies the ability to clarify or elaborate on topics which may not be clear from just looking at the data. The qualitative part of the analysis and deep understanding of the investee companies gives additional comfort, giving context to the raw data. Due Diligence The Investment Manager conducts due diligence at the pre investment stage as well as on an ongoing basis. On a monthly basis the Carbon Intensity of the portfolio is compared to the universe of data, select third party scores and changes are also monitored. On a quarterly basis the proprietary scoring model is updated. These elements are reported internally to the Investment Team and Compliance. The Investment Manager assesses the corporate governance and exposure to any excluded sectors as part of its ongoing qualitative analysis. Engagement policies The Investment Manager issues an annual questionnaire to each of the investee companies, which includes a range of questions, including questions on the company's ESG policy and efforts. This assists in cases where the information may not be readily available through external data providers and gives a more qualitative view on the company's commitment to ESG matters. If an issue is identified from the questionnaire, this would give the Investment Manager reason to follow up with the company. The questionnaire is also a tool used to promote ESG disclosure and the improvement of ESG policies. The Investment Manager is also able to proxy vote in respect of the investee companies, through an online proxy service. Designated reference benchmark for product that promote environmental or social characteristics website section No index has been designated as a reference benchmark to meet the environmental or social characteristics promoted by the financial product. Parus ICAV – Global Opportunities Fund Summary The Fund promotes Environmental/Social (E/S) characteristics, but does not have as its objective sustainable investment. It aims to have a portfolio that results in a lower environmental footprint, not investing in companies with questionable corporate governance or poor moral practices and excluding companies that derive the majority of their revenue from illegal or nuclear weapons, adult entertainment, manufacturing of tobacco products or thermal coal, achieved by active management and integrating sustainability criteria into the investment process. Equities in which the fund invests will be in line with the environmental and social characteristics promoted. The promoted characteristics are monitored and determined from various quantitative and qualitative methods, including but not limited to carbon intensity analysis, a proprietary scoring model, and ESG questionnaires. A range of third party data providers are utilised and relied upon, though the existence and reliability of such data is a limitation. The due diligence is conducted at pre investment stage and on an ongoing basis. The fund looks to engage with its investee companies with the use of ESG questionnaires, and is able to participate in proxy voting. No index has been designated as a reference benchmark to meet the environmental or social characteristics promoted. No sustainable investment objective The Fund promotes Environmental/Social (E/S) characteristics, but does not have as its objective sustainable investment Environmental or social characteristics of the financial product The Fund promotes the following Environmental/Social (E/S) characteristics: 1. The Fund aims to have a portfolio that results in a lower environmental footprint than the investable universe, as measured by carbon intensity. 2. The Fund does not invest in companies with questionable corporate governance or poor moral practices. 3. The Fund does not invest in companies that derive the majority of their revenue from illegal or nuclear weapons, adult entertainment, manufacturing of tobacco products or thermal coal. Investment strategy The Fund is actively managed and promotes environmental and/or social characteristics by integrating sustainability criteria into the portfolio construction process. Proportion of investments The Fund invests at least 70% of its portfolio in equities. The equities invested in by the Fund will be in line with the environmental and social characteristics that it promotes. The remaining portion of assets may be in cash equivalents that are not used to attain the environmental and social characteristics. The Fund does not commit to making any sustainable investments. Monitoring of environmental or social characteristics The following sustainability indicators are used to measure the attainment of the environmental or social characteristics promoted by the Fund: 1. The Fund portfolio having a lower environmental footprint than the investable universe, as measured by carbon intensity. 2. The Fund not investing in companies with questionable corporate governance or poor moral practices. 3. The Fund not investing in companies that derive the majority of their revenues, greater than 50%, from illegal or nuclear weapons, adult entertainment, manufacturing of tobacco products or thermal coal. Methodologies The Investment Manager monitors the carbon intensity data at the level of each investee company and the Fund's overall portfolio as against the investable universe. The environment is a critical element of the ESG research and monitoring this metric ensures that the investment process leads to positive, demonstrable and independent outcomes which can be monitored over time. The Investment Manager aims to ensure that the Fund's investee companies follow good governance practices. The Investment Manager engages directly with the investee companies in relation to their ESG policies including where the relevant information may not be readily available through external data providers and to give a more qualitative view on the company's commitment to ESG by issuing a periodic questionnaire to the Fund's investee companies. The questionnaire is also a tool to promote ESG disclosure and improvement of policies. The Investment Manager also utilises the Fund's voting rights as a tool to encourage investee companies to follow good governance practices. The Investment Manager uses an internal proprietary model to assess the Sustainability Factors as they apply to potential investee companies which includes an analysis of and periodic internal reporting on a company's disclosure, trends and comparisons to peers from company-reported metrics and integrates the assessment of potential investee companies by multiple third party specialist solutions. The model tracks a company's behaviour and progress from an ESG perspective. Low scoring companies can be flagged for further research, to identify the reason for this and to help the Investment Manager decide if it is comfortable for the fund to hold the position. The fundamental nature of the Investment Manager's research process leads to a deep understanding of a company's business, the products and services it provides, as well as its corporate culture. This also results in an understanding of the qualitative outlook of a company's Sustainability Risk and the impact of ESG events on a company. Alongside the data elements of the investment process, the qualitative part of the research process and questionnaires issued to the investee companies allow the Investment Manager to understand how companies perform on such factors. The combination of the proprietary scoring model, third party rankings, carbon intensity data and questionnaires result in ongoing monitoring of a range of criteria at an individual investment and portfolio level. This allows for development over time and for any issues to be highlighted, considered and addressed. Data sources and processing The Investment Manager uses various data sources to attain the environmental and social characteristics promoted. It currently uses data directly reported by investee companies, Sustainalytics (for Carbon Intensity data), Bloomberg (for raw data inputs into the proprietary model) and MSCI, RobecoSam and CDP (for third party inputs). Using a wide range of sources ensures data quality. Providers are reviewed regularly and alternative providers are explored for comparison. Data comes in different forms. Some data is received directly via Bloomberg terminal, subscription data is received from the provider in the form of xls files and other data is accessed directly from websites containing the information or linking to reports. The Investment Manager does not estimate data. Some of the data providers do use estimated data within their own product, such as Sustainalytics that provide an estimated carbon intensity where data is unavailable. Limitations to methodologies and data The methods used to achieve the environmental and social characteristics promoted rely on both qualitative and quantitative analysis, where the data element is very important in the underlying process. Limitations come from the fact that we are still at an early stage of companies reporting appropriate data in a complete and consistent manner, such that sometimes data does not exist or cannot be relied upon. This is something that is considered within the broad analysis and built into the quantitative methods. These limitations are managed by the variety of data sources used throughout the analysis. Engagement policies give investee companies the ability to clarify or elaborate on topics which may not be clear from just looking at the data. The qualitative part of the analysis and deep understanding of the investee companies gives additional comfort, giving context to the raw data. Due Diligence The Investment Manager conducts due diligence at the pre investment stage as well as on an ongoing basis. On a monthly basis the Carbon Intensity of the portfolio is compared to the universe of data, select third party scores and changes are also monitored. On a quarterly basis the proprietary scoring model is updated. These elements are reported internally to the Investment Team and Compliance. The Investment Manager assesses the corporate governance and exposure to any excluded sectors as part of its ongoing qualitative analysis. Engagement policies The Investment Manager issues an annual questionnaire to each of the investee companies, which includes a range of questions, including questions on the company's ESG policy and efforts. This assists in cases where the information may not be readily available through external data providers and gives a more qualitative view on the company's commitment to ESG matters. If an issue is identified from the questionnaire, this would give the Investment Manager reason to follow up with the company. The questionnaire is also a tool used to promote ESG disclosure and the improvement of ESG policies. The Investment Manager is also able to proxy vote in respect of the investee companies, through an online proxy service. Designated reference benchmark for product that promote environmental or social characteristics website section No index has been designated as a reference benchmark to meet the environmental or social characteristics promoted by the financial product. Parus Finance (UK) Limited Article 8 The Funds (Parus Fund PLC, InRIS Parus Fund and Parus Global Opportunities Fund) have been categorised as Article 8 fund under the SFDR, i.e. a fund that promotes environmental and/or social characteristics provided that the companies in which the investments are made follow good governance practices. Sustainability Criteria The Investment Manager seeks to achieve a positive environmental, social and governance ("ESG") outcome through the application of sustainability criteria to the Fund's portfolio. The Funds aim to have a portfolio that results in a lower environmental footprint than the investable universe, as measured by carbon intensity, whilst avoiding companies with questionable corporate governance of poor moral practices, as further described below. In addition, the Funds do not invest in companies that derive the majority of their revenues from illegal or nuclear weapons, adult entertainment, manufacturing of tobacco products or thermal coal. The Investment Manager monitors the carbon intensity data at the level of each investee company and the Fund's overall portfolio as against the investable universe. The environment is a critical element of the ESG research and monitoring this metric ensures that the investment process leads to positive, demonstrable and independent outcomes which can be monitored over time. The Investment Manager aims to ensure that the Fund's investee companies follow good governance practices. The Investment Manager engages directly with the investee companies in relation to their ESG policies including where the relevant information may not be readily available through external data providers and to give a more qualitative view on the company's commitment to ESG by issuing a periodic questionnaire to the Fund's investee companies. The questionnaire is also a tool to promote ESG disclosure and improvement of policies. The Investment Manager also utilises the Fund's voting rights as a tool to encourage investee companies to follow good governance practices. Information on integration of sustainability risks in investment decision making The Investment Manager has developed an ESG policy (available at www.parusfinance.com), to which it adheres, covering its principles, processes and initiatives. The Investment Manager uses an internal proprietary model to assess the Sustainability Factors as they apply to potential investee companies which includes an analysis of and periodic internal reporting on a company's disclosure, trends and comparisons to peers from company-reported metrics and integrates the assessment of potential investee companies by multiple third party specialist solutions. The model tracks a company's behaviour and progress from an ESG perspective. Low scoring companies can be flagged for further research, to identify the reason for this and to help the Investment Manager decide if it is comfortable holding the position. The fundamental nature of the Investment Manager's research process leads to a deep understanding of a company's business, the products and services it provides, as well as its corporate culture. This also results in an understanding of the qualitative outlook of a company's Sustainability Risk and the impact of ESG events on a company. Alongside the data elements of the investment process, the qualitative part of the research process and questionnaires issued to the investee companies allow the Investment Manager to understand how companies perform on such factors. The combination of the proprietary scoring model, third party rankings, carbon intensity data and questionnaires result in an ongoing monitoring of a range of criteria at an individual investment and portfolio level. This allows for development over time and for any issues to be highlighted, considered and addressed. Although the materialisation of a Sustainability Risk could potentially have a negative impact on the value of the Fund's Investments, the Investment Manager has determined that the likely impact on the returns of the Fund arising from Sustainability Risk is not significant. This is due to the comfort in the ESG practices of the investee companies achieved through the aforementioned research process carried out by the Investment Manager. The Investment Manager's assessment of Sustainability Risk is based on the information available to the Investment Manager and there can be no guarantee that the actual impact of the Sustainability Risk will not be significant. Principal adverse sustainability impacts statement This firm does not consider the adverse impacts of investment decisions on sustainability factors. Whilst the Investment Manager considers a broad range of quantitative environmental, social and governance factors in its investment decisions as described, at this point in time, Parus does not believe that there is the availability of sufficient reliable data to fully consider Principle Adverse Impact Indicators. The firm continues to review this statement and evaluate whether it will consider principal adverse impacts of its investment decisions on sustainability factors. EU Taxonomy While the Funds promote environmental and social characteristics within the meaning of Article 8 of the SFDR, they do not currently commit to investing in "sustainable investments" within the meaning of the SFDR. Accordingly, the alignment of the Fund's portfolio with the EU criteria for environmentally sustainable economic activities, as contained in the Taxonomy Regulation, is not calculated.
Guiding From School to Job Professionalism in the Work with Young People at Risk of Social Exclusion Compilation of Practice Examples for Guidance and for Training in Guidance Finland, France, Germany, Italy, United Kingdom (Working Materials WP 2) Bildungsmarkt vulkan gGmbH Stefan Knauer (Org.) Berlin September 06 Guiding From School to Job Professionalism in the Work With Young People at Risk of Social Exclusion "Leonardo Guiding" is a pilot project of 10 organisations from 8 different European countries. The project focuses on filling the need for education and training of pedagogical staff in vocational education programmes for young people at risk of social exclusion. The project responds to the specific need of vocational training staff for professional guidance and counselling skills. programme Throughout Europe, guidance and counselling systems have evolved and, with them, the quality standards which counsellors must fulfil. Guidance and counselling staff need professional skills to meet rising demands. The traditional roles of vocational education staff are changing, regardless of their individual function within their particular national support system – teacher, trainer, social worker, tutor. Pedagogy in the vocational training sector requires a range of guidance skills – counselling, identifying strengths and weaknesses, information management, etc. This is especially true in the work with young people who are between school and job and at risk of social exclusion. Their primary contact person remains the teacher or trainer. The basic and continuing education of vocational education staff does not sufficiently consider the teachers', trainers' and other support staff's need for guidance skills to meet the individual needs of the young people they serve. The project began in October 2005 and will run until September 2007. The project "Guiding" shall result in: 1. A comparative survey of counselling, guidance and orientation systems in the partner countries represented in the project 3. The definition of competencies needed for good practice in guidance training and guidance for young people on their way from school to work 2. A compilation of good practice examples in guidance and training in guidance from the different partner countries 4. A model of variables to aid the effective transfer of practices from one country to another This project has been funded with support from the European Commission. This publication [communication] reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein Partner Organisations: Bildungsmarkt vulkan gGmbH – Berlin / D Non-profit training company Fachhochschule Potsdam (FHP), Fachbereich Sozialwesen – Potsdam / D University of Applied Sciences, Department of Social Work Gesellschaft für berufsbildende Maßnahmen (GFBM) e.V. – Berlin / D Non-profit training company Jyväskylän ammattikorkeakoulu Sosiaali- ja terveysala, Sosiaalialan koulutusohjelma Jyväskylä University of Applied Sciences, School of Health and Social Studies École Supérieure de Travail Social (ETSUP) – Paris / F Superior School of Social Work Ass For Seo srl. – Roma / I Non-profit training company Hogeschool van Amsterdam (HvA), Instituut Hoger Juridisch Onderwijs / NL University of Amsterdam, School of Law Europejskie Centrum Edukacyjne w Opolu sp. z.o o. (ECEO) – Opole / PL European Centre for Education; Non-profit training company Farkom Ltd. – Istanbul / TR Training company University of London, Institute of Education (IoE) – London / GB Contents: 1 Guidance Practice - Finland Preamble In Finland four different guidance practices were chosen by the colleagues Raija Lundahl, Eero Tapaninen, Vesa Kuhanen and Timo Hintikka) to be presented. One of the central selection criteria was to find new, good practices different from old ones. The purpose was to apply the chosen practices to the realisation of studies in the Degree Programme in Social Services. Some of the best practices are wellestablished (eg. ADHD Coaching) whereas some of the methods presented have locally generated new practices (e.g. Your Own Life in Hand). In the practices the main emphasis lies on education and the condition of the young person. The industry, and the employers in particular, are given less weight in the discussion. First and foremost, the best practices generated by the projects included in the early rehabilitation trial for adolescents, are described along with an ideal model based on the practical experiences resulting from that rehabilitation trial for the prevention of youths being excluded from society. The target group of the trial was made up of 15 to 17 year olds, who had dropped out of comprehensive school or vocational education, or who evidently were at risk of quitting their studies, or who had completed comprehensive school with low grades. In the presentation of the rehabilitation trial, a summary was given of the survey commissioned by The Ministry of Social Affairs and Health, An Evaluation of the Early Rehabilitation Trial for Adolescents, Your Own Life in Hand (Asko Suikkanen & Sirpa Martti & Ritva Linnakangas 2004). Another guidance practice to be presented is the ADHD Coaching Method, the purpose of which is to strengthen young people's readiness to life command, to facilitate one´s education, and to support their studies and careers in the industry. The ADHD coach is a specially trained professional of Health and Social Care. The third example summarises the starting points for educating and integrating young immigrants in Finland. It also presents the AMMA Project of the University of Helsinki. The purpose of this project was to inform young people of studying, to reduce the number of those quitting their studies, to increase the number of those getting better grades, and to help young people find good jobs. The quality requirements most essential to the best practices presented are attached to every practice. Finally, the information and counselling services for young people are presented. These services included in youth work are web-based and open to all young people. Young people can, individually, solve their problems by means of various devices (brochures, guides, the Internet), or receive personal counselling (face to face talks, telephone calls). Information and guidance may contribute to young people achieving their goals in the industry and in their private lives alike, and also, to their participation in social activities. At the moment there are about 30 information and counselling offices run by municipalities or organisations in Finland. In the near future all young people in Finland should have access to information and guidance services. The Ministry of Education will provide financial aid to municipalities and organisations for the organisation of these services. 1.1 Good practice example 1 - "Homma Hanskaan" - "Your Own Life in Hand" (Evaluation of an early rehabilitation trial for adolescents 2001-2003) 1.1.1 Introduction The working group Active Social Policy proposed in its memorandum a trial with three-year early rehabilitation for 15-17 year olds at serious risk of social exclusion. The Social Insurance Institution put the proposal into effect by arranging, together with the municipal education, youth, employment, social and health administrations, a rehabilitation trial for adolescents (2001-2003) including 18 projects in Finland. The target group of the trial was young people who had dropped out of comprehensive school or vocational education or who obviously would have quit their studies or completed comprehensive school with low grades. One objective of the trial was to develop and disseminate such good models of co-operation and action in which the services provided by municipalities and the possibilities of the Social Insurance Institution's rehabilitation trial are combined. Furthermore, the trial was aimed to survey the need for legislative reforms of operations and financing that would contribute to creating a permanent service model for young people at risk of social exclusion. The rehabilitation trial for adolescents has aimed at preventing young people from being socially excluded, or at stopping a downward spiral of exclusion already started with the help of multiprofessional co-operation between diverse actors. 1.1.2 Best Practices of "Your Own Life in Hand" , an Early Rehabilitation Trial for Adolescents Interest Group Co-operation (the Vapa Project) - Sidosryhmäyhteistyö The primary objective of the project is to make young people interested in educating themselves, and to support them in their comprehensive school studies and vocational studies. Long-term co-operation with the local social and health administration, employment authorities, and the Social Insurance Institution makes it also easier to discuss delicate matters. Other Good Practices of the Vapa Project - Muut hyvät käytännöt Vapassa * Individual guidance Young people are all the time under the so called watchful eye, which makes it possible to immediately intervene in problems that have come up. If needed, the coach has time to discuss the things bothering the young person. Learning at work Work is used as a tool to boost a young person's self-respect. Young people get individual counselling at the workshops. The counsellor guides and assists them in performing their duties. The continuous feedback by the instructors makes it possible Leonardo Guiding for young people to follow up their own development, and also, to find their own needs for development. Young people like practical work, and very often learning takes place "just like that". Through the workshop method, young people learn normal rules valid in the industry. Co-operation with Parents (The Project Let's Think It Over) - Yhteistyö vanhempien kanssa (Kelataan kimpassa -projekti) The project aims at creating individual, sufficiently supported routes via education and continuing education to the industry with the help of developing life command skills, promoting learner self-respect, and the common conditions for studying. The project has particularly generated experiences from the co-operation between schools and parents for the purpose of supporting young people as learners. Support Persons' Group (The Future Project) - Ryhmätukihenkilötoiminta (Futuuri-projekti) The project aims at finding new ways of supporting young people at risk of social exclusion including their families. Furthermore, it tries to develop co-operation between the various actors so that young people could be supported with multiprofessional collaboration shared by all the actors. Simultaneously, the group will try to make the actors co-operate in a more consistent and holistic way. The experiences had from the support persons' group are positive and encouraging. It seems that this kind of activity is particularly suited to giving support to young people suffering from insecurity and abandonment. The support person takes the role of a safe adult earlier non-existent in the young person's life. The support persons exchange ideas and experiences, thus acting as supervisors to each other. Another advantage is that all the support persons try to achieve the same objective, and the young people needing support share the same kind of conditions. Screening for the Young People at Risk of Social Exclusion and Making Use of Local Services (The My Thing Project) - Syrjäytymisvaarassa olevien nuorten seulominen ja paikallisen palvelurakenteen hyödyntäminen (Mun Juttu projekti) The project Social Rehabilitation for Adolescents. A joint project of the municipalities of Pudasjärvi, Posio and Ranua in co-operation with The Merikoski Rehabilitation and Research Centre. The aim of work at the transition point: Proactive work and early intervention in young people's poor performances at school, underachievement, being socially misfit, or defective support networks including guidance to those starting vocational education after the basic education. The project also includes intensified vocational guidance, careers counselling, and trials and visits. This will ensure that young people know about their future study place. A significant strength of My Thing is linked to the organisation of project work as part of the current service structures in the municipalities. The municipalities have managed to implement a dense sieve to find those at risk of social exclusion. The multiprofessional networks of co-operation have become local expert groups of rehabilitation for young people. The experience had is valuable information for other projects as well, especially for those giving support to young people in remote regions. Self-evaluation was focused on this multiprofessional co-operation and pairwork practise in the Ranua and Posio projects. The Follow-up of Pupils After Comprehensive School/Transition to Vocational Education - Oppilaiden seuranta peruskoulun jälkeen/ niveltäminen toisen asteen suuntaan (Mun Juttu -projekti) A young person at risk of social exclusion needs long-term care from the last three years of comprehensive school to vocational studies. The co-operation between comprehensive school and vocational education presupposes a new culture including continuous effort to support young people. In Pudasjärvi, the transition from comprehensive school to vocational education has, for years, been developed in cooperation deepened in the course of the rehabilitation trial for adolescents. In the Pudasjärvi project, self-evaluation was focused on the transition to vocational studies. Special Services in Rehabilitation for Young People (The My Thing Project) Erityispalvelut nuoren kuntoutuksessa (Mun Juttu -projekti) In the My Thing Project young people have been able to participate in a vocational guidance period at the Merikoski Rehabilitation and Research Centre in Oulu. There young people's vocational specialisation has received both individual and group support. This has aimed at arousing young people's motivation for vocational education. During the period, a young person has been given appointments with a doctor (the importance of health to choosing a career), a psychologist/neuropsychologist (learning conditions), and psychiatrist (survey of psychic resources). Furthermore, a young person has been given personal counsellors from the multiprofessional rehabilitation group for the purpose of analysing his/her condition. After the period, the research results have been made use of in meetings with families and the network. Applying the "Supported Employment Model" and Close Relations with the Working Life - "Tuetun työn" -mallin soveltaminen ja tiiviit yhteydet työelämään ( 10-paja –projekti) The Project 10 Workshop aims at making young people with low grades in comprehensive school either promote their facilities for continuing studies (e.g. by improving grades), and seek vocational studies and adopt the supported employment model, and finally, through advanced apprenticeship contract, find a job in the free labour market. The project has good experiences from the application of a supported employment model and the vocational tenth grade in a versatile way. This activity is characterised by practical work and strong ties with the industry and business companies. Besides young people, the project workers also train work places to adapt to a new situation. This practice could also have a wider coverage in the projects to support young people's practical training periods. Time –Time for Working and Being With a Young Person, Time for a Young Person's Inner Growth (The NuJu Project) - Aika - aikaa nuoren kanssa työskentelyyn ja nuoren kanssa olemiseen, aikaa nuoren sisäiselle kasvulla (NuJu-projekti) The project Young People's Thing aims at motivating young people to control their own lives, to vocationally rehabilitate themselves, giving support to young people trying to control their own lives and implementing their own plans for vocational rehabilitation, and generating a model for the early rehabilitation of young people. In The NUju Project a rather good practice means that an adult person spends time with a young person, not necessarily trying to solve a problem, but doing something., and also, time for frequent house calls without any hurry. A young person needs an individual amount of time for letting an adult person come near him/her to open out to the adult. It is not possible to approach a young person just like that and start to attend to his/her matters. On the contrary, a young person lets an adult to come close or the other way round. This process like a young person's own process of growth and maturation cannot be hurried. Problems accumulated in the course of many years will not be quickly solved. 1.1.3 What Kind of Methods Should Be Learnt? – Developmental Needs Generated by the Project 1. Making Use of the Expertise of the Guiding KENOCounselling and Working Group Local guidance groups have become significant expert groups for young people's rehabilitation in the municipalities. Those working with young people in the projects should make use of this know how in their own work to support young people in the best possible way. Making the support had from the multiprofessional group more visible in project work can also be regarded as a -developmental need. 2. Co-operation with Schools In project work it is important not to step on the toes of school administration. In the schools, the young people constituting the target group have generally been given support in accordance with the resources available already before starting a project. Agreeing on the distribution of work and responsibilities may turn out to be problematic to the co-operation with schools. It has been difficult to agree on teaching arrangements with certain schools. On one hand, teaching arrangements, which take a lot of time, should be completed before a young person enters a project, on the other, it may be difficult to change the arrangements completed before school start, as observed in some projects. Thus the responsibility for a young person may easily be shifted to the projects alone. 3. Motivating Young People One problem is to motivate young people to start studying and take part in a project. An incentive bonus for rehabilitation has generally found out to be a good, but not decisive means of motivation with all young people. A severe problem in some projects seems to be the motivation of an anti-school young person to study. It is the incentive bonus for rehabilitation that is the only means of motivation for some young people. Sometimes it is quite difficult to motivate young people to take advantage of e.g. treatments and therapies. Some young people may be afraid of being considered crazy once they start to use mental health services. Anyway, it is most important first to create the necessary prerequisites for a young person's studies and vocational rehabilitation by means of medical and social rehabilitation. The basic problem is first taken care of. Only after that comes focusing on e.g. learning. 4. Spontaneous Contacts from Parents Spontaneous contacts from parents may be rare even if the parents do participate in drawing up a plan for the rehabilitation of a young person. How to manage to motivate and support passive parents towards more efficient co-operation in projects, and to direct young people to enter the projects? On the other hand, a reality to be accepted in project work is that not all the parents have the energy, ability or will to co-operate. The co-operation must not be felt like something compulsory. Nevertheless, the parents are offered co-operation including support to being parents of teens. It is also possible that not all young people even like their parents to be involved in the co-operation. Despite this, some of these young people may commit themselves to the activity. 5. Alcohol and Drug Abuse Intervention In some projects the problem of alcohol and drug abuse has turned out to be greater than expected. It is very difficult to solve this problem with the resources available in the projects. Drug screening is one possibility but may lead to young drug addicts totally withdrawing from the activities beyond reach. Discussions (honest and confidential), guidance and information of the services may be better and more sustainable alternatives. 1.1.4 What Aims Were Achieved with the Counselling Practices? Were the projects and the multiprofessional co-operation sufficient to prevent these young people from being socially excluded, and stop a downward spiral of exclusion already started? What kinds of young people could be supported and what not? During the trial, most of the young people in the transition period could be supported in their studies. According to the inquiry for the projects in November 2003, eight per cent (46) of the young people with a plan for rehabilitation had quit the project. The most common reasons for quitting were lack of motivation, non-alignment, unwillingness to commit to a project (in 14 projects), too severe problems beyond reach of the resources available in the projects, and psychic reasons (in five projects). More than two thirds of the young people participating in the projects felt that their situations in life had become significantly better-defined. The result is good considering the target group. The young people entering a project suffered from absenteeism, their grades were lower than earlier including a weakened self-respect and reliance on their own learning abilities. Furthermore, these young people also had frequent difficulties with teachers and parents. They also used intoxicants, some of them a lot and regularly. Some had experimented with drugs, or were regular users of them. They were lacking a normal daily routine, which made it difficult to go to school, study or attend to their matters. 1.1.5 How Were the Methods Used Assessed? The approach used was multi-faceted assessment with the starting point that an activity means different things to different parties, and that the views of the parties e.g. of the impressiveness of the activity may differ from each other. Different parties like young people, parents, project workers and co-operators, have different points of view of the functionality of activity models and practices. Qualitative material and realistic multi-faceted assessment are excellent for the assessment of trial projects of this kind because there is little or no information on the activity. Using qualitative material is recommended in that the purpose is not to test an existing, established activity but, through assessment, gather information on what was positive and what negative in the trial, and what things call for development. The subjective experiences of the target group (in this case young people) are important feedback to the actors creating a new kind of service. The feedback from the success and developmental needs of an activity also contributes to laying a long-lasting foundation and favourable conditions for co-operation. 1.1.6 An Ideal Model to Prevent 15 to 17 Year Olds from Being Socially Excluded The rehabilitation trial for adolescents has generated valuable information on best practices for giving support to young people at risk of social exclusion, and on how to prevent them from being socially excluded including needs for developing the activity. The practical experiences had have been used to outline an ideal model (see fig. 1). The ideal model is based on the practical experiences from the rehabilitation trial, the memorandum of the work group Active Social Policy, the aims of the rehabilitation trial, and also, partly on knowledge generated by research on young people, and finally, on the knowledge and experiences gathered from the various projects the researchers have participated in. The starting point of the model has been the aims of the work group Active Social Policy and the rehabilitation trial for adolescents. The normal, local service system is mostly responsible for giving support to the young people at risk of social exclusion. The point is that the co-operation practices of various administrative branches will be re-arranged, and the co-operation between various actors increased, intensified, and expanded. The model tries to make it possible to young people to participate in activities strengthening social ties for the future. It also tries to build bridges to ensure the success of the transition periods (the principle of flexible guidance and support). According to the model, young people have been primarily offered support services to prevent social exclusion (the principle of early intervention) instead of services focusing on medical support. The model also tries to centralise the services tailormade for young people. Furthermore, the activities should take place on young people's terms and with their consent. The thread running through the ideal model is early intervention- and flexible guidance and support from childhood to adolescence. The actors may vary depending on the support needed by the young person or the family in accordance with the local service system. The following can be regarded as basic actors having also participated in the parents of children/adolescents, young people themselves, employees of nay nurseries, comprehensive schools, health and social care, vocational schools, employment administration, and rehabilitation trial: local offices of the Social Insurance Institution. The suggestive ideal model presented here presupposes that the model could be implemented as an integral part of the existing service system. Slightly individual applications of the model have to be used in municipalities with different service structures. On the other hand, these applications cannot be identical even if the municipalities using them had identical service structures because the activity is always related to the local network of actors, its resources, and the possibilities individual actors have including their readiness to work with young people. The good experiences had in the projects from how to approach and support young people have been used for drawing up the ideal model. On the other hand, the bottlenecks of approaching and supporting young people have been mapped and analysed for the development of an activity model to prevent 15 to 17 year olds from social exclusion. Fig. 1 An Ideal Model (Suikkanen, Martti ja Linnakangas 2004) on the next page. The Ideal Model of Prevention Work withYoung people at social risk (Social Empowernment) Main Principles: Early Invention, `Convoying`, activation, future- orientation, and confirming of social support Comprehensive school A tight co-operation with Parents ( Home) Intensive control and defining the reasons of absence from school defining reasons of learning difficulties and weakened achieving at school Preventive and intensive guiding at school Early Future-oriented reasoning of young people Strengthen the student welfare services so, that each person finishing comprehensive school has a plan for future secondary school Vocational school Other schools etc. Comprehensive school drop-outs and those who have no place for further studies drop-outs drop-outs drop-outs Drop outs and those who have no further studies announcing of all drop- outs contacting young people and his parents motivation of young people towards active functions a course of commitment and getting together a multiprofessional meeting for assesment of situation and need of social support of young people preparing and realizing a plan Education -drop outs > back to the workshop Working life - drop outs > back to the workshop Life Management -involvement / active citizenship - social networks/relationships - copying one´s everyday life ”A Future –oriented workshop Young people are daily involved in different activities according an individual plan The main focus : - The availability of continuous support - Team-working - Active participation to activities improving abilities to working life- and further training - Working with Bibliography: http://www.stm.fi/Resource.phx/publishing/store/2004/05/hu1083758276684/passthru .pdf#search=%22Mun%20juttu-projekti%22 Asko Suikkanen & Sirpa Martti & Ritva Linnakangas .2004. Homma hanskaan Nuorten kuntoutuskokeilun arviointi. Sosiaali- ja terveysministeriön selvityksiä 2004:5 Sosiaali- ja terveysministeriö Helsinki 2004 1.1.7 Quality Requirements/Tekirdag – Homma hanskassa (Your Own Life in Hand) 1 ``` Partner assessment of requirements: scientific knowledge. Table 2 sociology (e.g. poverty ...) knowledge about target groups youth life style (youth culture social psychology (youth culture, family ...) Socopedagogy/orientation To adapt multi-scientific approaches ``` Leonardo Guiding 1 Referring to the results of WP1 Partner assessment of requirements: policy knowledge. Table 3 social environment of young people knowledge of the local context welfare and labour law to put in practice legislation and guidelines social-legal systems education system training system unemployment laws Knowledge of range of education/qualification possibilities Partner assessment of requirements: pedagogical skills. Table 4 counselling communication with young people skills to motivate IEP process case management Facilitating knowledge on self and others Enabling learning Facilitate "I can do" attitude Partner assessment of requirements: key skills. Table 5 multi-professional cooperation ability to negotiate- working together with other organizations trust on young people knowing working life realibily empathy self confidence networking Partner assessment of requirements: humanistic values Table 6 report personal commitment building a better society for young people social justice empathy commitment work for young people rather than for oneself 1.2 Good practice example 2 - The ADHD-coaching method 1.2.1 Aims and Method ADHD-coaching is a target-oriented and systematic guidance method for families with children, adolescents, and adults with ADHD-syndrome. The method originating from England has also been applied in Finland in the treatment of young people suffering from the learning difficulties, Asperger Syndrome and dysphasia, and of those needing mental rehabilitation. The guidance contract and activity plan in ADHD-coaching structure the activity and make it easier to achieve the objectives. Guidance, practical training, co-operation, learning new activity models, follow-up and assessment contribute to achieving distinct, prioritised, and concrete objectives. The method can be used to strengthen a person's readiness to school-going, studying, and working in the industry, and to promote his/her ability to control his/her own life. Counselling concentrates on supporting a person's life command and coping with everyday life, taking advantage of one's own strengths and resources in various fields in life, finding new behavioural models for conflicts, and on constructing a harmonious self-concept. A counsellor acts as a coach and supporter to the customer and his/her neighbourhood. In addition to coaching, the support activities used include individual therapies, medication, guidance, and training for adaptation. The coaching aims at strengthening the readiness to cope with everyday routines, promoting school-going, and giving support to studying and working. It also aims at preventing the social exclusion of a person needing special support, and assisting in finding the right kind of rehabilitation and other means of support in everyday life. The coach acts as a personal instructor to anyone needing personal support, and also as a co-ordinator in the service network. The focal point in the ADHD-coaching lies in everyday counselling. The needs originate from various situations in life encountered by the customer, such as the challenges of coping with everyday life, human relations, studying, job search, and managing it in the industry. A customer may need support and guidance for taking care of him/herself (healthy lifestyle, medication), visiting various authorities (social benefits), and for everyday routines (money matters, living in one's own flat). A coach (about 120 of them trained in Finland) will assist customers in recognising their own strengths and resources, and in making plans for the future in a realistic way. Persons needing special support are often unable to make plans for the future without a considerable amount of assistance in the transition to studying and working, and managing it there. The coach is also needed as a person responsible for the availability of services, spreading information in the service network, and for updating the plans for teaching, rehabilitation and services including re-assessments. The training for ADHD-coaching aims at giving basic information of special neuropsychiatric difficulties, and deepening the abilities of professionals working with customers struggling with ADHD and other neuropsychiatric difficulties to act as personal coaches. The training includes practical tools for encountering persons needing special support in everyday life, at school, in the course of studies, and in the industry. Training for the ADHD-coaching is arranged in many cities in Finland , e.g. at Jyväskylä University of Applied Sciences. The training is well suited to professionals of health and social care working with children and young people needing special care. The ADHD Association recommends the length of the training to be at least 9 credits in the course of four months. According to the organisers of education, the contents of education vary to some extent. Generally speaking, however, those participating in the training get acquainted with the methods used in coaching. With the help of these methods customers learn to recognise and make use of their resources. Instead of seeking causes and effects, the coaching focuses on creating a better future for customers through their own solutions and objectives. One method used is practising appreciative interviews. It is possible for a solution-oriented coach to make customers solve their problems themselves. The training is made up of both theory and practical exercises including examples given by the coaches of the daily life of those coached, and of coaching itself. It is recommended that the trainees have enough time to process their roles as coaches. In addition, the training should include at least one practical coach – trainee relationship with an ADHD child, adolescent or adult. See fig. 2 below for a model of the content of the training. PROFESSIONAL DEVELOPMENT , 2 study credits STUDY MODULE FOR DEVELOPMENT OF FUNCTIONAL ENVIRONMENT , 3 study credits STUDY MODULE FOR GUIDANCE ACTIVITIES, 10 study credits Individualised education plan, IEP (0.5 study credits) Strengthen basic skills of specific dicculties of neuropsyciatric (1 study credits) Professional Strengthen skills in various fuctional environments and for theirs development by taking account person's unique needs (1.5 study credits) - guidance in work development - consultation - ethics in professional activities - advanced training - collegiality in professional activities Strengthen of basic knowledge in the area of one's normal development (0.5 study cretics) Strengthen skills in coaching (1 study cretics) Learning by doing in own workingplace/-unit (2 study cretics) - studying with tutor/guide of work Your own coaching-relationship (4 study cretits) - a plan for coaching - your own basis in coaching activities - evaluation of coaching activities Development task in your working environment/unit (3 study credits) Co-operative working skills - guiding discussions - - working in small groups - reflective methods (learning diaries, reflective essays) functional orientated methods in working - independent learning by following one's process of IEP E-learning Learning by doing in work Figure 2. Completeness of study in coaching training, modified curriculum from special teacher vocational training (Jyväskylä University of Applied Sciences) - System of service - Multi co-operation and netwotrking - Legislation - Principals and guidelines for coaching activities 1.2.2 Theoretical Bases ADHD-coaching is needed because professionals of health and social care and education should, to a greater extent than before, have versatile know how of customer guidance, and understanding of the individual conditions of those needing special support. Symptoms of the ADHD type affect quite a number of young people and adults including their neighbourhood. Acting as a coach requires a comprehensive, multidisciplinary view of special neuropsyciatric disorders, and of how to encounter the challenges related to them. In addition, the coaches should know the service system, and the relevant legislation. As frames of reference in the ADHD-coaching, four distinct lines may be listed: 1. Social Pedagogy and Social Pedagogic Principles Every life, subjectivity, life command, and personal capacity are central social pedagogic concepts. Specialising in everyday life in social pedagogic activities means respect for people's natural way of life, natural relationships, and independence of daily life. The objective is to create a better daily life without manipulating people's everyday routines. In social pedagogy understanding customers and working with them are typically practical approaches: one tries to control situations in life, solve conflicts, and perform tasks. 2. Ecocultural Approach This approach emphasises networking in particular, and is visible as the co-operation between professionals of diverse fields. Another thing to be emphasised is the interaction between individual and neighbourhood. Besides the neighbourhood, social attitudes and legislation influence the routines of individuals and families. They also define which services needed individuals and families are entitled to. The flexibility, quality, and number of social support systems are essential to those needing special support. According to the professionalistic tradition, the employees are no more sole commanders of knowledge with the customer also being a producer of knowledge. This means constant alertness so that the changing needs of customers could be recognised and the support needed given. It also means finding a common language, and approaching a customer in an individual way. Addressing the customers in a kind of language familiar to them contributes to assessing everyday challenges, finding the customers' own resources, solutions and successes, and aiming at survival and life command. Professionals should re-assess their professional practices, and adopt new working routines. The eco-cultural approach greatly differs e.g. from the psychodynamic approach. 3. Solution-oriented Approach A solution-oriented approach to thinking and working is a practical way of encountering diverse challenges and problematic situations brought out by ADHD symptoms. The approach is used to find out solutions, objectives, and goals. Being future-orientated, hopeful, and keen on finding resources and giving support characterise this approach. Many ADHD customers have lots of experiences of disappointments, hardships, and blows to their self-respect in their lives. It is of no use to cling to them, but to make the customer see the past hardships as facilities for new growth. 4. Life Cycle Thinking According to modern way of thinking, the basic features of the spectrum of ADHD and autism stay the same the whole lifetime, but age, growth, and development change the ways they appear. Adult ADHD customers usually suffer from behavioural disorders (restlessness, impulsiveness), cognitive problems (bad ability to make plans, shortsightedness, and special difficulties with learning, emotional problems (low self-respect, changes of mood), and problems with adaptation (irresponsible conduct, intoxicant abuse). The symptoms of ADHD and other special neuropsychiatric difficulties also vary according to the current situation in life. Turning points in life like growing up, transition to studying or working, and entering a marital or co-habiting relationship can, considerably, shake a person's balance and ability to cope with everyday life. The negative symptoms of special neuropsychiatric difficulties are often reinforced by stressful conditions, accumulating hardships, and lack of support networks. 1.2.3 Social and Economic Advantages Special neuropsychiatric difficulties are a considerable challenge to public health and the national economy. Untreated ADHD and other disorders of neurological development mean a great amount of human suffering and economic burden both to people themselves and society. ADHD-coaching is a support action for preventing a person's downward spiral of social exclusion, and for helping him/her to manage as a full member of society. The method is still little known in the Finnish service system. Nevertheless, the health and social care administrators of many municipalities, employment offices, and insurance companies have started to finance the coaching activity. Early intervention in the problems would be possible through increasing the multiprofessional co-operation between actors in health and social care and school administration in municipalities. This, for one, would prevent the problems from culminating, which would save the costs of expensive further treatment. Many people would buy coaching services with their own money. At the moment, the costs of ADHD-coaching are not paid by the Social Insurance Institution. The matter is under negotiation. It has been estimated that 3-5 percent of those of school age (2-4 percent of adults) have an ADHD Syndrome. The total number of people suffering from ADHD symptoms is estimated to be 200 000 – 250 000. As many as 60 – 80 percent of adults still suffer from the ADHD symptoms discovered in their childhood. Untreated, serious ADHD may lead to negative effects such as low grades at school, conflicts with the neighbourhood, mental problems, drug addiction, and criminality. According to certain surveys conducted in Sweden and the USA, approximately 50 per cent of the prisoners suffered from undiagnosed ADHD. treat the effects that difficulties with life command at its worst may lead to. Anyway, it will be cheaper for the municipalities to rehabilitate those suffering from ADHD than to Bibliography: Michelsson, K., Saresma, U., Valkama, K. ja Virtanen, P. 2004. MBD ja ADHD. Määttä, P. 1997. Perhe asiantuntijana. Erityiskasvatuksen ja kuntoutuksen käytännöt. Gummerus Kirjapaino Oy: Jyväskylä. Diagnosointi, kuntoutus ja sopeutuminen. PS-kustannus: Jyväskylä. 3., uudistettu painos. Myllykoski, Melamies, Kangas (toim.): Itsenäistyvä nuori ja AD/HD, PS-kustannus, 2004. Palomäki-Jägerroos, T. 2006. Coaching – Tukea neuropsykiatrisissa vaikeuksissa. Coaching-koulutuksen koulutuskokonaisuuden mallintaminen. Jyväskylän ammattikorkeakoulu, ammatillinen opettajakorkeakoulu. Kehittämishankeraportti Web sources: http://www.adhd-liitto.fi http://www.adhd-center.com 1.2.4 Quality Requirements/Tekirdag – ADHD-coaching Partner assessment of requirements: scientific knowledge. Table 2 knowledge about target groups social pedagogy Partner assessment of requirements: policy knowledge. Table 3 education system training system Partner assessment of requirements: pedagogical skills. Table 4 case management counselling facilitate "I can do" attitude assessment Partner assessment of requirements: key skills. Table 5 multi-professional cooperation networking Partner assessment of requirements: humanistic values Table 6 commitment 1.3 Good practice example 3 – Young Immigrants 1.3.1 Integration and Legislation Integration means the acquisition of the knowledge and skills necessary for an immigrant to survive in Finland, and to work and participate in social activities. The Act on the Integration of Immigrants and Reception of Asylum Seekers (L 493/1999) stipulates that a three-year programme or plan for integration is to be drawn up for every immigrant. Since 2006, a plan for integration has been made for children and adolescents. If needed, the period of the planning process may be extended with a special emphasis on the transition periods. Student welfare may act as the authority responsible for drawing up the plan for adolescents. The plan for integration states how the immigrant gets acquainted with the new society and place of residence, studies Finnish or Swedish, complements his/her professional skills, and gets the other social knowledge and skills necessary. The plan is personal. It will be drawn up after the immigrant has been registered with the status permanent residence in Finland, but at the latest after three months' unemployment or guaranteed minimum income. Immigrants are entitled to the plan for integration for three years after registration. During the implementation period of the plan, an immigrant will get support for the integration. The plan may include training for the integration, practical training, complementing one's professional skills to meet the requirements of Finnish working life, and participation in studies and spare time activities arranged by organisations and associations. The immigrant's personal contribution to drawing up the plan is important. The plan should include continuous activities upgrading language skills and preparing the immigrant for future studying and working. The implementation of the plan will be monitored and the participation documented. A immigrant whom the Act On Integration is not applied to draws up a plan for job seeking together with an employment officer based on the applicant's own information and plans, and on the current situation on the local labour market. The plan shows what the applicant should do, and how the employment office will assist him/her with the job search. Those registered as applicants will be taken into consideration when the employment officers look for suitable candidates for the vacant jobs. The applicant's personal activity is important because positions are not always announced vacant in public. The employment offices support job search by organising appropriate training including information on various ways of seeking jobs, employers' wishes, and tips of how to market one's personal knowledge and skills. 1.3.2 Education for Young Immigrants Education is the most important measure taken to integrate all immigrants, but children and adolescents in particular, in our society. Those having completed the compulsory education may still continue for one year ( the 10 th grades), or take preparatory courses for vocational education (1 to 1.5 years). To assist the teachers, The National Board of Education has trained local support persons for the purpose of teaching and educating immigrants. Finland boasts many working projects and educational projects (often financed by the ESF), workshops for young (15 to 29) people, alternative vocational schools (Tekevä in Jyväskylä), and practical vocational training for young immigrants. The schools have also increased resources for tutoring and other support activities (support persons), e.g. the municipality of Vantaa established a counsellor's post for immigrants in 2001. This person's duty is to inform immigrant pupils and their parents of the comprehensive schools of vocational further education. The counsellor arranges a language test for the applicants. In case they fail, they are offered preparatory training for vocational studies, or the 10 th grade at comprehensive school. The counsellor also takes part in the teaching and belongs to the group student welfare services. The students regularly use the counsellor's services, and also contact him/her many years after leaving school. This activity has prevented young immigrants from being socially excluded, and assisted them with the integration in Finnish society. This kind of informative language test has also worked well in senior secondary schools. The counselling and the language test are constantly under development. 1.3.3 An Example of an Educational Project and Course Material The AMMA Project 2003 – 2005 (vocational education for immigrants) administered by the University of Helsinki, was used to enhance the support given to young immigrants studying for a profession including their parents. In addition to other problems, young immigrants often have difficulties with the language. Their families are not always able to help if the parents themselves do not know enough about life in Finland. The project aims at making young people start studying, decreasing the number of those interrupting their studies, or those graduating with low grades, and finding good jobs. The project also informs comprehensive school pupils and their parents of what alternatives vocational education offers, and keeps contacting employers. The activity takes place at the Vantaa Vocational Training Centre (Vakes), and also at the Learning Centre for Open Studies. One Finn and one Russian work as support persons. They assist the teachers and young people by helping with the studies, solving conflicts, and contacting the families. These activities are co-ordinated by the University of Helsinki (the Vantaa Centre for Continuing Education), and financed by the National Board of Education in Finland. The AMMA Project (http://www.hyvan.helsinki.fi/amma/) has generated material to support learning. This material can be ordered and downloaded as pdf files from the Internet. The material was produced because student counselling revealed that occupational titles and self-knowledge exercises were too difficult, both linguistically and structurally, for young immigrants aged 16 to 20. The guides include descriptions of occupational titles and occupations themselves, and explanations of various adjectives in plain Finnish. 1.3.4 Amma –Assessing the Project An activity as exemplified by the AMMA Project requires an extensive social pedagogical orientation in a young person's life and family life. The material produced is based on multidisciplinary and social psychological knowledge, and familiarity with youth lifestyle and culture. The guide "Vocational education in a nutshell" gives a clear presentation of the Finnish educational system. On the other hand, the welding guide is an example of material necessary for many other fields of vocational education. It is a great challenge to the student counsellors to be able to discern the facilities needed in various occupations. Pedagogical skills like communicating with young immigrants, and the ability to analyse their starting levels and needs are all important. Counselling also calls for new tools and methods due to the defective language skills. The material produced fits in perfectly here. The guides also support practical learning while academic skills are still poor. The production of this kind of material requires innovativeness and creativity including knowledge of cultures and professional fields. Such humanistic values as empathy, social justice and equality are emphasised including a sincere will to build up a society where young immigrants also have the same facilities and resources for schooling themselves for future occupations. 1.3.5 Quality Requirements/Tekirdag - Young Immigrants Partner assessment of requirements: scientific knowledge. Table 2 social psychology to adapt multi-scientific approaches youth life style (youth culture) Partner assessment of requirements: policy knowledge. Table 3 requirements of working life/labor market education system training system resources for guiding en education system Partner assessment of requirements: pedagogical skills. Table 4 communicaring with young people counseling skills to analyse the real needs enabling learning, not providing knowledge techniques and instruments for guiding Partner assessment of requirements: key skills. Table 5 knowing working life creativity intercultural competences to do things a different way Partner assessment of requirements: humanistic values. Table 6 social justice empathy building a better society for young people Web sources: http://www.jyvaskyla.fi/paivahoito/files/kotsuunnitelma.pdf#search=%22kotoutumissu unnitelma%22 http://www.kunnat.net/k_perussivu.asp?path=1;29;90918;91150;91009&print=true http://www.edu.fi/maahanmuuttajat/esite/OPH_maahanmuu.ajaesite_fivalmis.pdf#sea rch=%22ammatilliseen%20koulutukseen%20valmistava%20opetus%22 http://www.jyvaskyla.fi/maahanmuuttajat/tyo.php 1.4 Youth Information and Counselling Services In the Web Environment (The best practise 4) 1.4.1 Introduction The web environment, especially the Internet, has become a central passage of communication in the 2000s. In youth education in particular, the Internet is already being exploited through various e-learning environments. There are also many communities and sub-cultures for young people on the Internet. Service providers like municipalities have also started to design portals with information retrieval services and guidance services meant for young people. Youth information and guidance is one type of service for young people. Its purpose is to inform them of their rights and duties, and assist them in questions related to their lives. The starting point in youth information is to recognise the needs for information young people in general, and the customers in particular have, and to build up services based on local needs. Youth information and counselling has an ever-increasing importance to young people' independence. Young people can be supported to achieve their objectives at home and at work, and motivated to participate in social activities as responsible citizens. Youth information and guidance tries to reach all young people. Finnish youth information has been organised as a free form network of information. At the moment the network covers 35 youth information services in operation including regional and local services in 70 municipalities. Finnish youth information follows the common principles agreed on at ERYICA (http://www.eryica.org/), European Youth Information and Counselling Agency. These principles are quality, interactivity, reliability, confidence, customer-orientedness, objectivity, anonymity, gratuitousness, intelligibility, equality, uptodatedness, neutrality, and professional staff. Information and counselling services can be seen as a precaution preventing young people from being socially excluded in our post-modern information society, where it is important to support young people's computer skills, and media literacy skills. Guidance trends in Europe are changing in accordance with the principle of life-long learning. Guidance services are open to all, not only to young people and those Leonardo Guiding unemployed, or marginal risk groups. The location of counselling services is also changing from environments tied to physical location and time of day to multimode elearning environments on the Internet. 1.4.2 Aiming at Young People's Right to Information and Participation Youth information services try to contribute to the respect for the principles of democracy and civic activity, human rights and basic rights. Young people are offered correct, neutral, clear, and reliable information on any questions of interest to them to meet their needs. Another aim is to encourage young people themselves to produce information, and to learn to critically choose information. Young people's right to information has been recognised in the Universal Declaration of Human Rights (1948), the Convention on the Rights of the Child (1991), European Convention on Human Rights (1950), Council of Europe, Committee of Ministers Recommendation Concerning Information and Counselling for Young People (1992). This right is also the basis for the youth information given by the EU. The circular (14/300/2004) for municipalities and other appropriate actors based on the EU White Paper on Youth Policy, also highlights the common objectives approved by the EU Council of Ministers concerning participation and youth information. The objectives include, among other things, high quality youth information, and the participation of young people in youth information activities. Examples of national measures include the facilities provided by new technology, the development and promotion of young people's capabilities of viewing information in a critical way. 1.4.3 The Main Methods As for methods, young people may receive information, counselling, and guidance via e-mail, discussions, and by studying both electronic and printed material. The email system is a daily used and familiar device. It is good for personal guidance. During communal e-discussions the participants may bring out various viewpoints and commit themselves on certain matters. In chat rooms young people may also get support from their peers. E-discussions enhance the feeling of participation, and encourage young people to speak out. Adding material and links to the electronic environment makes it possible to distribute information to young people. It is important to give them essential information in the right contexts. As an example of the practices of youth information and counselling services in Jyväskylä, Central Finland, The Laturi will be presented. (http://www.jyvaskyla.fi/nuoriso/). 1.4.4 Case: The Laturi Laturi is an information and counselling service for all young people aged 13 to 20, for those working with young people including the parents. These services consist of the Laturi web pages on the Internet, various guides, calendars, brochures, informative events and exhibitions, and questions answered in chat rooms, by email, or by post. The Laturi website offers information and links to different fields, and situations typical of young people's daily life. This aims at motivating a young person to independent and active information retrieval so that he/she can pick up the reliable and up-to-date facts out of the abundance of information available. The pages giving information on working life contain tips for job seeking, e.g. how vacant jobs can be found, what the process is like, or what to do if you lose your job. There is also information on issues related to employment such as employment contract, occupational safety, taxation, and the Young Workers' Act. The pages on studying include, among other things, information on facilities for further education after the completion of comprehensive school, choosing a career, and on applying for study places. The pages informing young people of health and social care services offer services for diverse situations in life. The Laturi information service focuses e.g. on human relations, health care, intoxicants, support services for various problematic situations in life, subsistence, etc. The pages on society and environment inform young people of e.g. the laws and rights important for young people to know, and of their possibilities to express their opinions in society. 1.4.5 Interaction, Participation, and Influencing in the Laturi Virtual Environment Through the Laturi website young people are supposed to be able to participate in and influence issues related to them or young people in general. According to the quality criteria (Tekirdag), the approach of the website may be considered a humanistic activity promoting participation and influencing. Furthermore, the approach appears empathetic and socially just to the young people's questions. On the Ask and Discuss pages a young person may discuss current matters, or send Laturi workers questions, feedback and tips of links. One of the most essential methods in this service is the questions and answers column for young people's questions about intoxicants, drugs, courtship and sex, consumer issues, and internationalisation. The answers to the questions will be given confidentially by a youth worker, specially trained nurse, and sexual counsellor. A young person asking a question does not know who will answer it. Neither does the answerer necessarily know the identity of the young person asking the question. The questions are answered within a week. It is up to the young person to decide whether he/she likes the question to be seen by every one reading the column, or whether he/she only likes to have it by e-mail, or both. The website is also linked to a discussion forum Young in Jyväskylä, Youth Voice, Suggestion Box, and the e-newsletter Misprint. The discussion forum makes it possible for young people to freely express their opinions of and participate in current issues in Jyväskylä. Youth Voice is a part project the purpose of which is to give young people facilities for the development of their own neighbourhood, participation and influencing. Through the Suggestion Box a young person may take an initiative in matters concerning the City of Jyväskylä. All the branches of administration have persons responsible for quick handling of the suggestions. In the Misprint everyone is free to speak. The e-newsletter is entirely a creation of young people. 1.4.6 Assessment of the Laturi Service and Development Plans Young people may give feedback and comments on the service through a feedback link on the website. So far, neither the services on the websites nor their impressiveness have systematically been assessed, However, the assessment and feedback system will be developed in the future. Daily visits to the Laturi website are quite numerous, 13 244 visitors by 25 August 2006. The Laturi is being developed to cover the young people, those working with them and their parents in the whole of Central Finland. This trial will start from a survey of the current condition and needs of youth information in the municipalities in the neighbourhood of Jyväskylä, and of the general willingness to commit oneself to development work. On the basis of this survey, the objective is first to extend the existing Laturi services to cover the local level, and later, also the regional level. In the future, the aim will be to give young people a possibility for peer information via the website, and also, to involve them in the realisation and development of the website. Another aim will be the promotion of professional youth workers' communication skills. Advantages of the Service The service is clearly economical. In principle, a large number of young people can be reached via the Internet with scant resources; distances are not barriers. Young people need network connections with information on the service. An advantage is that the service has been built up like a portal. One website contains essential things important to young people. We could use the term "virtual all-in-one-desk". Another advantage is interactivity. Professionals of various fields answer young people's questions, or at least, inform them of the services for further help and support to their problems (cf. service counsellor). Challenges to the Service One challenge may be the reachability via the service of young people with problems in their personal lives, at school, or with choosing careers. Another is that the service is mainly used by the so called normal, active young people. The professionals should be familiar with young people's situations in life, and they should also have special communication skills due to the virtual interaction. Virtual interaction lacks facial expressions and gestures so it is important to be sensitive enough when answering young people's questions as clearly as possible to avoid misunderstandings. Consequently, professionals need virtual pedagogical skills such as counselling, skills for communication with young people, and skills for motivating them and analysing their real needs. Web sources: http://www.jyvaskyla.fi/nuoriso/ http://europa.eu/youth/ http://www.eryica.org/ (in english) Kompassi, Helsinki Nettinappi, Oulu for immigrants http://kompassi.lasipalatsi.fi/?_lang_id=EN http://www.nettinappi.fi/immigrant/index.html http://www.kenuti.fi/index_uk.asp?main=3 Kenuti, Keski-Pohjanmaa 1.4.7 Quality Requirements/Tekirdag - Youth Information And Counselling Services In Web Environment Partner assessment of requirements: scientific knowledge sociology (e.g. poverty ...) Table 2 knowledge about target groups social psychology (youth culture, family ...) youth life style (youth culture effects of media Partner assessment of requirements: policy knowledge. Table 3 social environment of young people knowledge of the local context welfare and labour law to put in practice legislation and guidelines social-legal systems education system training system unemployment laws Partner assessment of requirements: pedagogical skills. Table 4 counselling communication with young people skills to motivate Partner assessment of requirements: key skills. Table 5 multi-professional cooperation ability to negotiate- working together with other organizations creativity knowing working life empathy networking Partner assessment of requirements: humanistic values Table 6 work for young people rather than for oneself building a better society for young people personal commitment being authentic social justice commitment empathy 1.5 Additional good practice in Finland 1.5.1 Friskie programme - a professional method for guidance. Friskie EU was a Leonardo da Vinci funded three year project (2003-2006). The aim of the Friskie EU project has been to develop a social skills training programme for initial vocational education. The target group of this programme are young people whose everyday skills must enhanced. The Friskie partners have created, planned, run and supervised group activities in informal learning environments e.g. in alternative studies, work places, at employment offices, in drama workshops etc. The objective was to learn social skills that are necessary for independent living and in working life. The project resulted in methods for guidance and mentoring to activate participation and citizenship of young people: Timonen-Kallio, Eeva (ed.): Towards Active Citizenship - Friskie programme as a professional method for guidance. Turku 2006. ISBN 952-5596-61-3 (electronic), ISBN 952-5596-60-5 (printed). 2 Guidance Practice - France Introduction: As already mentioned, although roughly, in the report for WP1, it's difficult to say about the French situation that features and organizations of guidance "from school to job" exist in France. As a main trend, one can see that there is indeed – except, of course, of few notable exceptions confirming the rule (such as, for instance, the compulsory practice period of one week practice in an enterprise high school pupils have to do in their 3 rd year (last year of first step of high school – "college" – that is to say between the age of 14 and 15) labelled with its aim name: "discovering enterprise" or the compulsory practice periods in professional 2 nd step high schools - "Lycées d'Enseignement Professionnel" – which represent only one third of the whole 2 nd step high school system) - no direct mainstream link between school and the working world. Our interpretation of such a fact is that there is a huge culture gap between schools and the world of work. French high school teachers & professors, acting as a very powerful caste of civil servants, have been traditionally most reluctant, as attested by the positions of their very active trade unions, to consider the requirements of the working world in their teaching duties. Being most of the time specialists of one subject, one school matter (e.g.: History, Modern French, Life and Earth Sciences, Mathematics, and so on. Knowing that a high school pupil between the ages 11 and 15 has at least 10 compulsory matters to study, with a minimum of 30 hours of attending school per week… + about the same amount of homework!) and being recruited with a high competition system most of the time after a master's degree (e.g. 1 post available for 3000 candidates…) they strongly believe in the republican ideal of "elite", a French belief pretending one can achieve success in life only by studying hard and acquiring a strong knowledge… But the problem is that these teachers never left school in their whole life! (And they will not until they retire…) Except in the professional 2 nd step high schools, where one tenth of the teaching staff is compulsory composed by former professionals in their speciality (e.g. cuisine, tapestry, carpentry and whatsoever…) who passed a higher education teaching competition, teachers are only ex pupils and ex students who in their wide majority have no else experience of the working world but teaching or looking after children and teenagers. But even in these specific professional high schools there is a huge shift between the requirements of enterprises (e.g. what young people seeking professional integration in a specific branch should be guided for…) and the contents of school teaching: the most famous, although not recent, anecdote being that the firms of maintenance of collective housing boilers had to recruit their future staff within the newly "Baccalauréat Professionnel" graduated students… in fridges maintenance! So the main information and orientation system available in French high schools, the "Centres d'Information et d'Orientation" (with only one "Conseiller d'Orientation Psycholoque" parted in several schools, so attending his office in school from 1,5 day by week at best until 1/2 day every 2 weeks…) are basically documentations centres where one can find the printed information about jobs and trades, education and training, statistics of available jobs each year in a specific branch but not "live" information about these jobs, nor, in most of the cases information about how to actually get these jobs… nor their main requirements for hiring and retention! That's why it is so difficult to imagine, in France, a system of guiding disadvantaged young people that would go directly from school to job. As we may have mentioned before, either in WP1 report or during our group discussions in Berlin and Tekirdag, one of the criteria for describing and depicting disadvantaged young people in France in precisely that they have been evicted from the regular school system! That's why in December 2005 (2006 data not already available), 730 159 young people between the ages of 16 and 25 were censed in specific "Employment policies measures" (see Appendix 1), a mixture of on the job training, job counselling or practice periods in which they can benefit guidance systems for continued training or a better job. The 13 different employment measures shown on the Appendix 1 table, which are specific for young people (and apart from the pitiful and drop out government attempt of "CPE" ("Contrat Première Embauche" = first hiring contract young people have been striking against from November 2005 until May 2006…) are still valid today. There have been over 75 different specific "young people employment measures" since 1980, which must be added the 41 different measures for the "regular" (e.g. older…) unemployed to which young people can also benefit… That's also why we have to consider that in France, obviously "Guiding from school to job" does not only implies considering the state of the labour market and the young people's professional skills but is highly related with social concerns related to the ability to actually face a job project or to keep a job, such as lodging and public transportation. For instance, one organization met for the purpose of this LEONARDO project (GRETA paramédical & social: public vocational training centre for low qualifications workers in the field of health and social sciences) mentions that 80 % of their young clients in vocational training are actually homeless and that to solve their working problem they also have to pay attention to the lodging aspect… This is the reason why we chose an example of good practice coming from a lodging for disadvantaged young people seeking integration on the labour market. Answers to the questions and prescriptions given by HvA for WP2: Describe a good, bad or mediocre experiences in guiding young people (in work) which methods did the professionals learn who work in these practises and which methods should they have learned? 2.1 Good practice example 1 - Foyers de Jeunes Travailleurs A good experience is reported by the chairman of the board of the national association of young workers homes, himself director of one of these homes, located in the south of France. [In France, young workers homes ("Foyers de Jeunes Travailleurs") are regarded as social institutions (e.g. priorily dedicated to youngsters coming from families with a low income… the payment of the rent and services being also supported by the family branch of the social security system). They welcome more than 150 000 youngsters, aged 16 to 25 (but some of them until 30, mostly in big cities), either working, unemployed or in vocational training, who live in these places for several reasons: to have a place to stay nearby the job or the training place, to live in a place where jobs are more numerous than in their region of origin, to have a place of their own away from the family home and to benefit social services sometime provided, such as job counselling and guidance or social lodging advice. Very few of their inhabitants are regular students only (limited number allowed per home) although many who work actually also attend the university to get a diploma. The stay in such a home is generally limited in time and cannot exceed 3 years. Since the price of the rent in such Foyers is about 70 % less expensive than the regular housing market and since social lodging are really scarce in French cities, there is generally a long waiting list to get a place in them, even despite the deprivation of freedom they involve: some rooms might be not individual but for 2 or 3 persons (although same gender…), friends (or sexual partners for majors!) are not allowed to stay in the Foyer after 10.30 p.m. and all Foyers have a night limit to come back. An average 20 % of the residents population of young workers homes are foreigners, who face a lot more difficulties than the insiders to enter on the job market.] Having noticed that some youngsters remained long term unemployed in the young worker's home he was managing (mostly young foreigners, or black African or AfroCaribbean young French, or north African young French…) although being very well qualified or proactive in seeking jobs, the director thought he should do something specific to help solve this situation. The director thought this situation was unfair, not only for ethical reasons at the basis, nor for the poor statement about French discrimination against foreign or foreign looking (so called "visible minorities"…) disadvantaged young workers, but above all because he personally knew the young people involved. He knew some of their working capacities and willingness, their own social competences and their efficiency as showed in running their everyday life, so he first of all thought them not having a job was such a waste for both themselves and the enterprises which could possibly hire them. So he set up methods of personal tutorship and working sponsorship by executive, effective members of the local enterprises community. Using his own address book (in which many former young people who had stayed in the young workers home years before and who now had good working position) and censing all the working resources of the local enterprises community (chamber of commerce, chamber of trades, trade unions (on both workers and employers sides…), but also Rotary Club, Lyons Club, Young Economic Chamber, etc.) with sometimes a detour by the charity sector (Caritas…) or even by the secret organizations (freemasonery) but also with the simple help of the telephone book, he depicted and convinced 12 head executive managers who accepted, some spontaneously and some after a few discussions, to become volunteers to guide 12 disadvantaged people along the path of their job seeking way. The deal was (supposedly…) very simple: to accompany one young person (only one, and always the same, without choosing him / her, the choice being made upstream by the social team of the foyer following aspects of the young person's curriculum and personality…) until he / she founds a regular job, with no other time limit. The requirements for the job to be found was that it should not be temporary and that it should provide a sufficiently good professional position (enough wages…) to promote the youngster's life conditions in order for him / her to be able to then seek for his / her regular own house after 3 to 6 months (and thus to leave the young workers home, letting the place available for another young person). In order not to put these executive managers in a difficult position within their own enterprises there was absolutely no obligation for them to directly hire the young person they accepted to tutor in the "economical" world. But there was no obligation neither not to hire him / her if any work opportunity would occur in the tutor's firm. There were tutors meetings every month at the Foyer along with the social team in order to get to know each other, to exchange information and to compare the steps reached by each young person. The results of this way of proceeding were outstanding. After less than a year (a good performance for France!) the 12 young people had found a regular long term job corresponding to their will / needs or expectations and they all could leave the foyer when their term came. Only 3 young people upon 12 were directly hired by their tutor's firm (whose one in an agency located in another city) but 4 were hired in the enterprises of the other tutors. The 5 remaining ones were hired by external enterprises but which belonged to the tutors network. This experience first took place 10 years ago and has never stopped so far. It follows nowadays the mechanical principle of a "Noria": one young person living the system, another comes in. The head executives are still on duty, although two have already retired but kept their tutor's role (which incidentally allow them to remain in touch and useful in their former enterprise and to stay in contact with the economical world in addition to their specific very valuable social role as a tutor…). Most of them joined the board of the "Foyer de jeunes travailleurs" and they sometime give lectures about this experience in some of their working contact places. The young people have grown up and built their career by themselves after a while although some tutors say that they sometime are asked advice for professional choice by one of their former tutored. Some of the grown up young people say they want to reach a professional position high enough to be able to be asked to be tutors at their turn… What goals did the guiding practise try to achieve? Were these goals achieved and by which methods? In this experience at the beginning there was only the observation that no guidance system (provided either by schools, universities, employment agencies, specific agencies such as Missions Locales, see Work Package 1 report for France) successfully achieved to actually give jobs to the most disadvantaged sub population among the young people in France: young foreigners (but with a right to stay on the French territory) black African or Afro-Caribbean young French, or north African young French people, coming from poor areas, low income workers or unemployed families, whatever the level of qualification is, due to the very discriminative practices of the labour world in France. So, this peculiar guiding practice main goal was: real jobs! So in this example I guess one could say that professional guiders guided the regular professionals to give regular jobs on a fair basis (although with the bias of personal knowledge and interaction, and powerful action coming from professionals in the position of deciding…) for the most discriminated young unemployed. Then the main idea in terms of goals was that it should be the labour world itself which should provide jobs for the most discriminated young people, using its methods and actors. Insofar the professional guiding practice of the foyer's social team had to erase itself at the benefit of head executive and firm leaders, who were asked to guide youngsters (although they had never done it before and sometime first of all didn't know how to do) on a benevolent way, that is to say to play a social role with out having any specific social guidance tool but only one network and the know-how of hiring in enterprises. So the goals achieved due to the high involvement of enterprise people, ready and willing to "take the risk" to either directly hire or recommend the young workers for being hired in their professional network. How do you evaluate the used methods? Although the used methods empathize the need of an interface between the disadvantaged young seeking jobs (the targeted public to whom guidance practice is thought for and provided…) and possible future employers, very necessary for the France situation, they however have an intrinsic value in showing that job-seeker / employer relationships do not only depend on the labour market economical rules but can also be regarded as relationships between at least 2 real human beings. In this experience it appears that enterprise head executives also have to be taught, trained and convinced that disadvantaged young people (especially coming from "visible minorities"…) can be worth trusting, hiring and employing. They have to be encouraged at first step (using statements such as moral values, social image of the enterprise…) but they also have to rewardingly experience it themselves in the single tutor relationship they build up along with the helped young person. The method could be labelled "valorisation of useful partnerships" or "involving the working world in personal tutorship / coaching". What is interesting in this experience is that since the "on the job" integration of the young people is worked out, from the inside, by enterprise professionals, the argument of the social workers not knowing reality of the labour market and firms requirement is no longer valid. Which quality requirements of Tekirdag are of use? Which criteria do you recognize in this practice? This experience is based on humanistic values but also requires from the social team at its origin applied pedagogical knowledge to the work world and good policy knowledge in general. That is to say knowledge of the local context, of the employers' interests, communication with young people and possible employers to be, counselling, managing diversity, networking, creativity, knowing working life (at least enough to let enterprise insider experts to find out the suitable job for the tutored young person…), intercultural competences (both for managing the diversity of the young people's "visible minorities" and for building up a bridge between young culture, social services culture and enterprise culture…), working together with organizations, do things in a different way, multi professional cooperation, sociability, ability to negotiate and delegate (finally, the job is not found by the social team, but by the enterprise itself…), trust in young people (to be worth the confidence the enterprise executive invest in tutoring them, to fulfil the employers requirements, to keep the job but also to be able to get the better working conditions...). So I guess the main criteria I recognize in this practice are the willing and the ability for the social work team to actually successfully cooperate with the unusual partners the head executive of enterprise are. (Further developments below on synthesis analysis of experience 1, 2 and 3…) 2.1.1 Factors that turned the guiding into a success, a failure, or a mediocre result In experience 1, the main factor is that the guiding has succeed into setting an important professional network with people in power in enterprises and therefore in the position of really provide jobs for the young people seeking employment. 2.2 Practice example 2 - Cercle de Recherche Active d'Emploi - active job seeking circle Another (brief) good experience was reported by the leader of a specific programme for young people's integration, herself labour psychologist at AFPA (Association pour la Formation Professionnelle des Adultes, the main non – profit institution for vocational training in France, employing over 11 000 professionals among whom over 500 labour psychologists). In this experience, young people who can't find a job (and so are regarded as disadvantaged on the labour market…) are requested to join a group along with 11 fellow young jobs seekers, which is called CRAE (Cercle de Recherche Active d'Emploi = active job seeking circle). Although they have had all the personal regular guidance, orientation and counselling services available at AFPA and having exhausted all the possibilities of paid vocational training, the remaining problem was that they didn't find jobs. The goals this specific guiding practice tried to achieve were to gain more self confidence in contacting the enterprises which had sent jobs offers at the local national agency employment and get better chances to have jobs interviews. So the principle of this method were that one young person would not get in touch with a possible future employer for himself / herself but for another member of the group. In that way, any member of the group will, at the same time: have somebody acting like an agent or an impresario for himself / herself and be the agent / impresario of another member of the peer group. The results showed that with this method, when asking for a job interview not for oneself but for a peer, the chances to get one were 3 times higher. The professionals learnt a lot from this method, especially that the young people were worth trusting and that they could collectively acquired better competence in telephoning (using proper vocabulary), time planning, organising meetings and valorising someone else's qualities (in other terms, that the young people themselves could do part of their job!). The used method was originally imported from Canada (trough French speaking Québec) at the beginning of the 80's. I evaluate it very positively because it prevents isolation of the young job seeker (also showing him / her he / she is not the only one in this case…), it enhances group dynamics, share of knowledge and information and it develops solidarity with peers. 2.2.1 Factors that turned the guiding into a success, a failure, or a mediocre result In experience 2, the factor of success is that young people were encouraged to act as responsible agents for the integration of the whole group. So their own selfguiding skills were actually recognized by the professional guiders who gave them a real opportunity to acting as adults in charge, like professionals. My analysis is that the common feature of experience 1 and 2 is that at a time of the guiding process, the guiders knew to erase themselves and to let the young people act for themselves. In my opinion, this is above all a participative process more than an empowerment and self-advocacy method in the whole guiding path. 2.2.2 Assessment of quality requirements Scientific knowledge: knowledge about the target groups. Policy knowledge: social environment of young people, knowledge of the local context, requirements of working life / labour market, knowledge of employers interests. Pedagogical skills: counselling, assessment, communication with young people, selfreflection, managing diversity (of all the members of one group…) knowledge about group psychology, motivations skills, facilitate future vision of self, facilitate "I can do" attitude, facilitate confidence, facilitate enterprise and creativity, facilitating knowledge of self and others creating / debriefing experimental knowledge and skills to motivate. Key skills for professionals are then: networking, empathy, creativity, knowing working life, working together with other organizations, to do things in a different way but above all trust in young people, ability to delegate, self-confidence and modesty. Humanistic values: empathy, commitment and trans-generational approach. The main criteria I recognize in this practice are proactive collective participation, group dynamics and group empowerment of / for young people. The success for one person is also the success for all and this method allows to share both failure and success and to acquire global knowledge from every personal event. From the professional point of view it's also an humble position while although still being present for counselling and advising the youngsters they actually have to renounce to part of their power (e.g. in the direct contact with enterprises…) to let the young people do things by themselves even if under their supervision. 2.3 Criteria for labelling guiding practices as success, failure or mediocre experience So I don't know whether or not it's still possible – from only 3 French experiences! 2 to set up criteria for labelling guiding practices as success, failure or mediocre experience. I suppose it will be by confronting all the LEONARDO project partners from all the countries that we'll be able to define common criteria. But having said that, I believe that there are some main streams we can already enlighten for defining quality: Quality of practices has to be assessed by those who are the subjects of these practices. So I would very much like to recommend that we would adopt a phenomenological approach / method based upon the recognition of: - The subjective aspects of quality; Guidance from school to job can indeed be, for the young people themselves, an experience they: - The necessary participation of young people to define practices they are the first to experiment. - Benefit, profit (positive statement / assessment); - Or even undergo (negative statement / assessment) … - Perceive (or not) / receive (neutral statement / assessment); To know what actually "worked out fine" in guiding disadvantaged young people from school to job, we therefore have to investigate, beside the classical hindrances and barriers compilation, into successful experiments: - Collected by the guiders in their past work (what's the limit?); - Perceived by those who benefited guidance. 2 here Christine Bon refers to 2 examples for good practice and 1 example for bad practice, which is not included in this compilation of positive examples In other words, to enlighten "best practices" we must always remember for whom they are, or could be… best! Many jobs counsellors focus on the fact that guiding from school to job also means guiding the employers to accept to hire (or to be willing to hire when educated in such sense…) disadvantaged young people, as we can see in experience 1. In France we nowadays assist to the merging of considerations about enhancing the social responsibilities of the enterprises to increase their willing and capacities of hiring disadvantaged young people and about developing education of environment to the necessity of promoting a better working life for the young generation, especially because of the European regulations on fighting against discrimination. To go from a culture of prescription in guiding to a culture of empowerment and "positive orientation" thus implies strong commitment and innovative & participative practices. It also implies to accompany young people in their fields of thinking by working with the method of "stories of life" in order to gat a self diagnosis from the young persons themselves beside the guiders / professional ones. But it also requests an holistic approach of quality in guiding: With indicators of success / achievement not only based on "placement" rates, but also linked with the assessment of quality of life at work & after work. Then when we consider work, we must ask ourselves the question : A job? Yes. But not any kind of job, and not at any price… So for France, the outcomes in guiding evaluation and current discussions remain about: - The need of testing guiders / coaches representations of the "labour market reality" (who owns the knowledge?); - The need to challenge activation policies; - The concern of young disadvantaged & unemployed people's mental health degrading fast, which create new problems to face. 3 Guidance Practice – Germany (Bildungsmarkt, GFBM) 3.1 Personal LearnCoaching - An Independent Offer of Counseling and Coaching of Young People and Adults A good practice of guiding is the work of LernCoachs – a new offer in the field of youth employment. The experience of freelancing LernCoachs is quite recent in Germany. So this presentation can just give a first impression of what is to be expected from the innovation experienced with this model. Hopefully it will be possible to give a broader presentation of LernCoach experiences until the end of the running Leonardo project (September 2007) A lot of managers or other persons take a coach to find better personal solutions for their job doing and work-life-balance. In addition to that more young people need this support as well. Especially in the transitional period between school and vocational training, study or job. A lot of people are working as counsellors with different qualifications and they do this support in different periods and each counsellor starts new. They often do not have enough basic and actual information and don't know the techniques, instruments and strategies for a good and professional guidance. 1. It seemed that it was necessary to establish a new professional and qualified person as a counsellor especially for the needs of young people/adults. 3. The offer has to be independent from the institutions and other job-related requirements (self sufficiency of the counsellors). 2. In fact this person should have the possibility to offer his services during the whole period between school to job if the need for the support becomes evident at certain points of time for a defined period of time. 4. In addition to this the person has to be able to work absolutely independent from the public institutions. 6. Generally they need a certain qualification with defined training standards for counselling. 5. Consequently these counsellors should be persons inspiring confidence of young people. Following that we developed and tried a curriculum to improve the competence of counsellors. This further training, called "LernCoach" is an offer for people working in an educational area. (you find the training for LernCoach described in an extra chapter of this compilation) 3.2 Additional good practice in Germany 3.2.1 Punks and Dogs Project Partners involved: Job Center Friedrichshain-Kreuzberg; Arbeit Sofort GbR; Karuna e.V.; Tierheim Berlin (animal shelter) Like all other Jobcenters in Berlin Jobcenter Friedrichshain-Kreuzberg exists since 01.01.2005. The case management of the Jobcenter cares for clients with multiple obstacles. The predominant part of the customers has neither a graduation, nor any concepts for a future professional life. Drug abuse and drug dependence are a priority problem of this clientele. A first discussion with the animal shelter showed that there is a need for simple work Many young people live intended or involuntarily on the road, many have dogs, because these are the only ones, to which the young people still develop trust. They feel respected by the animals and they show able to provide well for them. Doing observations on the road and discussing with the clients we learned that punks have a very special potential in handling their dogs. The dogs obey – even if they are not tied up. They react to the smallest gesture of the young people. We imagined that we should be able to use this potential of the street kids to integrate them in a regulated daily routine. The animals really help them. Ask the kids about their dogs means asking them about their hearts. The toughest punks get weak if it is about their dogs. The project is made exactly for this group of young people. to be done, which cannot be covered by the regular staff. Also there is no aloofness in relation to the appearance of this clientele. There are not only activities in animal care, but also in the horticulture and for easy crafts activities. And: the young people could bring along their dogs. This is very important because it is an insuperable problem for this clientele to participate in a measure and to leave their dog alone. They must learn to do that slowly, step by step. Also a structure for their daily routines must be developed. They receive their own tasks, they take on responsibilities and above all they have to appear at the working place punctually. The chance to find a job and/or a vocational training place increase significantly. With good work done this may be the case even within the animal shelter. Objective Paul, 17 years: The main objective to b achieved is that the young people learn to have a regulated routine of the day. We would like to offer a long-term perspective to our street kids. The lack of perspectives always will drive them back to the road. Up to now we were missing opportunities to bring together this person's specific needs with the requirements of the work life. Karuna is well-known to us for the outstanding work of heir social workers in supporting young people in their everyday life. So they learn to get order into their housekeeping and into their finances and build a stable basis for a vocational training and the working life. Each young person, who already learned to know the bad sides of life is worth that he or she finds support and promotion for his or her existing potentials. „There ere vicious circles, in which I turned again and again. And if they talked to me, I did not hear their voices, or I heard words, which I do not understand. I want to get my life into the grip " „I want to set a point behind my past. What I simply really wanted is that my mother takes me into her arms. " Krümel, 16 years: These kids motivated us. We want to accompany them for a while and give them reason to dream. We would be pleased, if our project gave example to all Jobcenters in Berlin, because our street kids belong to all districts of the town. Just show courage, it is not so difficult at all! Brigitte Henkel, Christina Hilpert (Jobcenter Friedrichshain-Kreuzberg) 3.2.2 VIPs for kids Another project developed by the Jobcenter Friedrichshain-Kreuzberg: VIPs for kids Anny Cammerer and Florian understood each other immediately. The music connects them to each other. „My desire is it to become tone technician, but for years I am without success ", say the 22 year old Florian. Publicly well known people take over the mentoring for young unemployed persons. „We do not want money, we want the time of the VIPs" says Stephan Felisiak, the managing director of the Jobcenter. There are approximately 2800 unemployed persons under 25 years in the district. 80 per cent of them are without any professional qualification, 60 percent without school degree. Apart from the qualification motivation is a crucial issue for the job search. The VIPs contribute to this by meeting their mentees regularly, talking to them on the telephone. They describe them their own biographies, not always being so straight and simple as well, and the offer them guidance. „I had the luck that there always was someone, who listened to me and motivated me", says Anny Cammerer. „Of this I want to pass on something. "Also the delegates Dilek Kolat (SPD) and Özcan Mutlu (Green Party), who have a migration background, had to fight for themselves had and now they participate at the program. Also boxer Oktay Urkal and painter Margit Grüger joined in. The number of the VIPs is growing steadily. Also different actors are going to take part. (source: Tagesspiegel Berlin) 4 Guidance Practice - Netherlands 4.1 The IMC Weekend school What is the IMC Weekend School? The weekend school is a school for additional education for children between ten and fourteen years old. These children live in social-economic poor areas in the big cities. The teachers are volunteers who work in a broad variety of professions and organizations. They teach their profession as an activity which can be characterized as: practicing the job. They do so in periods of 5 to 10 weeks. During three years they attend lessons on Sundays in subjects like journalism, medical science, law, mathematics, philosophy, art, film, language, poetry, economics / enterprising, skill trainings and lessons they ask for. Professionals are expected to teach their profession on the level the profession is practiced. When I visited a presentation of the children of the weekend schools of Amsterdam in juni 2006 I met professionals working as window dresser, auditor, advertising agent, fashion designer, beautician, travel agency consultant, car mechanic and a journalist. There are yearly 200 voluntary teachers in each location. Some of them come back every year. The weekend schools exist since January 1998. The first school started in the southeastern area of Amsterdam (the Bijlmer), followed by more schools in other poor areas of Amsterdam and other cities. IMC stands for: International Marketmakers Combination. Many enterprises and private funds finance the school. IMC also stands for the responsibility the business community takes for the social well-being of society. It is also a brand name. The sponsors don't influence the contents of the lessons. It is emphasized, that the IMC concept is no charity. Objectives The objective of the IMC weekend school is to support children from social economic poor areas in - empowering their self-confidence - widening their perspectives - creating solidarity with society What does the weekend school offer children? The weekend school offers children [x] with 15 different subject [x] a three year educational program [x] with additional training programs in all kinds of skills [x] a weekend school certificate after three years [x] and lessons which the children organize by themselves [x] a follow-up program after these three years in subjects they need [x] the possibility to teach younger children after having finished weekend school [x] role models [x] hope [x] structure [x] knowledge [x] perspectives [x] social contacts and future networks [x] more self-confidence [x] a direction in which to look for a school and a career [x] inspiration [x] endurance Results A weekend school offers lessons to 100 children, divided over three year groups (of about 30 children). About 65% of them finish the school. Parents and children experience the weekend school as a necessary additional educational offer in order to be able to choose a type of school and a career. Both children and teachers are enthusiastic about their working together in practicing a job. Motivation and social context The IMC Weekend School is the result of an investigation the University of Amsterdam did on school motivation. One of the results was, that many of them were highly motivated to go to school, but that they also were very insecure and standing alone in their process of choosing a school and a future career. Most of them didn't know people who could advice them or would be able to answer their questions. They were gloomy about their future and few of them were used to think about themselves as a person with unique talents. For them the years in school were a process of powerlessness. An advice to go to a vocational school was a proof of failure to them and as the end of their possibilities. Also children with a higher school advice felt insecure and afraid. They had no idea what to expect and were unable to form an idea of the world to which they could access with a certificate. In all school types children lost their motivation for school. There are waiting periods and the school is forced to draw lots. It proves however that there is enough enthusiasm for another type of education among parents and children in poor areas. IMC evaluated Children are invited on the basis of motivation. Nor the educational level of the school nor the educational level of the children plays a role of significance. Participants don't have to pay anything. Children attend school on a voluntary basis. They only need the permission of their parent(s). - we practice real learning instead of book learning Children evaluate IMC as follows: - we learn more - we enjoy cooperating with children of other schools - we climb higher (socially) - I know more now (than other children) - I know more people Children drop out for reasons like - The educational offer doesn't fit with their wishes - The rules of the school are too strict (they must come every Sunday in time) - They can't combine it with the homework of their – other days - school Parents mention, that it is important for their children to get lessons which they can't offer their children. Teachers are surprised that also children who they qualify as nasty and 'not easy learning' can be motivated. It also confronts them with a concept of learning for which children do become enthusiastic. Theory Projects which succeed have a number of characteristics in common: - And are familiar with the target group - They are initiated by people who feel the need - Who know what they are talking about - Keep the direction - Start small - Expand only if possible - Have a network already 5 Guidance Practice - Italy 5.1 Good practice example - OASI (OASIS) Guidance toward individual choices 5.1.1 Foreword: the context and the demand This is a brief description of the most important characteristics of strong points, the criticalities and the demand by which the project was born. The Oasis project was presented by the Scientific High School Labriola, located in the XIII Municipality of Rome. During last years, as a consequence of the educational system's reform, the number of enrolments surprisingly increased. The profiles and the characteristics of the students changed and the school had to face many new problems. In these peripheral territories, besides the drop out phenomena, the unemployment ratio is dangerously high. It is caused, besides the other variables, by an unordered and convulsive urban growth and a different socio-economic development. The school, in particular the high school (Liceo), is the most often engaged structure in managing the social change, in fact, thanks to its training function it has the capability to transform itself into a powerful development factor for cultures and local realities. The school is facing the hard work to define a customer/purchaser who tests and judges its own product. The students that attend the Scientific High School Labriola generally come from the local context (Ostia beach, old Ostia, but also the city of Acilia, Fiumicino, Torvaianica). All of these areas are characterized by remarkable school abandonment not only during the compulsory education path but even later from high school to the University. According to the mentioned scholastic context, the orientation activity has recently met the consensus of: Board, school' managers and counsellor-teachers. The students don't succeed in thinking to the link between what they are doing now and how useful is this for their future. Besides the need of the management, there was also the demand of the students who belong to the group-class IV G. They underlined the importance of the link between the present educational path, i.e. the choices made years before and the future career, i.e. which job I like. The request of the students represented also a support to face a hard difficulty, often exchanged with "a common individual and personal problem". This weakness makes them oscillate between two emotional dimensions that could cause many problems if they are not made visible and communicative. These two emotions placed on "there and then" seem to make real a way to relate with a proposal – i.e. the training proposal – which the students have been built up in the course of time. The same proposal seems to make more substantial the choices made by means of an external anchorage: "my friends will go in that school …. My On a side, they have the idea that, in the future, nothing will be possible to do, on the other side (a pleasant aspect of the same situation) they believe that future will be certainly beautiful because the fortune will help them. parents expect me to go … the doctors have more power…the football players earn more money…" The project was born in this culture in which the guys are "passive" and the teachers are "worried"; its goals and objectives, often discussed and explored, were planned with the direct interlocutors of the different actions. Therefore, they make a choice not anchored to an interest to explore or to build, but to external dimensions difficult to verify. The initiative has consisted of an innovative and atypical relation by which the school usually builds up its relations and in which also the project has taken part. The core of the project was to propose a structured guidance path to support students in making individual choices within a context characterized of a duty dimension. This is an interesting process to test the change in an individual and personal point of view first for the students, second for the school itself which tests its organisational management. The project aimed at replying to the social demand made by the local context and the labour market. Teachers and students built together the chance "to choose to stay" and "to choose how to stay" allowing a hard and useful work to succeed. The school launched a challenge that didn't remain unheard. 5.1.2 The Action's Plan The intervention was planned thinking that a change can't exclude the direct involved actors in the change, in this case teachers and students. According to this point of view, fourteen meetings were organised with the class-group and other three with their teachers. As expected, it allowed either not to accept tout court a proxy from outside regarding a guidance school function and the teachers, or the chance to plan a project with all of the active parties in the process avoiding the utopian idea that it is possible to improve the social context changing just one element of the problem. The three meetings with teachers aimed at sharing the modalities to stay in the proposed path, listening and exploring the student's fantasies and the requests. The fourteen meetings with the class-group were divided into two macro-areas, realised in different periods. The first macro- area aims at sharing and building the expectations and the involvement of the class-group in the project. The scope of the phase was to firm the sense of utilisation of the proposed path up, i.e. "why do I have to join" besides the idea that there was an alternative solution. It consisted of five meetings, realised during the school hours, in a "duty to stay" dimension according to the explicit and implicit scholastic rules. Participating or not participating consisted of two different alternatives, the students had to point out with the teachers the necessary criteria to make a reasonable choice regardless the alternative they wanted to choose. This passage was definitely meaningful; in fact, it allowed the students who wanted to keep on the project to confront their self with a difficult choice, which often implied staying far away from home, the necessity to stay after the end of the school day, the absence of "credits/rewards", the duty, in any case, to finish the homework and study for the next day. The passage to the afternoon meetings (9) meant a rebuilding of the class-group considering the motivations to continue the project. As concerns the students, the most relevant difficulty was to accept the comparison with the others; in particular, because they often felt different incoherent emotions, sometimes even opposite and confused. This could cause a rethink of what he was doing, a lack of self -confidence on the made choices, all of this in relation to the future. Thanks to the group and the alliance created was also possible to choose to participate or not. In the action, the applied methodology allowed to transform the group into a useful training instrument: in the group fears, wishes and dreams were explored and analysed. It was possible to think over the change that was developing and the future that was delineating. Different exercises were used according to the different phases in which the group was involved. Erasing the presumption that everyone has to work only because a proposal had been presented, the group gave a sense of what they were doing, they understood that it is possible to ask, to relate, to express doubts, analyse them to change the ideas opening the mind to other unexpected considerations. During the first phase, specific exercises were used which aim at emerging the past of the group and the participants compared to the group. The scope was to develop the capability either to share and make decisions or to think over the events and the phenomena. These elements are often ignored or read within a simplistic reality and implications. The discovery represents a very useful instrument to begin to relate with an external adult in a different way. Other activities allowed them to know several tools: i.e. writing curriculum vitae, facing simulated selection procedures, meeting an external professional, discovering unexplored and dreamt worlds. They finally destroyed the utopian idea that the "satisfaction" is connected to the lack of fatigue. 5.1.3 The definition of the Objectives and the achieved results The covered path allowed us to catch some objectives up which we have shared with different interlocutors: 1. The transformation from a culture of liability/commissioning toward a culture of exploration/setting up. 3. The development of an ability to integrate the training path with the choice about the own future, and exploring new opportunities. 2. The development of skills to think about choices depending on the suggested proposals: a function that the school will have now to guard and sustain. 4. The development of the ability to think about a project, detecting its strong/weak points, depending on both the own resources/bounds, and opportunities/threats of the external word. 5. The use of the group and of the others as a useful instrument of verification of the own opinions. 5.1.4 Conclusions At the end of this report, some resources that the OASIS project has concurred "to release", have to be underlined: first, the idea that "what is already established" can be redefined listening to the requirements of the involved actors. Second, the idea that different and various needs can be put in relation one with each other, in such a way to upgrade their development. The students of the IV G class have experienced the meaningful passage from passiveness toward the possibility to put themselves in relation with their ideas and products, making enquiries, discovering resources, discovering themselves as a resource. In other words: choosing between an impossible future and an idealized one... we have given us the possibility of a constructed future. 6 Guidance Practice - UK 6.1 Good practice example 1 – A curriculum for guidance for all 5 – 19 year olds UK Primary School educators have seen it as their responsibility in addition to developing their pupils' literacy and numeracy to also develop them as social beings. Since the 1980s, this curriculum area has been formally described as Personal and Social Education (PSHE). The statutory core of PSHE consists of health education, including sex and relationships education and drug education, careers education and guidance, and work-related learning. As part of the PSHE curriculum primary pupils might visit a local factory or shop or have local workers coming into school to describe their role. In some Primary Schools role plays and simulations of industrial or other work contexts might well also feature in the curriculum of PSHE though the emphases would generally be in the spiritual, moral, social and cultural development of its pupils. In Secondary schools, especially in years 14-19, PSHE's emphasis begins to shift through an emphasis on work-related learning to preparation for life's choices including choice of careers and pathways to work. Characteristics of good PSHE teaching In a recent survey by the Inspectorate of schools (Ofsted), good teaching in PSHE, whether by specialist teachers or by experienced and appropriately trained tutors, was described as having the following features: use of a well-structured lesson with clear, realistic learning objectives * high expectations of the pupils, taking due note of their prior experiences * lesson activities that were matched to the lesson aims * good subject knowledge, manifested in the high quality of teacher exposition * creation of a climate that allowed and encouraged pupils to express their views on their feelings * effective use of a range of strategies including group work, role play and whole-class discussion * promotion of respect for the views of others. * provide a clear statement of learning outcomes Lesson planning was good or better in nine out of ten lessons taught by specialist teachers: there were very few lessons where planning was unsatisfactory. By comparison, lesson planning by tutors was unsatisfactory in over three in ten lessons. Here, tutors relied too heavily on generalised plans produced by the subject coordinator and did not ensure that their own plan was adapted to meet the needs of their pupils. The most effective lesson plans: * plan for an introductory activity, development activity and a plenary in which pupils can reflect on what they have learned * identify classroom support and its use * include assessment opportunities * make links to the development of ICT and key skills * provide guidance on appropriate learning styles for use in the particular topic or theme. Partnerships with adults in the community * identify any cross-curricular links The great majority of schools have formed particularly effective relationships with community police officers, nurses and health workers. Where schools have been able to rely on the support of such key workers, the contribution they have been able to make to the PSHE and support programmes has been considerable. Careers Education and Guidance as an ingredient of PSHE Objectives for the 11 to 14 age group a) pupils will be able to: There are no formal Careers and Guidance lessons within PSHE until pupils leave Primary Schools. In Secondary Schools, in the period between 11 and 14 the key objectives in the National Curriculum guidance are that by 14: * reflect on strengths, achievements, areas for development and preferred ways of learning in all areas of their lives * recognise that failure can help them to learn * give and receive constructive feedback * manage time and learning effectively * feel motivated about, and value, learning * reflect on the new opportunities of the secondary school * enjoy public recognition of their achievements * be positive when offered new opportunities. * value their own and others' achievements * assess personal strengths and set realistic targets for development * use goal-setting, review, reflection and action planning to support progress and achievement, and to set short-term and medium-term goals * use the outcomes of self-assessment to identify areas for development, build self-confidence and develop a positive self-image * recognise stereotyped and misrepresented images of people, careers and work and how their own views of these issues affect their decision-making * recognise that work is more than paid employment and that there is considerable variation in the value individuals and society attach to different kinds of work * recognise and respond to the main influences on their attitudes and values in relation to learning, work and equality of opportunity * describe how the world of work is changing and the skills that promote employability * use appropriate vocabulary and organise information about work into standard and personally devised groupings * identify and use a variety of sources of careers information, including through ICT * use information-handling and research skills to locate, select, analyse, integrate, present and evaluate careers information relevant to their needs * identify, access and use the help and advice they need from a variety of sources including: parents or carers; teachers; Connexions personal advisers; and other learning providers * use a straightforward decision-making technique * manage change and transition, giving consideration to the longer-term implications and the potential progression opportunities b) will know and understand: * make realistic and informed choices of options available post-14 organise and present personal information in an appropriate format. * what influences their behaviour, for example, how they spend or save money; staying out late. * that jobs and work patterns change and know some of the factors which affect this * the broad job categories, aptitudes and basic qualifications needed for them, relating these to subject choices for Key Stage 4 where to access information about jobs, learning and leisure c) will have considered: * how others see them. * what makes them feel good and bad, and that how they see themselves affects self-confidence and behaviour * their aspirations in relation to their Key Stage 4 choices and future careers * alternatives and make changes in response to their successes and failures. Objectives for the 14-16 age group a) be able to: By the time the students reach16, National Curriculum guidance suggests the goals for pupils are that they will: * set future personal goals by reflecting on the results of past decisions * recognise and manage negative feedback * manage different roles confidently * manage failure and learn from experience * budget for living independently * recognise and manage positive influences and negative pressures, for example, support from teachers and stress caused by examinations * manage money sensibly through savings accounts and know how to use cash dispensers and banks * organise work and meet deadlines in coursework and revision * see themselves through other people's eyes * gain access to information independently. * review and reflect on how their experiences have added to their knowledge, understanding and skills and use this information when developing career plans * use self-assessments and career-related questionnaires to help identify and set short- and medium-term goals, and career and learning targets * use review, reflection and action planning to make progress and support career development * use guided self-exploration to recognise and respond appropriately to the main influences on their attitudes, values and behaviour in relation to learning and work * explain why it is important to develop personal values to combat stereotyping, tackle discrimination in learning and work, and suggest ways of doing this * explain the term 'career' and its relevance to their own lives * identify, select and use a wide range of careers information and distinguish between objectivity and bias * describe employment trends and associated learning opportunities at different levels * use work-related learning and direct experience of work to improve their chances * select and use decision-making techniques that are fit for purpose including preparing and using action plans that incorporate contingencies * take finance and other factors into account when making decisions about the future. * compare different options and select suitable ones using their own criteria and the outcomes of information, advice and guidance b) know and understand: * the need to be adaptable about their own identity and know the roles they have and want to have about different ways of saving money. * the links between the UK and the EU in relation to work opportunities * how further education and training can improve job prospects, job satisfaction and mobility in the labour market * the qualifications available post-16, and the similarities and differences between sixth form, further education and work-based training * and follow application procedures recognising the need for and producing speculative and targeted CVs, personal statements and application letters for a range of different scenarios * about the progression routes open to them and compare critically these options and explain and justify the range of opportunities they are considering * the purpose of interviews, and select and present personal information to make targeted applications * what employers look for in relation to behaviour at work, appreciate their rights and responsibilities in learning and work, and know where to get help. c) have considered: * how to be positive about personal achievement * how they can be positive about the control they have over their own behaviour * how to get the best out of school life * the importance of success on self-esteem * how they can value learning for its own sake * the benefits of accepting advice from others * how the media influence public opinion and promote different lifestyles. * whether personal values and attitudes have to be the same as other people's * the importance of life-long learning Objectives for the 16-19 age group * provision of a more complex, flexible curriculum Providing guidance and support for students 16 – 19 has become increasingly important in the context of the: * possibilities of making changes within a two-year programme government target of HE experience for 50 per cent of 18- to 30-year-olds. * Widening Participation initiative Schools and colleges stress the importance of providing appropriate advice and guidance * early enough to give students a secure start to their post-16 learning. Ofsted reports that, in the first year of Curriculum 2000, retention rates in schools were similar to previous years. Where retention rates were close to 100 per cent, the schools had: * effective monitoring procedures * well-developed advice and guidance strategies * often very committed students. An important aspect of guidance and support is providing advice in August, when the examination results are published. One college achieves this by having a staggered end to the summer term, which means that some staff start their summer holiday early in return for attending college in mid-August to provide advice. In other institutions, managers (such as heads of sixth form and personal tutors) provide advice on results day, a role that is included in their job description. 6.2 Good practice example 2 – Work Related Learning (WRL) for all students 14 – 16 Work experience during the learning process was illegal up to 1974. Since then an emphasis on the importance of experiences of work in general education as well as in vocational education has gathered increased momentum. This development is referred to as work-related learning. It has a formal place within the broad PSHE curriculum and is close to and overlaps with the Careers Education and Guidance curriculum. In this way the UK system emphasises that work-related learning (WRL) can occur for its own sake as a worthy area of learning and experience in its own right. Although work experience and a careers education and guidance programme are the most common components of WRL, other good provision includes the use of vocational courses, enterprise activities in the curriculum or on days when the normal school timetable is modified, WRL elements of specific subjects and extra-curricular activities. Innovative activities in WRL are often associated with school–business links. The most effective approaches, comment the Inspectorate (Ofsted) are characterised by a breadth of provision which include some or all of: * enterprise simulations * well considered work experience programmes * careers education and guidance programmes which begin in Year 7 and build knowledge and skills cumulatively through to Key Stage 4 * after school clubs and other extra-curricular activities * WRL within subjects * industry days which contribute to the development of enterprise learning vocational courses * community projects and wide ranging contact with employers. Almost all schools prepare their students well for work experience and provide adequate time for students to reflect and evaluate. However, the quality of that evaluation varies: it can be detailed and thoughtful, but is often cursory. Work experience is most successful when guidance and support help to create a sense of purpose for students. This enables them to identify and then reflect on the outcomes of the tasks they have carried out and what they learned. Successful support and guidance for work experience enables students to find out more about vocational areas in which they are interested; develop an understanding of the world of work; identify and apply social and technical skills required in the workplace and research specific aspects of their placement. Learning is consolidated when students are able to identify links between their classroom learning and what they gain from work experience. However, this coherence is rarely planned. Often schools do not exploit the potential of school subjects sufficiently, so that for example, students' letters of thanks to employers are not written or presented in a professional way; and any reprise of work experience is cursory, without a requirement for students to reflect deeply on the skills and confidence they have acquired. 6.3 Good practice example 3 – Enterprise Education The definition of enterprise capability most frequently used '…the ability to handle uncertainty and respond positively to change, to create and implement new ideas and new ways of doing things, to make reasonable risk/reward assessments and act upon them in a variety of contexts, both personal and work.' Such capability involves the development of knowledge and understanding of relevant concepts such as organisation, innovation, risk and change. Enterprise learning requires an environment where pupils are expected to take personal resolution. In other words, there is considerable uncertainty about final outcomes. Such an environment might be the school, local community or business. Within these contexts, learning can be promoted by engaging pupils in an enterprise process or approach, which is akin to project working in a work-based context. Typically, the process involves four sequential stages: Stage 1. Tackling a problem or identifying a need, by a team or groups of pupils, which requires the generation and development of ideas and discussion among pupils to reach a common understanding of what is required to resolve the problem or meet the need. For example, such activity could involve the manufacture of a product or provision of a service. Stage 3. Implementing the plan: solving problems, monitoring, evaluating and reviewing progress. Stage 2. Planning the project or activity: breaking down tasks, organising resources, deploying team members, and allocating responsibilities. Stage 4. Evaluating processes, activities and final outcomes holistically: includes reflecting on lessons learned, and assessing the skills, attitudes, qualities and understanding acquired as a result of the process. Enterprise education is viewed by the government as a key component in improving the economic well-being of the nation and individuals. Private and public sector businesses need employees with a 'can do' attitude, a willingness to take on responsibility, a creative and innovative approach to solving problems, and the ability to cope with uncertainty and change and make reasonable risk/reward assessments. Such enterprising skills and attributes help in the creation of new businesses but are equally important for individuals to be successful in their personal lives. They are a key output of work-related learning, which became a statutory curriculum requirement for 14–16 year olds in September 2004. Enterprise education is at present quite clearly the Government's preferred technique for work related learning. The government has provided additional funding of £180m over three years from September 2005 to support the development of enterprise learning for all 14–16 year olds. The funding amounts to about £17,000 each year for an average sized secondary school. Enterprise pathfinders, involving approximately 700 schools, have tested approaches to enterprise education and the Learning and Skills Council (LSC) has funded enterprise advisers to support 1,000 schools in socially deprived areas. In the summer of 2005, senior managers from all schools were invited to attend regional conferences funded by the Department for Education and Skills (DfES) to help them develop enterprise education at Key Stage 4. In 2003, Ofsted was asked to evaluate enterprise learning in a sample of 33 schools and its findings were published in Learning to be enterprising. A further survey of 16 schools was carried out in spring 2005. The sample included pathfinder schools, specialist business and enterprise schools, special schools, pupil referral units and other schools known to be providing enterprise education at Key Stage 4. Despite some progress, especially in developing a clearer understanding of what enterprise education involves, many of the shortcomings identified in Learning to be enterprising are present in the more recent sample of schools inspected. In particular, as witnessed in recent surveys, schools need to be clearer about the learning outcomes expected from enterprise education and to have better systems in place to assess and monitor student progress. This report draws on both the 2003/04 and 2004/05 surveys, as well as other inspection evidence, to identify the key features required for the successful development of enterprise education and provide practical guidance to schools and others through sharing examples of good practice. 6.4 Good practice example 4 - Work Experience Work experience, the longest standing most widespread technique for introducing work related learning is undertaken by 95% of pupils aged 15 and16, in their last year of compulsory education. It may involve a one- or two-week placement at an employer's premises or regular attendance on one or more days each week. Subject to health and safety considerations, pupils carry out similar tasks and duties as regular employees, but with the emphasis on the learning aspects of the experience. 6.4.1 Main findings of recent Ofsted inspection of work experience * There are many schools that have developed good practice in the organisation, management and monitoring of work experience. Most pupils feel that work experience enables them to understand the world of work and develop workrelated skills. However, around two thirds of employers felt that greater value could be obtained from work experience if pupils were better briefed before they attended. There should be clear learning goals and improved links between the courses and qualifications being undertaken and the work experience activities. * Most schools have a network of contacts for work experience and employers who willingly support them by providing work placements. Employers are committed to the broad aims of work experience, but many do not fully understand their role, the purpose of the work placement or its contribution to the pupil's programme of study. * Placements are most effective when pupils are well prepared to get the most from the experience and where employers receive information about both the pupil and the aims of the placement. Effective organisers endeavour to provide clear placement descriptors, agreed with all parties, giving clear guidance to pupils and employers about what to expect. However, the advance organisation and management is inadequate in too many cases. * Pupils' understanding of the host establishment, its objectives and nature of its core business, organisation and structure is generally satisfactory and often good. Nearly all pupils feel that work experience helps them to understand the world of work and how their employer's business works. * The development of work-related skills, knowledge and concepts, and key skills is satisfactory overall and often good. The most effective work placements are carefully planned to give pupils opportunities to develop a wide range of new skills and to enhance their social skills. Pupils value the working relationships which develop. * Work experience is usually effective in developing pupils' understanding of the workplace, supporting their social learning and developing their ability to communicate with adults and to take advice. Supportive employers and employees enable vulnerable pupils to learn a range of skills, helping their confidence and self-esteem. Extended work placements are often highly successful in improving motivation, self-esteem and attendance among pupils who are beginning to reject school. * Most pupils make a satisfactory record of what they do and learn on work placements but many fail to reflect on or evaluate their experiences. Not all schools convince pupils of the importance of the course log or diary. Some pupils are not aware of planned follow-up activities and they consequently fail to maintain their diaries. * In most cases, there are few discernible links between the work placement and school or college courses. Even where teachers have planned coursework or other activities that directly link with work experience, pupils' recording of evidence for later use in courses or for assessment towards a qualification is often unsatisfactory. * Opportunities are frequently missed to link the work placement with course assignments on vocational courses. When the placement has links with a specific course, pupils use their course diaries more effectively, though few diaries draw pupils' attention to specific learning outcomes for such courses. Other links to learning in school are underdeveloped. * Although they explore possible career options in school, the majority of pupils on work placement are not well informed about careers within the host organisation or the associated qualifications and training. 6.4.2 Recommendations regarding quality in work experience To improve the quality of work experience, schools and other agencies organising work placements should: * ensure that employers are fully briefed about the wider work-related curriculum, the purposes of work experience, and its relationship to school and college courses and qualifications * plan appropriate links between work experience and work for General Certificate of Education (GCSE) and other courses, including assessment and accreditation, especially for courses with a vocational element * prepare pupils to learn as much as possible from work experience, making sure they know what and how to record and what use will be made of their evidence * make links between careers lessons and work placements, encouraging pupils to find out about training and qualifications related to work in their host businesses and organisations * debrief pupils at the end of the placement, helping them to reflect on what they have learned. 6.4.3 Preparation of pupils In work placement visits, nearly two fifths of pupils were considered to be well informed about the work placement before they started, but more than a quarter of pupils had insufficient One in three pupils strongly agreed with the statement 'Teachers made sure I was well prepared for work experience', and nearly half tended to agree. Just over one in five disagreed with the statement, with boys being more critical than girls. The most important factor in pupils being well informed was the quality of advance organisation and management by the school, college or work experience organiser. Secondary school inspections indicate that organisation and monitoring are variable in quality, being most effective when the work placement is closely related to a comprehensive work-related learning package or a coherent programme of careers education and guidance. Inspection evidence indicates that many schools carefully prepare their pupils for work experience but are less effective at ensuring that employers fully understand their role, the purpose of the work placement and its contribution to the pupil's programme of study. advance information. In a fair percentage of schools pupils were expected to find their own placements. Features of effective placements * Organisers provided the employer with information about both the pupil and the aims of the placement. They endeavoured to provide clear placement descriptors, agreed with all parties, giving clear guidance to pupils and employers about what to expect. * Pupils had benefited from good preparation sessions for several weeks at school, covering general issues like appearance, co-operation, dress and reliability and how to use the logbook. * A good job description outlined the experience and pupils had often met the employer in advance and discussed the nature and range of the work. This helped them understand the nature and core business of the host employer. * Linking the placement with a relevant course at school enhanced the benefit of the placement. * Pupils had a named contact at the school in case of problems and knew who to report to at the workplace. 6.4.4 Matching placements to pupils The level of demand and responsibility was well matched to the pupil in almost half of the placements visited, but more than a fifth of pupils were placed inappropriately. Careful matching of the pupil to the placement brought a number of dividends. Well- Leonardo Guiding matched pupils had a better understanding of the host establishment and they collected and recorded evidence about their work experience more effectively. There were also benefits in terms of social learning and the extent to which pupils communicated, took responsibility and responded to guidance. In some cases, inadequate procedures for matching placements to meet individual needs meant that pupils gained experience that was not well matched to their career aims or interests. It was difficult for some schools to match pupils to placements because they encouraged or even expected pupils to find their own placements. In some areas, too many schools were seeking placements at the same time. School inspection reports indicate that some schools structure their work experience placements as far as possible to match the career aspirations of pupils, but others provide few opportunities for pupils to gain work experience related to their own aspirations, except in placements directly linked to vocational courses. There was a significant difference in the responses of pupils who attended college for part of their timetables compared to those who did not. Pupils attending college felt more strongly that work experience had helped them understand the world of work, and told them a lot about how the employer's business works. They were also more positive about the quality of preparation and monitoring and were more likely to have tried harder at school. Features of effective placements In their visits to placements, inspectors found that some employers offered particularly good support to pupils whose placements were tailored to aptitudes and interests. In the best practice: * Placements involve a well-planned and supported variety of activities, providing good opportunities for pupils to work at an appropriate level and progress from basic to more sophisticated tasks. * Employers helped pupils to understand how the business worked, how projects are managed and how responsibilities are shared. * The level of demand and responsibility was commensurate with pupils' level of study and career ambitions. For vulnerable pupils, such as those with behavioural difficulties, work placements helped them take responsibility and improved their self-esteem. * Pupils made connections with what they were learning in GCSE subjects. Pupils taking vocational courses are aware of the learning opportunities in the placement. * Pupils received support tailored to their needs. For example, a pupil with attention deficit hyperactivity disorder (ADHD) was helped to gain self-control, and a pupil learning English and new to the country was helped with language and certain key skills. * In some cases, such as medical placements, where the nature of the work left little opportunity for pupils to take responsibility, the placement had a strong element of work shadowing. * In one school, potential veterinary surgeons had work experience placements at a nearby farm where they had hands-on experience of lambing. * Another school had replaced work experience by work shadowing to better focus on pupils' intended professional and other careers. 6.4.5 Key skills and work skills In visits to work placements, nearly half the pupils were taking good advantage of opportunities to develop key skills and learn about the skills, knowledge and concepts applied to the work they were engaged in. Many more made satisfactory use of their placement to develop such skills, but one in seven pupils did not develop these skills satisfactorily. Pupils were less likely to develop key skills and learn work skills satisfactorily if their placement was not well matched to their needs, if they did not maintain a logbook or if they had not been shown how to collect and record evidence. In the questionnaire, more than one in six pupils said that one of the best things about their work placement was learning or experiencing new things, or mentioned particular aspects of work that they enjoyed. A small number wanted to be allowed to learn or help more, or to undertake particular tasks that had been prohibited. School inspection reports sometimes point to the fact that work experience helps pupils develop skills in communicating with and relating to others and take increasing responsibility for their work. Such findings are more often found in the sections of inspection reports on vocational courses and alternative work-related programmes. Features of effective placements In their visits to placements, inspectors noted some effective development of key skills: * Pupils learned the importance of clear and accurate communication when asking for guidance or giving information and gained confidence in speaking. * Examples included making phone calls in a professional manner, listening to instructions and responding to them carefully, developing the right register of speech, developing confidence in using appropriate language and adapting language to circumstances. Pupils experienced real applications of number such as working on a till, counting and banking money, counting and recording post. More sophisticated mathematical examples * included using spreadsheets, making scale drawings of increasing sophistication and using logic. * Pupils had hands-on experience of using computers, such as designing and producing tickets for an event. They consolidated existing learning by working on spreadsheets and other applications. Some had linked work set by their school in relation to applied GCSE courses. * Pupils gained a range of specific work skills. They were seen as part of the team and valued the working relationships which developed. Those placed in professional practices obtained a very wide view of the work. * Pupils understood what kind of evidence they needed to collect to provide evidence of key skills because of a comprehensive description in the logbook. Where appropriate, the employer signs off the completed key skills section. * Health and safety issues were thoroughly covered by schools, colleges and employers. 6.4.6 Recording and reflecting Three fifths of pupils visited had kept a satisfactory record of their work placement. The higher-level skills of evaluating and reflecting on the experience were less common, with fewer than one in five pupils doing so successfully. As many as two fifths of pupils made little effort to gather information, in some cases because they were not asked to do so. In the questionnaire, only three quarters said they kept a diary, though four in five reported recording what they did on work experience. Pupils who had to collect and record evidence from their work experience for a particular purpose, such as coursework or follow-up work back at school, were better at recording, evaluating and reflecting on their experience. Pupils who conscientiously collected and recorded evidence about their work experience were generally better informed about careers and qualifications. Some pupils did not keep their logbooks up to date because the preparation by the school had not convinced them of its importance. Some schools needed to make pupils more aware of the importance of the course log. Few logbooks had developed sections that focused specifically on learning relevant to particular subjects or courses. Others had given too little time and thought to the debriefing of pupils at the end of the placement and needed to develop follow-up activities that would encourage pupils to record potentially valuable ideas and information. Features of effective placements In their visits to placements, inspectors found that some pupils were well prepared to record and reflect on their experience: * Pupils are given useful guidelines on how to complete a diary/logbook that helps them evaluate and reflect on what they have learned. * Pupils were expected to write a reflective log of work experience as part of their English coursework. * Logbooks allow pupils to record the events of the week to the best of their ability. These might be fairly brief for pupils receiving additional support with literacy or filled in very professionally and analytically by more able pupils. * Vocational course pupils collect evidence for their portfolios, including photographic evidence and witness testimony forms from the work placement supervisor or mentor. * Pupils make good use of the key skills section. One pupil used the key skills section as a guide for enquiring about the business and things to be done. * There is effective debriefing, usually in citizenship or personal and social education lessons. Evaluation sheets completed by pupils and employers are included in record of achievement files. 6.4.7 Linking work experience to school work Nearly a quarter of the pupils visited made a good effort to collect and record evidence from the work placement for later use in school or college courses and another quarter recorded some evidence. Most of these were among the quarter benefiting from an explicit link between their work placement and courses they were studying at school or college. Half of the pupils gathered little information for use in courses they were studying, often because they were not asked to do so. There were no obvious links with school or college courses in nearly three placements in five. Only one in seven pupils questioned said they completed tasks for GCSE coursework and one in eight completed work for a school subject. While nearly three quarters of pupils recorded something about what they learnt, nearly half did not record who they worked with or how they felt about work experience. Some pupils were undertaking placements of direct relevance to a vocational course they were studying but their teachers had not linked the work placement with a course assignment. For example, one ICT pupil was given little opportunity to use computers in the workplace. Nor had he been prepared in advance to observe how computer-based systems, such as point of sale, were used in practice. When asked about the possibility that pupils might gain extra value from work experience for use in school or college courses or career planning, employers were Inspection reports suggest that work experience enables pupils on vocational courses to apply their knowledge in real contexts. For example, pupils studying business relate the management models learned in class to those encountered in retail and service organisations chosen for their own work experience or part-time jobs. evenly divided in three groups: * those already offering placements which allow pupils to gain extra value * those knowing little about such possibilities and showing little interest * those responding favourably to the idea of enhancing the experience in this way, but needing more information about the pupil and school/college courses. Features of effective placements In their visits to placements, inspectors found few cases where pupils used their work experience to the fullest effect to support learning for a course followed at school or college. In the best practice: * Pupils were motivated to collect evidence by the school or college, who made it clear that pupils would attend a work experience debrief and follow up the placement in certain subjects. For example, some pupils were expected to write a reflective log of work experience as part of their English coursework. * Schools helped pupils to develop the study skills and recording techniques needed to collect evidence. * Teachers of GCSEs in vocational subjects and vocational courses set assignments that capitalised on the work placement. Pupils collected a range of evidence of the placement's success (for example reports, photographic evidence, sample outcomes) often using their initiative to collect relevant leaflets, samples etc. * Pupils on long-term placements received regular visits from teachers or assessors and also discussed their experience in weekly group sessions at school. Visiting teachers or learning mentors helped other pupils to collect evidence, for example by taking photographs. Employers were well aware of the need to collect evidence. In one case, supervisors who were involved in assessment of post-16 apprentices and applied the same * principles to the Key Stage 4 pupils. In another, a pupil was allowed to print her work from an architect's CAD/CAM system to use in a GCSE engineering assignment on a house extension. Other pupils were allowed to take away examples of their work. 6.4.8 Understanding the business School inspections indicate that pupils are generally well prepared for the work placement process but are not always adequately informed about the nature of the business and work involved. that the company provided ground services for two budget airlines. Pupils achieved a better level of understanding in well-chosen placements where the employer had received information and guidance from the school and/or placement organiser. In work placement visits, four in five pupils had a satisfactory understanding of the variety of work carried out at the host establishment. Nearly a half had a good understanding but a fifth were ill-informed. For example, one GCSE leisure and tourism pupil who was working in an office at an airport was not aware In the pupil questionnaire, more than half strongly agreed with the statement 'I found out a lot about how the employer's business works', and another third tended to agree. Fewer than 10% disagreed. Likewise, more than half of the pupils agreed strongly with the statement 'Work experience helped me understand the world of work', with only one in twenty disagreeing. In both cases, boys showed a stronger level of agreement than girls. Features of effective placements In their visits to placements, inspectors identified ways of helping students to understand the nature of the work and the employer. In the best practice: * Pupils developed a good general understanding of the host establishment through a variety of experience. Employers planned opportunities such as progress chasing and job rotation that gave pupils a wider perspective. * Employers made sure that pupils understood their expectations, the chain of command and lines of accountability. Pupils were sometimes given the same induction as used for other workers. * Employers offered work shadowing to illustrate the range of employment opportunities and the roles and responsibilities of managers. * Subject teachers had set relevant assignments or guided pupils on aspects to investigate, such as the impact of various marketing strategies (business, leisure and tourism) or how companies link sales to stock reordering (ICT, business). * Pupils' understanding of the host establishment was commensurate with their prior learning and the nature of the work. * Pupils were made aware of general issues such as health and safety, the importance of customer service and the need for confidentiality. 6.4.9 Social learning Pupils' social learning was very well supported in nearly a half of work placements and was good or better in four fifths of cases. Nearly a fifth of pupils said that one of the best things about their work placement was working with people, dealing with customers or helping others. Another 12% mentioned teamwork, the friendliness of co-workers or being treated as an adult. Many school inspection reports refer to the benefits of work experience for the development of personal and social skills. Pupils taking modern foreign languages spend time abroad on work experience placements and return not only more fluent To a large extent, pupils' gains in social learning depended on their attitude and were strongly correlated with how well they communicated, took responsibility and responded to guidance. speakers in their chosen language but far more confident and outgoing. The integration of work experience on GNVQ intermediate courses makes a major contribution to the development of learning skills and the employability of pupils. For pupils who are disaffected or losing interest in school, the provision of extended work placements are often highly successful in improving motivation, self-esteem and attendance. In responding to the questionnaire, nearly three fifths of pupils strongly agreed with the statement 'My parents think the work experience was useful to me', with one in three tending to agree. Nearly one in ten disagreed. Boys showed a stronger level of agreement than girls. Features of effective placements: social learning In their visits to placements, inspectors found that nearly all placements developed pupils' social learning: * For some pupils, it was their sustained contact with adults in a working environment. They learnt about following instructions carefully and carrying out tasks responsibly. Their self-esteem and confidence grew visibly during the placement. * Pupils benefited from considerable development of social skills. They gained a good understanding of the discipline of work and learned the importance of: appearing enthusiastic and positive; accepting responsibility and being prepared to take on tasks and see them through; a smart and professional attitude; courtesy and good timekeeping; and mixing well with co-workers and working in teams. * Employers offered pupils responsibility and challenge. Pupils gained confidence from dealing directly with customers and clients and by taking on more demanding tasks. * Employees enjoyed putting something back into education and the community and therefore gave time, effort and positive support. Employers encouraged their employees to use the placement as an opportunity to get experience of supervision. * Pupils were thoughtful about what they had learned in most cases, and had either strengthened their career interests or been led to reconsider. 6.4.10 Careers and qualifications When questioned at the end of Year 10, nearly two thirds of pupils said they planned to stay on at school post-16, or to go to college. Nearly a third had a job or career in mind and a similar proportion had a few ideas for jobs. One in seven did not have firm ideas for the future. Connexions personal advisers had little input prior to the selection of a work placement. In some cases the majority of careers guidance was to be offered in Year 11, a pattern ill-adapted to the needs of work experience. Less than a fifth of pupils visited on work experience had a clear idea of the careers and necessary qualifications associated with their temporary workplace, or with their own ambitions. Though a further quarter had a satisfactory amount of careers information, over half had not given enough thought to the matter or were not well enough informed. Some problems dated back to Year 9 when pupils were choosing GCSE courses without being made aware of the implications, such the inadequacy of single science as preparation for A levels in science. School inspection reports indicate that work experience placements linked to vocational courses enable pupils to become reasonably well informed regarding careers and qualifications required in their vocational area. However, instances are noted of pupils being ill-informed about the many routes that can be followed in engineering or construction, despite following vocational courses. Features of effective placements: careers and qualifications In their visits to placements, inspectors noted some good practice in providing careers guidance: * Pupils were encouraged to find out about the qualifications and training associated with their placements, even though many had little idea of the careers they wanted to pursue. Pupils with clear career aims had good supporting knowledge about the qualifications and experience needed. One pupil who wanted to be a lawyer had a clear course mapped * out involving GCSEs, A levels at college, a gap year doing voluntary work and a law degree. * Pupils attending vocational courses at college had discussed options for progression with course tutors. One pupil taking hairdressing had been told of various options, including a full-time college course, a Modern Apprenticeship, and a level 2 NVQ in school. * Employers provided pragmatic advice on careers and qualifications. When one employer explained the academic requirements for physiotherapy to a pupil interested in the subject, it highlighted the lack of guidance from her school, which allowed her to harbour ambitions of entering physiotherapy while preventing her from studying double-award science at GCSE. 6.4.11 Prior organisation and management The organisation and management of work experience by the school, college or work experience agency were fit for purpose in more than two thirds of placements visited, and was good in more than a quarter. However, work experience had been inadequately organised and managed in nearly a third of placements. In these, pupils had little knowledge of Connexions, Education/Business Partnerships or work placement agencies (where used). They did not know they were entitled to consult a Connexions personal adviser and few seemed to have received useful guidance. The quality of advance organisation and management by the school, college or work experience organiser was the most important factor in pupils being well informed before the placement. There were also benefits in terms of social learning and the extent to which pupils communicated, took responsibility and responded to guidance. Unsatisfactory prior organisation of placements led to pupils being placed inappropriately and gaining little understanding of the host establishment. When placements were set up at the last minute they sometimes by-passed the usual procedures. Some 5% of pupils said that nothing could have improved their work experience. More than 15% would have liked to have more to do or more variety in their work and 8% wanted a longer work experience placement. Inspection reports suggest that in schools where work experience is better organised, pupils come to know and understand what is needed to function effectively in a working environment. An increasing number of schools are drawing closer links between the citizenship curriculum and work experience. More than two in five employers described predominantly altruistic motives for offering work placement. They feel that they are contributing to the community and to education. A similar proportion mentioned the potential benefits for employers, with the potential for recruitment and the opportunity for junior managers to develop skills in mentoring being most common. For one in ten employers, the main reason was apparently to gain an extra pair of hands. Some employers made considerable efforts to ensure the placement was successful despite a lack of information and guidance from the school, college or agency organising the placement. Some lacked even basic documentation, such as telephone numbers and standard procedures. A significant proportion of employers would have liked more prior information from schools and guidance about how to make the work experience more valuable. Features of effective placements: prior organisation and management In their visits to placements, inspectors found some effective prior organisation and management of placements: * New placements were subject to thorough risk assessments, undertaken by schools, colleges or work placement agencies. Parents were fully informed and had given consent. Schools and colleges had built up good relationships with employers. Many placements are tried and tested through longstanding links between the employer and the school. * Some college course co-ordinators used personal contacts to secure relevant placements, which were then subject to standard checks. * Pupils were well informed and felt they had made appropriate choices because the nature of the work had been fully discussed beforehand. * Parents were pro-active and supportive. Where placements were set up through family connections, schools had liaised well with the employer making clear the responsibilities and expectations during the placement. * Considerable efforts made to allow all pupils to benefit from work experience. For some vulnerable pupils the very positive and supportive attitude of other employees as well as employers was Important in raising their self-esteem by learning a range of skills and achieving success in an unfamiliar context. 6.4.12 Monitoring the placement Monitoring of the placement by the school or college was good for a third of pupils but inadequate in more than a fifth. The pupil questionnaire gave similar results, with more than a third of pupils strongly agreeing and one in five disagreeing with the statement 'The school made sure my work experience was going well'. Boys were more critical than girls. Lack of communication between employers and school or college was a regular problem. Links to learning in school were not well developed and opportunities to accredit new skills and knowledge were not captured. In some workplaces, there was a need for better collaboration and communication between the managers who agreed the work placement and supervisors who took charge of pupils. The According to school inspection reports, some schools were not specific about their aims and objectives for work placements and did not always visit the work placement to monitor progress. Often visits only took place in crisis situations and planning to meet individual needs was reactive rather than proactive. monitoring of the placement by the school or college, through telephone calls, visits and reports on pupils was a common area for improvement. The most important benefit of effective monitoring was that it encouraged pupils to collect and record evidence in their diaries and to reflect on what they were learning. Features of effective placements: monitoring of placements In their visits to placements, inspectors found some education providers monitored students well: * General procedures were efficient, with clear lines of communication and contact in the first week to address initial problems. * School staff visited in the second week to discuss what the pupil was learning as well as pastoral issues. Vulnerable pupils receive an early reassuring visit from a teacher they know. Pupils are expected to show their logbooks and any evidence they have collected. * Pupils on long-term placements were monitored by regular visits from college tutors, teachers or support staff who check pupils' progress with portfolios and assignments. * Pupils following work-based training were clear about the relationship of the placement to the college element of the course and the NVQ assessment requirements. * Employers monitored pupils' progress conscientiously, writing comments in their logbooks and completing a report or assessment form at the end of the placement. * Schools made sure that there was an opportunity for pupils to speak to monitoring teachers in private. 6.4.13 Host employers Just over a fifth of host employers were well briefed about the purposes of workrelated learning and well informed about the pupil on placement. Half were reasonably well informed, though most would have liked to know more. The remainder were not well briefed and needed significantly more information than was forthcoming. Some larger employers who took many pupils on work experience felt they had little time to devote to this area. Good guidance and information for employers were strongly associated with the effectiveness of the preparation, organisation and management by the school, college or work placement agency. Some employers made considerable efforts to ensure the placement was successful despite a lack of information and guidance from the school, college or agency organising the placement. Features of effective placements: employers contribution and support In their visits to placements, inspectors met with employers: * Employers felt well informed about the purposes of work experience and knew something about school courses because of long-standing links or good advance preparation. * For vulnerable pupils, employers added good value to social development because they had a good understanding of the aims of the placement in relation to the pupil's circumstances. * Employers endeavoured to meet the needs of individual pupils and to supply a rounded, varied experience. Some wanted more information so they could attend to detail. 6.4.14 Pupils Nearly two thirds of pupils visited appeared well prepared to communicate, take responsibility and respond to guidance from others in the workplace. A further quarter demonstrated an acceptable level of such skills, but were not very pro-active. Although they were polite and co-operative, they made few suggestions to widen the experience. In a few placements, employers recognised areas where pupils needed to develop, but did not give them the necessary experiences for fear of upsetting customers. Ten per cent of pupils displayed attitudes that suggested that they had not understood what would be expected of them in the workplace. Although the personal qualities of the pupil played a large part in their attitudes to work placement, pupils were better at building effective relationships in the workplace and taking responsibility if they were well informed about the work placement process and the nature of the business and work involved. Features of effective placements: pupil involvement In the best visits to placements, inspectors met with pupils and found: * Pupils make good progress and participate with increasing confidence. They are willing to take on responsibility and seek and use guidance. Pupils enjoyed the experience and were anxious to be busy and make the time productive. * Pupils learned how to conduct themselves with work colleagues and customers. Supervisors were positive and noted improvements in communication and confidence. * Pupils were given worthwhile tasks that the firm needed to be done, learning new skills in the process. Some employers considered offering employment to a work placement pupil. * Schools had prepared pupils to understand issues of confidentiality, trust and health and safety. * One pupil had been persistent to persuade the employer to offer the work placement. The employer now planned to offer further placements. Another pupil had taken on responsibilities and given up time in the evening to help prepare for an event. 6.4.15 Summary of features of effective placements according to Careers Education and Guidance counselors The findings of Ofsted and other Secondary Sources quoted above are confirmed by the semi-structured telephone interviews with Careers Education and Guidance practitioners conducted by the author. The questions asked within the semi-structured interviews conducted are on the lefthand column in the table below. The right hand column in the table below summarises the views and responses of practitioners who were interviewed regarding effective placements. Question: \| A Prior to the placement, how well informed was the pupil about the work placement process and the nature of the business and work involved? \| Pupils benefit from good preparation sessions for several weeks at school. A good job description outlines the experience and pupils meet the employer in advance. The benefit of the placement is enhanced by linking it to a relevant course at school or college. \| \|---\|---\| \| B How well is the level of demand/responsibility matched to the pupil’s work within a course/towards a qualification? \| There is a well-planned and supported variety of activities. The level of demand and responsibility is commensurate with pupils’ level of study and career ambitions and support is tailored to their needs. Pupils make connections between the work they do on placement and what they are learning in GCSE and other courses. \| \| C How well is the pupil developing key skills and learning about the skills, knowledge and concepts applied to the work they are engaged in (including observing/shadowing)? \| Pupils gain a range of specific work skills. They experience real applications of number and have hands-on experience of using computers. Good key skills development in communication develops pupils’ confidence in speaking. \| \| D How effectively does the pupil record, note, evaluate and reflect on what is learnt by the experiences? \| Pupils complete a daily diary/logbook and evaluate and reflect on what they learn. The design of logbooks allows pupils to record the events of the week to the best of their ability. \| \| E How well does the pupil go about collecting and recording evidence about their work experience for use back at school/college/training organisation? \| Pupils are motivated to collect evidence by the school or college. Teachers of applied GCSE and vocational courses set assignments that capitalise on the work placement. Pupils on long-term placements receive regular visits from teachers or assessors \| \| F How good – given Key Stage 4 courses and any commercial confidentiality – is the pupil’s understanding of the host establishment, its objectives and nature of its ‘core business’, its organisation and structure? \| Pupils develop a good general understanding of the host establishment through a variety of experiences. Employers make sure that pupils understand their expectations, the chain of command and lines of accountability. Pupils’ understanding of the host establishment is commensurate with their prior learning and the nature of the work. \| \| Question: \| In effective placements respondents suggested: \| \|---\|---\| \| G To what extent is the pupil’s social learning gaining by working with others and taking some responsibility? \| Nearly all placements develop pupils’ social learning. The extent of pupils’ gains in social learning depends on their attitude, being strongly correlated with how well they communicate, take responsibility and respond to guidance. Pupils benefit from considerable development of social skills where employers offer them responsibility and challenge. Many employees enjoy putting something back into education by supporting work placement pupils. \| \| H How well informed is the pupil over careers, and the qualifications and training associated for success in them, within the host organisation and beyond? \| Pupils are encouraged to find out about the qualifications and training associated with their placements. Pupils with clear career aims have good supporting knowledge about the qualifications and experience needed. Pupils attending vocational courses at college discuss options for progression with course tutors. Employers provide pragmatic advice on careers and qualifications. \| \| I Prior to the pupil arriving, how good was the organisation and management of the placement by the provider and/or EBP, Trident or Connexions? \| New placements are subject to thorough risk assessments. Schools and colleges build up good relationships with employers. Pupils are well informed and feel they make appropriate choices. \| \| J How well is the education provider monitoring the placement? \| School staff visit in the second week, having made contact in the first week to address initial problems. Pupils on long-term placements are monitored by regular visits. Employers monitor pupils’ progress conscientiously. \| \| K How well informed is the host employer about the purposes of the work placement and how it fits in to the pupil’s current course? \| Employers feel well informed about the purposes of work experience and they endeavour to meet the needs of individual pupils and to supply a rounded, varied experience. For vulnerable pupils, employers add good value to social development. \| Conclusions regarding work experience The research literature, the thinking and approach of the inspectorate and of the practitioners, all share a similar understanding of what is an appropriate approach to students' work experience in the context of the learning processes of 15-16 year olds. These are the key characteristics: Curriculum context – the work experience takes place because of and with reference to a set of learning objectives which legitimately could be both about a specific area being studied at school for example engineering and for a range of careers and guidance objectives about experiencing a period of "working life" and becoming aware of what that means. The person responsible in the work place for the student should be aware of the learning objectives for that placement of that student. Preparation - the work places and the students need to be prepared for each other and aware of the purpose and objectives of the work experience. The working place needs to have been visited and found to be safe, to offer a range of learning opportunities in a range of curriculum contexts for the student who will engage in work experience. Briefing- The students will be briefed about logistical and curricular aspects of the work experience and is likely to undertake different exercises such as finding the work-place on a map, going to it on a prior visit, working out the route to work from home, as well as case studies, simulations and problem solving exercises about work contexts while being prepared in the educational establishment. Monitoring- During the period of work experience both the work place and the school/educational establishment will monitor the progress of the students. The school will be in touch by phone with the workplace and also visit the students to observe the student in the work place. Key issues for the monitoring period are to what extent are the learning objectives for the placement being achieved, how is the student copying with the responsibility of the work and the demands of the social interactions at the work place. De-briefing – On the return of the students to the educational establishment, the debriefing of the experience is important in achieving learning outcomes. In the first instance de-roling from "worker" role and returning to "student" role requires deliberate facilitation. Then, facilitation is required around the specific learning objectives of the work experience. This is the crucial phase of the overall experience and the right skills and approaches to debriefing experiences are not always found in all educational establishments. Application- The learning achieved through the experience then needs to be applied by the students and the learning environment organized so that the tasks the students will follow enables this final part of the experience and its learning potential to be achieved. Evaluation - Formative and summative evaluation of the whole student group as well as of the individual student by all partners (students, educational establishment, work places, parents) in the process is the ideal. 6.5 Good practice example 5 Utilising work related learning to combat social exclusion Introduction In the late 1990s after the introduction and settling down of the National Curriculum, it became apparent that increasing youngsters in the 14 -19 year group were becoming disaffected with the learning process with some becoming disengaged and some still disruptive and then disappeared from the learning process. Action at many levels has ensued at the heart of the response is the move for different institutions dealing with youngsters working together in partnerships to combat social exclusion. Local Partnerships to combat social exclusion Children have noticed the difference that involvement in a project has made to them. When interviewed, they often told inspectors about how they felt more confident and had improved self-esteem. In the majority of partnerships staff are skilled and very committed. Local partnerships of statutory and voluntary bodies working to combat social exclusion and the effects of child poverty are providing satisfactory outcomes for children. Partnerships have successfully established a range of projects to meet the needs of children and the number of children participating has increased. In successful partnerships the needs of children at risk of exclusion are met through well-planned projects that ensure effective and well-targeted support. These partnerships have identified levels of risk for children, appraised current community needs and thoroughly audited existing provision. Projects are aimed at raising attainment by tackling the negative effects of factors including rural deprivation, isolation and high crime, while improving school attendance and raising the aspirations of families and children. Measuring and evaluating the impact on children's social development, their attitudes, personal growth and well-being have been more difficult for partnerships, but they are beginning to consider procedures for doing this. are good consultation and involvement of the local community, active participation by Some of the other characteristics of successful partnerships, projects and activities children in projects designed to meet their long-term needs, clear and consistent programme managers and the chairs of partnerships. priorities targeted where support is most needed, and good-quality leadership by Specific educational approaches to re-engage in the educational process young people 14-19 at risk of social exclusion ◊ offering more vocational courses to a greater number of students; The most common curricular methods of extending the 14-19 curriculum to seek to engage disengaged students and to include in education those at risk of social exclusion were through a range of work-related programmes within a more flexible and personalised learning offer which often included: ◊ extending work-based learning to a broader range of young people through working with training providers and employers; ◊ implementing online learning infrastructures to enable shared teaching and learning resources. ◊ developing Student and Modern Apprenticeships (formal vocational qualifications usually for the post 16) * E-learning being developed to extend the choices available to young people, providing a solution to accessibility problems in isolated rural areas and greater flexibility in areas where geographical isolation is not an issue. * 'alternative curricula' for the disaffected and disengaged, in some cases removing young people from schools completely. * Enterprise activity ranging from researching the needs of their local business community to organised enterprise activity sessions. * commitment to involving young people in the planning and development of proposals and provision, the extent of which varies from pathfinder to pathfinder and includes events for young people, collection of statistical data, surveying young people and eliciting young people's views on 'quality' in 1419. * The targeting of priority cases by Connexions Service (careers advice) led to a need to ensure that teachers were able to provide impartial advice and guidance. Without appropriate training there was a risk that schools would offer advice on options which would best suit the institution rather than the individual pupil. * Wide-ranging partnerships had been established and, where appropriate, links made to other programmes which played a key part in the local area such as Excellence in Cities and Education Action Zones. * Providing additional funding for a Connexions Personal Adviser in each school and college to provide guidance for all and additional support for those in need, particularly in Year 9. ◊ FE college and local secondary schools working in collaboration (with support from other agencies such as LEA, LSC, Connexions); * Different models of collaboration were identified: ◊ LEA/LLSC led collaboration of schools and colleges; * LEA/LLSC led 'umbrella' of different consortia where each would address and respond to particular local needs within an overall framework Barriers to these developments have included: * Pathfinders highlighted the importance of the attribution of success in performance tables and implications for funding. They fear that attributing success to a single institution could be a disincentive to collaboration although there is no evidence of this to date. * The cost of providing vocational education is comparatively expensive due to the need for specialist facilities and resources, small practical classes and examination fees which are higher than for general courses. * Issues such as: ◊ initiative overload for school teachers; ◊ travel (in particular the public transport infrastructure in rural areas); ◊ institutional funding based on student numbers; ◊ difficulties in sharing and understanding data; ◊ Extending partnerships with employers in the inner cities ◊ difficulty of finding common time to plan; ◊ and, at some levels, the lack of understanding of alternative pathways. ◊ scheduling of timetables across institutions; Highlights of emerging innovative and good practice in working with youth at social exclusion * Collaboration between institutions in the differing social sectors such as education, welfare, housing, medicine etc At the heart of examples of good practice in supporting youth at risk of social exclusion are the following principles: * Broader Curriculum Offerings for students * Extending work-related programmes for the students * Variations in the Pace of Learning depending on individual needs of the student * Use of the vocational route to encourage participation post-19 * Development of Individual Learning Plans * Enhanced advice and guidance by specialists (Connexions Service) Examples of the implementation of the principles for working with youth at social exclusion Collaboration CG6: 3 schools and Gateshead college have formed a close working relationship which has made excellent progress on building the new post-16 curriculum including development of common processes for student support and management. A minimum entitlement statement and timetabling to allow collaborative delivery and ICLT materials developed to support new curriculum. 20 new AS and A2 options now available and new offering promoted vigorously to students resulting in 130 students enrolled on advanced programmes (increase of 40% on last year). Promotion of CG6 has indirectly resulted in a large increase in applications to join FE courses at Gateshead College. * Gateshead: Development of Central Gateshead 6 th Form (CG6) has led to a cultural shift in the way in which the 4 institutions (3 schools and FE college) relate to each other. Partnership working began at operational management level and has now extended to practitioner level with good practice shared on a daily basis. An example is the joint staff and student handbooks which are working documents outlining systems, procedures and expectations drawing on best practice in the 4 institutions. * East Manchester: This area has also seen a cultural shift. The pathfinder reports that it has become a conduit for all 14-19 activity - particularly Excellence Challenge; Partnerships for Progression; the Increased Flexibility Programme; Enterprise agenda - ensuring 'joined up' working and promoting active partnerships (at local, national and regional level). Good practice, ideas and concerns are now shared in a more open manner than previously. To take this further, the Strategic Management Group and School Based Managers Group are making innovative suggestions including the need for a more formalised District Management model – where all parties working with young people sign up to working together with the needs of the individual student at the centre. Broader Curriculum Offerings * South Gloucestershire: The Teacher Learner Groups have emerged as the key collaborative drivers in the process of introducing change across the Partnership. Because they contain representatives from all centres, they are able to hold an overview of current practice and make recommendations for Partnership –wide developments. * Southampton: Development of vocational GCSEs including GCSE in Health and Social Care with NHS to commence in Autumn 2003. An intensive support programme has been developed for the Applied GCSE in Science which includes four days of in-school support, access to an Applied Science website for all pupils and staff, online support for schools from the Chief Moderator, monthly evening meetings led by the science adviser and links to an HE summer school. * Midlands: A special focus of the project will be the practical use of language skills in a worked-based environment. Curriculum language content and models of delivery are being developed to meet business needs. Student and Modern Apprenticeships will incorporate language learning in such diverse vocational areas as Travel and Tourism, Health and Social Care, Engineering and Business Studies. * also provide a post-pathfinder legacy for continuing collaboration. Developments include a specialist school piloting delivery of a Manufacturing course model providing staffing and facilities on site. * South Gloucestershire: E-learning: An online extranet has been developed by the teacher and learner group in partnership with three IT companies (Apple, Etechgroup and S-COOL). The teacher and learner groups have emerged as key collaborative drivers to introduce change across the partnership as they contain representatives from all centres. Variations in the Pace of Learning * Wolverhampton: A key feature of the pathfinder is the curriculum framework for contiguous collaborative timetabling. This is secure in all their schools for the September 2004 offer and provides an effective basis for their links with all other providers in the City and beyond. The half-day curriculum framework is proving to be an essential planning tool, facilitating collaboration and acting as the platform for all emergent curriculum models. * Harrow: The main focus of this pathfinder is around accelerated learning at AS level and Level 4. The range of courses will expand significantly from September 2003, when five secondary schools and two colleges will be collaborating to deliver AS courses in Business Studies, Maths, ICT, RE, Music, History and Physics. A Level 4 course in Critical Thinking will be offered to around 10 Year 12 students in collaboration with Middlesex University. Useful work is taking place around the delivery of accelerated programmes in terms of timetabling and pedagogy, for example, INSET is taking place through the staffing of accelerated AS at KS4 by specialist college staff alongside school staff. The Development of enterprise capability * Knowsley: A teacher has been seconded to the pathfinder for two days a week to work on behalf of all schools co-ordinating enterprise education. * Coventry: A two-week Enterprise Challenge module for 30 KS4 Gifted and Talented students from 5 schools was delivered as an alternative to workexperience in June and July 2003. Staff from the Business School at Coventry University worked with students offering specialist business advice on formulating a business and developing ideas, constructing a business plan, testing the plan and arranging market research followed by a presentation to Council representatives. The project enabled young people to develop high level key and personal skills as well as the knowledge and understanding of how to start a business. Working in a university environment has enhanced understanding of HE and provided a motivation to progress for some. Extending work-related programmes * Coventry: Student Apprenticeships (SAs): The Leading Teacher for Leisure and Tourism has begun to find Level 2 SA placements to enhance the one year sixth Btec First courses in Sport. Two staff have been seconded for a total of three days a week in the autumn term to find Level 2 and 3 students apprenticeship placements in Business. One teacher has the particular brief to link some placements to MFL. A training officer from the City Council continues to find SA placements within the Council for Level 3 students. * Knowsley: The pathfinder has developed a Vocational Skills Centre which is due to open in September 2003. There will be opportunities for students to learn in a real working environment as part of their courses. Skills areas will include customer care, communication, e-media and design-based engineering. There is also strong employer involvement in the pathfinder. Two companies are involved at a strategic level and one of these, Jaguar, has agreed to support the Collegiate with their logo. Jaguar is also involved in developing a new GCSE Engineering and Manufacturing course that will be delivered partly on site at Jaguar. The course will be linked in future with Student and Modern Apprenticeships. Use of vocational route to encourage participation post-19 * Southwark: In the first year, six industry areas have been mapped for the Student Pathfinder Directory: Health; Hospitality; Finance; Construction; Leisure and Tourism and the Public Sector. The Directory sets out 'learning and earning' options as part of the 14-19 offer, showing relevant activity at 1416, qualifications and careers at different levels and progression routes. The Directory has been extensively marketed including a theatre workshop session launching the publication to 500 Year 9 students. It was distributed by direct mailshot to all Year 10 and 11 students in the borough via Connexions as well as to schools and PRUs. * Stockton-on-Tees: A summer school was held in June for Year 11 students uncertain about staying on in education. Activities included a theatre workshop on Staying in Learning, a College Taster Day, additional careers information and a team building day at Peat Rigg. The course is being evaluated by Durham University and student ambassadors will be trained from the Summer School participants. Although it was difficult and time consuming to recruit uncertain Year 11's, the initial feedback shows positive outcomes from a different learning experience. * Warwickshire: Aiming for a College Education (ACE) Programme: activity so far has included two 48 hour residentials - 37 more able Year 10 students went on a 2 day residential at Birmingham University and debated the issues surrounding the Rugby airport development. 19 Year 12 Technology students spent a 48 hour residential at Aston University designing and programming a robot to complete a given task. Overall, ACE activities now involve over 1,200 young people and their families. * Plymouth: Work to provide enhanced advice, guidance and support includes the development of post-16 pathways material in Powerpoint to train school teaching staff for their role in providing support. There has also been greater contact between Connexions staff and 'at risk' learners through the supplying a pilot group with mobile phones for text messaging. This has proved extremely popular and the resulting contact has been even greater than expected. Enhanced advice and guidance * Stockton-on-Tees: Building on the experience of Excellence in Cities, this pathfinder has expanded the number of progression coaches providing support to 14-19 learners. These coaches support students with their flexible learning and the transition of vulnerable students from Year 11 into college or work-based learning. They have good experience of Careers Advice and Guidance and able to provide robust information and guidance to students and assist with the development of Individual Learning Plans. The pathfinder has recently expanded the number of progression coaches, including the recruitment of one from the Pakistani community to support minority ethnic students in two secondary schools. OCN training has been developed for Progression Coaches leading to a Level 2 or Level 3 qualification. * East Manchester: A pilot group have started using ILPs: 250 entering KS4 and 65 Year 11 Complementary Education students. Progress File also to be introduced to support ILPs. A consultant is being engaged to develop effective systems links and electronic ILPs for roll out in September 2003. Issues of data protection/sharing need to be resolved. Development of Individual Learning Plans * Coventry: A pilot school has trialed Progress File, Individual Learning Plans and a computerised Decision Making Readiness assessment program. The trial has been evaluated and a pack of teacher materials will be available. 6.6 Good practice example 6 - Supporting achievement of minorities through effective guidance Black Pupils' Achievement Programme Background The African Caribbean Achievement project which was piloted in 30 schools from November 2003 was the first major DfES project to look specifically at the achievement of African Caribbean pupils. The project encouraged schools to develop "whole-school" solutions to support African Caribbean pupils. The key principles of the strategy included strong leadership, effective teaching and learning, backed up by the use of accurate monitoring data, active engagement with parents and the wider community, and intolerance of racism, poor behaviour and bullying. The project provided a test bed for trying out a range of strategies for raising African Caribbean achievement. Each school was asked to conduct an audit of their school policy and practice in relation to African Caribbean achievement. On the basis of the audit, schools were then asked to develop an action plan focused on raising attainment of their African Caribbean pupils. The project ended in August. The Programme There will be 84 schools and 20 LAs taking part in the programme including 6 from the original pilot project but we are aiming to eventually increase the number to 100. The Black Pupils' Achievement Programme will build on the good practice that has evolved from the pilot projects and the London Challenge/KS3 Strategy Black Caribbean Boys' Project which involved a further 23 schools in inner and outer London. The new programme places a stronger emphasis on the role of the local authority. EMA staff will be expected to work closely with schools in order to devise appropriate targeted intervention programmes to raise Black achievement. There will be a stronger focus on whole school strategies to raise attainment of black pupils, on leadership, teaching and learning, parental engagement, pupil voice, and a continuing emphasis on understanding and using data. Aims and Objectives of the Programme support schools to develop leadership (senior and middle managers') capacity to lead a whole school approach to raising achievement of Black pupils The aim of the programme is to work with Local Authorities (LAs) and schools to focus on raising the attainment of all Black pupils and by doing so raise overall attainment. The programme managed by the Secondary National Strategy and the plan is to: develop knowledge and understanding of the specific issues facing Black pupils and equipping teachers with the skills to respond to them work to mainstream issues around raising achievement within the national strategies develop LAs' capacity to support schools to raise Black achievement What schools will be expected to do Make a commitment to release staff to attend: Nominate an effective senior manager (preferably a Deputy Head) to oversee the work NCSL programme DfES/LA networking meetings/steering group meetings Middle managers' training Make a commitment to whole school INSET on issues around Black achievement Conduct an audit involving LA and whole school community, and collate and analyse a range of school-based data to identify key areas of work and priorities Produce a whole school action plan detailing timetable for work including plans for involving teaching and non-teaching staff, governors, pupils and parents * Deliver a series of key milestones within a specified timescale (e.g. audit, lesson observations, pupil questionnaire and focus groups, parents' launch/focus group, academic mentoring, curriculum review, engaging with the local community/supplementary schools) * Monitor and review progress on a regular basis * Monitor the impact of a range of school policies and practice on Black pupils Support for schools * Support from a Regional Director/LA training programme * A package of resources and tools to support delivery of key milestones * Guidance based on effective practice * Support from the National College for School Leadership 'bespoke' programme * Funding to cover supply costs for senior/middle managers to attend training and networking meetings * Targeted support for middle managers in core subjects 7 Guidance Training - France 7.1 Training of "Conseiller en Insertion Professionnelle" (professional integration training) - ETSUP As a matter of conclusion and in addition, I would like to present below one of the six modules which compose the training of "Conseiller en Insertion Professionnelle" (professional integration training) proposed at ETSUP, because it shows its philosophy in terms of guiding people on their path to integration and it's a good preparation for WP3. Although this guiders training is not specifically dedicated to young people guiders, we have calculated that almost 40 % of the guiders who have taken this course since the creation of this training ten years ago are only working with young people. The other five training modules are: - Module: "Welcoming persons in need of integration et demand analysis to favour the accompaniment step"; - Joint base module; - Module: "Elaborating relationships with employers in terms of integration"; - Synthesis module. - Module: "Participating to setting and leading a project in the integration field"; MODULE: GUIDING PEOPLE ON THEIR PATH TO INTEGRATION The welcome - accompaniment function is in the very heart of the work of the Professional Integration Counsellor. It must allow the meeting between the project of the person seeking integration and the working pools. It is characterized by a personalized support and thus contribute to the consideration of the person and her / his recognition as a social actor. Therefore the person is accompanied in the building and the elaboration of her / his social and professional integration pathway. The targeted aims are the following: To benchmark the whole features, measures, resources in employment and activity at the national, regional and local levels To build up a shared representation of the purposes of accompaniment and of the role of Professional Integration Counsellor in this function To conduct interviews for explaining an integration project To adapt strategies and methods to single cases To elaborate with the person her integration pathway – notion of co-construction To identify and propose integration tools appropriated to each situation and each person To accompany the person all along her / his pathway; to negotiate and make contracts at each step for intermediate purposes To evaluate hindrances and levers by supporting their awakening To identify and to mobilize relevant actors at each step in the different fields To accompany the persons in integration towards employment and on the job To assume the function of mediator whenever needed or to set up a rely if necessary To mobilize the person's resources in terms of personal development and social integration To evaluate one's welcome and accompaniment's practice. To analyser one's accompaniment's practice Key words: Actor, activity, help, analysis, belonging, autonomy, need, choice, co-construction, codes, counselling, contract building, interpersonal communication, request, dependencies, desire, features, disqualification, capability of taking distance, personal ecology, economy, listening, employment, employability, enterprise, interviews, environment, ethics, steps, evaluation, identity, injunction, insertion, interaction, intimacy, link, mediation, measures, modifiability, negotiation, word, personnel, place, paths, social policies, position, power, allowances, prescription, professional, relation, regard, regulation, reliance, personal resources, rhythms, sense, solidarity, subject, work, values. Targeted purposes for the specific practice periods tied with the module To know the accompaniment practices of one's structure and to locate oneself regarding it To landmark different practices linked with accompaniment, with elaboration of integration paths To set up and/or to develop one's own network To negotiate, set up contracts, and to follow up the steps of the integration pathways along with the accompanied persons To make accompaniment interviews in binomial and autonomy To accompany the persons towards employment and on the job To propose mobilization of actors of the structure's network and/or of the partners regarding the identified needs To manage the elaboration of the pathway on the administrative aspects To identifier two or three persons able to be the subject of a pathway story To write a pathway story and to analyse one's practice of accompaniement 8 Guidance Training – Germany (Bildungsmarkt, GFBM) Personal LearnCoaching An Independent Offer of Counseling and Coaching of Young People and Adults There are some prerequisites for taking part at the training: - who have a profession in the pedagogical field, - persons who have working experience in youth work, - and who have the personal conditions for guidance. (competence in communication, charisma, who can empathise with young people). It is a good example because the LernCoachs At first they can use different methods of coaching (Kieler Coaching model). Second they have the ability to reach a matching between personal abilities of young people and job requirements. Third they have a certain knowledge about the labour market. The main fact is : They have the confidence of young people, because they work independent 8.1 Methods used for guiding in this example The main method from LernCoachs is coaching which means: * using certain conversation techniques * following the steps of a defined process (coaching process) * a mixture of different psychological and pedagogical methods * setting out of the usual job, school or home environment * Self defined aims of the coachee in a target agreement with the coach The certification is the basis to work as "LernCoach" to achieve a comparable quality. Single Aspects Of Further Training life coaching theory methods of coaching written and oral description of a special case final examination certification competence for counselling - Kieler Coaching Model 8.1.1 Why are these methods successful? What are the goals and means achieved in this guiding practice (which guiding methods contributed to the realization of the different objectives? The methods are successful because the coachees achieve the competences: * to intensify the self-perception * to uncover competences and resources * to deal with problems * to develop strategies for own activities * to find aims and realize them * to expand competences * to introduce a change-process The success is also based upon: * individual setting, * the aim is to go steps further, but the steps are defined by the coachee, * the process requires the self-activity of the coachee, * the communication structure is more symmetric than in other working contexts. Coaching achieves: * change of behaviour, * change of perception, * structuring, * better reflection of reality. It means the process of coaching by Lerncoachs enables young people to combine the demands of school and World of employment with the personal conditions. 8.2 Quality requirements of a guider attended by the example (using the requirements listed in Tekirdag) What are the required skills and what is the required knowledge? \| \| \| \| module 4: specific \| \|---\|---\|---\|---\| \| \| module 5: knowledge of \| module 6: intercultural \| \| \| \| \| \| psychological aspects of \| \| Scientific knowledge \| relevance of gender for \| competences for \| \| \| \| \| \| juvenile and early adult \| \| \| the coaching process \| counselling \| \| \| \| \| \| development \| \| \| Aspects of Gender \| Competence of interculture \| specific psychological aspects of the juvenile and early adult development \| \| knowledge about target \| \| \| \| \| groups \| \| \| \| \| social psychology (youth \| psychological background of the target groups \| \| \| \| culture ...) \| \| \| \| \| sociology (poverty ...) \| x \| x \| \| \| transdisciplinary working \| \| \| x \| \| \| module 9: knowledge of \| \| \|---\|---\|---\| \| \| \| module 10: knowledge \| \| \| organisation of the \| \| \| Policy knowledge \| \| of regional offers of \| \| \| vocational education \| \| \| \| \| education and support \| \| \| system \| \| \| education / training \| organisation of vocational education \| regional offers of education and support \| \| system \| \| \| \| welfare and labour law \| x \| x \| \| knowledge of the local \| \| \| \| context \| \| \| \| employment policy \| \| x \| \| employability \| x \| x \| \| \| module 1 & 2: \| module 3: competence \| \|---\|---\|---\| \| \| competence for \| to know the main aspects \| \| Pedagogical skills \| \| \| \| \| counselling: Kiel \| of diagnose for \| \| \| coaching model \| professional suitability \| \| \| competence for counselling based on Coaching methods of Kiel \| \| \| counselling \| \| \| \| awareness of self and \| x \| \| \| others \| \| \| \| assessment \| \| \| \| communication with \| x \| \| \| young people \| \| \| \| vocational orientation \| x \| \| \| matching of the labour \| \| \| \| environment with \| \| \| \| personal aims \| \| \| \| \| module 7 & 8: self \| module 6: intercultural \| \|---\|---\|---\| \| Key skills \| sufficiency and \| competences for \| \| \| entrepreneurship skills \| counselling \| \| networking \| self sufficiency \| \| \| empathy \| \| \| \| knowing working life \| \| \| \| intercultural \| \| x \| \| competences \| \| \| \| reliability \| \| \| \| \| module 1 & 2: \| \| \|---\|---\|---\| \| \| competence for \| Preconditions to \| \| Humanistic values \| \| \| \| \| counselling: Kiel \| access the training \| \| \| coaching model \| \| \| \| basic competences as an access condition for the training and enhancement of the competences. Theoretical basics of humanism, theory of systems and of constructivism. \| \| \| commitment \| \| \| \| social justice \| \| \| \| authenticity \| \| \| \| building a better society \| \| \| 8.2.1 Short description of an example of good practice of a guiding training Curricular elements of Lerncoach training 318 h \| \| competence for counselling: Kiel coaching model \| 170 h \| \|---\|---\|---\| \| Module 1 \| \| \| \| Module 2 \| \| \| \| \| competence to know the main aspects of diagnose for professional suitability \| 32 h \| \| Module 3 \| \| \| \| \| specific psychological aspects of juvenile and early adult development \| 36 h \| \| Module 4 \| \| \| \| \| knowledge of relevance of gender for the coaching process \| \| \| Module 5 \| \| \| \| \| intercultural competences for counselling \| \| \| Module 6 \| \| \| \| Module 7 \| self sufficiency and entrepreneurship skills \| 32 h \| \| Module 8 \| \| \| \| \| knowledge of organisation of the vocational education system \| 8 h \| \| Module 9 \| \| \| \| \| knowledge of regional offers of education and support \| 16 h \| \| Module 10 \| \| \| \| Module 11 \| knowledge of regional labour market \| 24 h \| 8.2.2 Why are these methods successful? What are the goals and means achieved in this guiding training (which training methods contributed to the realization of the different objectives? − The connection between theory and praxis shows a fast success in the usage of the learned methods. − the coaches are "needed". − The actual needs in the market are considered t − The structure of the modules considers the qualifications of the coaches and their field competence. 8.2.3 Quality criteria for guiding training. − Consideration of the required competence development. − Support for the self defining of "LernCoach" − Connection of theoretical and practical training. − Specialized trainers for the modules and methods. − Supervision and self-reflection for the professional work as coach. − Stakeholders as trainers to set up the networking. 9 Guidance Training – Germany (FHP) Case study of guidance training Potsdam University of Applied Sciences September 2006 9.1 Introduction Potsdam University of Applied Sciences has a number of social work courses from which we have chosen the BA full-time course in its current form, entitled BachelorStudiengang Soziale Arbeit Präsenzstudiengang (BASA-Präsenz). The BA Soziale Arbeit is a 6 semester course preceded by a 13 week pre-studies placement. The course has 17 modules, of which three consist in a 20 week placement and one a bachelor´s dissertation. A total of 180 ECTS credit points must be acquired More information is available in German at: http://sozialwesen.fh-potsdam.de/293.html. We have analysed the curriculum along the following points, corresponding to the guidelines for WP2: - Which of these methods are necessary to be taught to (future) professionals? - Description of a practice in which future professionals are taught how to guide. - Criteria that turn a practise into a success, a failure, a mediocre experience. - Evaluation of the used methods. We have made a description of the individual curricular modules and have carried out an assessment of which elements are necessary for equipping students with the required knowledge and skills for working vocational guidance. The criteria we have applied are those developed in WP1 (which we have slightly amended to remove duplication, and to eliminate the marginal elements which did not score highly in the partner assessment). The evaluation has been conducted by ourselves (but will be enhanced at a later stage through tapping the expert judgement of other members of faculty and of students intending to work in guidance). 9.2 Background In the Federal Republic of Germany, "social work" training has been situated in universities of applied sciences providing social pedagogy training and social work training courses. Since the 1980s there has been a move in educational policy towards merging the departments of social work and social pedagogy, abolishing the historical distinction between the two disciplines, which has been increasingly difficult to justify either scientifically or professionally. Proponents of "social pedagogy" favoured the developmental orientation of their own discipline, and dismissed social work as the administration of disadvantage, while the proponents of "social work" saw their own discipline as recognising structural determinants of social exclusion, while dismissing social pedagogy as concerned only with individual pathology. All these stereotypes were a little true but mainly false. Potsdam University of Applied Sciences had the good fortune not to have been involved in this academic trench war, having been newly constituted with a unitary department of social studies following reunification. Common to both the disciplines of social work and social pedagogy has been a historical neglect of the importance of economic activity as a key factor in social integration. Thus employment and the labour market has historically barely been covered in the curriculum, and social workers themselves have not generally had much personal experience of the mainstream labour market, being generally employed by public agencies or the third sector. They have therefore had little contact with mainstream employers of the private sector. This can be a fundamental handicap for social workers concerning themselves with labour market integration. However, there is increasing recognition in social work of the role of economic activity as a determinant of personal identity and social role. This is reflected in a developing emphasis on employability and employment as key tasks for social work practice. In Potsdam, this found expression in the 1990s in the targeted recruitment into the social work department of a professor specialising in labour market and employment policy. It is therefore appropriate and relevant in the current context to be undertaking an analysis of the social work curriculum with a view to assessing how it has integrated labour market and employment policy issues into the curriculum and specifically the extent to which it gives students the necessary qualifications for working in vocational guidance. 9.3 Overview of modules \| Module 1 \| Workshop module \| \|---\|---\| \| Module 2 \| Basics of social work science \| \| Module 3 \| Basic methods and intervention models in social work 1 \| \| Module 4 \| Basics of human and social sciences 1 \| \| Module 5 \| Basics of law and social policy 1 \| \| Module 6 \| Basic methods and intervention models in social work 2 \| \| Module 7 \| Basics of human and social sciences 2 \| \| Module 8 \| Basics of law and social policy 2 \| \| Module 9 \| Organisation and economic basics of social work \| \| Module 10 \| Interdisciplinary module \| \| Module 11 \| Theory - practice project 1 \| 9.4 Module description and assessment Module 01 15 credits Workshop module Contents Basic orientation Acquisition of basic knowledge on target groups, problems and intervention areas of social work Pre-studies placement Reflection of the placement that has been undertaken prior to enrolment, vocational orientation, development of objectives for placements and future employment Mentor discussion Discussion on the nature of higher educational studies Content skills objectives Knowledge of a chosen area of work / specific life worlds of service users, social structures, issues in social work, taking into account service system and social policy and legal framework Social institutions and organisations, social policy in society, choice of placement, first steps towards development of professional identity Social science theories of social work areas, Everyday knowledge and descriptive knowledge in professional context, gaining new interpretative abilities and own empirical experience Methods of social investigation, observation and interpretation of social reality, relations with media in the research process Developing values knowledge, first abilities in action in professional practice, IT skills, presentation skills Knowledge and skills requirements for guidance This foundation module has an impact with respect to key skill and humanistic values. It also provides the opportunity for knowledge about target groups, the social environment of young people and communication with them. Foundations - Social work: basic terms and key concepts - Origins and historical development: poor relief - welfare - social work - Individual and social problems as the starting point - Functions and social meaning of social work - Forms of assistance: everyday assistance, self-help, professional assistance - Internationalisation – europeanisation - globalisation - Normative-ethical bases, guiding principles, skills requirements - Social work as profession: gender issues, professionalisation - Strategies, methods, techniques, instruments, procedures - Social work as relational work – the subjective factor in client relations, closeness/distance, helper syndrome - Typical work contexts: casework, counselling, groupwork, work in the community, in the neighbourhood, in social space - Support and reflection strategies: supervision, collegial counselling, intervision, coaching, self-evaluation Structure and organisation of social work - Basic principles: subsidiarity, self-administration, self-help and self-responsibility - Development and areas of social welfare - Function and working areas of social welfare - Roles of state and voluntary agencies - Legal status and organisation of providing agencies (mixed economy of welfare) Ethics of social work - Ethical basic orientations - Introduction to social and moral philosophy - Philosophical anthropology - Practical ethics – at the beginning and end of life - Justice and responsibility - Social ethics and ethics of social professions - Value orientations - Ethics of intervention - Attitudes and respect - Ethics and pedagogy History of social work - History of private and public life - The "social" in history and the present - The "good life", slavery and poverty - Structural conditions of social inequality - The social face of faith and religion - Private welfare and state poverty administration - Industrialisation and the social question - Welfare agencies and corporatism - Voluntary work and the professionalisation of social work - Social welfare under fascism - Social market economy, legal rights, solidarity and individualism - Welfare, economic and social policy in the GDR Knowledge and skills requirements for guidance This module provides knowledge on social pedagogy, it provides pedagogical skills such as counselling and case management. It is strongly oriented towards humanistic values. Module 03 5 credits Basic methods and intervention models in social work 1 Contents Foundations of counselling - Psychosocial counselling (Rogers) - Basic axioms of communication - Basic variables of the counselling relationship - Personality of the counsellor: self-reflection, tolerance of ambiguity - Structuring counselling sessions - Counsellor/client relation: transference, counter-transference, intersubjectivity - Frameworks and localities for counselling Basic methods - Individual casework and social work with individuals and families - Multiple perspectives in casework - History of casework, (from casework to sociopedagogical family work, social therapy, case management) - Theoretical links (psychoanalysis, learning theories, humanistic psychology, system theory approaches) - Social groupwork - Development stages in groups - History of social groupwork - Leadership styles, role functions - Feedback and transfer - Observation of group processes and conflicts - Work in the community, in the lifeworld and in the locale - History and current trends in community work and neighbourhood management - Orientation to lifeworlds and social space - Motivation and participation strategies Knowledge and skills requirements for guidance Social psychology and social pedagogy are the focus as regards scientific knowledge. But the key benefit for students here is in pedagogical skills, key skills and humanistic values, with virtually all elements of these categories scoring highly. Contents Introduction to key concepts and epistemologies of related scientific disciplines Multidisciplinary introduction to the analysis of social structures and processes focussing on the following issues: - work, - family, - social justice, - inclusion/exclusion Knowledge of theories for the different bio-psycho-social levels of reality in social work Analysis of areas of social work from different scientific perspectives Explanation of everyday social life employing different theoretical approaches Integration of biological, psychological, sociological and cultural codes for interpretation of meaning using selected situations Knowledge and skills requirements for guidance This module focuses on scientific knowledge (sociology, social pedagogy and transdisciplinary working) and policy knowledge (knowledge of local context and employment policy in certain elements of the module). Humanistic values are also a central learning element. Module 05 15 credits Basics of law and social policy 1 Contents - Introduction to law - Law of child and youth assistance - Basics of family law - Basics of social policy - Social policy and social security (including social insurance, social assistance and minimum income) Knowledge and skills requirements for guidance Policy knowledge on welfare and labour law is provided in this module. Students also get key skills resources in negotiation skills and gain insights into humanistic values relating to social justice and building a better society. Module 06 10 credits Basic methods and intervention models in social work 2 Contents Psychosocial counselling (Rogers) Basic axioms of communication Basic variables of the counselling relationship Personality of the counsellor: self-reflection, tolerance of ambiguity Structuring counselling sessions Counsellor/client relation: transference, counter-transference, intersubjectivity Frameworks and localities for counselling Individual casework and social work with individuals and families Multiple perspectives in casework History of casework, (from casework to sociopedagogical family work, social therapy, case management) Theoretical links (psychoanalysis, learning theories, humanistic psychology, system theory approaches) Social groupwork Development stages in groups History of social groupwork Leadership styles, role functions Feedback and transfer Observation of group processes and conflicts Work in the community, in the lifeworld and in the locale History and current trends in community work and neighbourhood management Orientation to lifeworlds and social space Motivation and participation strategies Selected relevant intervention and cultural approaches such as: mediation, aesthetic streetwork, administration/management practice, theatre, lifeworld social work, family in focus, case management, empowerment, Knowledge and skills requirements for guidance As in module 3, social psychology and social pedagogy are the focus as regards scientific knowledge. But the key benefit for students here is in pedagogical skills, key skills and humanistic values, with virtually all elements of these categories scoring highly. Module 07 5 credits Basics of human and social sciences 2 Contents Introduction to relevant scientific disciplines and their significance for social work - Health science - Educational science - Cultural studies - Psychology - Political science - Sociology The contents are the objects of analysis of the respective disciplines, the different theoretical approaches, the key concepts, and their significance for social work Knowledge and skills requirements for guidance As in module 4, this module focuses on scientific knowledge (sociology, social pedagogy and transdisciplinary working) and policy knowledge (knowledge of local context and employment policy in certain elements of the module). Humanistic values are also a central learning element. Module 08 5 credits Basics of law and social policy 2 Contents - Social and administrative law - Acquisition of legal knowledge, orientation in the legal and social policy system, - Minimum income and social assistance understanding of theoretical approaches and structural background, application in cases of social work practice Knowledge and skills requirements for guidance As in module 5, policy knowledge on welfare and labour law is provided in this module. Students also get key skills resources in negotiation skills and gain insights into humanistic values relating to social justice and building a better society. Module 09 5 credits Organisation and economic basics of social work Contents Organisation and law in practice - Social work in administrative practice (supervision, liability, confidentiality) - Organisation of public administration (at European, federal, regional and local level) - Record-keeping and data protection (dossiers on administrative actions, collection and use of data, confidentiality and public inspection) - Preparation of expert reports (structure of composition, sociopedagogical diagnostics, clinical findings) Social economics - Analysis of selected social economic areas (e.g. health and care services) - Social economic basics for social work (market economy, need and limits of state intervention) - Methods of social management (methods for target definition, planning and problemsolving, leadership styles and teamwork, personnel management, financial management, public relations and marketing, monitoring, evaluation and quality management) - Business startups in the third sector Knowledge and skills requirements for guidance This module is one of the few elements of the curriculum which provide students with scientific knowledge on business administration and culture, equip them with motivation and enterprise skills and give them key skills in knowing working life. Module 10 5 credits Interdisciplinary module Contents English language for social work: - active use of English in professional contexts - understanding English language scientific texts from social work or related disciplines Knowledge and skills requirements for guidance This module has little relevance for guiding skills. Module 11 20 credits Theory - practice project 1 Contents For modules 11, 14 and 15 working groups with around five members are set up by students. The groups are composed according to common area of practice (for example, five students who are undertaking placements in youth courts or open youth work). Students will have been oriented towards the choice of practice area in module 1. Students choose a member of faculty as supervisor, who accompanies and evaluates the learning process in the working group in modules 11, 14 and 15. It is also possible for faculty members to initiate a project idea themselves and recruit students for this. These student projects contain - Preparation and implementation of a project within the established practice of the relevant area of intervention. - Theoretical and experiential study of the chosen practice area The specialist areas are defined according to an inter-disciplinary approach to phases in life: - young people - children - adults - older people Knowledge and skills requirements for guidance The benefit of the placement for the acquisition of relevant scientific and policy knowledge and pedagogical skills depends on the area of social work chosen for project work. Choosing the right placement, the benefit can be high in all cases. Whatever the area of social work chosen for the placement, the benefit in terms of key skills and humanistic values is likely to be high in all aspects. Module 12 5 credits Theories of social work Contents - Introduction to theory of social work - Reflection of theory of science and opportunities and limits of theory - Evaluation of previous theoretical knowledge - Phenomenological, causal, actional (agency) dimensions of theories - Inter-, multi- and transdisciplinary dimensions of social work theories: biological, psychological and social levels - The generalist practice-orientation of social work and its necessary theories - Social science dimensions of social work theories: interaction (micro-), organisation (meso-) and society (macro-level). - Selected aspects from related sciences (psychoanalysis, humanistic psychology, system theory, et cetera) - Classical theoretical approaches to social work (origins of social work theory, Marxism, critical rationalism, critical theory, systemic approaches) - New theoretical approaches (life world orientation, social space orientation) Knowledge and skills requirements for guidance This module provides primarily scientific knowledge (social psychology, sociology, social pedagogy and transdisciplinary issues. It can also give insights into the social environment of young people and knowledge of the local context. Module 13 5 credits Basic methods and intervention models in social work 3 Contents - Professional application skills, such as: supervision, collegial counselling (intervision), selfevaluation, case management, key skills such as moderation method, - Research strategies and instruments in social work, such as: quantitative and qualitative procedures, interview techniques, computer-assisted processing and reporting, social space analysis, evaluation methodology Knowledge and skills requirements for guidance As in module 3 and 6, social psychology and social pedagogy are the focus as regards scientific knowledge. But the key benefit for students here is in pedagogical skills, key skills and humanistic values, with virtually all elements of these categories scoring highly. Module 14 30 credits Theory - practice project 2 Contents Central to this module (together with module 11 and 15) is the implementation of a placement. The placement gives the student the opportunity to experience an area of social work through his or her own activity and to test and consolidate theoretical knowledge through practical experience. The placement serves the acquisition of practice-relevant professional skills in one area of social work and the implementation of an own project. On the basis of the objectives elaborated in module 11, the students follow up their investigation questions within practical work and acquire further content knowledge on the chosen area of social work. With the support of their supervisor and within their working group the students have the opportunity of deepening their understanding of their abilities in practical work and gain the ability to make a self-critical analysis of their own actions. Knowledge and skills requirements for guidance The benefit of the placement for the acquisition of relevant scientific and policy knowledge and pedagogical skills depends on the area of social work chosen for project work. Choosing the right placement, the benefit can be high in all cases. Whatever the area of social work chosen for the placement, the benefit in terms of key skills and humanistic values in likely to be high in all aspects. In the implementation phase of the placement, the benefit as regards pedagogical skills is particularly high. Module 15 15 credits Theory - practice project 3 Contents Following on from modules 11 and 14, the students conclude, document and evaluate their student project, drawing also on the knowledge gained through the process of reflection and appropriation in the accompanying seminars. Aspects of this work can and should be integrated into the bachelor dissertation, which takes place in parallel. Knowledge and skills requirements for guidance The benefit of the placement for the acquisition of relevant scientific and policy knowledge and pedagogical skills depends on the area of social work chosen for project work. Choosing the right placement, the benefit can be high in all cases. Whatever the area of social work chosen for the placement, the benefit in terms of key skills and humanistic values in likely to be high in all aspects. Economics The non-profit sector in Germany, basics of economic policy, basics of finance policy, trade and monetary policy, competition policy Business administration Management, organisation, human resources, finance, accounting, innovation in non-profit organisations Business startups and management in the third sector Entrepreneurship, market analyses in the social sector, development of business ideas in human service provision, business plans, legal issues, startup funding, choice of location, success and risk factors, growth strategies, human resources management, resource bids and fundraising Project management The definition of "project" and project work in social work, project planning and leadership as management task, phases of project development, instruments of project work, methods of goal oriented planning, division of labour and teamwork in project work, tasks and skills for project leaders Public relations and marketing Functions of public relations, reputation management, marketing, innovation management; organisational culture, mission, corporate identity, corporate design; targets, forms, activities and instruments of public relations; methods of idea and product presentation; Lobbying and marketing campaigns Quality management and evaluation The quality debate in social work; evaluation as an element of quality management; evaluation standards; external and internal evaluation methods; collecting, analysing and presentation of data; ethical standards in evaluation Legal and finance issues Welfare agencies between the state and the market; legal and financial bases of public and voluntary welfare organisations; public finance of social work, financing social work through fundraising Knowledge and skills requirements for guidance Similarly to module 9, this module is an element of the curriculum to provide students with scientific knowledge on business administration and culture, equip them with motivation and enterprise skills and give them key skills in knowing working life and in negotiation. Module 17 10 credits Bachelor dissertation Contents Written dissertation on an issue of relevance to social work, with an oral presentation and examination. Scientific assessment of the contents of the chosen subject drawing on relevant literature, Presentation of the different positions and their evaluation, explanation of the subject´s relevance for social work. Knowledge and skills requirements for guidance If the student chooses a dissertation topic connected to guidance, then the benefit can be very high. Whatever the topic chosen for the dissertation, the student can acquire necessary key skills such as creativity and reliability, and humanistic values such as commitment and authenticity. 9.5 Assessment overview of the BASA course \| Scientific knowledge \| \| \|---\|---\| \| knowledge about target groups \| 3 \| \| social psychology (youth culture ...) \| 3+ \| \| sociology (poverty ...) \| 2 \| \| transdisciplinary working \| 1 \| \| social pedagogy \| 3+ \| \| business administration and culture \| 2 \| \| Policy knowledge \| \| \| education / training system \| 1 \| \| welfare and labour law \| 3+ \| \| social environment of young people \| 3 \| \| knowledge of the local context \| 3 \| \| employment policy \| 3+ \| \| employability \| 2 \| \| Pedagogical skills \| \| \| counselling \| 3+ \| \| awareness of self and others \| 3+ \| \| motivation / enterprise skills \| 2 \| \| case management \| 2 \| \| assessment \| 2 \| \| communication with young people \| 3 \| \| managing diversity \| 3 \| \| balance of competences \| 0 \| \| IEP (individual educational planning) \| 0 \| \| Key skills \| \| \| networking \| 2 \| \| creativity \| 3 \| \| empathy \| 3 \| \| knowing working life \| 0 \| \| intercultural competences \| 2 \| \| reliability \| 2 \| \| negotiation skills \| 2 \| \| Humanistic values \| \| \| commitment \| 2 \| \| social justice \| 2 \| \| authenticity \| 2 \| 9.6 Assessment overview of the BASA modules In which modules does the FH social work course need to be enhanced to give students the necessary qualifications for working in guidance? \| Module 1 \| Workshop module \| 2 \| \|---\|---\|---\| \| Module 2 \| Basics of social work science \| 2 \| \| Module 3 \| Basic methods and intervention models in social work 1 \| 3 \| \| Module 4 \| Basics of human and social sciences 1 \| 2 \| \| Module 5 \| Basics of law and social policy 1 \| 2 \| \| Module 6 \| Basic methods and intervention models in social work 2 \| 3 \| \| Module 7 \| Basics of human and social sciences 2 \| 2 \| \| Module 8 \| Basics of law and social policy 2 \| 2 \| \| Module 9 \| Organisation and economic basics of social work \| 2 \| \| Module 10 \| Interdisciplinary module \| 0 \| \| Module 11 \| Theory - practice project 1 \| 2 \| \| Module 12 \| Theories of social work \| 0 \| \| Module 13 \| Basic methods and intervention models in social work 3 \| 3 \| \| Module 14 \| Theory - practice project 1 \| 2 \| \| Module 15 \| Theory - practice project 1 \| 2 \| \| Module 16 \| Social administration \| 2 \| \| Module 17 \| Bachelor dissertation \| 2 \| What is the real impact of these curricular elements for giving students at the FH the necessary qualification for working in guidance? 9.7 Assessment of individual modules by knowledge and skills requirement To what degree does the FH social work training give students the following knowledge and skills ? 0=not at all, 3=completely \| Scientific knowledge \| Module number \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| 9 \| 10 \| 11 \| 12 \| 13 \| 14 \| 15 \| 16 \| 17 \| \| knowledge about target groups \| 3 \| 1 \| 1 \| 2 \| 1 \| 1 \| 2 \| 1 \| 0 \| 0 \| 3 \| 2 \| 1 \| 3 \| 3 \| 0 \| \| \| social psychology (youth culture ...) \| 0 \| 0 \| 3 \| 0 \| 0 \| 3 \| 3 \| 0 \| 0 \| 1 \| 2 \| 3 \| 3 \| 0 \| 2 \| 0 \| \| \| sociology (poverty ...) \| 0 \| 0 \| 0 \| 3 \| 0 \| 0 \| 3 \| 0 \| 0 \| 1 \| 2 \| 3 \| 0 \| 0 \| 2 \| 0 \| \| \| transdisciplinary working \| 0 \| 0 \| 0 \| 3 \| 1 \| 0 \| 3 \| 1 \| 0 \| 1 \| 3 \| 3 \| 0 \| 2 \| 3 \| 0 \| \| \| social pedagogy \| 1 \| 3 \| 3 \| 3 \| 0 \| 3 \| 3 \| 0 \| 0 \| 1 \| 2 \| 3 \| 3 \| 2 \| 2 \| 0 \| \| \| business administration and culture \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 3 \| \| \| Policy knowledge \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| education / training system \| 1 \| 1 \| 0 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| 1 \| 1 \| 0 \| 0 \| 0 \| 1 \| 0 \| \| \| welfare and labour law \| 0 \| 0 \| 0 \| 1 \| 3 \| 0 \| 1 \| 3 \| 2 \| 0 \| 1 \| 0 \| 0 \| 0 \| 1 \| 2 \| \| \| social environment of young people \| 3 \| 0 \| 2 \| 2 \| 2 \| 2 \| 2 \| 2 \| 0 \| 1 \| 2 \| 3 \| 2 \| 3 \| 2 \| 1 \| \| \| knowledge of the local context \| 1 \| 0 \| 2 \| 3 \| 1 \| 2 \| 3 \| 1 \| 0 \| 0 \| 3 \| 3 \| 2 \| 3 \| 3 \| 2 \| \| \| employment policy \| 1 \| 0 \| 0 \| 3 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 1 \| 0 \| 0 \| 0 \| 1 \| 0 \| \| \| employability \| 1 \| 0 \| 0 \| 2 \| 0 \| 0 \| 2 \| 0 \| 0 \| 0 \| 1 \| 0 \| 0 \| 1 \| 1 \| 0 \| \| \| Pedagogical skills \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| counselling \| 0 \| 3 \| 3 \| 0 \| 1 \| 3 \| 0 \| 1 \| 0 \| 0 \| 2 \| 0 \| 3 \| 3 \| 2 \| 0 \| \| \| awareness of self and others \| 3 \| 2 \| 3 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 0 \| \| \| motivation / enterprise skills \| 1 \| 0 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| 3 \| 0 \| 1 \| 0 \| 1 \| 1 \| 1 \| 3 \| \| \| case management \| 0 \| 3 \| 3 \| 0 \| 1 \| 3 \| 0 \| 1 \| 0 \| 0 \| 1 \| 0 \| 3 \| 2 \| 1 \| 0 \| \| \| assessment \| 0 \| 2 \| 3 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 1 \| 0 \| 3 \| 2 \| 1 \| 0 \| \| \| communication with young people \| 3 \| 1 \| 3 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 1 \| 0 \| 3 \| 2 \| 1 \| 0 \| \| \| managing diversity \| 3 \| 0 \| 2 \| 0 \| 1 \| 2 \| 0 \| 1 \| 0 \| 1 \| 3 \| 0 \| 2 \| 2 \| 3 \| 2 \| \| \| balance of competences \| 0 \| 0 \| 3 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 1 \| 0 \| 3 \| 2 \| 1 \| 0 \| \| \| IEP (individual educational planning) \| 0 \| 0 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| 0 \| 0 \| 1 \| 0 \| 1 \| 2 \| 1 \| 0 \| \| \| Key skills \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| networking \| 3 \| 1 \| 3 \| 0 \| 2 \| 3 \| 0 \| 2 \| 0 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 2 \| 0 \| \| creativity \| 3 \| 1 \| 3 \| 0 \| 1 \| 3 \| 0 \| 1 \| 0 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 1 \| 3 \| \| empathy \| 3 \| 1 \| 3 \| 2 \| 1 \| 3 \| 2 \| 1 \| 0 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 1 \| 0 \| \| knowing working life \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| 1 \| 0 \| 3 \| 0 \| 3 \| 0 \| 0 \| 3 \| 3 \| 1 \| 1 \| \| intercultural competences \| 1 \| 1 \| 2 \| 2 \| 0 \| 2 \| 2 \| 0 \| 0 \| 3 \| 3 \| 0 \| 2 \| 3 \| 3 \| 1 \| 0 \| \| reliability \| 3 \| 1 \| 3 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 0 \| 3 \| \| negotiation skills \| 1 \| 1 \| 3 \| 0 \| 3 \| 3 \| 0 \| 3 \| 2 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 3 \| 0 \| \| Humanistic values \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| commitment \| 2 \| 3 \| 3 \| 3 \| 2 \| 3 \| 3 \| 2 \| 0 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 0 \| 3 \| \| social justice \| 2 \| 3 \| 3 \| 3 \| 3 \| 3 \| 3 \| 3 \| 1 \| 1 \| 3 \| 0 \| 3 \| 3 \| 3 \| 0 \| 1 \| \| authenticity \| 2 \| 3 \| 3 \| 3 \| 0 \| 3 \| 3 \| 0 \| 0 \| 0 \| 3 \| 0 \| 3 \| 3 \| 3 \| 1 \| 3 \| \| building a better society \| 2 \| 3 \| 2 \| 3 \| 3 \| 2 \| 3 \| 3 \| 0 \| 1 \| 3 \| 0 \| 2 \| 3 \| 3 \| 0 \| 1 \| 10 Guidance Training - UK Introduction This section deals with the way professionals working in the Careers Education and Guidance process are trained and developed to fulfill their roles effectively. In order to meet the requirements of WP2 some repetition of points made in WP1; and above in the first part of this report is required, as context. 10.1 Careers Education and Guidance teachers in schools There are two groups of people offering Careers Education and Guidance (CEG) to pupils and young adults. The first group is the school-based and school employed CEG teachers who usually also teach another subject and who have been trained as teachers and been promoted within the school they are teaching in to the role of CEG teacher because they are ambitious, well-regarded, a "safe pair of hands" who know the school, the parents, the students and teaching processes. Other CEG teachers are employed into schools and have a background in "real life" working environments. These CEG teachers do not usually follow a training course before appointment but do so "on the job". Many Higher Education institutions' full-time, year long formal qualifications for the training of Careers Education and Guidance staff, like the famous and pioneering course at Hatfield Polytechnic created by the giants of Careers Education and Guidance in the UK like Tony Watts and Bill Law. There is an organization set up in the 1960s CRAC (Careers Research and Advice Council) who offer many short courses to CEG teachers both the newly appointed and also the established. CRAC is supported by the work of NICEC (National Institute for Careers Education and Counseling) who are the research and development arm of CRAC. These organizations operate in the market and create, advertise, recruit personnel to their services from those careers education and guidance professionals willing and able to pay to attend. 10.2 NICEC seminars for the profession These seminars seek to provide an opportunity for discussion of current work in the field of Careers Education and Guidance. Each seminar is led by professionals in the field who present their research findings and assessments of policy and provide the opportunity to gain feedback from others and to engage in a wider discussion. Some examples of NICEC seminars: * Career pedagogies for the Eminem generation * Careers guidance policies: an international analysis * Can we deliver guidance by email and what issues does that raise? Recent research and evaluation in HE * wlpg: the windmills approach to working, learning, playing and giving * Expanding English higher education - the good (maybe), bad and the very depressing news 10.3 Examples of publications offered by CRAC These few publications are chosen to describe the variety available. A Strategy for Developing Careers Guidance Services for Adults Examines the roles of guidance in community settings (professionals with other community/social roles, community-based agencies, neighbourhood projects etc). Identifies issues related to such guidance, including its holistic nature and quality asurance, and makes recommendations for future planning. Advocacy in Career Guidance Examines the role of advocacy in the repertoire of career guidance practice, and the issues it raises for roles and skills; also outlines a model for advocacy and suggests an approach to training. Based on a NICEC inquiry carried out for CfBT Bedfordshire and West London Careers Services. Career(s) Education in Schools in the UK and the Republic of Ireland Report of a NICEC/CRAC conference, held on 10-11 January 2002 in York, to compare careers education policy and practice in the five "home" counties from professional and practitioner perspectives. This is the third in the 'home internationals' series. Choosing Science at 16 This project report examines the influence of science teachers and careers advisers on pupils' decisions in Year 11 about science subjects and science/technology careers, with particular reference to ways in which science and careers departners in schools can work together to improve the quality of pupils' decision-making. Constructs of Work Used in Career Guidance Reviews the constructs and frameworks currently used to define work; examines the use of such constructs in career guidance and career decision-making; and identifies areas requiring further investigation. Exploring Career-Related Learning in Primary Schools Examines current practice in career-related learning in primary schools; the rationale for such work; a framework for influencing the work; and recommendations for developing it. How Career Decisions Are Made Designed particularly for lay members of Careers Services Boards, though may also be helpful to other groups and individuals. Summarises the current state of knowledge on the career decision-making of young people, in straightforward nontechnical terms. Leading and Managing Careers Work in Schools: the changing role of the careers co-ordinator This NICEC Briefing is intended to support discussions, among careers work practitioners, senior managers and policy makers, about the issues that have emerged from the enquiry, particularly about: the role of careers co-ordinators; how this rle might be placed within school management structures; and professional development for the role. The Government's CEGNET website and materials Materials can also be obtained from the Cegnet website recently set up by the government such as: It's Your Choice (Years 10 and 11) Which Way Now? (Year 9) Accompanying Guide for Parents and Carers 2006-07 10.4 Personal Advisers – The Connexions Service The second group of careers education and guidance professionals are the advisers working in the Connexions Service. These are regionally based "personal advisers" who bring in a different expertise to the students in the school. The expertise is of the area the labour market of the area, the opportunities of different courses of higher education and indeed the requirements of different advanced courses and the advanced courses preferred by different job categories/employers. Connexions Direct are a national helpline for young people and offer advice via a number of mediums such as email, phone, web chats etc from 8am-2am every day including week-ends. The Connexions service is split into 47 Partnerships across the country, usually corresponding to counties. They operate the Connexions Centres and face to face Personal Advisers. The following, obtained from the local Central London Connexions service is a description of the job and its requirements: The job role of the Personal Adviser The Connexions Service describes the job role of the Adviser as: "Careers advisers work with both young people and adults on an individual or group basis, helping them make informed and realistic decisions about education, training and job options. * helping clients to assess their interests, skills and abilities - this may involve administering psychometric tests and assisting clients in using computer software · assisting clients in gathering careers and learning information from a range of Careers advisers work in a range of settings, including schools, further education colleges, sixth-form colleges, universities and adult guidance services. The work involves: sources such as the internet and printed materials * researching occupations and the labour market * helping clients to evaluate the options available to them and to formulate and implement action plans * group work - giving talks and leading discussions * administrative tasks such as writing reports. * liaising with employers, higher and further education institutions, training providers and other organisations In England, careers advisers working with 13-19 year-olds within the Connexions Service are known as personal advisers. Their work may be broader than career information and guidance, and may include supporting young people with a range of personal development and welfare issues. For more information, see Personal Adviser (Connexions). The Connexions Service is not available in Scotland, Wales or Northern Ireland. Entry Requirements There are two main routes to qualifying as a careers adviser/Connexions personal adviser: * work-based route - for people already employed by an organisation providing career guidance services. Training combines work experience and taught sessions, leading to an NVQ Level 4 in Advice and Guidance. Personal Advisers in the Connexions service are required to complete units specified by DfES (Department for Education and Skills). * Qualification in Careers Guidance (QCG) - a one-year full-time university course combining academic study with work experience. A two year part-time course is also available at some centres. Candidates also complete a portfolio of evidence that can be used for NVQ Level 4 in Advice and Guidance. The QCG replaces the older Diploma in Careers Guidance Parts I and II. Applicants are normally 21 or over. Although there are no set academic entry requirements, candidates must be able to demonstrate their ability to study at higher education level. Details of colleges and universities offering the QCG are on the Institute of Career Guidance website - see the Further Information section of this profile for contact details There is no upper age limit for entry, and maturity is an advantage. Most applicants are graduates, and many people enter this type of work after gaining experience in other fields such as industry, commerce, teaching or social work. Some experience of working with young people (including voluntary work) is useful. Training Qualified careers advisers joining Connexions will need further in-service training to become personal advisers. For details, see the Personal Adviser (Connexions) profile and the Connexions website. Careers advisers in higher education do not necessarily need a professional qualification in careers work. Through in-service training they can gain the Certificate or Diploma in Careers Education, Information and Guidance in Higher Education. They are increasingly likely, however, to qualify through one of the routes described above and gain experience before moving into higher education. Skills required. An advert for a Connexions Personal Adviser post lists the required skills as: Skills and personal qualities [x] to be able to command the trust and respect of young people Personal advisers need: [x] to be able to motivate and influence others [x] the ability to listen carefully and empathise [x] excellent communication skills [x] to be patient and calm [x] to be flexible and adaptable [x] to be open-minded and non-judgemental [x] a sense of humour [x] to be creative and imaginative [x] to be confident public speakers [x] the capacity to solve problems [x] to be able to work under pressure in order to meet targets [x] to work well in a team or on their own initiative [x] organisational and time-management skills [x] good administrative and computer skills. [x] knowledge of relevant legislation, eg child protection, confidentiality Interests [x] be interested in helping young people to achieve their potential It is important to: [x] be interested in learning about qualifications, training, employment opportunities and careers [x] enjoy learning new skills. Getting in Local Connexions partnerships involve a range of organisations and often include local authorities, youth services, the police and youth offending services, health authorities, employers, voluntary organisations and other private and public bodies. The Connexions Service is delivered by 47 local Connexions partnerships throughout England (Connexions is not available in Scotland, Wales or Northern Ireland). Some personal advisers are employed directly by local Connexions partnerships, while others are employed by organisations that are contracted to provide a Connexions service. Vacancies are advertised in local and national newspapers, eg TheGuardian (on Tuesdays), specialist magazines, eg Young People Now, and the Institute of Career Guidance's vacancy bulletin Portico, which is available at www.icguk.org. Experienced personal advisers are often in demand, particularly in London and south-east England, and other large cities, although there may be competition for trainee posts. Entry for young people [x] to be at least 21 years of age Entrants normally need: [x] experience of working with 13 to 19 year olds [x] to have the ability to study at NVQ Level 4. [x] to pass a Criminal Records Bureau check In some Connexions partnerships, people can start work as a trainee personal adviser without any specific academic qualifications. They can combine work with both on and off-the-job training, initially towards an NVQ Level 3, progressing to NVQ Level 4, in Learning, Development and Support Services (LDSS). Within this NVQ there are specialist optional units such as Supporting Young People. A Foundation Degree in Working with Young People and Young People's Services is also available. This can be studied for two years full time, three years part time, by distance learning or online. Entry requirements are usually a National Qualification Framework Level 3 qualification and/or relevant experience. Individuals who already have a relevant professional qualification at NVQ Level 4 (such as career guidance, youth work or social work), do not usually have to complete the NVQ Level 4. To become a fully-qualified personal adviser, it is necessary to complete additional training courses run by Connexions partnerships. All people enter this work as adults. There are no upper age limits, and employers may positively welcome applications from mature candidates. Entry for adults Training Personal advisers who do not already have a relevant qualification at NVQ Level 4 (or equivalent) when they join, work towards this once in post. They also complete the following Connexions qualifications to become fully qualified. The main national training programmes for personal advisers are: Trainee personal advisers work under supervision until they are fully qualified. [x] Understanding Connexions Training - for all Connexions personal advisers from any background, including specialist professionals and people working with young people in the community. This is a five-and-a-half day course and includes a written assignment, which is assessed. [x] The Diploma for Connexions Personal Advisers - for those working intensively with young people who have significant barriers to learning. It involves pre-course reading, distance learning, training days and group work. Other training programmes have been developed locally by Connexions partnerships. These cover areas such as drugs awareness, counselling, child protection, equal opportunities, dealing with aggressive behaviour and sexual health. [x] APIR (Assessment, Planning, Implementation and Review) - is a one-and-a-half day programme for all personal advisers to help them in assessing young people's needs. Getting on Within Connexions, there is usually a career progression structure and it is possible to be promoted to a team leader or management role. There may also be opportunities to take on specialist posts and project work. Some personal advisers move into related fields, such as education welfare, the care and voluntary sectors, and training young people. 10.5 Initial Training for Careers Education and Guidance professionals There are two courses in the UK, in England at Nottingham Trent University and in Northern Ireland at Queen's University. The course at Nottingham Trent University is for the qualification: Professional Diploma in Career Guidance (PDCG) (QCG) The PDCG/QCG is a dual-award one year course run by the university's School of Social Sciences. The course provides professional training and qualification for work as a Career Guidance Practitioner. It has been designed to replace the traditional qualification in the field of career guidance (the Diploma in Careers Guidance (DCG) and is itself subject to ongoing evaluation and development to meet the evolving demands of modern career guidance work within the Connexions Service. This is a 120 credit course at level three, which comprises seven modules of varying lengths. The course incorporates approximately 12 weeks of work-based learning in careers service companies, Connexions partnerships and other organisations. The PQCG/QCG course meets all the learning outcomes laid down by the Department for Education and Skills and is made up of: Reflective Personal Development; Equal Oppotunities; Values and Ethics; Designing and Planning Careers Education; Organisations and Networks; Guidance Interventions; Theoretical Basis of Guidance Practice and Labour Market Studies. A variety of assessment methods are used to reflect the course's purpose of training, and to qualify its students for work in career guidance. A range of skills and knowledge is assessed through practical assessments (for example, interviewing and group work) and through written assignments in the form of investigative reports and analytical studies Applicants would normally possess a degree or other Higher Education qualification or equivalent, e.g. HND, DipHE. However, applicants will be considered without such qualifications but should be able to demonstrate the ability to study at Higher Education Level 3 standard. 10.6 In service training of Connexions Staff Central London Connexions, the closest Connexions service to the Institue's base were supportive in offering the following information about the training on the job offered to their staff. "The following partnership training is offered to all of our staff ; Developing Motivational Strategies, Coaching Skills, Managing Aggressive Behaviour, Improving the Effectiveness of Working in Schools and Colleges, Working with Young Disabled People, Effective Interviewing Skills for new PA's/Keyworkers. We also offer the following national training; Assessment and the APIR Framework, Understanding Multi-Agency Working,A1/A2 Assessor Award, NVQ LDSS Level 4 Central London Connexions also provide additional training support for paid staff about the London labour market, quality training, welfare benefits, mental health and employment. Our contractors provide in house training to meet local needs e.g. child protection, risk assessment etc. Training is delivered using a variety of methods, classroom based, in partnership and using consultants for specialist provision. The training calendar runs all year round. Central London Connexions has been training advisory staff for four and a half years and the APIR training is nationally recognised. Our other training e.g. Developing Motivational Strategies, Managing Aggressive Behaviour, Working with Young Disabled People etc. would be recognised as useful training for frontline staff across all organisations working with young people. Through our ESF Projects we also run training for the voluntary sector which is recognised by the LSC. Principal factors affecting training are; Training needs analysis Specialist knowledge/skills to deliver training Cost References/Track record Evaluations " 10.7 Conclusions The way in which Careers Education and Guidance professionals are trained is changing. In terms of school based staff the training is largely on the job and through short courses. Many institutions' full-time, year long formal qualifications for the training of Careers Education and Guidance staff, like the famous and pioneering course at Hatfield Polytechnic created by the giants of Careers Education and Guidance in the UK like Tony Watts and Bill Law and indeed the Institute of Education's very own Diploma have had to shut down due to low demand for formal year long qualifications. Careers Education and Guidance professionals based in the local Connexions Services are able to join at different entry points from 21 onwards. It is expected entrants have a degree or equivalent (NVQ level 4) but are allowed to join if they continue to work towards the qualification: Professional Diploma in Career Guidance (PDCG) (QCG). While there are other relevant qualifications like "career guidance, youth work and social work, these are currently not essential for entry. Much of the specific training is for these with the Diploma is or continues to be delivered on the job as detailed above. 10.8 Reflections on quality standards Introduction 1. What is a good experience of guidance? This final section briefly takes the main points from the data above and addresses directly the issues raised by Hogeschool van Amsterdam for the WP2, namely: 2. What methods were used within it? 4. How does the experience and method match the criteria of quality practice developed in Tekirdag? 3. How should such an initiative be evaluated? 5. What is good practice in the initial training future guidance professionals? What is a good experience of guidance through work experience? Work experience was examined in detail as the most frequently used method of orientating young people to working life in UK. Quality in work experience involves: Curriculum context – the work experience takes place because of and with reference to a set of learning objectives which legitimately could be both about a specific area being studied at school for example engineering and for a range of careers and guidance objectives about experiencing a period of "working life" and becoming aware of what that means. The person responsible in the work place for the student should be aware of the learning objectives for that placement of that student. Preparation - the work places and the students need to be prepared for each other and aware of the purpose and objectives of the work experience. The working place needs to have been visited and found to be safe, to offer a range of learning opportunities in a range of curriculum contexts for the student who will engage in work experience. Briefing- The students will be briefed about logistical and curricular aspects of the work experience and is likely to undertake different exercises such as finding the work-place on a map, going to it on a prior visit, working out the route to work from home, as well as case studies, simulations and problem solving exercises about work contexts while being prepared in the educational establishment. Monitoring- During the period of work experience both the work place and the school/educational establishment will monitor the progress of the students. The school will be in touch by phone with the workplace and also visit the students to observe the student in the work place. Key issues for the monitoring period are to what extent are the learning objectives for the placement being achieved, how is the student copying with the responsibility of the work and the demands of the social interactions at the work place. De-briefing – On the return of the students to the educational establishment, the debriefing of the experience is important in achieving learning outcomes. In the first instance de-roling from "worker" role and returning to "student" role requires deliberate facilitation. Then, facilitation is required around the specific learning objectives of the work experience. This is the crucial phase of the overall experience and the right skills and approaches to debriefing experiences are not always found in all educational establishments. Application- The learning achieved through the experience then needs to be applied by the students and the learning environment organized so that the tasks the students will follow enables this final part of the experience and its learning potential to be achieved. Evaluation - Formative and summative evaluation of the whole student group as well as of the individual student by all partners (students, educational establishment, work places, parents) in the process is the ideal. See details 3.3 below. What methods were used within it? The methods used are the methods and techniques required by the different phases of the experiential learning cycle and are described in more detail in Section 4 above. The key skills of de-roling and debriefing are probably the most crucial to dwell on. The debriefing phase teases out the learning from the experience and makes that learning overt to the student. It has to be a deliberate and sequential process. The first part involves seeking to take the student out the role s/he was in during the experience. This involves focusing on feelings and getting out all those emotions associated with the experience and the role of "worker". The second phase is about supporting the student in establishing the salient events / what happened during the experience. The third phase is to support the student in developing explanations of what happened. All this facilitation should occur through the use of questions that are open and catalytic rather than closed so that the student her/himself develops the learning rather than is handed the learning. Finally, the tasks offered by the facilitator after the experience should help the student apply the learning from the experience in the task. How should such an initiative be evaluated? Formative and summative evaluation of the whole student group as well as of the individual student by all partners (students, educational establishment, work places, parents) in the process is the ideal. Formative evaluation occurs in the phone calls and visits to work places that take place during the period of work experience. Summative evaluation is an important process after the debriefing phase or sometimes relatively early on in the application phase. This approach is how a quality scheme would function. Practice varies from one scheme and another and what ought to happen does not always happen. How does the experience and method match the criteria of quality practice developed in Tekirdag? In this section the author in discussion with his colleagues in the Institute's Guiding team makes his own subjective judgments about whether the following quality characteristics identified in Tekirdag as ideally required for a well trained Careers Education and Guidance specialist are actually required for a well executed work experience programme. yes definitely The categories used for the assessment were: yes usually yes aspects occasionally no no aspects no definitely does not make sense now ?? The assessment was not made about the outcomes that students obtain but about the characteristics of the Careers and Guidance specialists in carrying out a high quality work experience. Partner assessment of requirements: scientific knowledge- (from low to highly regarded by whole Guiding team) Table 2 in WP1's final report macroeconomics (globalization, ....) - no definitely employer psychology - yes business admin., SME culture –yes aspects effects of media - no youth life style (youth culture) – yes aspects balance of competences- ?? sociopedagogy / orientation – yes aspects to adapt multi-scientific approaches- ?? sociology (e.g. poverty ...)- no knowledge about target groups- yes social psychology (youth culture, family ...)- no aspects Partner assessment of requirements: policy knowledge. Table 3 in WP1's final report to put in practice legislation and guidelines – yes definitely resources for guiding in education system- no knowledge of employers interests- yes aspects social-legal systems- yes aspects range of education / qualification chances- yes aspects unemployment laws - no requirements of working life / labour market – yes aspects employment creation - no knowledge of the local context - yes social environment of young people - no welfare and labour law – no aspects education system training system – yes aspects Partner assessment of requirements: pedagogical skills. Table 4 in WP1's final report facilitate awareness of social change - no skills to motivate - yes creating / debriefing experiential learning – yes definitely facilitating knowledge of self and others – yes definitely enabling learning, not providing knowledge – yes definitely facilitate enterprise and creativity - yes knowing learning types - yes to find out learning skills - yes facilitate confidence - yes facilitate "I can do" attitude- yes facilitate the desire for life long learning – no aspects facilitate future vision of self - yes motivation skills - yes knowledge about psychological aspects – no aspects IEP (individual educational planning) – yes aspects techniques and instruments for guiding - yes managing diversity -yes self-reflection- yes definitely skill to analyse the real needs – no aspects communication with young people- yes assessment – no aspects case management -no counseling- yes Partner assessment of requirements: key skills. Table 5 in WP1's final report to be brave – yes aspects self-confidence and modesty- yes ability to delegate - yes sociability -yes trust in young people- yes ability to negotiate- yes multi-professional cooperation- yes to do things a different way- yes working together with other organizations- yes reliability- yes intercultural competences- yes knowing working life -yes creativity- yes empathy- yes networking- yes Partner assessment of requirements: humanistic values Table 6 in WP1's final report understanding living dependent on welfare – no work for young people rather than for oneself- yes trans-generational approach - yes reconciliation- yes building a better society for young people -yes personal commitment – yes being authentic- yes social justice- no commitment- yes empathy- yes Having done the exercise the fact that there are so many "yes" seems to suggest that the Guiding team did something right in developing these quality criteria. The few with ?? are meaningless and may well just not be expressed clearly enough. A "no" did not necessarily represent a "no" in all the situations in the work of the careers education and guidance professional just "no" in the context of a well constructed work experience. Conclusion- What is good practice in the initial training of future guidance professionals? This is a difficult issue in England. The requirements of entry do differ dramatically these days to previous decades. There is an evolving system with aspects of it far from what might be described as an ideal-type model. The direction of change is towards an old-graduate profession with different but complimentary skills in schools and in Connexions services in the localities. Careers teachers in schools have a good degree, a teaching qualification: the Post-Graduate Certificate of Education (PGCE) and then according to the needs, finances and priorities of the school training courses while they carry out the work. There is no guarantee that this learning process will equip them for example with the techniques described above for facilitating quality work experience for their students but it might. Some Careers teachers more recently have been appointed with other non-school based prior experiences. Both require attendance at inservice training courses on a regular basis to be able to cope with all the aspects of the job. These are available and usually most teachers make use of the opportunities for this professional development. It is likely though not necessarily certain that a Careers teacher organizing a work experience programme will have received training on how to do this and indeed support in the organization of such a programme. Advisers in the Connexions Service usually enter with a degree or equivalent and then train on the job. The ideal training though would involve following pre-service and after graduation the Diploma in Careers Guidance (DCG) and then the wideranging inservice courses on offer. The Diploma in Careers Guidance (DCG) is itself subject to ongoing evaluation and development to meet the evolving demands of modern career guidance work within the Connexions Service. This is a 120 credit course at level three, which comprises seven modules of varying lengths. The course incorporates approximately 12 weeks of work-based learning in careers service companies, Connexions partnerships and other organisations. The PQCG/QCG course meets all the learning outcomes laid down by the Department for Education and Skills and is made up of: Reflective Personal Development; Equal Opportunities; Values and Ethics; Designing and Planning Careers Education; Organisations and Networks; Guidance Interventions; Theoretical Basis of Guidance Practice and Labour Market Studies." For example, the section on "guidance interventions" covers the development of the skills described above in in terms of quality in facilitating work experience but advisers are not usually as responsible as careers teachers for organizing work experience in the school-based schemes we have been particularly looking at. While Careers Teachers will have had access to courses on quality in work experience and indeed most will have attended such courses and be supported by others who have during the work experience process, there is actually no guarantee that any one Careers teacher organizing work experience will definitely be trained to do so. In the exception there's the rule !!
ACN: 009 067 476 QUARTERLY REPORT 30 June 2007 Highlights AFRICA BOTSWANA – KIHABE ZINC PROJECT Initial assay results received for samples from diamond core drilling show significantly higher grades compared to those received from the RC drill samples which were used to calculate the initial Kihabe resource. A further 243 metres of diamond core drilling completed the programme during the quarter for a cumulative total of 2035m. Gossan float containing significant quantities of galena have been discovered some 10km south of the Kihabe resource. NAMIBIA, TSUMKWE –BASE METALS EXPLORATION During the quarter the Company continued with geochemical soil sampling in Namibia, along strike from the Kihabe Resource. AUSTRALIA TELFER, WESTERN AUSTRALIA - GOLD EXPLORATION The Company is in the process of negotiating a joint venture on its Telfer tenements. BOTSWANA, KIHABE ZINC PROJECT PL 69/2003 (Mount Burgess Mining N.L. 100%) KIHABE RESOURCE During the quarter, the Company completed a 2035m diamond core drilling programme which commenced in the previous quarter. To date, assay results using the AX-OES analytical method, have been received from diamond drill holes KDD105, KDD106, (KDD107 was abandoned), KDD108, KDD109 and KDD110, as follows: Section 9,900E KDD105 Collared at 9,900E/9,948N, Dip – 60 deg, Azimuth 339 deg. Drilled to test for mineralisation below 100m RL. The hanging wall dolomite/quartzite contact was logged at 91.8m. End of Hole 205.5m KDD106 Collared at 9,900E/9,991N, Dip – 60 deg, Azimuth 339 deg. Drilled to test for mineralisation below 50m RL. The hanging wall dolomite/quartzite contact was logged at 47m. The grades and section widths reasonably correlate with those obtained from Positioned approx. 5m west from KRC036. Section 10,000E KDD108 Collared at 10,000E/10,003N, Dip – 70 deg, Azimuth 339 deg. Drilled to test for mineralisation past 100m RL. The hanging wall dolomite/quartzite contact was logged at 20m. End of Hole 130.5m Section 10,100E KDD109 Collared at 10,100E/10,030N, Dip – 65 deg, Azimuth 339 deg. Drilled to test for mineralisation down to 150m. Section 10,200E KDD110 Collared at 10,200E/10,055N, Dip – 90 deg, Azimuth 0 deg. Drilled to test for mineralisation below 100m RL. End of Hole 180.9m Section 10,400E KDD111 Collared at 10,400E/10,003N, Dip – 60 deg, Azimuth 339 deg. Drilled to test for mineralisation down to 150m. 72-73 73-74 9m Section 10,500E KDD114 Collared at 11,500E/10,073N, Dip – 90 deg, Azimuth 0 deg. Drilled to test for mineralisation down to 150m. The hanging wall dolomite/quartzite contact was logged at 167.1m. From-To Zinc Lead Copper Silver 65-66 66-67 67-68 2m 0.39% 68-69 The assay results returned from the diamond core drilling are showing significantly higher grades compared with those returned from RC drilling which were used for the initial resource calculation of 11 million tonnes @ 2.55% zinc equivalent. When all results from diamond drill core samples have been analysed, the resource model will be updated to reassess tonnage and grade. A summary of diamond core drilling results versus RC results is shown below: Results from KDD112 - KDD113 and KDD115 - KDD118 have yet to be received. These results will be released to the market when available. During the quarter, the Company engaged the services of a consulting structural geologist, familiar with the local Proterozoic geology at Kihabe, to conduct a structural review of the diamond core, in order to best determine where future in-fill drilling should be conducted. It is believed that by better defining the higher grade zones that exist within the resource and confirming these with further in-fill drilling, there is a possibility of enhancing the size and grade of the Kihabe resource. Further diamond core drilling is planned at the Kihabe resource in the current quarter for the following purposes: 1. To extend the resource to the north east; 2. To extend the resource at depth; 3. To twin existing RC holes to confirm the apparent increase in grade from diamond core assays; and 4. To define with in-fill drilling, the continuity between previously drilled sections, of high grade zones believed to exist within the known resource. OTHER REGIONAL ANOMALIES The 30-1 Anomaly The 30-1 anomaly is situated 7km to the east of the Kihabe resource. During the current quarter the Company will conduct diamond core drilling at this anomaly, where previous RC drilling has encountered significant zinc, lead and vanadium mineralisation. The Gossan Anomaly The Gossan anomaly is situated 10km to the south of the Kihabe resource, where a high grade zinc/lead anomaly, some 4km long, has previously been delineated through soil geochemical sampling. During the quarter, reconnaissance of this area discovered a number of float samples of gossan lying on the surface of the Kalahari sand cover. These gossan samples appear to contain significant quantities of galena. Samples have been submitted for assaying and results are pending. Gossan from this area has previously returned assay values of 12.4% lead, 3.98% zinc, 1.6% vanadium and 3.28 oz of silver. During the current quarter the Company will conduct RC drilling in an attempt to find the source of these gossan float samples. The Tswee Tswee Anomaly The Tswee Tswee anomaly is situated 15km to the south east of the Kihabe resource, where a copper anomaly has previously been generated from geochemical sampling. During the current quarter, the Company will conduct exploratory RC drilling in an attempt to find the source to this anomaly. The Copper Anomaly The Copper anomaly is situated 12km to the north east of the Kihabe resource. During the current quarter, the Company will conduct RC drilling in an attempt to locate the contact between the dolomites and the quartzites in this area, where it is believed there is the potential to find the source of the copper mineralisation found in geochemical sampling. Two RC drill holes, previously drilled 1km apart, contacted dolomite in one hole and quartzite in the other hole. NAMIBIA, TSUMKWE – BASE METAL EXPLORATION During the quarter, the Company continued with a geochemical soil-sampling programme on the Namibian side of the border to test for a possible extension and repetitions of the Kihabe resource in Botswana. AUSTRALIA, TELFER - WESTERN AUSTRALIA – GOLD EXPLORATION The Company is in the process of conducting negotiations with regard to a joint venture over its Telfer tenements. CORPORATE Share Placements During the quarter the Company completed the following share placement: 21 May 2006 Issue of 16,000,000 shares at 8 cents per share to raise the Company $1,280,000 The information in this report that relates to exploration results, together with any related assessments and interpretations, is based on information compiled by Mr Giles Rodney (Rod) Dale, FRMIT, of GR Dale and Associates, who is a non executive Director of the Company. Mr Dale is a Fellow of The Australasian Institute of Mining and Metallurgy. Mr Dale has sufficient experience which is relevant to the style of mineralisation under consideration and to the activity which he is undertaking to qualify as a Competent Person as defined in the 2004 Edition of the "Australasian Code for Reporting of Mineral Resources and Ore Reserves". MrDale consents to the inclusion in the report of the matters based on this information in the form and context in which it appears. Appendix 5B Mining exploration entity quarterly report Introduced 1/7/96. Origin: Appendix 8. Amended 1/7/97, 1/7/98, 30/9/2001. Name of entity MOUNT BURGESS MINING N.L. ABN Quarter ended ("current quarter") 31009067476 30 June 2007 Consolidated statement of cash flows \| Cash flows related to operating activities 1.1 Receipts from product sales and related debtors 1.2 Payments for: (a) exploration and evaluation (b) development (c) production (d) administration 1.3 Dividends received 1.4 Interest and other items of a similar nature received 1.5 Interest and other costs of finance paid 1.6 Income taxes paid 1.7 Other (provide details if material) Net Operating Cash Flows \| Current quarter $A’000 \| Year to date (12 months) $A’000 \| \|---\|---\|---\| \| \| - (573) - - (241) - 9 - - - \| - (2,474) - - (1,159) - 23 (1) - - \| \| \| (805) \| (3,611) \| \| Cash flows related to investing activities 1.8 Payment for purchases of: (a) prospects (b) equity investments (c) other fixed assets 1.9 Proceeds from sale of: (a) prospects (b) equity investments (c) other fixed assets 1.10 Loans to other entities 1.11 Loans repaid by other entities 1.12 Other (provide details if material) Net investing cash flows \| - - (67) - - - - - - \| - - (135) - - 26 - - - \| \| \| (67) \| (109) \| \| 1.13 Total operating and investing cash flows (carried forward) \| (872) \| (3,720) \| \| 1.13 Total operating and investing cash flows (brought forward) \| (872) \| (3,720) \| \|---\|---\|---\| \| Cash flows related to financing activities 1.14 Proceeds from issues of shares, options, etc. 1.15 Proceeds from sale of forfeited shares 1.16 Proceeds from borrowings 1.17 Repayment of borrowings 1.18 Dividends paid 1.19 Other – Placement Fees Other – Lease Liability repayments Net financing cash flows \| 1,280 - - - - (78) (2) \| 4,538 - - - - (134) (6) \| \| \| 1,200 \| 4,398 \| \| Net increase (decrease) in cash held 1.20 Cash at beginning of quarter/year to date 1.21 Exchange rate adjustments to item 1.20 Cash at end of quarter* 1.22 *Includes cash in transit of $70,000 \| 328 699 (4) \| 678 340 5 \| \| \| 1,023 \| 1,023 \| Payments to directors of the entity and associates of the directors Payments to related entities of the entity and associates of the related entities Current quarter $A'000 83 - 1.23 Aggregate amount of payments to the parties included in item 1.2 1.24 Aggregate amount of loans to the parties included in item 1.10 1.25 Explanation necessary for an understanding of the transactions Non-cash financing and investing activities 2.1 Details of financing and investing transactions which have had a material effect on consolidated assets and liabilities but did not involve cash flows N/A 2.2 Details of outlays made by other entities to establish or increase their share in projects in which the reporting entity has an interest N/A Financing facilities available Add notes as necessary for an understanding of the position. \| 3.1 Loan facilities 3.2 Credit standby arrangements \| Amount available $A’000 \| \|---\|---\| \| \| - \| \| \| 205 \| Estimated cash outflows for next quarter \| 4.1 Exploration and evaluation 4.2 Development \| $A’000 \| \|---\|---\| \| \| 350 \| \| \| - \| \| Total \| 350 \| Reconciliation of cash \| Reconciliation of cash at the end of the quarter (as shown in the consolidated statement of cash flows) to the related items in the accounts is as follows. \| Current quarter $A’000 \| \|---\|---\| \| 5.1 Cash on hand and at bank 5.2 Deposits at call 5.3 Bank overdraft 5.4 Other (prove details) \| 55 \| \| \| 968 \| \| \| - \| \| \| - \| \| Total: cash at end of quarter (item 1.22) \| 1,023 \| Changes in interests in mining tenements \| Tenement reference \| Nature of interest (note (2)) \| Interest at beginning of quarter \| Interest at end of quarter \| \|---\|---\|---\|---\| Issued and quoted securities at end of current quarter Description includes rate of interest and any redemption or conversion rights together with prices and dates. \| \| Total number \| Number quoted \| Issue price per security (cents) (see note 3) \| Amount paid up per security (cents) (see note 3) \| \|---\|---\|---\|---\|---\| \| 7.1 +Preference securities (description) 7.2 Changes during quarter (a) Increases through issues (b) Decreases through returns of capital, buy- backs, redemptions \| N/A \| \| \| \| \| 7.3 +Ordinary securities 7.4 Changes during quarter (a) Increases through issues (b) Decreases through returns of capital, buy- backs \| 251,707,000 \| 251,707,000 \| \| \| \| \| 16,000,000 N/A \| 16,000,000 N/A \| \| \| \| 7.5 +Convertible debt securities (description) 7.6 Changes during quarter (a) Increases through issues \| N/A \| N/A \| \| \| \| 7.7 Options Employee Share Plans 7.8 Issued during quarter 7.9 Exercised during quarter 7.10 Cancelled during quarter \| 50,000 1,350,000 2,500,000 5,300,000 \| NIL NIL NIL NIL \| 25 cents 25 cents 25 cents 25 cents \| 31/12/07 31/12/09 31/12/10 31/12/11 \| \| \| NIL \| \| \| \| \| \| NIL \| \| \| \| \| \| NIL \| \| \| \| \| 7.11 Debentures (totals only) \| N/A \| \| \| \| \| 7.12 Unsecured notes (totals only) \| N/A \| \| \| \| Compliance statement 1 This statement has been prepared under accounting policies which comply with accounting standards as defined in the Corporations Act or other standards acceptable to ASX (see note 5). 2 This statement does give a true and fair view of the matters disclosed. Sign here: Dean Scarparolo Date: 30 July 2007 (Company Secretary) Print name: DEAN A SCARPAROLO Notes 1 The quarterly report provides a basis for informing the market how the entity’s activities have been financed for the past quarter and the effect on its cash position. An entity wanting to disclose additional information is encouraged to do so, in a note or notes attached to this report. 2 The “Nature of interest” (items 6.1 and 6.2) includes options in respect of interests in mining tenements acquired, exercised or lapsed during the reporting period. If the entity is involved in a joint venture agreement and there are conditions precedent which will change its percentage interest in a mining tenement, it should disclose the change of percentage interest and conditions precedent in the list required for items 6.1 and 6.2. 3 Issued and quoted securities The issue price and amount paid up is not required in items 7.1 and 7.3 for fully paid securities. 4 The definitions in, and provisions of, AASB 1022: Accounting for Extractive Industries and AASB 1026: Statement of Cash Flows apply to this report. 5 Accounting Standards ASX will accept, for example, the use of International Accounting Standards for foreign entities. If the standards used do not address a topic, the Australian standard on that topic (if any) must be complied with.
Tabel Kubikasi Kayu Bulat Perhutani Expertossas Co Evolutionary Theory in the Social Sciences: Evolution and revolution Duta rimba Forest Products and Wood Science Erythrophloeum fordii Oliver: ecology and silviculture in Vietnam Jurnal penelitian hasil hutan Kayu Jabon Proceeding of the 2nd International Conference on Tropical Agriculture Info hutan tanaman Forest Tree Seed Health Plant Resources of South-East Asia Pembelanjaan Perusahaan Hutan Shipyard Industry Learning Lessons to Promote Forest Certiﬁcation and Control Illegal Logging in Indonesia Acacia mangium Willd.: Ecology, silviculture and productivity Estimating Biomass and Biomass Change of Tropical Forests Ecology and Natural Resource Management On the Zoological Geography of the Malay Archipelago Akunting sumberdaya alam Nota keuangan dan rancangan anggaran pendapatan dan belanja negara Handbook of Coal Analysis Industri kehutanan di Indonesia Sejarah Kehutanan Indonesia: Periode th. 1942-1983 Lampiran pidato kenegaraan Presiden Republik Indonesia di depan sidang Dewan Perwakilan Rakyat 16 Agustus 1991 Culture: urban future Allometric Models for Estimating Tree Biomass at Various Forest Ecosystem Types in Indonesia Integrated Protected Area Management Forestry Statistics Pembangunan sektor pertanian di era globalisasi Swietenia macrophylla King: Ecology, silviculture and productivity The Teak Genome Wood Quality and its Biological Basis Forestry for Local Community Development De Re Coquinaria Market and Price Analysis Prosiding natural resources accounting, 28-29 Pebruari 2001 Fast-wood Forestry: Myths and Realities Mathematical Programming for Natural Resource Management Warta ekonomi Tabel Kubikasi Kayu Bulat Perhutani Expertossas Co Downloaded from blog.gmercyu.edu by guest DECKER NEAL Evolutionary Theory in the Social Sciences: Evolution and revolution UGM PRESS Protected areas have become an increasingly important tool both in the conservation of biodiversity and in revenue generation through sustainable use. This is the only sure way to guarantee the protection necessary for many species, habitats and ecosystems in the future. Integrated Protected Area Management features contributions that consider the design, management and sustainable use of these regions. Three principal aspects are considered: the theory and practice of designation community-based conservation and the concept of sustainability identifying priorities for management. The emphasis throughout is on the importance of an interdisciplinary approach to planning and the active involvement of all stakeholders in decision-making processes as a means of ensuring longterm sustainability. Duta rimba John Wiley & Sons Report presents a series of analyses and recommendations for fostering the role of culture for sustainable development. Drawing on a global survey implemented with nine regional partners and insights from scholars, NGOs and urban thinkers, the report oﬀers a global overview of urban heritage safeguarding, conservation and management, as well as the promotion of cultural and creative industries, highlighting their role as resources for sustainable urban development. Report is intended as a policy framework document to support governments in the implementation of the 2030 Agenda for Sustainable Urban Development and the New Urban Agenda. Forest Products and Wood Science McGraw-Hill Companies All the guidance needed to test coal and analyze the results With the skyrocketing costs of most fuel sources, government, industry, and consumers are taking a greater interest in coal, an abundant and inexpensive alternative, which has been made more environmentally friendly through new technology. Published in response to this renewed interest, Handbook of Coal Analysis provides readers with everything they need to know about testing and analyzing coal. Moreover, it explains the meaning of test results and how these results can predict coal behavior and its corresponding environmental impact during use. The thorough coverage of coal analysis includes: * Detailed presentation of necessary standard tests and procedures * Explanation of coal behavior relative to its usage alongside the corresponding environmental issues * Coverage of nomenclature, terminology, sampling, and accuracy and precision of analysis * Step-by-step test method protocols for proximate analysis, ultimate analysis, mineral matter, physical and electrical properties, thermal properties, mechanical properties, spectroscopic properties, and solvent properties * Emphasis on relevant American Society for Testing and Materials (ASTM) standards and test methods, including corresponding International Organization for Standardization (ISO) and British Standards Institution (BSI) test method numbers To assist readers in understanding the material, a glossary of terms is provided. Each term is deﬁned in straightforward language that enables readers to better grasp complex concepts and theory. References at the end of each chapter lead readers to more in-depth discussions of specialized topics. This is an essential reference for analytical chemists, process chemists, and engineers in the coal industry as well as other professionals and researchers who are looking to coal as a means to decrease dependence on foreign oil sources and devise more eﬃcient, cleaner methods of energy production. Erythrophloeum fordii Oliver: ecology and silviculture in Vietnam CIFOR A brief history of plantations. Environmental issues. Plantations and biodiversity. Water matters. Plantations and the soil. Pests: plantations' achilles' heel? Genetically modiﬁed trees: opportunity or treath? Plantations and global warming. Social issues. Employement: a contested balance sheet. Land tenure and conﬂict. Economic issues. Spiralling demand. Incentives and subsidies. Economies of scale. Costing the earth. Jurnal penelitian hasil hutan Taylor & Francis A rich, authoritative look at a material that plays an essential role in human culture Wood has been a central part of human life throughout the world for thousands of years. In an intoxicating mix of science, history, and practical information, historian and woodworker Harvey Green considers this vital material's place on the planet. What 3 makes one wood hard and one soft? How did we ﬁnd it, tame it? Where does it ﬁt into the histories of technology, architecture, and industrialization, of empire, exploration, and settlement? Spanning the surprising histories of the log cabin and Windsor chair, the deep truth about veneer, the role of wood in the American Revolution, the disappearance of the rain forests, the botany behind the baseball bat, and much more, Wood is a deep and satisfying look at one of our most treasured resources. Kayu JabonCIFOR Natural resources accounting to assist local government in managing natural resources in Indonesia. Proceeding of the 2nd International Conference on Tropical Agriculture Penguin This early work by Alfred Russel Wallace was originally published in 1859 and we are now republishing it with a brand new introductory biography. 'On the Zoological Geography of the Malay Archipelago' is an article detailing Wallace's observations during his travels in Asia. Alfred Russel Wallace was born on 8th January 1823 in the village of Llanbadoc, in Monmouthshire, Wales. Wallace was inspired by the travelling naturalists of the day and decided to begin his exploration career collecting specimens in the Amazon rainforest. He explored the Rio Negra for four years, making notes on the peoples and languages he encountered as well as the geography, ﬂora, and fauna. While travelling, Wallace reﬁned his thoughts about evolution and in 1858 he outlined his theory of natural selection in an article he sent to Charles Darwin. Wallace made a huge contribution to the natural sciences and he will continue to be remembered as one of the key ﬁgures in the development of evolutionary theory. Info hutan tanaman Food & Agriculture Org. Illegal logging is a cause for widespread concern. It has negative environmental impacts, results in the loss of forest products used by rural communities, creates conﬂicts, and causes signiﬁcant losses of tax revenues that could be used for development activities. The Nature Conservancy and World Wide Fund for Nature developed the Alliance to Promote Certiﬁcation and Combat Illegal Logging in Indonesia to respond to the concern about illegal logging. The Alliance is a three-year initiative that aims to: 1. Strengthen market signals to expand certiﬁcation and combat illegal logging, 2. Increase supply of certiﬁed Indonesian wood products, 3. Demonstrate practical solutions to achieve certiﬁcation and diﬀerentiate legal and illegal supplies, 4. Reduce ﬁnancing and investment in companies engaged in destructive or illegal logging in Indonesia, 5. Share lessons learned from the project. The Alliance seeks to learn lessons from its ongoing work to inform and adapt its activities, as well as to inform other initiatives seeking to address similar problems. This report is part of this lessons learning process. This report assesses the situation in Indonesia, including a quantitative estimation of illegally produced logs, discusses the causes of illegal logging, and describes the national and international policy and trade context. Then, it considers the work undertaken by the Alliance to address illegal logging in Indonesia; it summarizes the strategy of the Alliance, describes its rationale, and assesses the assumptions underlying the rationale and the objectives. Finally, it summarizes the progress made by the Alliance towards achieving its goal, highlights the lessons that can be learnt from the work in progress, and provides recommendations for the Alliance. Forest Tree Seed Health Springer Verlag The updated seventh edition of the classic text on wood science and forestry The seventh edition of Forest Products and Wood Science: An Introduction oﬀers a fully revised and updated review of the forest products industry. This classic text contains a comprehensive review of the subject and presents a thorough understanding of the anatomical and physical nature of wood. The authors emphasize its use as an industrial raw material. Forest Products and Wood Science provides thorough coverage of all aspects of wood science and industry, ranging from tree growth and wood anatomy to a variety of economically important wood products, along with their applications and performance. The text explores global raw materials, the increasing use of wood as a source of energy and chemicals and environmental implications of the use of wood. This edition features new material on structural composites, non-structural composites, durability and protection, pulp and paper, energy and chemicals, and global raw materials. This seventh edition of the classic work: Contains new information on a variety of topics including: structural composites, nonstructural composites, durability and protection, pulp and paper, energy and chemicals and global raw materials Includes a fully revised text that meets the changing needs of the forestry, engineering, and wood science academics and professionals Presents material written by authors with broad experience in both the private and 4 Tabel Kubikasi Kayu Bulat Perhutani Expertossas Co 2024-06-14 academic sectors Written for undergraduate students in forestry, natural resources, engineering, and wood science, as well as forest industry personnel, engineers, wood-based manufacturing and using professionals, the seventh edition of Forest Products and Wood Science updates the classic text that has become an indispensable resource. Plant Resources of South-East Asia UNESCO Publishing Wood is the most versatile raw material available to man. It isburned as fuel, shaped into utensils, used as a structuralengineering material, converted into ﬁbres for paper production,and put to newer uses as a source of industrial chemicals. Its quality results largely from the chemical and physicalstructure of the cell walls of its component ﬁbres, which can bemodiﬁed in nature as the tree responds to physical environmentalstresses. Internal stresses can accumulate, which are releasedcatastrophically when the tree is felled, often rendering thetimber useless. The quality of timber as an engineering materialalso depends on the structure of the wood and the way in which ithas developed in the living tree. Tree improvement for quality cannot be carried out without anunderstanding of the biological basis underlying wood formation andstructure. This volume brings together the viewpoints of bothbiologists and physical scientists, covering the spectrum from theformation of wood to its structure and properties, and relatingthese properties to industrial use. This is a volume for researchers and professionals in plantphysiology, molecular biology and biochemistry. Pembelanjaan Perusahaan Hutan Read Books Ltd 5 "Program summarizes information on 2900 timbers-yielding species and has been extended with a search facility for wood properties and an interactive wood-anatomy identiﬁcation system". Shipyard Industry Springer Pembelanjaan Perusahaan Hutan menjelaskan konsep dan aplikasi pembelanjaan perusahaan yang dilaksanakan pada suatu unit perusahaan hutan.Tujuan suatu unit perusahaan hutan, hutan produksi adalah menghasilkan produksi kayu bulat secara lestari dengan mempertimbangkan aspek lingkungan hidup dan kesejahteraan sosial khususnya masyarakat sekitar hutan. Pembelanjaan perusahaan hutan mencakup aspek sumber dana dan pemanfaatan untuk kegiatan pengelolaan hutan untuk mewujudkan kelestarian hutan menjadi kenyataan. Buku ini membahas analisis kesehatan perusahaan dengan menggunakan rasio likuiditas, solvabilitas, dan rentabilitas, serta laba-rugi perusahaan. Jenis dan kegiatan pada unit perusahaan dijelaskan dengan organisasi dan hubungan masukan keluaran.Aktiva lancar berupa kas, pihutang, dan persediaan diuraikan dengan beberapa penjelasan aplikasi. Anggaran Pendapatan dan Belanja Perusahaan Hutan dijelaskan dengan aplikasi pada Unit Perusahaan Hutan Tanaman dan Hutan Alam. Berikutnya dijelaskan konsep BEP (Break Even Point), pembelanjaan kapital, alternatif sumber penawaran modal, pemenuhan dana, serta cost of capital dengan beberapa penjelasan/aplikasi pada unit perusahaan hutan. Dengan mengetahui konsep pembelanjaan perusahaan hutan seperti di atas diterapkan para "manajer" atau "forester" dapat melaksanakan kelestarian hutan produksi pada suatu unit perusahaan hutan secara ekonomis. Learning Lessons to Promote Forest Certiﬁcation and Control Illegal Logging in Indonesia Createspace Independent Publishing Platform This book is the ﬁrst comprehensive compilation of knowledge on teak biology, ecology, clonal forestry, clonal registration, seed biology, and seed orchards. The teak genetic diversity, the sequenced genome, and transcriptomes from diﬀerent tissues and their implications in modern tree improvement and material selection have been comprehensively discussed. The book also presents a narrative on wood characterization, wood chemistry, modern silviculture, growth and modelling, and economics of this valued tropical species. Altogether, the book contains about 200 pages over 16 chapters authored by globally reputed experts on the relevant ﬁeld in this tropical tree. This book is useful to students, teachers, and scientists, and wood-based industries are interested in forestry, biology, seed orchards, breeding, genetic diversity, molecular genetics, in vitro culture, wood chemistry, and structural and functional genomics. Acacia mangium Willd.: Ecology, silviculture and productivity John Wiley & Sons Comparable and reliable data supporting coherent analytical and policy frameworks are essential elements to inform debates and guide policy related to the interrelationships between the economy and the environment. "The System of Environmental-Economic Accounting 2012—Central Framework" (SEEA Central Framework) is a statistical framework consisting of a comprehensive set of tables and accounts, which guides the compilation of consistent and comparable statistics and indicators for policymaking, analysis and research. It has been produced and is released under the auspices of the United Nations, the European Commission, the Food and Agriculture Organization of the United Nations, the Organisation for Economic Co-operation and Development, the International Monetary Fund, and the World Bank Group. The SEEA-Central Framework reﬂects the evolving needs of its users, new developments in environmental economic accounting and advances in methodological research. Estimating Biomass and Biomass Change of Tropical Forests CIFOR Notice: This Book is published by Historical Books Limited (www.publicdomain.org.uk) as a Public Domain Book, if you have any inquiries, requests or need any help you can just send an email to firstname.lastname@example.org This book is found as a public domain and free book based on various online catalogs, if you think there are any problems regard copyright issues please contact us immediately via email@example.com Ecology and Natural Resource Management John Wiley & Sons Development of forest product industry in Indonesia. On the Zoological Geography of the Malay Archipelago McGraw-Hill Companies This book covers the sustainable tropical agriculture, sustainable tropical animal production and health, sustainable tropical forestry, socio-economic dimension in tropical agriculture and innovative and emerging food technology and management as chapters in this book. The common 6 Tabel Kubikasi Kayu Bulat Perhutani Expertossas Co 2024-06-14 challenging problems in plant, animal, and ﬁsheries production in the tropic are climate change, ineﬃciency production system, low technological innovation, decreasing environment quality, and the outbreak risk of pest and diseases. Akunting sumberdaya alamCIFOR Recoge : 1. General description of forest sector - 2. Production and trade of wood and wood products. Nota keuangan dan rancangan anggaran pendapatan dan belanja 7 negara Springer Nature This book explores the theory and methods of systems analysis and computer modeling as applied to problems in ecology and natural resource management. It reﬂects the problems and conﬂicts between competing uses of limited space and the need for quantitative predictors of the outcome of various management strategies. Handbook of Coal Analysis Food & Agriculture Org. 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A STUDY OF BIOCHEMICAL POLYMORPHISM IN CARP (Cyprinus carpio): DETECT NEW ALLELES IN TRANSFERRIN T. A. Jaayid, M. Y. Yakoub, J. M. Owaid, N. M. Aziz Animal Production Department, College of Agriculture, 1 Marine Science Center, Basrah University, Iraq Corresponding author: firstname.lastname@example.org Original scientific paper Abstract: This study was carried out at the college of agriculture and marine science centre, Basrah university. The present study was conducted to investigate the existence of polymorphism at transferrin (Tf) locus in the Carp (Cyprinus carpio). A polyacrylamide gel electrophoresis (PAGE) under alkaline condition method was used to distinguish Carp Tf alleles. Use the gel documentation program in this study. Analysis of 116 animals revealed that all animals were polymorphic, showing many genotypes. There was very clear biodiversity in the Tf gene. Seven Tf genotypes consisting of 4 homozygote types (CC, DD, FF and GG) and two heterozygote types (CD, DG and FG) were detected. These fractions are controlled by co-dominant autosomal genes according to the Mendelian laws of inheritance. The highest gene frequencies were calculated 0.50 for Tf D, 0.26 for Tf F and 0.12 for C and G. thus, carp (Cyprinus carpio) assemblages consistently tended to be more predominant to D allele. Differences between expected number and observed number for transferrin genotypes were no significant. This is useful in genetic improvement process through the selection. As far as we know, this is the first large-scale analysis on the genetic polymorphism in carp (Cyprinus carpio). Polyacrylamide electrophoresis, the technique employed in this study, allows rapid and efficient screening for the presence of polymorphism in Tf. Key words: Carp, Genetic Polymorphism, Transferrin, biodiversity Introduction Transferrin, one of class I genetic markers, is the most heterogeneous polymorphic blood protein in Carp (Valenta et al., 1976 and Csizmadia et al., 1995), in goose (Valenta and Stratil, 1978), in chicken (Vyshinsky and Muravjev, 1970) and sheep (Jaayid et al., 2011), a total of 7 co-dominant alleles have been found in its locus. Transferrin polymorphism was demonstrated in different breeds in fish. Since then, several reports have been published concerning the gene frequencies in this systems and about the possible influence of these polymorphism on disease resistance (Jurecka et al., 2009). This protein, belonging to the group of beta-globulins, is found not only in blood serum, but also milk and semen. The main function of transferrin in the organism is to participate in iron metabolism and in immune responses. Conservation of genetic variety of strains maintained in live gene banks is a high-priority task. Description of the genetic structure should be the first step in this work. By applying different biochemical-genetic markers such as transferrin and isoenzymes, the individuals and the populations could be well characterised genetically. Based on this, breeding programs as well as conservation of races can be carried out without disappearance of genes from the pool. The conservation of genetic resources is based on two different concepts, namely in situ and ex situ conservation methods. For actual implementation of these conservation methods a sound knowledge of the genetic structure. This knowledge will guarantee that the applied conservation measures will cover the genetic variation of that particular species. The term "genetic polymorphism" defines the fact that each protein presents two or more forms genetically determined by autosomal and co dominant alleles. The study of polymorphism has many uses in medicine, biological research, and law enforcement. Over the last 10-20 years considerable interest has developed in blood protein polymorphism as well as increasing basic knowledge on protein fraction. A related use of polymorphism is widely employed in agriculture. Electrophoretical techniques have been used extensively as a method to analyse the biochemical, systematic and ecological characteristics of marine and freshwater fishes (Wiegertjes et al., 1995; Ford, 2001; Kohlmann et al., 2003). The aim of these survey was to describe the polymorphism of transferrins of carp strains in the live gene bank. Many gaps still exist in the understanding of identification and conservation of breeds as well as the genes controlling these traits in Iraqi fish. Identification and conservation are not sufficiently characterized, they are underutilized in conventional breeding programmes, and there is insufficient research on the ways to select breeds or individuals carrying the most advantageous traits. Transferrin gene frequencies have not been studied in Iraqi Carp populations only one paper (Jaayid and Aziz, 2009), This paper (1) describes transferrin polymorphisms in Carp (Cyprinus carpio), (2) presents evidence of multiple a phenotypes in Carp (Cyprinus carpio) and (3) investigate and propose management and utilisation strategies for fish resources in Iraq. Materials and Methods Electrophoresis. A polyacrylamide gel electrophoresis (PAGE) of transferrin protein fractions was carried out on 13-cm x 22-cm x 4-mm with 24 wells according to the method developed by Khaertdinov and Gataulin (2000). After applying an output voltage of 200 volts for 10 minutes, the inserts were removed and the same voltage continued for a further 15 minutes. The output voltage was then increased to 250 volts and continued until the brown line had migrated 9 cm beyond the insert line. The gel was then removed, sliced and stained for 10 min. with 0.1 % (w/v) Amido Black in methanol-acetic acid-water (50/7/43 by vol.). The gel was distained with a solution containing methanol-acetic acidwater (40/10/50 by vol.). Statistical analysis. The allele frequencies in the transferrin were estimated by direct counting of the phenotypes. To test differences between observed and expected genotypes frequencies, a chi-square (χ 2 ) analysis was performed on the basis of the Hardy-Weinberg law. Results and Discussion Figure 1 shows the electrophoretical patterns of some individual carp (Cyprinus carpio) protein samples. two bands were detected when transferrin was run and stained in Amido Black in methanol-acetic acid-water (50/7/43 by vol.). The Carp (Cyprinus carpio) transferrin types were named according to the nomenclature suggested by Irnazarow and Bialowas (1994) and Jurecka et al. (2009). The results obtained for the transferrin that show variation in the sample of Carp (Cyprinus carpio) are presented in Table 1. Gene frequencies were calculated by the method of gene counting as the mode of inheritance of each of the systems that do show variation is that of codominant alleles at an autosomal locus (Khaertdinov, 2000). Table 1. Distribution of transferrin Frequency and gene frequency transferrin locus in Carp (Cyprinus carpio) \| \| Transferrin genotypes, n= 116 \| \| \| \| \| \| \| χ2 \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| CC \| DD \| GG \| FF \| CD \| DG \| FD \| 21.54 \| C \| D \| G \| \| Number \| 8 \| 45 \| 23 \| 24 \| 8 \| 8 \| 15 \| \| 0.12 \| 0.50 \| 0.12 \| \| % \| 6.72 \| 37.82 \| 6.72 \| 20.71 \| 6.72 \| 6.72 \| 12.61 \| \| \| \| \| The Carp (Cyprinus carpio) transferrin phenotypes are due to an autosomal locus with four co-dominant alleles, TfC , TfD, TfG and F. The D and F alleles were most frequent (0.5 and 0.26) respectively, while the C and G alleles were rare Tf alleles (0.12) (Figure 2). The gene frequency for D allele obtained in the sample is within the range of those observed in Jurecka et al. (2008), Csizmadia et al. (1995) and Wojtczak et al. (2007) while Valenta et al. (1976) have been found Seven transferrin variants (A,B,C,D,E,F, and G) in Carp. 15 16 17 18 Seven genotypes were identified for the transferrin (CC, DD, GG, FF, DC, DG and FD). The genotypes of transferrin alleles obtain in this study are similar to those reporter in Csizmadia et al. (1995). They have found 20 transferrin genotypes (AA, BB, DD, EE, FF, GG, AB, AD, AF, AG, BD, BE, BG, DE, DF, DG, EF, EG, FG, and FH) caused by 7 alleles (A, B, D, E, F, H and G). Conclusion As far as we know, this is the first large-scale analysis on the genetic polymorphism in carp (Cyprinus carpio). Seven Tf genotypes consisting of 4 homozygote types (CC, DD, FF and GG) and two heterozygote types (CD, DG and FG) were detected Acknowledgment The authors are thankful to American Academic Research Institute in Iraq (TAARII), Chicago, USA, for financial support. Ispitivanje biohemijskog polimorfizma šarana (Cyprinus carpio): detekcija novih alela u transferinu T. A. Jaayid, M.Y. Yakoub, J. M. Owaid and N. M. Aziz Rezime Ipsitivanje je izvedeno na Univerzitetu u Basri, Poljoprivrednom koledžu i Centru za morska istraživanja. Studija je urađena u cilju ispitivanja postojanja polimorfizma na transferin (Tf) lokusu kod šarana (Cyprinus carpio). Korišćena je metoda poli-akrilamid-gel elektroforeze (PAGE) u alkalnim uslovima za određivanje Tf alela šarana. Analiza 116 životinja je pokazala da su sve životinje bile polimorfne, i pokazivale više genotipova. Postojala je jasna biološka raznolikost (bio-diverzitet) kod Tf gena. Sedam Tf genotipova koji su se sastojali od 4 tipa homozigota (CC, DD, FF i GG) i dva tipa heterozigota (CD, DG i FG) je otkriveno. Ove frakcije kontorlišu ko-dominantni autozomni geni prema Mendeljejevom zakonu nasledstva. Najveća učestalost/frekvencija gena je utvrđena za Tf D - 0.50, Tf F - 0.26, i za C i G - 0.12. Prema tome, asamblaži šarana (Cyprinus carpio) su dosledno pokazivali tendenciju da budu više dominantni na D alelu. Razlike između očekivanih brojeva i brojeva utvrđenih za transferin genotipove nisu bile signifikantne. Ovo je korisno za proces genetskog poboljšanja kroz selekciju. Koliko je poznato, ovo je prva velika analiza genetskog polimorfizma šarana (Cyprinus carpio). Poli-akrilamid elektroforeza, metoda koja je primenjena u ovoj studiji, omogućava brz i efikasan skrining prisustva polimorfizma na Tf. References BAKER E.N. (1994): Structure and reactivity of transferrins. Adv Inorg Chem., 41, 389-463. CSIZMADIA C.S., JENEY Z.S., SZERENCSES I., GORDA S. (1999): Transferrin polymorphism of some races in a live gene bank of common carp. Aquaculture, 129, 193-198. FORD M.J. (2001): Molecular evolution of transferrin: evidence for positive selection in salmonids. Mol. Biol. Evol., 18, 639-647. IRNAZAROW I., BIALOWAS S.H. (1994): Genetic characteristics of carp breeding lines at the Institute of Ichthyobiology and Aquaculture of the Polish Academy of Sciences Golysz. 1. Polish lines. Acta Hydrobiol., 36, 125-142. JAAYID T.A., AZIZ N.M. (2009): Study of transferrin polymorphism in a population of Carp (Cyprinus carpio). Marsh Bulletin, 2, 162-168. JAAYID T.A., YOUSIEF M.Y., ZAQEER B.F., OWAID J.M. (2011): Genetic polymorphism of transferrin in Arabi sheep breed. Dayala international conference, (in press). JURECKA P., GEERT F., WIEGERTJES B., KRZYSZTOF L., RAKUS A., ANDRZEJ PILARCZYK A., ILGIZ IRNAZAROW A. (2009): Genetic resistance of carp (Cyprinus carpio L.) to Trypanoplasma borreli: Influence of transferrin polymorphisms. Veterinary Immunology and Immunopathology, 127, 19–25. JURECKA P., IRNAZAROW I., WESTPHAL B., FORLENZA M., C, ARTS J.A.J., SAVELKOUL H.F.J., WIEGERTJES G.F.. (2008): Allelic discrimination, three-dimensional analysis and gene expression of multiple transferrin alleles of common carp (Cyprinus carpio L.) Fish & Shellfish Immunology, 30, 1–9. KHAERTDINOV R.A., GATAULIN A.M. (2000): The selection to increase protein and improvement of technological properties of milk-Kazan, Russia, P. 164. KOHLMANN K., GROSS R., MURAKAEVA A., KERSTEN P. (2003): Genetic variability and structure of common carp (Cyprinus carpio) populations throughout the distribution range inferred from allozyme, microsatellite and mitochondrial DNA markers. Aquat Living Res., 16, 421-431. VALENTA M., STRATIL A. (1978): Polymorphism of transferrin and conalbumin in the domestic goose (Anser anser). Animal Blood Groups and Biochemical Genetics, 2, 129-132. VALENTA M., STRATIL A., SLECHTOVA V., KALAL L.,SLECHTA V. (1976): Polymorphism of transferrin in carp (Cyprinus carpio determination, isolation, and partial characterization. Biochem. Genet., 14, 27-45. L.): Genetic VYSHINSKY F.S., MURAVJEV V.I. (1970): Polymorphism of chicken serum transferrin. Xlth Eur. Conf. Anim. Blood Groups biochem., Polymorph., 425-428. WIEGERTJES, G.F., GROENEVELD, A., AND MUISWINKEL, W.B. (1995): Genetic variation in susceptibility to Trypanoplasma borreli infections in common carp ( Cyprinus carpio L.). Vet. Immunol. Immunopathol., 47, 153-161. WOJTCZAK M., DIETRICH G.J., IRNAZAROW I., JURECKA P., SLOWINSKA M., CIERESZKO A. (2007): Polymorphism of transferrin of carp seminal plasma: Relationship to blood transferrin and sperm motility characteristics. Comp Biochem Physiol Biochem. Mol. Biol., 148, 426-431. Received 11 April 2011; accepted for publication 23 May 2011
Valdosta State University Human Resources & Employee Development Policies and Procedures Leave Policies The institution and the Board of Regents of the University System of Georgia recognize the necessity and beneficial aspects of granting leaves for vacation, illness and other absences required of the employee. Obviously, the leave programs described herein are part of the total employment cost to the institution, and employees should exercise discretion in their absences for other than established holidays and vacations. Employees working on a part-time basis and temporary employees are not eligible for the leave benefits described in that they are paid only for hours actually worked. Requests for leave are to be made on the leave request form. These forms are to be kept and retained in the department for four years. 1. Holidays 2. Vacation Leave 3. Sick Leave 4. Miscellaneous Leave 5. Family Leave SECTION 802.01 Holidays. Valdosta State University has established twelve official paid holidays for all regular employees. A terminating employee shall not be paid for any official holidays occurring after the last working day, and temporary employees are excluded. Of the twelve holidays, two will be considered "floating holidays" to be taken as directed by the President. Normally, these "floating holidays" will be taken during the week of Christmas; however, should work schedules forbid, these days will be taken at later dates. The official paid holidays are as follow: 1. New Year's Day 2. Martin Luther King's Birthday 3. Memorial Day 4. Independence Day 5. Labor Day 6. Thanksgiving 7. Christmas 8. Floating Holidays Normally, holidays occurring on Saturday will be observed the preceding Friday, and those falling on Sunday will be taken the following Monday. a. Persons first employed during months having extended holidays, normally November and December, will be paid for the established holiday(s) only. b. Information on payment for working on holidays can be found in Section 801. SECTION 802.02 Vacation Leave. All regular classified employees and 12 month appointed faculty members working at least one-half time are entitled to vacation leave in accordance with the provisions set forth below. Employees serving on provisional appointments earn vacation, but are not expected to take such time until the expiration of their first six months of service, unless their immediate supervisor gives prior approval. By the nature of their work some classified employees, i.e. coaches and nurses have negotiated contracts that do not include the accumulation of vacation leave. Regular 10 month faculty do not accrue annual leave. Vacations are normally scheduled during "slack" periods and at the convenience of the department. Employees should pre-arrange their schedules to be certain there is no conflict in requested leave time. Should two employees request identical leave periods and simultaneous leave cannot be granted, the employee with longer service normally has priority. The rate of accumulating annual leave is based on the anniversary date of current employment as shown below. Regular employees working half-time or more shall earn and accrue vacation time in an equivalent ratio to their percentage of time employed. Faculty members on a twelve month contract earn vacation leave at the maximum rate of accrual. a. Accumulation Rates. 1 - 60 months of service: 1 1/4 days monthly, 15 annually 61 - 120 months of service: 1 1/2 days monthly, 18 annually over 120 months of service: 1 3/4 days monthly, 21 annually b. Accrued Vacation Leave. Employees may accrue leave not to exceed the maximum of 45 days at December 31 of each calendar year. Terminating employees may be paid for a maximum of 45 days and do not earn leave beyond their last working day. Employees placed on terminal leave, pending retirement, shall not accrue vacation leave beyond their last official day of work. 1. Employees reporting to work prior to the 15th of the month shall accrue a full months accrual. Employees terminating prior to the 16th of the month will not accrue leave for the month of termination. All leave accruals will be credited at the close of the month and employees can not take leave in advance of actual accrual. c. Accountability. Each employee is required to complete necessary time records reflecting dates and amounts of leave taken. These records become a part of the permanent work record, and are source data for updating attendance reports. The supervisor must certify the dates and the type leave taken as accurate. d. Non-State Funded Employees (Sponsored Personnel). "Sponsored" employees shall be required to take their vacation leave during the course of their employment unless there is adequate funding in the grant or other non-state income source to cover payment of accrued vacation leave balance at date of termination. The University does not accept financial liability in cases where funding is inadequate to cover accruals. Employees in such categories are, therefore, encouraged to take their vacations as accrued and avoid a build-up of accumulated time which is not funded. e. Treatment of Accrued Vacation Leave Upon Transfer To Another Institution. Upon a move between institutions in the University System, with no break in service, an employee must transfer accrued vacation leave of between one (1) and twenty (20) days. For employees with accruals in excess of twenty (20) days, the employee may elect one of the following options: 1. Transfer of the total leave balance, not to exceed forty-five (45) days 2. Payment of accrued vacation leave in excess of of twenty (20) days by the institution from which the individual is moving. The total leave paid in such cases cannot exceed twenty-five (25) days. f. Treatment of Accrued Leave Upon Contract Conversion. Faculty members on a twelve (12) month contract shall be paid their accrued vacation leave subject to the forty-five (45) day maximum. This payment will be made in the fiscal year of termination, assuming availability of funds. Should funds not be available, said payment shall occur in the ensuing fiscal year. SECTION 802.03 Sick Leave. The University has established a sick leave policy allowing salary continuation for all regular employees who are incapacitated by illness or injury. Supervisors should impress upon their employees that sick leave is a privilege, not an inherent right to additional time off the job. Abuse of this privilege will be considered a serious offense and could be considered just grounds for termination of employment. Employees should notify their supervisors immediately if they are unable to report to work due to illness. Those failing to "call in" might have the absence charged against annual leave or considered as leave without pay, depending upon their supervisor's recommendation. Employees who have failed to call in or show up for work for three days may be considered to have abandoned their position and will be terminated for job abandonment. See Section 801.01 for additional information. 1. Sick Leave With Pay Sick leave with pay may be granted to employees who are absent due to an illness or health related issue which affects the staff member or any member of the employee's immediate family, provided that sick leave is available. This includes absences due to personal illness or injury, illness or injury of a family member, calls from schools or day care providers to pick up a sick child, doctor's office visits for routine health care, and any other legitimate illness or health care issue which affects an employee or the employee's immediate family. If an employee elects to use available annual leave in lieu of sick leave for such absences, the request should be honored. a. For all regular employees of the University System of Georgia, sick leave shall be accumulated at the rate of one working day per calendar month of service. All regular employees working onehalf time or more will accumulate sick leave in an equivalent ratio to their percentage of time employed. Sick leave for all employees shall be cumulative with no maximum limitation. Monthly accruals will be made at the close of business on the last working day of the month. Employees are not allowed to take accruals in advance. b. Sick leave may be granted at the discretion of the institution and upon approval by the supervisor of an employee's absence for any of the following reasons: 1. Illness or injury of the employee. 2. Medical and dental treatment or consultation. 3. Quarantine due to a contagious illness in the employee's household. 4. Illness, injury, or death in the employee's immediate family requiring the employee's presence. Immediate family for the purposes of sick leave is defined as the employee's spouse, parents, grandparents, children, brothers, sisters, in-laws and members of the employee's household. Sick leave can be used for up to three days for death in the immediate family. Additional use of sick leave for this purpose is at the discretion of the supervisor. 5. Disability due to pregnancy c. Sick leave claimed for a continuous period in excess of five days, will require a physician's statement in order for further sick leave with pay to be taken. This statement may include : dates of illness; the date upon which the employee will be able to return to work; what percentage of time he/she will be able to work and whether or not any restrictions are imposed on the employee's daily activities pertaining to his /her work. A physician's statement may also be required for shorter absences at the discretion of the employee's supervisor. d. Extended sick leave may be granted within the guidelines of the Family Medical Leave Act as defined in Section 802.5. e. A terminating employee shall not accumulate sick leave or be entitled to receive sick pay after the last working day of his or her employment. Employees placed on terminal sick leave, pending retirement, shall not accrue sick leave or other benefits. Sick leave may be counted toward service with the Teachers Retirement System as set forth below: 2. Sick Leave Without Pay Any employee unable to return to work after exhausting all accumulated sick leave and accrued vacation leave may be granted sick leave without pay for a period not to exceed one year. Furthermore, such approved sick leave shall allow the employee the right to elect to continue his or her group insurance benefits; and the institution will continue its share of the cost; such sick leave may be requested for each subsequent calendar period thereafter. All other benefits are prohibited which otherwise would accrue to the employee/patient. \| Days of Unused Sick Leave \| Creditable Service \| Days of Unused Sick Leave \| \|---\|---\|---\| \| 0-59 \| None \| 330-349 \| \| 60-69 \| 3 months \| 350-369 \| \| 70-89 \| 4 months \| 370-389 \| \| 90-109 \| 5 months \| 390-409 \| \| 110-129 \| 6 months \| 410-429 \| \| 130-149 \| 7 months \| 430-449 \| \| 150-169 \| 8 months \| 450-469 \| \| 170-189 \| 9 months \| 470-489 \| \| 190-209 \| 10 months \| 490-509 \| \| 210-229 \| 11 months \| 510-529 \| \| 230-249 \| 12 months \| 530-549 \| \| 290-309 \| 15 months \| 590-600 \| \|---\|---\|---\| \| 310-329 \| 16 months \| \| Extended leave of this nature may be incorporated with the Family Medical Leave Act which is defined in a subsequent section. 3. Sick Leave Accrual for Faculty Effective July 1, 1983, the University System of Georgia adopted a sick leave policy for all permanent general faculty employees who are employed on a fiscal or academic year basis at one-half time or more. This policy supercedes the Regent's previous sick leave policy which granted sick leave of two weeks, one month, three months, etc., in accordance with the faculty member's length of service. For the purposes of sick leave, faculty will be regarded as working a five day week with a workday being defined as eight ( 8) hours. The policy provides for a sick leave accrual rate for general faculty employees of one day (8 hours) per month. Ten month faculty accrue ten days of sick leave each academic term. Faculty members working less than one- half time and temporary faculty members accrue no sick leave. This accrual is based on continuous employment at one-half (.50 EFT) time or more and earned in an equivalent ratio to the percentage of time worked. For example, a regular faculty member working one-half time earns four (4) hours of sick leave per month. Absences must be reported and records maintained In addition, the policy mandates that absences must be recorded and accurate records of sick leave accrued and taken are to be maintained. SECTION 802.04 Miscellaneous Leave. 1. Educational Leave Without Pay. Institutions may grant educational leave without pay to full-time employees for periods not to exceed one year at a time for the purpose of encouraging professional development. Such approved leave shall allow the employee the right to elect to continue his or her group insurance benefits with institutional participation. 2. Military Leave With Pay. Regular employees shall be entitled to leave with pay while engaged in the performance of any ordered military duty, to include schools conducted by the Armed Forces of the United States, and while going to and from such duty. To be considered, such duty must be in the service of the State or of the United States and must not exceed a total of thirty days in any one calendar year. Maximum pay shall be limited to eighteen days per calendar year and shall not exceed eighteen work days in any one continuous period unless the Governor declares an emergency and orders an employee to active duty as a member of the National Guard. A copy of military order(s) to active duty service shall be required in such cases. 3. Military Leave Without Pay. a. Military leave without pay shall be granted when a regular employee enlists, or is ordered to active duty service with any branch of the Armed Forces of the United States for the initial period of such service. Upon completion of active service, such employee shall be restored to his or her former position upon request, or, at the discretion of the institution in which he or she is employed, to one of similar status with all privileges of accumulated seniority, salary increases, etc., provided: 1. His or her discharge is under conditions other than dishonorable. 2. He or she requests reinstatement within ninety (90) days after his or her discharge or separation from active duty. b. If, as a result of military service, a person is not physically or mentally qualified to perform the duties of his or her former position or one of like status, his or her institution shall offer him or her employment in a position at a level which his or her physical or mental condition will permit him or her to perform at the established rate of compensation for that position. 4. Maternity Leave. Disability due to pregnancy shall be considered as any other disability and appropriate sick leave provisions of these policies shall apply. This provision is also covered under the Family and Medical Leave Act. See Section 802.05 for additional information. 5. Court Duty. Court duty leave with pay shall be granted regular employees for the purpose of serving on a jury or as a witness. Such leave shall be granted upon presentation of official orders from the appropriate court. 6. Voting. Employees of the University System are encouraged to exercise their constitutional right to vote in all federal, state and local elections. When an employee's normal working hours coincide with voting hours, the employee shall be granted leave as stipulated by his or her immediate supervisor, for the purpose of voting. 7. Selective Service and Military Physical Examinations. Any regular employee required by Federal law to take a Selective Service or military physical examination shall be paid for any time lost to take such an examination. 8. Personal Leave. At his or her discretion, the President of an institution may approve personal leave of absence without pay for periods not to exceed one year. Such approved personal leaves shall allow the employee the right to elect to continue his or her group insurance benefits; however, the institution will not contribute to the cost. 9. Leave for Organ and Marrow Donation. Each employee who serves as an organ donor for the purpose of transplantation shall receive a leave of absence, with pay, of thirty days. Each employee who serves as a bone marrow donor for the purpose of transplantation shall receive a leave of absence, with pay of seven days. Leave taken under this provision shall not be charged against or deducted from an employee's accrued annual or sick leave. Such leave shall be included as service in computing any retirement or pension benefits. This provision shall apply only to an employee who actually donates an organ or marrow and who presents to the appropriate supervisor a statement from a licensed medical practitioner or hospital administrator that the employee is making an organ or marrow donation. 10. Blood Donations (Effective 6/07) An employee of a USG institution is allowed a leave of absence, without loss of pay, of not more than eight hours in each calendar for the purpose of donating blood. this absence shall be computed at two hours per donation, up to four times per year. Any employee who donates blood platelets or granulocytes through the plasmapheresis process shall be allowed a leave of absence, without loss of pay, of not more than 16 hours in each calendar year, which shall be computed at four hours per donation, up to four times per year. 11. Breast-feeding (Effective 6/07) A USG institution may provide reasonable unpaid break time each day to an employee who needs to express breast milk for her infant child. The institution should make reasonable effort to provide a place so that this can be done in privacy A mother may breast-feed her baby in any location where she and the baby are otherwise authorized to be. 12. Other Leave. In the event of inclement weather or any emergency which requires absence of employees, the President of the University may declare the institution closed. Such absence may be considered leave with or without pay as determined by the President. SECTION 802.05 Family Leave. Any regular employee who has been employed on a half-time or greater basis by Valdosta State University for at least twelve months is eligible for twelve weeks of family leave during a twelve month period commencing on the date the family leave begins. Family leave shall be unpaid leave; however, if an employee is eligible to use accumulated sick and/or annual leave, the employee may do so after obtaining permission from his/her supervisor. Family leave must be approved at the departmental level, with the Department of Human Resources being advised of all relative facts. Keep a copy of the form in your department and send original to Human Resources. See http://www.usg.edu/employment/benefits/fmla/ for additional information and required forms. The University reserves the right to designate an employee's leave as leave under the Family Medical Leave Act. Family Medical Leave will be administered to run concurrently with the university sponsored annual and sick leave. At Valdosta State University, employees may use their individually accrued paid leave, be in leave without pay status, maintain reduced work schedules, or be absent from work intermittently. As appropriate, all of the above will count toward the 12 weeks of an employee's FMLA entitlement. A. Eligibility Requirements. Family leave shall be granted to an eligible employee in the event of: 1. the birth and care of the child of the employee; 2. the placement of a child with the employee for adoption or foster care; 3. a serious health condition of the employee's child, spouse, parent, or spouse's parent, necessitating the employee's presence; or 4. a serious health condition of the employee which renders him/her unable to perform required job duties. Employees on approved family leave shall be responsible for group insurance premium payments as is required of other individuals on unpaid leave status. To be eligible for FMLA leave, he employee ( including part-time and temporary) must have worked for the University System of Georgia: a. for at least 12 months total ( not necessarily the last 12 months); and b. for at least 1, 250 hours during the 12-month period immediately preceding the leave. B. Request for Leave. The employee shall provide the employer with certification and prior notice in a manner which is reasonable and practicable when requesting leave under these provisions. In those cases where the necessity for leave is foreseeable based on planned medical treatment, supervision of a serious health condition, etc., the employee: 1. Shall make a reasonable effort to schedule the leave so as not to disrupt unduly the operations of the employer; and 2. In those situations where husband and wife are entitled to family leave under this policy, the aggregate number of work weeks of leave shall be limited to twelve weeks if such leave is taken: a. For birth,care or placement of a child; or b. To care for a sick parent or spouse's parent. C. Certification of Serious Health Condition. Employees may be required to provide a medical certification of a serious health condition prior to approval of family leave. Such certification shall include: 1. The date on which the serious health condition commenced 2. The probable duration of the condition 3. The appropriate medical facts within the health care provider's knowledge regarding the condition; and 4. An estimate of the amount of time that the eligible employee is needed to care for the covered individual. If the employee has a serious health condition, it will also be necessary to certify the fact that the employee cannot perform the duties of the position held. In any case, where the employer has reason to doubt the validity of the certification provided, the employer at its own expense may require the second opinion of any health care provider approved by the employer. Should the second opinion conflict, a third opinion at the employer's expense may be requested. The third opinion shall be rendered by a health care provider approved jointly by the employer and employee, and the opinion rendered shall be binding on both parties. D. Restoration of Employment. Employees taking leave under this provision are generally entitled to be returned to the position of employment previously held or to an equivalent position with equivalent benefits and other terms and conditions of employment, if the employee fully complied with the terms of the leave. Prior to restoration of employment a certification from the employee's health care provider indicating the employee is able to resume normal duties may be required. Restored employees shall not be construed to be entitled to: 1. The accrual of any seniority or employment benefits during any period of family leave, e.g., holiday pay, leave accruals, etc.; or 2. Any right, benefit, or position of employment other than those to which the employee would have otherwise been entitled. E. Denial of Restoration. Salaried employees who are among the highest paid 10% of the employees employed may not be restored if: 1. Such denial is necessary to prevent substantial and grievous economic injury to the employee's operations; 2. The employer notifies the employee of its intent to deny restoration on such basis at the time it determines such injury would occur; and 3. In any case in which leave has commenced, and the employee elects not to return after receiving such notice. F. Unlawful Practices by the Employer. It shall be unlawful for the employer to interfere with, restrain, to deny or attempt to deny the exercise of any right provided by state law. Discharge or discrimination against any employee because such individual has filed charges, instituted procedures, given information in connection with any inquiry or proceeding related to any right provided or has testified relative to any inquiry or proceeding is prohibited. G. Appeals Employees who feel they have been denied appropriate consideration of a family leave request, or have otherwise been discriminated against, may file a written appeal within five working days of such action. This appeal should be addressed to the individual having ultimate administrative responsibility for the department or operational area. Said appeal should include pertinent details and preferred remediation and will be reviewed with all parties. A written decision will be rendered within five working days from receipt of the employee's appeal by the Vice President or other key administrator having responsibility for the operating unit. The employee, upon receipt of written notification of leave denial by the key administrator, can request a review by the President of the University. This appeal should occur within five working days, and the decision of the President shall be final at the institutional level. Appeal beyond the institutional level shall be in accordance with those procedures set forth in Board of Regents policy. The Department of Human Resources will provide assistance as required in the appeals process. For additional information or questions on FMLA see the FAQ page.
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The Routledge Companion to Marketing History ranges across many countries and industries, engaging in substantive detail with marketing practices as they were performed in a variety of historical periods extending 5 back to ancient times. It is not to be missed by any historian or student of business. American Firms in Europe Librairie Droz From identity theft to product recalls, from what we once thought of as unshakeable institutions to increasing concerns about sustainability, consumer issues are an integral part of modern life. This fully updated third edition of Consumer Economics throughout, this textbook is suitable for students studying consumer sciences – what works, what doesn't, and how consumers are changing. The Ultimate Resource Kogan Page Publishers This book, Applied Social Sciences: Communicatio n Studies, is a collection of essays speciﬁc to the ﬁeld of Verbal and Nonverbal Communicatio n. It contains essays on the role of communicatio n in the academic library (interculturalit y), IT (collaborative web, digitalisation), literary ﬁction (folktale, Romanian drama), management (conﬂict management, election campaign discourse, public relations, terrorism risk), marketing (advertising, brand, cultural events), massmedia (censorship, glossies, image fabrication, journalistic approach, 7 manipulation, media events, metaphorisati on of discourse, news, public opinion, public space, television), organisations (cyberspace), and sports (volleyball). This book will appeal to professionals working in the ﬁelds of community college teaching, corporate communicatio ns, entertainment , human resources, journalism, management, marketing, media literacy, media management and media criticism, nonproﬁt work, PhD work in communicatio n, public relations, strategic planning, and training and consulting. The types of academic readership it will appeal to include: researchers, students, teacher trainers, and teachers of all subjects and of all levels, who want to develop personally and professionally. Business Model Pioneers Routledge Brand NewHow Entrepreneurs Earned Consumers' Trust from Wedgwood to DellHarvard Business Press Grande Expectations Routledge The entrepreneur is involved in the dance of two questions – what is needed and what is possible. The interplay of these two questions is an ongoing process and innovation varies internationally and regionally, depending on diﬀering legal and policy systems, variations in the development of education and skill development, in social processes and in knowledge transfer. This book explores innovation and networks in entrepreneurs hip with an interdisciplinar y approach, focusing on how old and new knowledge can be combined to produce radical innovation. These 9 9 meaning to possessions and consumption, the gendered ideology and allocation of consumption roles, and resistance through anticonsumption thought and action. Brief but scholarly, this book provides a thought provoking, introduction to the topic of American consumption history informed by research in consumer culture theory. By examining and explaining the core phenomenon of product consumption and its meaning in the changing lives of Americans over time, it provides a valuable contribution to the literature on the subjects of consumption and its causes and consequences . Readable and insightful, it will be of interest to scholars and advanced students in consumer behaviour, advertising, and marketing and business history. From Business Idea to Launch and Management Cambridge University Press A WALL STREET JOURNAL BESTSELLER "Five gritty leaders whose extraordinary passion and perseverance changed history…a gripping read on a timeless and timely topic" —Angela Duckworth, #1 bestselling author of Grit An enthralling historical narrative ﬁlled with critical leadership insights, Forged in 11 11 growing—step by step—into the person he or she will ultimately become. Signiﬁcantly, as we follow each leader's against-allodds journey, we begin to glean an essential truth: leaders are not born but made. In a book dense with epiphanies, the most galvanizing one may be that the power to lead courageously resides in each of us. Whether it's read as a repository of great insight or as exceptionally rendered human drama, Forged in Crisis stands as a towering achievement. The Routledge Companion to Marketing History John Wiley & Sons Marketing Theory introduces and explains the role of theory in marketing by uncovering its histories, disciplinary underpinnings , subﬁelds, discourses and debates. From strategy and ethics to digital marketing and consumer behaviour, leading marketing experts shine a light on what can be a challenging perspective of marketing. In this new Third Edition there are up-to-date examples from global companies such as Pepsi, Amazon and H&M; entirely new chapters on Digital and Social Media Marketing, and ServiceDominant Logic (SD-L) and contributions from Global Specialists including Bob Lusch, Patrick Murphy and 13 13 lens for those chasing the dream. Great entrepreneurs discussed include: Hugh Hefner (Playboy) Fred Smith (Federal Express) Guy Laliberte (Cirque du Soleil) Christo and JeanneClaude Ingvar Kamprad (IKEA) Michael Milken (Drexel Burnham) Howard Schultz (Starbucks) Larry Page and Sergey Brin (Google) Steve Jobs (Apple) How to Create a Living, Breathing Corporation Simon and Schuster The Globalization of Nothing is back in a revised and completely updated Second Edition. In this reconceptualiz ed volume, author George Ritzer focuses his attention squarely on the processes of globalization and how they relate to McDonaldizati on. This revision is shorter, more concise, and spends much less space on the NothingSomething continuum that he introduced in the First Edition. The Oxford Handbook of Business History FT Press "Applied Innovation: A Handbook" outlines how a start-up CEO can take an innovation from concept to repeat sales including everything from the strategic elements of what innovation is to business models and intellectual property to how one sets up an advisory board etc. This work 15 15 Approaches and Debates; Forms of Business Organization; Functions of Enterprise; and Enterprise and Society. The Handbook shows that business history is a wide-ranging and dynamic area of study, generating compelling empirical data, which has sometimes conﬁrmed and sometimes contested widely-held views in management and the social sciences. The Oxford Handbook of Business History is a key reference work for scholars and advanced students of Business History, and a fascinating resource for social scientists in general. The Essential HBO Reader Premier Insights LLC Until Josiah Wedgwood, Britons ate from wood and pewter plates. Until Henry Heinz, women toiled over pickled foods. Until Michael Dell, few people owned a personal computer, let alone dreamed of buying one "built to order." According to business historian Nancy F. Koehn, these pathbreaking entrepreneurs shared a powerful gift: the ability to discern how economic and social change would aﬀect consumer needs and wants. In Brand New, Koehn introduces us to six extraordinary leaders of brand creation who lived and worked during periods of widespread change: Josiah Wedgwood in the Industrial Revolution; Henry Heinz and Marshall Field in the Transportation and Communicatio n Revolution; and Est?e Lauder, Howard Schultz of Starbucks, and Michael Dell in the Information Revolution. Through compelling and engaging proﬁles of these entrepreneuri al visionaries, she reveals a provocative relationship between economic turbulence, household priorities, and company strategy that holds important lessons for today's brand builders. According to Koehn, these forwardthinking individuals understood the profound eﬀects that socioeconomic change has on what customers want, have, and can aﬀord as much as on what companies make-and were masters 17 at exploiting the enormous business opportunities these demand-side shifts created. Indeed, the brands and companies created by these individuals have become such a part of everyday life that we've made them part of common speech: we pass the Heinz; eat oﬀ Wedgwood; order a Starbucks. Koehn draws from their diaries, correspondenc e, and oﬃcial business records to demonstrate that these entrepreneurs were more than savvy marketers; they were institution builders. She shows how each used brand not as a logo, but as a vital strategic tool for creating bestof-class companiesand for building powerful organizational capabilities that supported their connections with customers and helped make new markets for their oﬀerings. Distilling critical lessons for businesses operating in both the traditional and on-line worlds, Brand New will convince every entrepreneur of the remarkable power of brands to transform start-ups, gain competitive advantage, and change lives. Elements of Entrepreneuri al Expertise Cambridge University Press "The contributors explore two main themes: the challenge of remaining innovative and the necessity of managing institutional boundaries in doing so. The book is organized into four parts, which move outward from individual ﬁrms; to networks or clusters of ﬁrms; to consultants and other intermediaries in the private economy who operate outside of the ﬁrms themselves; and ﬁnally to government institutions and politics. "-Editor. Free Gift Inside!! A&C Black "Think CocaCola. Think iPod. Think Nike. Think Google. Each of these names represents a successful product or service but, more importantly, they are all successful brands. Most attempts to explain the role of brands focus on brands either as managementt ools (managerial perspective) or as symptoms of consumerism (sociological perspective). In Brand Society, Martin Kornberger combines these perspectives to show how brands have the power to transform both the organizations that develop them and the lifestyles of the individuals who consume them. This holistic approach shows how brands function as a medium between producers and consumers in a way that is rapidly 19 transforming our economy and society. Using an array of practical case studies from a diverse set of organizations, this book provides a fascinating account of the way in which brands inﬂuence the lives of individuals and the organizations they work in"-Provided by publisher. Consumer Economics UNC Press Books The concept of eﬀectuation is as subtle as it is profound. On the one hand, it challenges long held beliefs about the nature of cause and eﬀect in social science. On the other hand, it generates a host of new insights about social phenomena. This concept is particularly well suited to analyzing entrepreneuri al behavior behaviors undertaken in settings where the relationship between cause and eﬀect is understood, at best, very poorly. Jay B. Barney, The Ohio State University, US Things rarely turn out as we expected or intended. Neither rational choice between welldeﬁned prospects nor commitment to a vision, which can be realised by will power or persuasion, oﬀers a credible representation of much human activity even the activities of entrepreneurs . But although uncertainty (or unknowledge) is inescapable it may be productively managed. If we understand our present circumstances and some of its possibilities, build constructive relationships with others, and be ready to adjust both our objectives and the means of achieving them in order to take advantage of new contingencies, then we can at least participate in shaping our own future. By taking this perspective Saras Sarasvathy makes entrepreneurs hip a natural human activity, expressing the limitations and potential of human motivation and human intelligence. Brian J. Loasby, University of Stirling, UK In Eﬀectuation Saras Sarasvathy presents a carefully researched and reasoned view of entrepreneuri al behavior that both challenges and extends prevailing wisdom in the ﬁeld. There is little doubt that these ideas will serve as an important foundation for anyone desirous of stimulating positive action in the world. With Eﬀectuation we are equipped to provide a generation of students and managers with the methods to make and ﬁnd opportunities that create value. . . everywhere. Leonard A. Schlesinger, President, Babson 21 College, US To eﬀectuate is to engage in a speciﬁc type of entrepreneuri al action. It has special importance for situations where the future is truly unknowable or human agency is of primary importance. In Eﬀectuation, Saras Sarasvathy explores the theory and techniques of non-predictive control for creating new ﬁrms, markets and economic opportunities. Using empirical and theoretical work done in collaboration with Nobel Laureate Herbert A. Simon, the author employs methods from cognitive science and behavioral economics to develop the notion of entrepreneuri al expertise and eﬀectuation. Supportive empirical evidence is provided by the author s study of 27 entrepreneurs as well as other independent studies. The book then traces the consequences of eﬀectuation for business management, economics and social philosophy. The author ﬁnds that eﬀectuators generate constraintsatisfying solutions rather than searching for optimal ones, make rather than ﬁnd opportunities, and in a deep sense, convert as-if propositions into even-if ones. The way they accomplish this is the central discussion of the book. Students and scholars of entrepreneurs hip will ﬁnd this pathbreaking research of great value. The book s conclusions will also be of interest to those in the ﬁelds of behavioral and evolutionary economics, cognitive science and management. Origination Cambridge Scholars Publishing An MIT researcher and leading business consultant demonstrates how to increase a company's awareness of pop culture in order to gain competitive market advantages, citing the importance of gaining a realworld understanding of fast-moving trends and not outsourcing culture-related agendas. Brand Society Routledge Comprehensiv ely identiﬁes and indexes the collected works and biographies of U.S. Corporations. Related with Brand New How Entrepreneurs Earned Consumers Trust From Wedgwood To Dell Hardcover: * Moral Man And Immoral Society : click here 23
Valdosta State University Department of Music Voice Area Handbook Revised August 22, 2022 The requirements laid out in this document are the minimum requirements that must be met each semester for students studying in applied voice. Instructors may have additional or more stringent requirements listed within their syllabus for their applied students. Students should refer to their instructor's syllabus for these additional requirements. VOICE FACULTY: Dr. Tamara Hardesty Powell Hall #1117 245-2374 Associate Professor of Music Chair, Voice Area Director, VSU Opera Voice, Opera, Diction, Advanced Diction DMA, University of Connecticut Dr. Susan Boddie Powell Hall #1118 293-6194 Assistant Professor of Music Voice, Musical Theatre, Commercial Music, Song Literature EdD, University of Calgary Dr. Clell Wright Powell Hall #1109 333-5812 Assistant Professor of Music Director of Choral Activities DMA, University of Missouri-Kansas City Dr. Jawan Jenkins Powell Hall #1115 219-1293 Visiting Assistant Professor of Music Voice, Graduate Diction, Vocal Pedagogy DMA, The University of Texas at Austin Dr. Carol Mikkelsen Powell Hall #1120 333-7183 Professor of Music, Emerita Artist in Residence DMA, Florida State University PRACTICE REQUIREMENTS: Voice students who take MUSC 1420/3420 applied lessons are expected to practice 60 minutes daily, while students enrolled in MUSC 1440/3440 are expected to practice 120 minutes daily. Students enrolled in MUSC 7440 are expected to practice 150 minutes each day. This includes not only vocal practice, but also translation of songs, IPA, memorization work, dramatic interpretation, musicianship skills, etc. Faculty will include, as part of their syllabus, expectations for the student and a grading policy. The student is responsible for understanding the grading policy and the work expected of them to achieve the desired grade. It is expected that each student should come to their lesson with their assigned music learned. It is not the teacher's responsibility to teach notes during a lesson. The teacher has the right to not teach a weekly lesson if the student is not adequately prepared. It is expected that students translate all pieces in a foreign language, with a word-for-word translation written above each word in the score. IPA should also be included in every song, written below each word so that the student can refer to it regularly. 1 Students should also be informed about the composers and poets of the works they are singing. ATTENDANCE: LESSON: Voice students will receive weekly individual voice lessons. Lessons falling on STUDIO CLASS: In addition to individual lessons, students will also attend Studio Class. Studio Class will be held weekly. Attendance is mandatory. Each student is required to sing a minimum of two (2) times per semester. However, the studio teacher may require that they perform more often as time permits. holidays are not made up, unless mutually agreed upon by the teacher and student. STUDENT RECITAL HOUR: Weekly, on Wednesdays at 2:00pm, all music majors gather for Student Recital in Whitehead Auditorium. Voice students are required to attend all Student Recitals and will be specifically assigned to perform once in the semester. Attendance is mandatory. Attire for Wednesday recital performance should be in conformance with the VSU Music Department dress code. CONCERTS: Voice students are required to attend all required events as specified by each studio instructor. If the student has a conflict with one of the required events, they may, with the teacher's consent, attend an alternate event. ACCOMPANIST(S): The music department provides accompanists for Wednesday student recitals, degree recitals, midterms, and vocal juries. Music must be submitted as early as possible, no less 1 All students with voice as their primary instrument need to take MUSC 1101, Diction for Singers, during the Fall semester, and 1102 in the Spring semester of their freshman year in order to learn IPA and rules for foreign language diction. than three weeks prior to juries. Music must be submitted to accompanists, via your applied teacher, on a date prescribed by the Head of Accompanying. Time allotments for sessions with departmental accompanists: * Wednesday student recitals o Two ten-minute rehearsals for vocalists; * Juries * Degree Recitals – Junior Recital* o 10 minutes per song (total time) o One hour and a half of rehearsal/lesson time; o One dress rehearsal; o The recital hearing; o The recital performance; * Degree Recital – Senior Recital* o The recital hearing; o Three hours of rehearsal/lesson time; o One dress rehearsal; o The recital performance; See below for length of recitals under Recital Requirements. Additional rehearsals will depend on the availability of the accompanist and the difficulty of the music. REQUIRED MATERIALS: Students are required to have available recording devices (audio recorders, cell phones, etc.), for use at private lessons, studio classes, master classes, and other events prescribed by the instructor. These recordings are crucial and help the students improve each semester. Solo literature is selected to cover each period of music history and develop the student's musical and technical abilities. Each semester students are required to purchase all music used in lessons. Students should expect to spend approximately $20.00-$30.00 per semester on lesson materials. These are your textbooks for your lessons. Additional solo material will be based on individual needs and progress. Solo literature selected by the applied teacher can be obtained through check out from Odum Library, purchase and/or download from public domain websites, such as www.imslp.org and www.sheetmusicarchive.nethttp://www.sheetmusicarchive.net/ Photocopying of music should be used primarily to provide music to accompanists. REPERTOIRE REQUIREMENTS: Students in: Bachelor of Arts programs (MUSC 1420/3420 – Both General Track and Education Track) are required to learn the minimum number of songs/arias per semester as designated in the chart below; all of these songs/arias must be performed from memory and are required to appear on their jury listing and semester repertoire form. Freshperson: 4 songs/semester Sophomore: 5 songs/semester Junior: 6 songs/semester Senior: 6 songs/semester and recital (no new repertoire recital term) Total songs: 36* In order to explore a variety of styles, genres, and periods, the minimum repertoire outlined above should include the following: Italian/Latin: 5 German: 5 French: 5 Classical English (British/American): 5 Other foreign languages (Spanish, Czech, etc.): 2 Commercial Music (see Appendix 1): 8 BIPOC, LGBTQ, and Women composers: 2 Other: 4 Midterms: o Juniors & Seniors present two songs/arias for Midterm o Freshpersons & Sophomores present one song/aria for Midterm * Wednesday Recitals: * Juries: o All students present one song/aria on Wednesday recital o Freshpersons present two songs/arias per semester for Voice Jury o Sophomores, Juniors, and Seniors present three songs/arias per semester for Voice Jury * Bachelor of Music Performance program (MUSC 1440/3440) are required to learn the minimum number of songs/arias per semester as designated in the chart below; all of these songs/arias must be performed from memory and are required to appear on their jury listing and semester repertoire form. Freshperson: 6 songs/semester Sophomore: 7 songs/semester Junior: 8 songs/semester Senior: 8 songs/semester and recital (no new repertoire recital term) Total songs: 50 In order to explore a variety of styles, genres, and periods, the minimum repertoire outlined above should include the following: ``` Italian/Latin (at least 2 operatic arias): 7 German (at least 1 operatic aria): 7 French (at least one operatic aria): 7 Classical English (British/American) (at least one operatic aria): 7 Other foreign languages (Spanish, Czech, etc.): 3 Commercial Music (see Appendix 1): 10 BIPOC, LGBTQ, and Women composers: 3 Other: 6 ``` (Note: 1-2 Oratorio arias should be included within the selections above.) * Midterms: o Juniors & Seniors present three songs/arias for Midterm o Freshpersons & Sophomores present two songs/arias for Midterm * Wednesday Recitals: * Juries: o All students present one song/aria on Wednesday recital o Freshpersons present three songs/arias per semester for Voice Jury o Sophomores, Juniors, and Seniors present four songs/arias per semester for Voice Jury * Graduate Music Performance program (MUSC 7440) are required to learn the minimum number of songs/arias per semester as designated in the chart below; all of these songs/arias must be performed from memory and are required to appear on their jury listing and semester repertoire form. ``` First 3 semesters: 10 songs/semester Recital Semester (repertoire chosen from previous semesters or new repertoire) Total songs: 30* In order to explore a variety of styles, genres, and periods, the minimum repertoire outlined above should include the following: Italian/Latin (at least 2 operatic arias): 5 German (at least 1 operatic aria): 5 French (at least one operatic aria): 5 Classical English (British/American) (at least one operatic aria): 5 Other foreign languages (Spanish, Czech, etc.): 2 Commercial Music (see Appendix 1): 4 BIPOC, LGBTQ, and Women composers: 2 Other: 2 ``` (Note: 1-2 Oratorio arias should be included within the selections above.) Midterm: o Present four songs/arias per semester for Midterm * Wednesday Recital: * Juries: o Present one song/aria on Wednesday recital, not repeating a midterm or jury selection o Present five songs/arias per semester for Voice Jury REPERTOIRE GUIDE: Use the following chart as a guide when choosing and building your repertoire: 2. Spirituals (Bonds, Burleigh, Johnson, Hogan, Price, etc.) 1. Folksongs, Early English songs (Purcell, Arne, Dowland) 3. Early Italian Art Song/Arias (Arie Antique, Flora) 4. Simple English Art Songs (Quilter, Haydn, Finzi) 6. Early German Lieder (Haydn, Mozart, Beethoven, Schubert, Schumann, Brahms) 5. Sacred Songs (Schemelli Liederbuch) 7. Classic and Romantic Period Italian Art Songs (Mozart, Bellini, Donizetti) 8. Simple French Melodie (Hahn, Bizet, Fauré) 10. Simple Operatic Arias 9. Simple Oratorio Arias 11. Musically Complex American/British Art Songs 13. Later Mélodie (Duparc, Debussy, Chausson, Poulenc) 12. Late Romantic Lieder (Pfitzner, Wolf, Strauss, Mahler, etc.) 14. Challenging Oratorio / Sacred repertoire 15. More challenging Operatic Arias 17. Arias from operettas 16. Other Nationalistic Art Song (Spanish, Russian, Slavic, Scandinavian, etc.) 18. Golden Age Musical Theatre 19. Contemporary Musical Theatre 20. Commercial Music (see Appendix 1) MIDTERM REQUIREMENTS: Studio Teachers will administer midterms in their Studio Class time. All students must sing a midterm exam every semester in which they take applied voice. 2 WEDNESDAY RECITAL PERFORMANCE: Each semester, students are required to perform once on the Wednesday 2:00 pm Student Recital. Students in the Bachelor of Arts, Music Performance, and Graduate Performance programs are required to present one song/aria per semester not repeating a midterm or jury selection. Attire should be in accordance with the VSU Music Department concert dress code. 2 See "Repertoire Requirements" section for further details. JURY REQUIREMENTS: All students must sing a jury at the end of each semester in which they take applied voice. Students are exempt from juries for the semester in which they perform a junior/senior/graduate recital. See charts above for number of required pieces based on degree plan. All jury pieces must be performed from memory and are required to appear on the student's jury listing. In addition, all songs/arias learned during the semester must appear on the student's semester repertoire form. The jury committee will hear the student sing a minimum of two selections. Students will be allowed to choose the first selection they wish to perform. The jury panel will choose the remainder of the selections during the jury. Attire should be in accordance with the VSU Music Department concert dress code. RECITAL REQUIREMENTS: Bachelor of Arts students will perform a 30-minute solo recital (minimum of 25 minutes of music) during their senior year of study. Music Performance majors will perform a 30minute junior recital (minimum of 25 minutes of music) and full 60-minute senior recital (minimum of 50 minutes of music). Graduate Performance students will perform a full 60minute recital (minimum of 50 minutes of music) in one of the final two semesters of applied study. A student is required to sing a minimum of three (3) sets of music in three (3) different languages in the undergraduate senior and graduate recitals. It is strongly encouraged that students sing in all four of the main languages (Italian, German, French, and English). It is the responsibility of the applied teacher and their student to pick the repertoire for the recital. The applied teacher has the final say over the repertoire that will be performed. Junior and Senior Recitals must be approved by a faculty committee formed of the voice area faculty. This committee will hear the entire proposed recital no less than 7 and no more than 14 days before the performance date in a formal recital hearing and will approve or disapprove the public performance. All voice students who give recitals must provide text and translations for all pieces they will be performing. Voice students in the Bachelor of Arts program are required to provide program notes as part of their University Capstone Project. All voice students are strongly encouraged to provide short program notes before each translation. A sample is provided at the end of this section. Attire should be in accordance with the VSU Music Department concert dress code. UPPER DIVISION JURY (BARRIER EXAM): At the end of four semesters or two years of successful lessons, students will sing a jury to determine if they are adequately prepared to move into upper division lessons. Transfer students will be placed in the lesson sequence during auditions. If a student is a transfer from another college or university and has already completed two years of study as a music major with voice as their primary instrument, then that student will be required to perform an upper division jury at the time of their audition or during the first semester in residence. This jury is second in importance only to the student's junior/senior recitals. The jury will occur at the same time as all other voice juries. It will last 15-20 minutes. Students may be asked to return to complete the skills portion including the 48-hour song. The Upper Division Jury will result in either a pass or fail vote by the entire voice area faculty. The voice faculty will come to a unanimous decision for each student and discuss the results with the student immediately at the conclusion of the jury. In addition to this pass/fail grade, students will also receive a regular final exam grade for this jury. So, it is possible for a student to receive a passing semester grade on this jury, yet not be allowed to move into upper division lessons. If this happens, a student will repeat MUSC 1420 or 1440. If a student fails the exam for a second time, the voice area will make a formal recommendation to the department head for a change of major. Voice Barrier Exam Requirements: * Five memorized vocal selections for BA majors (General and Education track) and seven for BM performance majors – All selections will be heard at the Barrier Exam, minus the song performed at Wednesday Recital. With approval of the instructor, the student may choose the order in which the selections are sung. Repertoire should be a varied selection of stylistic periods and languages. Overall criteria for judging the vocal selections of the barrier - Effective breath management and energization, good concept of tone production and resonance balance, clarity of musical articulation and diction, and engaging artistic communication. * Song Preparation/learning – BA voice majors will be given a song/aria in a foreign language 48 hours before Barrier. Performance majors will be required to prepare two songs in two different languages. Students are responsible for learning the song(s) adequately enough to be sung with an accompanist and without musical assistance from their instructor. * Scales (major, natural minor, harmonic minor, melodic minor, and chromatic, one octave, up and down) – The student may choose any key, but they must sing the scales * Adequate concept of Diction and IPA/Translations/Historical Context – The student must submit a copy of the song(s), with a word-for-word translation written above each word in the score. IPA should also be included, written below each word. In addition, a short (3-5 sentences) paragraph must be submitted describing the historical context of each piece, including information about the composer, song, etc. without accompaniment. Students may use solfege, numbers, or any combination of vowels (la, la, la, etc.). * Appropriate level of sight-reading – student will be asked to sight read on solfege, numbers, or any combination of vowels. VOICE AREA STUDIO ASSIGNMENT PROCEDURE: 1. Students requesting a specific teacher should send an email to the Voice Area Chair and the requested teacher. The student will be assigned to that teacher if there is room in their studio, but that may not always be possible. 2. Recruited students will be placed in that teacher's studio. 3. New students will be assigned to studios after a Voice Area Meeting discussion. DEGREE CHANGE REQUEST PROTOCOL: If a student wishes to be considered for a degree change, the procedure is as follows: 1. The first conversation regarding any potential degree change will be with the student's applied teacher. If the applied teacher does not agree that it is a good course of action at that time, the degree change request process will not proceed. 3. In consultation with the Voice Area Chair and the student's applied teacher, an application form will be completed to be brought to your next voice jury. This jury will act as your degree change audition. 2. If the applied teacher agrees to the student's request for a potential change of degree, the Voice Area Chair will be contacted to begin the process. 4. The degree change audition results as decided by the voice panel are final 5. The latest opportunity to be considered for a degree change request audition will be at the end of the Sophomore year of vocal study (i.e., fourth semester; as a rising Junior). CHANGING VOICE STUDIOS: If a student has problems with his/her studio assignment and wishes to change to another studio, the procedure is as follows: 1. The student must speak to his/her teacher about the concerns. 3. If it is determined that a change should happen, the teacher will release the student from that studio at the end of the semester. 2. The student must speak with the Voice Area Chair, who will offer counsel and act as a mediator if conflict arises. If the student's teacher is the Voice Area Chair, he/she should speak with the Head of the Music Department. 4. The student should then contact one of the other voice faculty members to inquire if they have space and are willing to accept the student into their studio. 5. Changing Voice Teachers once the Semester has begun is not possible. 6. The Music Department Chair will make the final decision regarding all studio assignments. LIVE STREAMING POLICY Livestreaming, broadcasting, or other distribution of any rehearsal or performance of a VSU ensemble is prohibited unless authorized by the conductor of the ensemble. Violators of this policy may be subject to reduction in grade and also to any legal action resulting from infringement of copyright laws. PROGRAM NOTES AND TRANSLATIONS EXAMPLE Songs of Travel by Ralph Vaughan Williams The Songs of Travel were derived from a series of poems written by Robert Louis Stevenson (1850 – 1894). The first poem set by Vaughan Williams was "Whither Must I Wander" in 1901. The remaining songs in the cycle were published in two sets. In 1905 he wrote a set of three and then in 1907 the final four songs in the cycle. Though the work was finished in 1907, it was not until May 21, 1960, that the work was performed as a complete cycle, in the correct order with the ninth and final piece included, which was not published at the time. "I Have Trod the Upward and the Downward Slope" was found in the papers of Vaughan Williams after his death with directions on the manuscript reading, "this little epilogue…should be sung in the public only when the whole cycle is performed." The Songs of Travel offer a look into the journey of a young man as he experiences the joys, the sorrows, the trials and tribulations of his life and comes to terms with the choices that he has made along the way. The cycle has been characterized by Michael Kennedy as, "a kind of English Winterreise." It is the story of a man coming of age, finding peace with the life he chose to lead…and having no regrets. Let Beauty Awake Let Beauty awake in the morn from beautiful dreams, In the hour when the birds awake in the brake And the stars are bright in the west! Let Beauty awake in the eve from the slumber of day, Let her wake to the kiss of a tender friend, Youth and Love To the heart of youth the world is a highwayside. Passing forever, he fares; and on either hand, Deep in the gardens golden pavilions hide, Nestle in orchard bloom, and far on the level land Call him with lighted lamp in the eventide. Thick as stars at night when the moon is down, Pleasures assail him. He to his nobler fate Fares; and but waves a hand as he passes on, Cries but a wayside word to her at the garden gate, Sings but a boyish stave and his face is gone. Dichterliebe by Robert Schumann Dichterliebe, (A poet's love) is composed to sixteen poems taken from the section entitled Lyrisches Intermezzo (Lyrical Intermezzo) by Heinrich Heine. Many have speculated that this cycle recounts the story of the few months when Robert and Clara's plans to be wed were in doubt from lack of consent by her father. Many of its individual songs are so slight or ambiguous in their resolutions that they cannot stand on their own, while many others have piano postludes so long that they can almost be thought of as songs in themselves. The dreamy optimism of the opening song culminates in the bitter shattered hopes of the final song, and takes us through every shade of hopeless, yearning, wistful melancholy, utter despair, and ultimate peace. Im wunderschönen Monat Mai Im wunderschönen Monat Mai, Als alle Knospen sprangen, Da ist in meinem Herzen Die Liebe aufgegangen. Im wunderschönen Monat Mai, Als alle Vögel sangen, Da hab' ich ihr gestanden Mein Sehnen und Verlangen. Aus Meinen Tränen spriessen Aus meinen Tränen sprießen Viel blühende Blumen hervor, Und meine Seufzer werden Ein Nachtigallenchor. Und wenn du mich lieb hast, Kindchen, Schenk' ich dir die Blumen all', Und vor deinem Fenster soll klingen Das Lied der Nachtigall. Die Rose, die Lilie, die Taube Die Rose, die Lilie, die Taube, die Sonne, Die liebt' ich einst alle in Liebeswonne. Ich lieb' sie nicht mehr, ich liebe alleine Die Kleine, die Feine, die Reine, die Eine; Sie selber, aller Liebe Wonne, Ist Rose und Lilie und Taube und Sonne. Ich liebe alleine die Kleine, Die Feine, die Reine, die Eine, die Eine! In the wonderfully beautiful month of May When all the buds burst open, Then in my heart, Love unfolded too. In the wonderfully beautiful month of May When all the birds sang, Then I confess to her My longing and my desire. Out of my tears go forth Many flowers in bloom, And my sighs become The chorus of nightingales. And if you are fond of me, little one, I will give you all the flowers; And before your window shall ring The song of the nightingale. The rose, the lily, the dove, the sun, I loved them all once with the rapture of love. I love them no more, I love alone The little one, the fine, the pure, the only one; She herself, the well of all love, Is rose and lily and dove and sun I love alone the little one, The fine, the pure, the only one. Appendix 1 Below is listing of various Commercial Music Genres from which students may select repertoire: Blues Bluegrass Contemporary Musical Theatre Country Doo-wop Folk Funk Golden Age Musical Theatre Gospel Hip-Hop Indie Jazz Latin Motown Pop Punk Rap Reggae R&B Rock Singer/Songwriter Ska Soul
UTAH RADIATION CONTROL BOARD STATEMENT OF BASIS FOR ADMINISTRATIVE RULEMAKING REGARDING DISPOSAL OF SIGNIFICANT QUANTITIES OF DEPLETED URANIUM December 1, 2009 This Statement of Basis for Administrative Rulemaking Regarding Disposal of Significant Quantities of Depleted Uranium (Statement of Basis) has been prepared to support the proposed rule in Part VI of this Statement of Basis. If the Radiation Control Board votes to begin rulemaking on this matter, information about how and when to comment on the rule, including information about a public hearing, will be posted at http://www.radiationcontrol.utah.gov/. I. REGULATORY AND FACTUAL BACKGROUND Following is background information and descriptions of some of the most significant among many actions taken by the regulatory agencies discussed below regarding depleted uranium. 1 A. What is depleted uranium and how is it similar to and different from other wastes? "Depleted uranium oxide contains approximately 85 percent uranium by mass. In comparison, a low-grade uranium ore common in the United States may contain 0.1 percent uranium by mass." . . . "For mill tailings, a significant portion of the total activity at the time of disposal is associated with radium, therefore disposal or management decisions can focus on the radiological inventory at the time of disposal. For example, a barrier to attenuate the emanation of radon from mill tailings can be designed based on the concentration of the material at the time of disposal. On the other hand, DU is essentially depleted in the daughter radionuclides but concentrated (compared to natural ore or mill tailings) in the parent radionuclides. Over long periods of time, the uranium parent radionuclides have the potential to produce quantities of daughter radionuclides significantly in excess of natural ores or mill tailings because the DU source has much higher concentrations of uranium. For example, mill tailings commonly have from 0.004 to 0.02 wt percent U3O8, 26 to 400 pCi/g 226Ra, and 70 to 600 pCi/g 230Th at the time of disposal (Robinson, 2004). Depleted uranium (in oxide form) would have approximately 99.9 percent uranium oxide at the time of disposal and greater than 300,000 pCi/g 226Ra and 230Th approximately 1 million years after disposal (values cited were calculated with a simple decay/in-growth calculation)." . . . "Whereas the activity in a commercial LLW facility decreases to a few percent of the initial value over a few hundred years, the activity in a facility for DU would be expected to remain relatively constant initially, but begin increasing at around 1,000 years. Peak activity, assuming no release from the source, would not be attained until after 1 million years after disposal." U.S. Nuclear Regulatory Commission (NRC) Staff, SECY-08-0147. 2 B. U.S. Nuclear Regulatory Commission actions 1. 1981-82: NRC developed its waste classification system and concentration limits for land disposal of radioactive waste, now found in 10 CFR Part 61 , based on modeling that * informed what maximum levels of radioactivity would still allow 10 CFR Part 61 performance objectives to be met. For this analysis, NRC did not evaluate 3 environmental impacts of land disposal for significant quantities of depleted uranium. See Part II.B.1 of this Statement of Basis. 2. October 2000: NRC issued NUREG-1573, guidance for those conducting site-specific performance assessments for radioactive waste land disposal facilities. 4 3. October 2005: The NRC Commission asked its staff to consider whether the signficant quantities of depleted uranium in the waste stream, which were not anticipated in 1981, warranted reclassification of depleted uranium or other amendments to NRC's regulations. 5 4. June 2006: Louisiana Energy Services was licensed as a uranium enrichment facility. The facility will create a waste stream with substantial quantities of depleted uranium. In 6 the course of this proceeding, depleted uranium disposal at EnergySolutions was analyzed. The Commission rejected claims by an intervenor that Envirocare's performance assessment was inadequate and that NRC had previously found that depleted uranium could not be disposed of in a near-surface facility and that NRC could not therefore find that disposal at EnergySolutions was acceptable. While expressing concern that its Staff may not have fully explored the long-term impacts from the disposal of depleted uranium "whose radiological hazard gradually increases over time," the 7 Commission nevertheless upheld the decision by the Atomic Safety Licensing Board. However, it noted in doing so that its decision on the adequacy of an Environmental Impact Statement was not intended to take the place of a Part 61 compliance review, and 8 that "[p]rior to a final determination on disposal, we would expect that the pertinent regulatory authority will have considered both the characteristics of the waste and the site-specific features of the disposal site to assure that all radiological dose limits and safety regulations indeed can be met." 9 5. October 2008: NRC staff, in October 2008 (SECY-08-0147) responded to the Commission's October 2005 order. The staff: 10 (a) Evaluated a generic case to determine whether it was possible to meet 10 CFR Part 61 standards with near-surface disposal of depleted uranium, and concluded that it was. There are Utah rules equivalent to 10 CFR Part 61 found in Utah Admin. Code R. 313. * As appropriate, references to 10 CFR Part 61 should also be read as referring to the equivalent state rules. See endnote 1 for web access information. (b) Prepared several regulatory options, and recommended that the Commission not change classification for depleted uranium, but add language requiring a sitespecific performance assessment before significant quantities of depleted uranium are accepted for disposal. 6. October 2008: In the October 2008 SECY-08-0147 and in subsequent statements, NRC staff has also indicated that there are limitations to the generic case study described in Part I.B.5 of this Statement of Basis, and recommended that it should not be relied upon for any site-specific licensing action. See Part II.B.2 of this Statement of Basis. 7. March 2009: NRC agreed with the course of action recommended by the NRC staff in SECY-08-0147. The Commission made determinations: (a) To keep depleted uranium as Class A waste; and (b) To initiate rulemaking proposing enhanced performance assessment requirements for facilities proposing to dispose of significant quantities of depleted uranium. 11 8. August 2009: NRC made a recommendation regarding any proposals to dispose of significant quantities of depleted uranium in the interim period before NRC's depleted uranium rulemaking process is completed. It recommended that, prior to disposal of 12 significant quantities of depleted uranium at a near-surface disposal facility, site-specific performance assessments should be evaluated against criteria developed in the October 2008 SECY-08-0147 staff analysis and in a Federal Register notice at 74 Fed. Reg. 30175 (June 24, 2009). See Part II.A. of this Statement of Basis. C. Utah Division of Radiation Control actions 1. March 1991: Depleted uranium was first approved for disposal at Envirocare, but disposal was limited to volumetric bulky materials or structural debris with a concentration limit of 1.1 E5 pCi/g. 13 2. October 1998: Envirocare's license was amended to approve an increase in the concentration limit to an average concentration per container of 3.7E5 pCi/g. 3. Approximately 1999: Envirocare submitted a performance assessment for a new proposed land disposal facility for Class A, B, and C wastes. The assessment showed that 10 CFR Part 61 performance standards would be met for very large quantities of depleted uranium based on the assumptions specified in that document. The performance assessment reported results from an analysis of 500 years. 4. October 2000: The Executive Secretary approved a license amendment for a new disposal cell for Class A waste. Disposal of depleted uranium in the new cell was not limited by concentration or quantity. Both diffuse and concentrated depleted uranium have been disposed of pursuant to this amended license; approximately 49,000 metric tons of depleted uranium have been disposed of at EnergySolutions to date. 5. September 2009: The license was changed, at EnergySolutions' request, to require that all wastes with depleted uranium concentrations greater than 5 percent (by weight) be placed a minimum of 10 feet below the top of the cover. D. Other states' actions 1. Washington: In response to an inquiry in the course of the the NRC's Unique Waste Streams Rulemaking Worskhop held in Salt Lake City in September 2009, Washington State's representative responded as follows to this question: "Has the NRC or any of the agreement states that have low level waste sites been approached about reviewing the performance assessment of your particular disposal facility under this process?" "We've talked about it in good detail. I think the prudent thing we've decided is we really need to wait until this kind of works through because we could do a performance assessment that may not meet the criteria that the NRC ends up getting, and you'd end up having to do it twice. So I think from our standpoint we wait." 14 2. Texas: In response to the same inquiry, the representative from Texas said: "We do not have a new performance assessment to review for the interim in Texas." 15 Texas regulations state, regarding the licensing of radioactive waste land disposal facilities: "The specific technical and environmental information in the application shall also include the following analyses needed to demonstrate that the performance objectives of this subchapter, referenced in §336.723 of this title (relating to Performance Objectives), will be met: (1) Pathways analyzed in demonstrating protection of the general population from releases of radioactivity shall include air, soil, groundwater, surface water, plant uptake, and exhumation by animals. The analyses shall clearly identify and differentiate between the roles performed by the natural disposal site characteristics and design features in isolating and segregating the wastes. The analyses shall clearly demonstrate that there is reasonable assurance that the exposures to humans from the release of radioactivity will not exceed the limits specified in §336.724 of this title (relating to Protection of the General Population from Releases of Radioactivity). A minimum period of 1,000 years after closure or the period where peak dose occurs, whichever is longer, is required as the period of analysis to capture the peak dose from the more mobile long-lived radionuclides and to demonstrate the relationship of site suitability to the performance objective in this section to the performance objective in §336.724 of this title." 16 E. Standards governing the Board's rulemaking authority Utah Code Ann. § 19-3-104(4): The board may make rules: (a) necessary for controlling exposure to sources of radiation that constitute a significant health hazard; (b) to meet the requirements of federal law relating to radiation control to ensure the radiation control program under this part is qualified to maintain primacy from the federal government; (c) to establish: (i) board accreditation requirements and procedures for mammography facilities; and (ii) certification procedure and qualifications for persons who survey mammography equipment and oversee quality assurance practices at mammography facilities; and (d) as necessary regarding the possession, use, transfer, or delivery of source and byproduct material and the disposal of byproduct material to establish requirements for: (i) the licensing, operation, decontamination, and decommissioning, including financial assurances; and (ii) the reclamation of sites, structures, and equipment used in conjunction with the activities described in this Subsection (4). II. SUMMARY OF PRELIMINARY BASES FOR ACTIONS Following is a summary of information particularly pertinent to the Board's proposed rulemaking action, although all of the information provided in this Statement should be considered part of the Board's basis. A. NRC Recommendation. 1. For this interim period before completion of NRC rulemaking, The NRC has explicitly recommended that agreement states conduct a new review of performance assessments, prior to disposal of significant quantities of depleted uranium. "What is NRC's position regarding disposal of significant amounts of depleted uranium before the rulemaking is complete?" . . . "If a site wishes to dispose of significant amounts of depleted uranium, it would be prudent for the site operator and State regulator to review the existing performance assessment supporting the site and determine whether the issues that were raised in the technical analyses supporting the Commission decision to initiate this potential rulemaking and in the Federal Register Notice for the NRC public workshops are adequately addressed. If not, it would be prudent to revise the performance assessment to adequately address these issues on a site-specific basis before disposal of significant quantities of depleted uranium." NRC's Frequently Asked Questions in the Communication Plan. 17 NRC Staff has repeated this advice in other arenas, e.g., its Unique Waste Streams Rulemaking Record. 18 2. The NRC did not define the quantities of depleted uranium that would have to be land disposed before raising concerns, but it did define "small quantities," 1 to 10 metric tons of depleted uranium that could, it concluded, be disposed of at shallow depth. 19 B. Past environmental analysis. NRC has recognized that there has been no adequate analysis of the health and safety-related impacts of near-surface disposal of depleted uranium. 1. The NRC has acknowledged that at the time the initial classification system for radioactive waste was created it was not anticipated that significant quantities of depleted uranium would be disposed of in near surface facilities. It also acknowledged that environmental studies done did not address the significant quantities that are now expected. "At the time of development of [10 CFR] Part 61, it was envisioned that [low level radioactive waste regulated in that Part] in a disposal facility would decay, in a maximum of 500 years, to activity levels that would not pose a significant risk to an inadvertent intruder, and that there would not be significant quantities of long-lived isotopes which would pose unacceptable long-term risks to the public from releases from the facility. In developing Part 61, NRC considered longer periods of institutional control in the DEIS (NRC, 1981). Assumptions about the persistence of institutional controls in the international community were considered and a series of public meetings were conducted to get input from stakeholders. The consensus among the stakeholders was that it is not appropriate to assume institutional controls will last for more than a few hundred years. The resultant regulatory framework for commercial LLW disposal assumes material that does require institutional control for much longer than 100 years to demonstrate compliance with the performance objectives would generally be determined to not be suitable for near-surface disposal as LLW ." NRC, SECY-08-0147. 20 "When NRC regulations on low-level waste disposal were developed, there were no commercial facilities generating significant quantities of depleted uranium waste. Therefore, the impacts of depleted uranium disposal were not explicitly considered." NRC Fact Sheet on Depleted Uranium and Other Waste Disposal. 21 "Large quantities of uranium were not evaluated in the EIS for 10 CFR Part 61 * 17 Ci of 238U (in 1 million m of waste) 3 * 3 Ci of 235U The quantity of DU [now entering the waste stream] is ~ 470,000 Ci 238U." NRC's Unique Waste Streams Rulemaking Record, Workshop Presentations. 22 2. NRC staff has advised against using its October 2008 analysis (SECY-08-0147), which was done to support the NRC Staff's rulemaking recommendation, for site-specific licensing purposes. "The model was developed to evaluate the radiological risk to potential future residents and intruders (acute or chronic exposures) near or on the land overlying a hypothetical disposal facility for DU. The model was designed to provide the user with flexibility to evaluate different waste forms, disposal configurations, performance periods, institutional control periods, pathways, and scenarios. The impact of these variables on projected radiological risk can be significant. Therefore, the model was developed as a first-order assessment tool to risk-inform decision making. Refinement of the model would be necessary if it was to be used for licensing decisions, and rigorous validation would be needed. Because site-specific waste management decisions or other variables can strongly influence whether performance objectives can be met, care should be taken not to take the model results out of the analysis context." SECY-08-147, Enclosure 1, at page 1. 23 3. NRC has recognized that depleted uranium is not suitable for disposal at a near-surface facility simply because it is classified as a Class A waste. "That the Commission has determined that DU is Class A waste merely makes that waste eligible for near-surface disposal. The final determination rests instead with the question of whether near-surface disposal meets the [10 CFR] Part 61, Subpart C performance objectives." NRC's Atomic Safety and Licensing Board. In addition, NRC staff concluded that it 24 was not beneficial to change the waste classification for depleted uranium, not because it was similar to other Class A waste, but because it would not allow the same amount of disposal flexibility as the site-specific performance assessments preferred by Staff: "The primary disadvantage of Option 3 [reclassifying depleted uranium] is that the concentration limit developed could be so low for a reference site that it would unnecessarily constrain disposal options at sites with significantly different characteristics (e.g., humid vs. arid). As such, this approach would be prescriptive rather than a riskinformed approach, which would take into account the performance of the waste in a specific disposal environment. Another drawback to Option 3 is that it propagates the existing waste classification system, which was developed using often conservative assumptions based on the environment for LLW at the time the Part 61 FEIS was developed; some of these assumptions are not necessarily applicable in today's environment of limited disposal options and improved performance assessment capabilities." NRC, SECY-08-0147, at page 9. 25 C. Adequacy of current federal regulations. 1. As described elsewhere in this Statement of Basis, NRC has concluded both that its regulations should be changed, and that until its regulations are changed, additional analysis should be conducted on a site-specific basis before depleted uranium is accepted. These decisions constitute a recognition by NRC of the inadequacy of its current regulations. 2. NRC comment: "Why is it necessary to update the regulations?" "The licensing of new uranium enrichment facilities in the United States has raised depleted uranium to the forefront of low-level radioactive waste disposal issues. The depleted uranium waste stream is unique amongst LLRW streams; the relatively high concentrations and large quantities of depleted uranium that are generated by enrichment facilities were not considered in the Final Environmental Impact Statement (NUREG-0945) supporting the development of 10 CFR Part 61, "Licensing Requirements for Land Disposal of Radioactive Waste." When NUREG-0945 was issued in 1982, there were no commercial facilities generating significant amounts of depleted uranium waste streams, therefore, NUREG-0945 considered only types of uranium-bearing waste streams being typically disposed of by U.S. Nuclear Regulatory Commission (NRC) licensees at that time." "With the existing U.S. Department of Energy enrichment facilities, and the recent NRC licensing of commercial enrichment facilities, more than one million metric tons of depleted uranium will require a disposition path. Existing disposal facilities such as the EnergySolutions' facility in Clive, Utah and the Waste Control Specialists' facility in Andrews County, Texas, have expressed interest to their Agreement State regulators in disposing of depleted uranium at their sites." "The NRC recognizes that the analysis supporting regulations in 10 CFR Part 61 did not address the disposal of significant quantities of depleted uranium, and that there may be a need to place additional restrictions at a specific site or deny such disposal based on unique site characteristics. Therefore, the NRC will update the regulations to specify a requirement for a site-specific analysis that demonstrates unique waste streams, including significant quantities of depleted uranium, can be disposed of safely." NRC's Frequently Asked Questions about Land Disposal of Unique Waste Streams. 26 3. David Esh, lead modeler for preparation of SECY-08-0147: "As part of that EIS developmental analyses, they developed a waste classification system, and that was developed by doing intruder and various scenario analyses and basically doing an inverse calculation. So they did the analyses. They set a dose limit that they were trying to achieve, and then they did a backwards calculation to determine what concentrations would give me those impacts. And that's what you see in the table values that are in the regulations right now. So where we are now, if we have a waste stream that's a lot different or could be a lot different than what was analyzed. Then you have to say, well, I don't have table values for that. So what do I need to do about it? And our opinion is we need to change the regulations and insure you could either develop new table values or you could insure that they do the analysis, but somebody has to do the analysis. You can't have an unanalyzed situation basically." 27 D. Quantities of depleted uranium. In the absence of action by the Board, it is very likely that significant quantities of depleted uranium will be disposed of at EnergySolutions before the performance assessment recommended by NRC (as discussed in II.A of this Statement of Basis) is reviewed and approved. 1. Texas and Washington have indicated they are not allowing disposal of significant quantities of depleted uranium until completion of new performance assessments, and those have not been initiated. See I.D of this Statement of Basis. 2. Only EnergySolutions and Barnwell will currently accept depleted uranium for disposal. Barnwell is only available for disposal of waste within its compact. 28 3. The amounts of depleted uranium awaiting disposal are significant: "DOE has said they will need to begin disposal shipments for the DUF6 facilities in mid 2010. More than one million metric tons of depleted uranium will need to be disposed of over the next several years." 29 4. Louisiana Energy Services (LES), a uranium enrichment facility licensed in June 2006, has identified a "private near-surface disposal facility" as its preferred method for disposal of the significant quantities of depleted uranium it will create; LES offered an analysis of impacts at EnergySolutions (then Envirocare) in support of its NRC license application. 30 5. Department of Energy depleted uranium DOE's depleted uranium management policy requires disposal of depleted uranium it owns at one of its own disposal facilities or, with a waiver, allows disposal at a non-DOE facility. DOE has issued a waiver with respect to disposal of depleted uranium at EnergySolutions. 31 6. EnergySolutions has acknowledged before this Board that it is marketing depleted uranium disposal and that it projects receiving significant quantities. "Tom Magete [sic - Magette, with EnergySolutions] responded that EnergySolutions did have contracts with DOE, but they did not have active task orders. EnergySolutions had the potential of disposing of waste from the Savannah River within the next year (about 10,000 tons). The next five years, he projected 46,000 tons coming from Portsmouth and Paducah." Utah Radiation Control Board minutes, July 2009. 32 E. Performance period NRC makes the following recommendation regarding the time period for performance assessments: "Considering the technical aspects of the problem, the performance assessment staff recommends a performance period of 10,000 years for the analysis of DU disposal. However, analyses should be performed to peak impact, and if those impacts are significantly larger than the impacts realized within 10,000 years, then the longer term impacts should be included in the site environmental evaluation." NRC, SECY-08-0147. 33 III. IMPACTS OF RULEMAKING The Utah Administrative Rulemaking Act, at Utah Code Ann. § 63G-3-301, requires an agency proposing rules to consider the potential impact of the rule on business and on government. A. Impacts to business If the rule is promulgated, one Utah business – EnergySolutions, L.L.C. – will be unable to dispose of depleted uranium until it has submitted a performance assessment and the performance assessment has been approved. The financial impacts on EnergySolutions are potentially substantial, but are difficult for the Board to specify because the impact depends on the following information not known to the Board at this time: * When the requirement takes effect; * When EnergySolutions will submit a performance assessment and when it is approved; * When EnergySolutions would otherwise have received shipments of depleted uranium for disposal; and * Whether receipts by EnergySolutions would simply be delayed, or whether there are competitors for depleted uranium disposal space such that EnergySolutions could lose reciepts altogether. This rulemaking analysis does not consider the impact of any potential inability by EnergySolutions to demonstrate that it meets the requirements of 10 CFR Part 61 and the equivalent Utah rules, since that inability would not be by operation of this rule. EnergySolutions will also bear the cost of preparing and submitting a performance assessment, but has indicated this is an action it was already taking. No small business in Utah will be directly impacted. The only potential sources of substantial quantities of depleted uranium for disposal – the United States Department of Energy and privately-held uranium enrichment facilities – are not small businesses and are not located in Utah. Any affected business is invited to submit information about potential costs of this proposed rule during the public comment period. B. Impacts on government budget The State of Utah receives fees from facilities that dispose of depleted uranium at a land disposal facility. Utah Code Ann. § 19-3-104. EnergySolutions has such a land disposal facility and has stated that it would, in the absence of this rule, seek to dispose of depleted uranium. The financial impacts of this on the state's budget are potentially substantial, particularly for FY 2010, but as described above are difficult to specify. The State of Utah receives $0.15/cubic foot of waste disposed of, plus $1 per curie. IV. ADDITIONAL DOCUMENTATION The documents cited in this Statement of Basis are incorporated in their entirety by this reference. In addition, all documents linked through the NRC's Unique Waste Streams Rulemaking website are incorporated by reference. See: http://www.nrc.gov/about-nrc/regulatory/rulemaking/potential-rulemaking/uw-stre ams.html. V. STATEMENT REGARDING UTAH CODE ANNOT. § 19-3-104(8) and (9). The Board intends to issue a determination, after the public comment period, about whether there are "corresponding federal regulations that are not adequate to protect public health and the environment of the state." The statute states: (8) (a) Except as provided in Subsection (9), the board may not adopt rules, for the purpose of the state assuming responsibilities from the United States Nuclear Regulatory Commission with respect to regulation of sources of ionizing radiation, that are more stringent than the corresponding federal regulations which address the same circumstances. (b) In adopting those rules, the board may incorporate corresponding federal regulations by reference. (9) (a) The board may adopt rules more stringent than corresponding federal regulations for the purpose described in Subsection (8) only if it makes a written finding after public comment and hearing and based on evidence in the record that corresponding federal regulations are not adequate to protect public health and the environment of the state. (b) Those findings shall be accompanied by an opinion referring to and evaluating the public health and environmental information and studies contained in the record which form the basis for the board's conclusion. VI. PROPOSED RULE R313-12-3. Definitions. [No change proposed; included only for context.] "Depleted uranium" means the source material uranium in which the isotope uranium-235 is less than 0.711 weight percent of the total uranium present. Depleted uranium does not include special nuclear material. R313-25-8. Technical Analyses. (1) The specific technical information shall also include the following analyses needed to demonstrate that the performance objectives of R313-25 will be met: (1) (a) Analyses demonstrating that the general population will be protected from releases of radioactivity shall consider the pathways of air, soil, ground water, surface water, plant uptake, and exhumation by burrowing animals. The analyses shall clearly identify and differentiate between the roles performed by the natural disposal site characteristics and design features in isolating and segregating the wastes. The analyses shall clearly demonstrate a reasonable assurance that the exposures to humans from the release of radioactivity will not exceed the limits set forth in R313-25-19. (2)(b) Analyses of the protection of inadvertent intruders shall demonstrate a reasonable assurance that the waste classification and segregation requirements will be met and that adequate barriers to inadvertent intrusion will be provided. (3)(c) Analysis of the protection of individuals during operations shall include assessments of expected exposures due to routine operations and likely accidents during handling, storage, and disposal of waste. The analysis shall provide reasonable assurance that exposures will be controlled to meet the requirements of R313-15. (4)(d) Analyses of the long-term stability of the disposal site shall be based upon analyses of active natural processes including erosion, mass wasting, slope failure, settlement of wastes and backfill, infiltration through covers over disposal areas and adjacent soils, and surface drainage of the disposal site. The analyses shall provide reasonable assurance that there will not be a need for ongoing active maintenance of the disposal site following closure. (2)(a) Any facility that proposes to land dispose of significant quantities of depleted uranium (more than one metric ton in total accumulation) after [effective date of rule] shall submit for the Executive Secretary's review and approval a performance assessment that demonstrates that the performance standards specified in 10 CFR Part 61 and corresponding provisions of Utah rules will be met for the total quantities of depleted uranium and other wastes, including wastes already disposed of and the quantities of depleted uranium the facility now proposes to dispose. Any such performance assessment shall be revised as needed to reflect ongoing guidance and rulemaking from NRC. For purposes of this performance assessment, the compliance period will be a minimum of 10,000 years. Additional simulations will be performed for a qualitative analysis for the period where peak dose occurs. (b) No facility may dispose of significant quantities of depleted uranium prior to the approval by the Executive Secretary of the performance assessment required in R. 313-25-8(2)(a). (c) For purposes of this R. 313-25-8(2) only, depleted uranium means waste with depleted uranium concentrations greater than 5 percent by weight. ENDNOTES 1. The following frequently cited documents in this Statement of Basis may be found at the indicated web locations. Records NRC Communication Plan Key Messages (August 19, 2009): http://www.nrc.gov/aboutnrc/regulatory/rulemaking/potential-rulemaking/uw-streams/key-messages.html NRC Fact Sheet on Depleted Uranium and Other Waste Disposal (August 26, 2009): http://www.nrc.gov/reading-rm/doc-collections/fact-sheets/fs-du-other-waste-disp osal.html NRC's Frequently Asked Questions about Land Disposal of Unique Waste Streams (August 4, 2009): http://www.nrc.gov/about-nrc/regulatory/rulemaking/potential-rulema king/uw-streams/faq.html NRC Frequently Asked Questions in the Communication Plan (August 19, 2009): http://www.nrc.gov/about-nrc/regulatory/rulemaking/potential-rulemaking/uw-str eams/workshop-faq.html NRC Staff Requirements, SECY-08-0147, Response to Commission Order CLI-05-20 Regarding Depleted Uranium (October 7, 2008) (hereinafter SECY-08-0147): http://www.nrc.gov/reading-rm/doc-collections/commission/secys/2008/secy2008-0147/2 008-0147scy.pdf NRC's Unique Waste Streams Rulemaking Record, Workshop 1, Day 1 Transcripts (September 2, 2009): http://www.nrc.gov/about-nrc/regulatory/rulemaking/potential-rule making/uw-streams/workshop-1-transcripts-day1.pdf NRC's Unique Waste Streams Rulemaking Record, Workshop 2, Day 1 Transcripts (September 23, 2009): http://www.nrc.gov/about-nrc/regulatory/rulemaking/potential-rul emaking/uw-streams/workshop-2-transcripts-day1.pdf NRC's Unique Waste Streams Rulemaking Record, Workshop Presentations (September 2009): http://www.nrc.gov/about-nrc/regulatory/rulemaking/potential-rulemaking/uw-str eams/du-workshop-presentations.pdf NRC's Unique Waste Streams Rulemaking Record Website (October 20, 2009): http://w ww.nrc.gov/about-nrc/regulatory/rulemaking/potential-rulemaking/uw-streams.html Rules and Statutes NRC Rules, 10 CFR Part 61: http://www.nrc.gov/reading-rm/doc-collections/cfr/part061/ . DRC Rules, Utah Admin. Code R.313: http://www.rules.utah.gov/publicat/code/r313/r31 3.htm DRC Statute, Radiation Control Act, Utah Code Ann. Title 19, Chapter 3: http://le.utah.g ov/~code/TITLE19/19_03.htm 2. SECY-08-0147, Enclosure 1 at pages 2-3; see also chart at page 3. The NRC also has descriptions of depleted uranium at a number of other web locations, e.g., "NRC Fact Sheet on Depleted Uranium and Other Waste Disposal," and "NRC Frequently Asked Questions in the Communication Plan." See also NRC's Unique Waste Streams Rulemaking Record, Workshop Presentations, Slide 78 of 115 and comment by David Esh, NRC's lead modeler for SECY-08-0147: "So we call it depleted uranium because it's depleted in the U-235 isotope, but chemically it's really concentrated uranium because you've made pure uranium out of the process of trying to develop fuel for reactors." NRC's Unique Waste Streams Rulemaking Record, Workshop 2, Day 1 Transcript at page 92. 3. U.S. Nuclear Regulatory Commission (NRC). 'Draft Environmental Impact Statement on 10 CFR Part 61 Licensing Requirements for Land Disposal of Radioactive Waste.' NUREG-0782 (1981); NRC, 'Final Environmental Impact Statement on 10 CFR Part 61 Licensing Requirements for Land Disposal of Radioactive Waste,' NUREG-0945 (1982). Note also NRC's statement that "Waste class concentrations [are] based primarily on inadvertent intruder exposure." NRC's Unique Waste Streams Rulemaking Record, Workshop Presentations, Slide 33 of 115. 4. "A Performance Assessment Methodology for Low-Level Radioactive Waste Disposal Facilities: Recommendations of NRC's Performance Assessment Working Group," NUREG-1573. Note that among the many recommendations made by the authors of this document are a recommendation for a time period of 10,000 years for analyzing performance (Id. at 3-13), and a recommendation for "refraining from excessive speculation about the extremely distant future, and . . . limiting evaluations of the natural site's geologic evolution to the next 10,000 years," based, for example, on the assumption that geological changes such as glaciation will result in conditions under which humans will not be living close enough to the waste to be exposed. Id. at 3-9 and 3-10. Web access through: http://www.nrc.gov/reading-rm/doc-collections/nuregs/pubs/. 5. In the Matter of Louisiana Energy Services (National Enrichment Facility), 62 NRC 523, CLI-05-20, October 19, 2005. Web access: http://www.nrc.gov/reading-rm/doc-collections/commission/orders/2005/2 005-20cli.html. 6. See NRC website, Louisiana Energy Services (LES) Gas Centrifuge Facility. Web access: http://www.nrc.gov/materials/fuel-cycle-fac/lesfacility.html. 7. In the Matter of Louisiana Energy Services (National Enrichment Facility), 63 NRC 687 at 690, CLI-06-15, June 2, 2006. Web access: http://www.nrc.gov/reading-rm/doc-collections/commission/orders/2006/2 006-15cli.pdf 8. Id. 9. Id.,, at 699. See also In the Matter of Louisiana Energy Services (National Enrichment Facility), 63 NRC 241, ASLBP 04-826-01-ML, LPB-06-08, March 3, 2006; and In the Matter of Louisiana Energy Services (National Enrichment Facility), 63 NRC 687, CLI-06-15, June 2, 2006 and Environmental Impact Statement for the Proposed National Enrichment Facility in Lea County, New Mexico (NUREG-1790). Web access for EIS: http://www.nrc.gov/reading-rm/doc-collections/nuregs/staff/sr1790/ 10. See SECY-08-0147. 11. See Commission Order in Memorandum re: Staff Requirements – SECY-08-0147 – Response to Commission Order CLI-05-20 Regarding Depleted Uranium. Web access: http://www.nrc.gov/reading-rm/doc-collections/commission/srm/2008/200 8-0147srm.pdf. 12. See NRC Communication Plan Key Messages, and NRC Frequently Asked Questions in the Communication Plan. 13. All references in this section are to Envirocare and EnergySolutions' license amendments and related submissions for the dates given; license amendments and related submissions are in Division of Radiation Control files. The information in numbers 1 through 3 is also described in an analysis by the U.S. Department of Energy. See Evaluation of the Acceptability of Potential Depleted Uranium Hexafluoride Conversion Products at the Envirocare Disposal Site, ORNL/TM-2000/355, December 2000. Web access: http://www.ornl.gov/~webworks/cpr/rpt/109279_.pdf. 14. NRC's Unique Waste Streams Rulemaking Record, Workshop 2, Day 1 Transcript at page 55. 15. Id. 16. Texas Admin. Code, Rule § 336.709. Web access: http://info.sos.state.tx.us/pls/pub/readtac$ext.TacPage?sl=T&app=2&p_di r=N&p_rloc=106855&p_tloc=&p_ploc=1&pg=41&p_tac=106856&ti=30 &pt=1&ch=336&rl=709&z_chk=1072573. 17. NRC's "Frequently Asked Questions in the Communication Plan." See also Communication Plan Key Messages. 18. NRC's Unique Waste Streams Rulemaking Record, Workshop 2, Day 1 Transcript at page 40. 19. See, e.g., SECY-08-0147, at page 5. 20. See SECY-08-0147, Enclosure 1 at page 4. See also comment made by David Esh, NRC's lead modeler for SECY-08-0147: "Basically the large quantities were not evaluated in EIS [the document supporting rulemaking for Part 61]. They did something like 17 Curies of Uranium-238 and three Curies of Uranium 235, and something like a million cubic meters of waste in the analyses, and if you look at the potential waste streams that may be anticipated, you could be looking at something like 470,000 Curies of Uranium-238. So you're really outside of the box from what was done, and we recognize that, and that's why we're here today." NRC's Unique Waste Streams Rulemaking Record, Workshop 2, Day 1 Transcript at page 90. 21. NRC Fact Sheet on Depleted Uranium and Other Waste Disposal. This has also been acknowledged by NRC in many other documents, e.g., NRC, SECY-08-0147, Enclosure 1 at page 1, and In the Matter of Louisiana Energy Services (National Enrichment Facility), 62 NRC 523, CLI-05-20, October 19, 2005, Part V. Web access for CLI-05-20: http://www.nrc.gov/reading-rm/doc-collections/commissio n/orders/2005/2005-20cli.html. 22. See Workshop Presentations, slide 40 of 115. Note that risk is a function of quantity and concentration. Id. at Slide 58. 23. See SECY-08-147, Enclosure 1, at page 1. See also Slide 54 of 115 of the "Workshop Presentations" made by NRC at its NRC's Unique Waste Streams Rulemaking Workshop: "Analysis not intended to replace site-specific evaluations." 24. In the Matter of Louisiana Energy Services (National Enrichment Facility), 63 N.R.C. 591, 70-3103-ML, (ASLBP 04-826-01-ML) (May 31, 2006). 25. See SECY-08-147, at page 9. 26. NRC's Frequently Asked Questions about Land Disposal of Unique Waste Streams. 27. NRC's Unique Waste Streams Rulemaking Record, Workshop 2, Day 1 Transcript at page 82. 28. See NRC's Unique Waste Streams Rulemaking Record,"Workshop Presentations," Slide 12, "Commercial LLW Disposal Sites, and accompanying commentary at Workshop 1, Day 1 at page 32 and Workshop 2, Day 1 Transcript at pages 37-38. 29. NRC's Unique Waste Streams Rulemaking Record, Workshop 1, Day 1 Transcript (cited in note 1) at p. 25 and Workshop 2, Day 1 Transcript at p. 30. 30. See citations in notes 7 and 9. 31. See "U.S. Department of Energy Manual, Approval of Exemptions for Use of Non-DOE Facilities," at I-7. Web access: https://www.directives.doe.gov/pdfs/doe/doetext/neword/435/m4351-1c1. pdf. Representatives of the Board have been unable to locate a copy of DOE's exemption for disposal of depleted uranium at EnergySolutions or related documentation of DOE's decision to dispose of its depleted uranium in Utah, but the need for an exemption is also referenced in two pre-decisional documents: "Evaluation of the Acceptability of Potential Depleted Uranium Hexafluoride Conversion Products at the Envirocare Disposal Site," December 2000; and "Draft Supplement Analysis for Location(s) to Dispose of Depleted Uranium Oxide Conversion Product Generated from DOE's Inventory of Depleted Uranium Hexafluoride (DOE/EIS-0359-SA1 AND DOE/EIS-0360-SA1), March 2007." Web access (respectively): http://www.ornl.gov/~webworks/cpr/rpt/109279_.pdf and http://gc.energy.gov/NEPA/nepa_documents/na/EIS-0359- SA1_EIS-0360-SA1.pdf. 32. Web access: http://www.radiationcontrol.utah.gov/Board/minagd/7142009.pdf. 33. SECY-08-0147, Enclosure 1 at page 21. See also SECY-08-0147, Enclosure 1 at pages 6-8 for a fuller discussion.
Food \| \| Year 7/8 – Half Term 1/4 – Health & Hygiene \| \|---\|---\| \| Prior Learning \| \| \| What will I learn? \| \| \| Next Steps \| \| \| Personal Development \| \| \| Key vocabulary \| \| \| How and when will I be assessed? \| \| \| Resources to use \| \| \| Enrichment opportunites \| \| \| \| Year 7/8 - Half Term 2/5 – Eatwell Guide \| \|---\|---\| \| Prior Learning \| \| \| What will I learn? \| \| \| Next Steps \| \| \| Personal Development \| \| \| Key vocabulary \| \| \| How and when will I be assessed? \| \| \| Resources to use \| \| \| Enrichment opportunites \| \| \| \| Year 7/8 - Half Term 3/6 – Modifying Recipes \| \|---\|---\| \| Prior Learning \| \| \| What will I learn? \| \| \| Next Steps \| \| \| Personal Development \| \| \| Key vocabulary \| \| \| How and when will I be assessed? \| \| \| Resources to use \| \| \| Enrichment opportunites \| \| \| \| Year 9 – Bacteria & Special Diets \| \|---\|---\| \| Prior Learning \| \| \| What will I learn? \| \| \| Next Steps \| \| \| Personal Development \| \| \| Key vocabulary \| \| \| How and when will I be assessed? \| \| \| Resources to use \| \| Year 10 - Half Term 1 – Unit 1: LO1: Understand the environment in which hospitality and catering providers operate. LO3: Be able to cook dishes. \| Prior Learning \| KS3 macro and micro nutrients, Eat well guide, Bacteria. In year 9 more technically challenging practical cookery skills including kitchen, personal and food hygiene. \| \|---\|---\| \| What will I learn? \| Introduction to the course, the hospitality and catering industry provides people with accommodation, food and beverages outside of the home. Revisit essential Skills e.g. Health & Safety. Understand the environment in which hospitality & catering providers operate, incorporating: The structure of the hospitality and catering industry. Job requirements within the industry. Working conditions of different job roles across the hospitality and catering industry. Factors affecting the success of hospitality and catering providers. Be able to cook a range of dishes showing a range of different medium to high level cookery skills including preparation and quality assurance of a range of commodities, building on practical knowledge learnt at KS3. \| \| Next Steps \| This Unit provides the foundation for learning for Unit 1 LO2 & LO3. This content will directly link to the examination. The knowledge and the application of different circumstances is applicable once pupils have left school in daily life. However, this course directly links to KS5 hospitality and catering vocational courses (Blackpool & Fylde College - Bispham Campus) as a large proportion of the same skills are transferrable and can be immediately applied in industry as pupils already have experience. \| \| Personal Development \| SMSC: Direct links with understanding the level of cultural diversity in the UK and how that has impact on availability of ingredients, food choice and recipes. Physical Health: Impact of a poor diet on health, portion sizes long term health issues. Directly links to industry as pupils will understand and will possibly seek employment in the hospitality and catering industry as well having direct inputs from employers. \| \| Key vocabulary \| Commercial, Non-commercial, Establishment, Residential, Contract caterer, Whisking, Melting, Rubbing-in, Blending, Modify, Commodity \| \| How and when will I be assessed? \| Formative: In class verbal feedback, particularly with practical work Summative: NEA task is marked according to exam board mark scheme; pupils are given this mark scheme at the start of the year and are encouraged to use it whilst they are completing their NEA. End of unit mark. \| \| Resources to use \| www.hoddereducation.co.uk/myrevisionnotes WJEC Level 1/2 Vocational Award: Hospitality & Catering Revision Guide. Hodder Education \| \| Enrichment opportunities \| If you are able with your family, visit different types of hospitality and catering establishments. See if you can recognise different types of service across the hospitality and catering provision. Take pictures of attractive plates of food, particularly those that show different presentation techniques e.g. piping, coulis, fanning. It will help you improve you presentation techniques and subsequently improve your grade. \| Year 10 - Half Term 2 – Unit 1: LO4: Know how food can cause ill health. LO3: Be able to cook dishes. \| Prior Learning \| LO1 HT1 year 10: Understand the environment in which hospitality and catering providers operate. \| \|---\|---\| \| What will I learn? \| Propose a hospitality & catering provision to meet specific requirements. Providers of hospitality and catering offer a wide variety of options for visitors with specific needs for different location and situations. Types of visitor could include: Families Groups Old Age Pensioners (OAPS) Overseas Visitors Single People Couples Pupils will learn how to make a structured proposal for a specific requirement, taking into consideration budget available, type of occasion, type of venue, number of people in the group, information about the area. Be able to cook a range of dishes showing a range of different medium to high level cookery skills including preparation and quality assurance of a range of commodities, building on practical knowledge learnt at KS3. \| \| Next Steps \| Content in LO3 Be able to cook dishes links directly to mock NEA task in Year 10 & NEA task in Year11. The knowledge and the application of different circumstances is applicable once pupils have left school in daily life. However, this course directly links to KS5 hospitality and catering vocational courses (Blackpool & Fylde College - Bispham Campus) as a large proportion of the same skills are transferrable and can be immediately applied in industry as pupils already have experience. \| \| Personal Development \| SMSC: Understand how culturally diverse the industry is and how the UK can appeal to a wide range of visitors. GDP: Understand how to conduct themselves in a different environment when dealing with customers, highlight personal qualities required to work in the industry that can be applied to any employment. \| \| Key vocabulary \| Justify, Factors, Specific, Evaluate, Culture., Task, Outcome, Demonstrate, Ethnic, Modify, Sustainability, Impact, Require, Maintain \| \| How and when will I be assessed? \| Formative: In class verbal feedback, particularly with practical work Summative: NEA task is marked according to exam board mark scheme; pupils are given this mark scheme at the start of the year and are encouraged to use it whilst they are completing their NEA. End of unit mark. \| \| Resources to use \| www.hoddereducation.co.uk/myrevisionnotes WJEC Level 1/2 Vocational Award: Hospitality & Catering Revision Guide. Hodder Education \| \| Enrichment opportunities \| Have a look on the internet at different types of hospitality and catering provision in the local area try and match it up with the different groups talked about above. Highlight the features of the provision that make it suitable for that particular group. \| Year 10 - Half Term 4 – Unit 1: LO3: Understand how hospitality & catering provision meets health & safety requirements LO3: Be able to cook dishes. Year 10 - Half Term 5 – Unit 1: LO2: Understand how hospitality & catering provision operates. LO3: Be able to cook dishes. \| Prior Learning \| LO1 HT1 year 10: Understand the environment in which hospitality and catering providers operate. LO3 HT4 year 10: Understand how hospitality and catering provision meets health and safety requirements. \| \|---\|---\| \| What will I learn? \| The correct layout of the kitchen is crucial in maintaining high standards of food hygiene and to ensure that there is enough space for everyone to work effectively and quickly to manage orders. This is not only true of the kitchen but front of house as well. In this half term we will learn: The operation of the kitchen. The operation of front of house How hospitality and catering provision meet customer requirements Be able to cook a range of dishes showing a range of different medium to high level cookery skills including preparation and quality assurance of a range of commodities, building on practical knowledge learnt at KS3. \| \| Next Steps \| This Unit builds upon learning for Unit 1 LO1 & leads into Unit 1 LO2. It then is assessed in the Unit 1 Assessment at the end of Year 10/11. Knowledge of LO2 will be used in the Mock NEA task where pupils have to serve a 3 course meal to invited guests. The knowledge and the application of different circumstances is applicable once pupils have left school in daily life. However, this course directly links to KS5 hospitality and catering vocational courses (Blackpool & Fylde College - Bispham Campus) as a large proportion of the same skills are transferrable and can be immediately applied in industry as pupils already have experience. \| \| Personal Development \| GDP: Understand how to conduct themselves in a different environment and expectations when in employment regarding conduct and behaviour to keep themselves and their work colleagues safe. \| \| Key vocabulary \| Layout, Workflow, Stock, Kitchen Brigade, Dress code, FIFO, Toque, Corporate, Business, Equality, Discrimination, Allocate, \| \| How and when will I be assessed? \| Formative: In class verbal feedback, particularly with practical work Summative: NEA task is marked according to exam board mark scheme; pupils are given this mark scheme at the start of the year and are encouraged to use it whilst they are completing their NEA. End of unit mark. \| \| Resources to use \| www.hoddereducation.co.uk/myrevisionnotes WJEC Level 1/2 Vocational Award: Hospitality & Catering Revision Guide. Hodder Education \| Year 10 - Half Term 6 – Unit 2: LO1: Understand the importance of nutrition when planning menus. LO2: Understand menu planning. \| Prior Learning \| Year 10 HT 2 LO4; Know how food can cause ill health. HT5 LO2: Understand how hospitality and catering provision operates. \| \|---\|---\| \| What will I learn? \| Pupils will be given a mock NEA (non-examination assessment) task. In order to apply the relevant information to the task set pupils will be placed into brigades and asked to plan, cook and prepare a three course meal for no more than 6 people, they will also be required to serve the meal. They will be asked to plan the menu based on a range of different cover a range of different topic areas. These will form the basis of the supporting information for the mock NEA task. This will include the following: LO1: 1.1 Functions of nutrients in the human body. 1.2: Nutritional needs of specific groups. 1.3: Characteristics of unsatisfactory nutritional intake. 1.4 How cooking methods impact on nutritional value. LO2: 2.1: factors to consider when proposing dishes for menus. 2.2: How dishes on a menu address environmental issues. 2.3: How menu dishes meet customer needs. 2.4: Planning production of dishes for a menu. \| \| Next Steps \| The Year 11 NEA task follows the same format as the mock task to prepare pupils, the same format and research required as Year 11 task but with a different focus. The knowledge and the application of different circumstances is applicable once pupils have left school in daily life. However, this course directly links to KS5 hospitality and catering vocational courses as a large proportion of the same skills are transferrable and can be immediately applied in industry as pupils already have experience. \| \| Personal Development \| SMSC: Direct links with understanding the level of cultural diversity in the UK and how that has impact on availability of ingredients, food choice and recipes. Physical Health: Impact of a poor diet on health, portion sizes long term health issues. \| \| Key vocabulary \| Bacteria, Biological Value, Deficiency, Leach, Water Soluble, Fat Soluble., Preservation, Food Provenance, Organoleptic, Dovetailing, Assess \| \| How and when will I be assessed? \| Formative: In class verbal feedback, particularly with practical work Summative: NEA task is marked according to exam board mark scheme; pupils are given this mark scheme at the start of the year and are encouraged to use it whilst they are completing their NEA. End of unit mark. \| \| Resources to use \| www.hoddereducation.co.uk/myrevisionnotes WJEC Level 1/2 Vocational Award: Hospitality & Catering Revision Guide. Hodder Education \| Year 11 - Half Term 1 – Unit 2: LO1: Understand the importance of nutrition when planning menus. LO2: Understand menu planning. \| Prior Learning \| \| \|---\|---\| \| What will I learn? \| Pupils will be given their NEA (non-examination assessment) task. In order to apply the relevant information to the task set pupils will cover a range of different topic areas under timed conditions. These will form the basis of the supporting information for the NEA task. This will include the following: LO1: 1.1 Functions of nutrients in the human body. 1.2: Nutritional needs of specific groups. 1.3: Characteristics of unsatisfactory nutritional intake. 1.4 How cooking methods impact on nutritional value. LO2: 2.1: factors to consider when proposing dishes for menus. 2.2: How dishes on a menu address environmental issues. 2.3: How menu dishes meet customer needs. 2.4: Planning production of dishes for a menu. \| \| Next Steps \| Unit 2 LO3, cookery skills provide the foundation for planning and assessment of the NEA Task. The knowledge and the application of different circumstances is applicable once pupils have left school in daily life. However, this course directly links to KS5 hospitality and catering vocational courses as a large proportion of the same skills are transferrable and can be immediately applied in industry as pupils already have experience. \| \| Personal Development \| SMSC: Direct links with understanding the level of cultural diversity in the UK and how that has impact on availability of ingredients, food choice and recipes. Physical Health: Impact of a poor diet on health, portion sizes long term health issues. \| \| Key vocabulary \| Preservation, Food Provenance, Organoleptic, Dovetailing, Assess Create, Select, Justify, Source, Issue, \| \| How and when will I be assessed? \| Formative: In class verbal feedback, particularly with practical work Summative: NEA task is marked according to exam board mark scheme; pupils are given this mark scheme at the start of the year and are encouraged to use it whilst they are completing their NEA. End of unit mark. \| \| Resources to use \| www.hoddereducation.co.uk/myrevisionnotes WJEC Level 1/2 Vocational Award: Hospitality & Catering Revision Guide. Hodder Education \| \| Enrichment opportunities \| There are countless food focused media across all platforms they are all useful particularly looking styling of food on a plate as ¼ of the overall practical mark is attributed to this. MasterChef & Great British Menu are particularly good for this. Some useful recipe websites are: www.bbc.co.uk/food www.bbcgoodfood.com Whatever recipe websites you use for research please try and stick to UK ones as conversions from other measurements don’t always work out! Try and practice lots of different recipes as this will improve your confidence and cookery skill as well as your problem solving ability. \| Year 11 - Half Term 2 – Unit 2: LO 1.3: Characteristics of unsatisfactory nutritional intake. LO3: Be able to cook dishes. Year 11 - Half Term 3 – Unit 2: LO 1.4: How cooking methods impact on nutritional value. LO3: Be able to cook dishes. \| Prior Learning \| KS3 macro and micro nutrients, Eat well guide, Bacteria. In year 9 more technically challenging practical cookery skills. Year 10 mock NEA task to plan and prepare a menu to meet specific requirements. \| \|---\|---\| \| What will I learn? \| Pupils will be given their NEA (non-examination assessment) task. In order to apply the relevant information to the task set pupils will cover a range of different topic areas under timed conditions. They will also have to demonstrate and trial a range of different dishes that meet the needs of the NEA task. They will have to discuss how chosen cookery methods of their dishes impact on the nutritional value of the food and subsequently the customers health. Be able to cook dishes: Use researched and planned documents AC:2.3 & AC:2.4 to deliver final assessed cook for NEA task. \| \| Next Steps \| The knowledge and the application of different circumstances is applicable once pupils have left school in daily life. However, this course directly links to KS5 hospitality and catering vocational courses (Blackpool & Fylde College - Bispham Campus) as a large proportion of the same skills are transferrable and can be immediately applied in industry as pupils already have experience. \| \| Personal Development \| SMSC: Direct links with understanding the level of cultural diversity in the UK and how that has impact on availability of ingredients, food choice and recipes. Physical Health: Impact of a poor diet on health, portion sizes long term health issues. \| \| Key vocabulary \| Leach, Water soluble, Fat Soluble, Value, Portion, Bridge, Claw, Hygiene, Cross Contamination, Bacteria \| \| How and when will I be assessed? \| Formative: In class verbal feedback, particularly with practical work Summative: NEA task is marked according to exam board mark scheme; pupils are given this mark scheme at the start of the year and are encouraged to use it whilst they are completing their NEA. End of unit mark. \| \| Resources to use \| www.hoddereducation.co.uk/myrevisionnotes WJEC Level 1/2 Vocational Award: Hospitality & Catering Revision Guide. Hodder Education \| \| Enrichment opportunities \| Try and cook lots of different types of dishes. They don’t have to use expensive ingredients but get in the kitchen and cook (parents & guardians too!) Practice the following presentation techniques to elevate your plates of food: Fanning strawberries, Piping, Coulis, Ribbons, Curls, Stencilling There are countless food focused media across all platforms they are all useful particularly looking styling of food on a plate as ¼ of the overall practical mark is attributed to this. MasterChef & Great British Menu are particularly good for this. \|
Pawling Town Hall 160 Charles Colman Blvd Pawling, NY 12564 Town of Pawling Town Board Regular Meeting of the Town Board Meeting will be broadcast live on the Town of Pawling Facebook page Wednesday, May 1st, 2024 6:00PM James Schmitt, Supervisor James McCarthy, Deputy Supervisor / Councilman Martin Mygan, Councilman Coleen Snow, Councilwoman Corinne Musella-Pitt, Councilwoman Cathy Giordano, Town Clerk RULES FOR PUBLIC COMMENT: 1. Each presentation to the Board made by an individual shall be limited to three (3) minutes in duration, unless extended by agreement by the Town Supervisor/ designee 2. Comments should be directed to the Board. Comments should be made in a respectful manner to the Board and from the Board to the community. The Town Supervisor or designee may: a. Interrupt, warn, or terminate an individual's comment when the comment is personally directed, abusive or obscene. b. Request that any individual leave the meeting when that individual fails to observe reasonable decorum. c. Call for a recess or an adjournment to another time. The intent of these rules are: 1. To allow members of the public a fair and adequate opportunity to be heard. 2. To assure that the regular agenda of the Town Board is completed; and 3. To recognize the nature of the Board and community's time and to use that time effectively. a) Roll Call of the Town Board b) Pledge of Allegiance c) Acknowledgement of Minutes a. April 10, 2024 b. April 17, 2024 d) Privilege of the Floor with respect to Agenda Items only e) Resolutions f) Discussion 1. Ambassadors for Dutcher Golf Course g) Town Board Items for Special Consideration & New Business h) Privilege of the Floor with respect to Agenda & Non-Agenda items (3 minutes) i) Adjournment Meeting Agenda Resolutions RESOLUTION 2024-059 Billing for Pawling Water District No. 2 WHEREAS, Pawling Water District No. 2 bills need to be approved by the Pawling Town Board, and WHEREAS, the bills have been prepared and submitted in the amount of $_______ for the period of January 1, 2024 through March 31, 2024 by the Clerk to the Water District, Catherine Giordano, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling hereby accepts the billing as recommended for Pawling Water District No.2. RESOLUTION 2024-071 Payment of Bills for the Town of Pawling WHEREAS, The Town of Pawling Bookkeeper has reviewed and prepared the vouchers for Town of Pawling and has offered them for review, and WHEREAS, the vouchers have been approved in accordance with the Town of Pawling policy, and WHEREAS, the vouchers have been numbered ------, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling hereby accepts the vouchers as prepared and on the recommendation of the Bookkeeper and hereby authorizes payment of said vouchers for the Town of Pawling on this date in the amount of $------ . RESOLUTION 2024-072 Acceptance of the 2023 Pawling Town Justice Court Annual Audit Reports WHEREAS, the Unified Court Act requires that Town Justices annually provide their court records and docks to their respective town auditing boards, and WHEREAS, such records then are to be examined or audited by the Town Board members, and WHEREAS, the Town Supervisor received the Annual Audit Report from Justice Wansley and Justice Zelazny for calendar year 2023 on April 10, 2024 and made said reports available to the Town Board members, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling does hereby accept the 2023 Pawling Town Justice Court Annual Audit Reports. NOW THEREFORE BE IT FURTHER RESOLVED, that report is available for inspection at 160 Charles Colman Boulevard, Pawling, NY during regular business hours: Monday through Friday from 8:30a.m to 4:00p.m. RESOLUTION 2024-073 WHEREAS, the Town of Pawling operates facilities that from time to time will be used by the public for events other than the Town's own usage, and WHEREAS, the Recreation Director will periodically receive request for special considerations once all application and insurance requirements are met, and WHEREAS, the Town Board of the Town of Pawling sets the fees for the use of facilities, and NOW THEREFORE BE IT RESOLVED, that the following waiver(s) have been authorized by the Town Board: Amy Foster – Alcohol Waiver, Alcohol Control Plan. RESOLUTION 2024-074 Establishing a Capital Budget for FEMA Funded Work on Quaker Lake Road and River Road WHEREAS, the Town of Pawling wishes to perform improvements on both Quaker Lake Road and River Road, and WHEREAS, these improvements are funded through funds received from FEMA, and WHEREAS, the Bookkeeper has developed a capital budget to complete the improvements for the Town Board to review, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling adopts the following capital budget to complete the improvements on Quaker Lake Road and River Road: \| HFE 5112.20 \| Road Paving, Drainage, Etc. \| $168,335.00 \| \|---\|---\|---\| \| HFE 5031 \| Interfund Transfer \| \| \| River Road \| To Establish Budget for River Road Paving \| \| \| HFE 5112.25 \| Road Paving, Drainage, Etc. \| $94,000.00 \| \| HFE 5031 \| Interfund Transfer \| \| RESOLUTION 2024-075 Approval of Garage Door Purchase for Highway Garage WHEREAS, the Superintendent of Highways Robert Brill has requested to purchase 2 new garage (R-Value) doors with openers and a set of 2" vertical uprights, and WHEREAS, Robert Brill has received the following quotes: 1. Bill Reynolds Garage Doors $13,580.00 2. Dutchess Overhead Door $17,584.00 NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling hereby authorizes the Highway Superintendent to accept the quote from Bill Reynolds Garage Doors in the amount of $13,580.00. RESOLUTION 2024-076 Appointment of Temporary Carpenter NOW THEREFORE BE IT RESOLVED, that Thomas Brown, Sr. is hereby retroactively appointed as a temporary carpenter to the Department of Buildings and Grounds effective March 8, 2024 at an hourly rate of $48.00. RESOLUTION 2024-077 Adopting Updated Employee Handbook WHEREAS, the Town of Pawling Employee Handbook is in need of updating to conform to state and federal requirements, and WHEREAS, Public Sector HR Consultants, LLC has reviewed the previous handbook and developed a revised and updated Employee Handbook that can be found on the Town of Pawling website, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling hereby accepts and adopts the updated Town of Pawling Employee Handbook dated April 17, 2024 replacing previous employee handbooks. RESOLUTION 2024-078 Waiver of Fee for the Pawling Fire Department WHEREAS, at the April 15, 2024 Planning Board meeting, members of the Planning Board reviewed and discussed the Pawling Fire Department signage application, and WHEREAS, the Pawling Fire Department is instrumental to communicate important messages that keep the public informed on life safety rules, emergency alerts and events in the community, and WHEREAS, the Planning Board recommends to the Town Board to waive the $75.00 signage application for the Pawling Fire Department, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling hereby waives the $75.00 signage application fee for the Pawling Fire Department. RESOLUTION 2024-079 Authorizing the Sale of Unneeded Town Property WHEREAS, the Town of Pawling is the owner of a parcel of vacant land at 1902 Route 292 in Pawling, New York, consisting of 18.66 acres (the "Property"), including the Town's access way to the Whaley Lake Dam, and bearing Tax Map Number 134089-6857-00-446371-0000, and WHEREAS, Mark and Patricia Belair own the parcel at 1904 Route 292 which adjoins the Property, and by Resolution #2022170, the Town Board approved the sale to the Belairs of a .78 portion of the Property to be merged with 1904 Route 292 to improve their access to Route 292 for $25,000 subject to (i) permissive referendum; (ii) the Belairs receipt of a lot line change from the Town Planning Board; and (iii) a restriction on development of the Property, and WHEREAS, the Town Board wishes to clarify that the restriction on development shall exclude accessory uses in relation to the single family residence at 1904 Route 292, including without limitation, a driveway, parking area, and garage subject to the Town Zoning ordinance, and WHEREAS, the Belairs have obtained the requisite Planning Board approval and no petition for referendum was received following the adoption of Resolution #2022170. NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling affirms its approval of the sale of .78 acres of the Property to the Belairs with the stipulation that there shall be a deed restriction on development on the Property as a separate building lot. The construction of accessory buildings and structures in relation to the single family residence use at 1904 Route 292, including, without limitation, a driveway, parking area, and/or garage, are not restricted subject to the Town of Pawling Zoning Ordinance. RESOLUTION 2024-080 Authorization of Additional Healthcare Option WHEREAS, the Town Board of the Town of Pawling has a fiduciary responsibility to the taxpayers as well as to the employees of the Town to be good stewards of Town funds, and WHEREAS, the Town of Pawling full-time employees, elected officials, and retirees under 65 years old currently have NYSHIP Excelsior Plan as the Health Insurance offered to them, and WHEREAS, the Town Board of the Town of Pawling has received an alternate option to offer healthcare coverage to the employees, elected officials and retirees under 65 years old of the Town for a more affordable rate to employees and to the Town to include the MVP EPO Silver Plan, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling does hereby authorize the following: 1. Marshall & Sterling Insurance, with their principal office at 110 Main Street, Poughkeepsie, New York, to act as the Town's Health Insurance Administrator for MVP EPO Silver Plan. 2. Transfer the Health Insurance Plan for full-time employees, elected officials and retirees under 65 years old of the Town of Pawling from NYSHIP Excelsior to MVP EPO Silver Plan should they choose to do so by June 1, 2024. 3. Establish a Health Reimbursement Arrangement (HRA) for the deductible for the MVP EPO Silver Plan. RESOLUTION 2024-081 Approval of Use of ARPA Funds for Maintenance of the Great Lawn WHEREAS, the Town of Pawling received a partial payment of American Rescue Plan Act (ARPA) funds from the federal government, and WHEREAS, ARPA funds may be used on IT improvements, infrastructure improvements such as capital improvements to the Town of Pawling, and WHEREAS, the Town Board plans to use the funds to complete a variety of projects throughout the Town of Pawling, and NOW THEREFORE BE IT RESOLVED, that the Town Board of the Town of Pawling hereby approves the use of ARPA funds for: 1. Maintenance of the Great Lawn $1,375.00 RESOLUTION 2024-082 WHEREAS, a request for Budget Amendments has been received from the Bookkeeper, and WHEREAS, normal course of business activity throughout 2024 has prompted the Bookkeeper to determine that various budget items should be amended to allow for the Town of Pawling to continue conducting business as usual, and NOW THEREFORE BE IT RESOLVED, that the Bookkeeper has requested the following budget amendments: RESOLUTION 2024-083 Proclaiming May as Mental Health Month WHEREAS, mental health is essential to the well being and the vitality of our families, businesses, and communities, and WHEREAS, mental health conditions are real and prevalent in our nation with 1 out of 5 Americans and 1 out of 6 children affected by mental illness each year, and WHEREAS, more people die from suicide in the United States than from traffic accidents and an estimated 22 veterans die from suicide each day, and WHEREAS, stigma and fear of discrimination keep many who would benefit from mental health services from seeking help, and WHEREAS with effective treatment those individuals with mental health conditions can recover and lead full, productive lives, and WHEREAS, education, compassion, and awareness about mental illness can change negative attitudes and behaviors toward people with mental illness, and WHEREAS, each business, school, government agency, law enforcement agency, healthcare provider, organization and citizen share the responsibility to promote mental wellness and support prevention efforts, and NOW THEREFORE BE IT RESOLVED, the Town Board of the Town of Pawling do hereby proclaim the month of May 2024 ad Mental Health Awareness Month, and NOW THEREFORE BE IT FURTHER RESOLVED, that the Town Board of the Town of Pawling calls upon its citizens, government agencies, public and private institutions, businesses, and schools to recommit our community to increasing awareness and understanding of mental illnesses, reducing stigma, and discrimination, and promoting appropriate and accessible services for all individuals.
The Pillowman Martin Mcdonagh The Pillowman Martin Mcdonagh Script Pdf The Pillowman (Play) Plot & Characters \| StageAgent The Pillowman \| Project Gutenberg Self-Publishing - eBooks ... The Pillowman.pdf - Scribd The Pillowman by Martin McDonagh Review at Cottesloe 2003 ... The Pillowman Tickets \| Duke of York's Theatre ... The Pillowman Martin Mcdonagh The Pillowman part 1 The Pillowman Summary - eNotes.com Martin McDonagh - IMDb Martin McDonagh - Wikipedia The Pillowman \| WeGotTickets The Pillowman - Duke of York's Theatre [PDF] The Pillowman Book by Martin McDonagh Free Download ... Martin McDonagh (Author of The Pillowman) The Pillowman - Wikipedia The Pillowman by Martin McDonagh \| Decadent Decadent ... Martin McDonagh - Wikipedia The Pillowman by Martin McDonagh - Goodreads The Pillowman Martin Mcdonagh Downloaded from blog.gmercyu.edu by guest RAYMOND BRICE The Pillowman Martin Mcdonagh Script Pdf The Pillowman Martin McdonaghThe Pillowman is a 2003 play by Irish playwright Martin McDonagh.It received its ﬁrst public reading in an early version at the Finborough Theatre, London, in 1995, also a ﬁnal and completed version of the play was publicly read in 1998 and then ﬁnished and released as a book in some places in 1999.Production started in 2000 for the eventual 2003 grand slam performance.The Pillowman - WikipediaBiograﬁe. McDonagh werd geboren in Camberwell, Londen, Engeland in een Iers gezin.Zijn moeder (afkomstig uit Killeenduﬀ, Easky, County Sligo in Ierland) en zijn vader (afkomstig uit Lettermullen, Connemara, County Galway in Ierland) zouden later terug verhuizen naar Galway.Martin en zijn broer (screenwriter John Michael McDonagh) bleven achter in Londen, waar Martin vanaf zijn zestiende ...Martin McDonagh - WikipediaThe Pillowman: A Play, Martin McDonagh The Pillowman is a 2003 play by Irish playwright Martin McDonagh.It tells the tale of Katurian, a ﬁction writer living in a police state, who is interrogated about the gruesome content of his short stories and their similarities to a number of bizarre child murders occurring in his town.The Pillowman by Martin McDonagh - GoodreadsMARTIN McDONAGH Writer. Martin McDonagh is an award-winning writer and director. His plays include: The Beauty Queen of Leenane, A Skull in Connemara, The Lonesome West, The Lieutenant of Inishmore, The Cripple of Inishmaan, The Pillowman, A Behanding in Spokane, Hangmen and A Very, Very, Very Dark MatterThe Pillowman - Duke of York's TheatreMartin McDonagh's chilling drama The Pillowman is set to return to London for a West End run, giving audiences another opportunity to experience the frightful play after it premiered at the National Theatre in 2003. Tickets for The Pillowman, which will run at the Duke of York's Theatre from July 2020, are now on sale.. McDonagh's play follows the investigation into writer Katurian, who ...The Pillowman Tickets \| Duke of York's Theatre ...While still in his twenties, the Anglo-Irish playwright Martin McDonagh ﬁlled houses in New York and London, was showered with the theatre world's most prestigious accolades, and electriﬁed audiences with his cunningly crafted and outrageous tragicomedies.Martin McDonagh (Author of The Pillowman)Profoundly disturbing and intensely macabre, Martin McDonagh's new play provokes an ambivalent response. On the one hand his inventive imagination and ear for naturalistic dialogue is as sharp as ever, commanding both respect and attention but the sheer intensity of the horrors related will curdle all but the strongest of stomachs.The Pillowman by Martin McDonagh Review at Cottesloe 2003 ...Dark and grizzly, The Pillowman by Martin McDonagh (In Bruges & Seven Psychopaths) opens in a prison cell where a young writer, Katurian, is being questioned about the children's tales he has written – grim tales which have inspired copycat killings in the streets outside.Mixing comedy and dread, two interrogators tease out the resemblance between real and ﬁctional worlds while probing ...The Pillowman by Martin McDonagh \| Decadent Decadent ...The Pillowman plot summary, character breakdowns, context and analysis, ... This brutal dark comedy from Martin McDonagh, the master of the horrorcomedy, poses unanswerable questions: Can stories hold the power to cause atrocities? Where is the line between truth and fairy tale?The Pillowman (Play) Plot & Characters \| StageAgent"The Pillowman is a spellbinding stunner of a play." Ben Brantley, New York Times. Martin McDonagh's Olivier Award-winning play The Pillowman makes its eagerly anticipated West End Premiere following its London debut at the National Theatre. 'The ﬁrst duty of a storyteller is to tell a story'.The Pillowman \| WeGotTicketsMartin McDonagh's The Pillowman , or The Justiﬁcation of Literature Noël Carroll Philosophy and Literature, Volume 35, Number 1, April 2011, pp. 168-181 Free Read Online The Pillowman By Martin Mcdonagh PDF Book ...The Pillowman Martin Mcdonagh Script PdfFree download or read online The Pillowman pdf (ePUB) book. The ﬁrst edition of the novel was published in 2003, and was written by Martin McDonagh. The book was published in multiple languages including English, consists of 104 pages and is available in Paperback format. The main characters of this plays, drama story are , . The book has been awarded with Laurence Olivier Award for Best New ...[PDF] The Pillowman Book by Martin McDonagh Free Download ...The Pillowman part 4 - Duration: 28:54. ... The Pillowman - Tale of the Deaf ... Colin 1 Farrell and Martin McDonagh discuss the dark comedy - Duration: 7:13.The Pillowman part 1Martin McDonagh, Writer: In Bruges. Martin McDonagh was born on March 26, 1970 in Camberwell, London, England. He is a writer and director, known for In Bruges (2008), Three Billboards Outside Ebbing, Missouri (2017) and Seven Psychopaths (2012).Martin McDonagh - IMDbMartin McDonagh's The Pillowman is a dark drama that takes place in a nameless totalitarian state. The play opens in a police interrogation room as two oﬃcers, Tupolski and Ariel, question a ...The Pillowman Summary eNotes.comMartin Faranan McDonagh (/ m ə k ˈ d ɒ n ə /; born 26 March 1970) is an Irish-British playwright, screenwriter, producer, and director. Born and brought up in London, the son of Irish parents, he is considered among the most acclaimed living Irish playwrights. A winner of the Academy Award for Best Live Action Short Film, McDonagh has been nominated for three other Academy Awards, and in ...Martin McDonagh - WikipediaThe Pillowman.pdf - Free download as PDF File (.pdf) or view presentation slides online.The Pillowman.pdf - ScribdThe Pillowman is a 2003 play by Irish playwright Martin McDonagh.It received its ﬁrst public reading in an early version at the Finborough Theatre, London, in 1995.It tells the tale of Katurian, a ﬁction writer living in a police state who is interrogated about the gruesome content of his short stories, and their similarities to a number of bizarre child murders occurring in his town.The Pillowman \| Project Gutenberg Self-Publishing - eBooks ...The Pillowman by Martin McDonagh Foot of the Barrel Theatre Company . In an interrogation room in an unnamed totalitarian dictatorship, Katurian, a writer, is being interrogated by two detectives. Next door, Katurian's mentally disabled brother Michal waits. Martin Faranan McDonagh (/ m ə k ˈ d ɒ n ə /; born 26 March 1970) is an Irish-British playwright, screenwriter, producer, and director. Born and brought up in London, the son of Irish parents, he is considered among the most acclaimed living Irish playwrights. A winner of the Academy Award for Best Live Action Short Film, McDonagh has been nominated for three other Academy Awards, and in ... The Pillowman (Play) Plot & Characters \| StageAgent MARTIN McDONAGH Writer. Martin McDonagh is an award-winning writer and director. His plays include: The Beauty Queen of Leenane, A Skull in Connemara, The Lonesome West, The Lieutenant of Inishmore, The Cripple of Inishmaan, The Pillowman, A Behanding in Spokane, Hangmen and A Very, Very, Very Dark Matter The Pillowman \| Project Gutenberg Self-Publishing - eBooks ... Profoundly disturbing and intensely macabre, Martin McDonagh's new play provokes an ambivalent response. On the one hand his inventive imagination and ear for naturalistic dialogue is as sharp as ever, commanding both respect and attention but the sheer intensity of the horrors related will curdle all but the strongest of stomachs. The Pillowman.pdf - Scribd The Pillowman plot summary, character breakdowns, context and analysis, ... This brutal dark comedy from Martin McDonagh, the master of the horror-comedy, poses unanswerable questions: Can stories hold the power to cause atrocities? Where is the line between truth and fairy tale? The Pillowman by Martin McDonagh Review at Cottesloe 2003 ... While still in his twenties, the Anglo-Irish playwright Martin McDonagh ﬁlled houses in New York and London, was showered with the theatre world's most prestigious accolades, and electriﬁed audiences with his cunningly crafted and outrageous tragicomedies. The Pillowman Tickets \| Duke of York's Theatre ... The Pillowman part 4 - Duration: 28:54. ... The Pillowman - Tale of the Deaf ... Colin Farrell and Martin McDonagh discuss the dark comedy - Duration: 7:13. The Pillowman Martin Mcdonagh Martin McDonagh's The Pillowman , or The Justiﬁcation of Literature Noël Carroll Philosophy and Literature, Volume 35, Number 1, April 2011, pp. 168-181 Free Read Online The Pillowman By Martin Mcdonagh PDF Book ... The Pillowman part 1 The Pillowman is a 2003 play by Irish playwright Martin McDonagh.It received its ﬁrst public reading in an early version at the Finborough Theatre, London, in 1995, also a ﬁnal and completed version of the play was publicly read in 1998 and then ﬁnished and released as a book in some places in 1999.Production started in 2000 for the eventual 2003 grand slam performance. The Pillowman Summary - eNotes.com Martin McDonagh's The Pillowman is a dark drama that takes place in a nameless totalitarian state. The play opens in a police interrogation room as two oﬃcers, Tupolski and Ariel, question a ... Martin McDonagh - IMDb The Pillowman: A Play, Martin McDonagh The Pillowman is a 2003 play by Irish playwright Martin McDonagh.It tells the tale of Katurian, a ﬁction writer living in a police state, who is interrogated about the gruesome content of his short stories and their similarities to a number of bizarre child murders occurring in his town. Biograﬁe. McDonagh werd geboren in Camberwell, Londen, Engeland in een Iers gezin.Zijn moeder (afkomstig uit Killeenduﬀ, Easky, County Sligo in Ierland) en zijn vader (afkomstig uit Lettermullen, Connemara, County Galway in Ierland) zouden later terug verhuizen naar Galway.Martin en zijn broer (screenwriter John Michael McDonagh) bleven achter in Londen, waar Martin vanaf zijn zestiende ... Martin McDonagh - Wikipedia The Pillowman is a 2003 play by Irish playwright Martin McDonagh.It received its ﬁrst public reading in an early version at the Finborough Theatre, London, in 1995.It tells the tale of Katurian, a ﬁction writer living in a police state who is interrogated about the gruesome content of his short stories, and their similarities to a number of bizarre child murders occurring in his town. The Pillowman \| WeGotTickets Martin McDonagh, Writer: In Bruges. Martin McDonagh was born on March 26, 1970 in Camberwell, London, England. He is a writer and director, known for In Bruges (2008), Three Billboards Outside Ebbing, Missouri (2017) and Seven Psychopaths (2012). The Pillowman - Duke of York's Theatre The Pillowman Martin Mcdonagh [PDF] The Pillowman Book by Martin McDonagh Free Download ... The Pillowman by Martin McDonagh Foot of the Barrel Theatre Company . In an interrogation room in an unnamed totalitarian dictatorship, Katurian, a writer, is being interrogated by two detectives. Next door, Katurian's mentally disabled brother Michal waits. Martin McDonagh (Author of The Pillowman) Dark and grizzly, The Pillowman by Martin McDonagh (In Bruges & Seven Psychopaths) opens in a prison cell where a young writer, Katurian, is being questioned about the children's tales he has written – grim tales which have inspired copycat killings in the streets outside.Mixing comedy and dread, two interrogators tease out the resemblance between real and ﬁctional worlds while probing ... The Pillowman - Wikipedia Martin McDonagh's chilling drama The Pillowman is set to return to London for a West End run, giving audiences another opportunity to experience the frightful play after it premiered at the National Theatre in 2003. Tickets for The Pillowman, which will run at the Duke of York's Theatre from July 2020, are now on sale.. McDonagh's play follows the investigation into writer Katurian, who ... The Pillowman by Martin McDonagh \| Decadent Decadent ... "The Pillowman is a spellbinding stunner of a play." Ben Brantley, New York Times. Martin McDonagh's Olivier Award-winning play The Pillowman makes its eagerly anticipated West End Premiere following its London debut at the National Theatre. 'The ﬁrst duty of a storyteller is to tell a story'. Martin McDonagh - Wikipedia The Pillowman.pdf - Free download as PDF File (.pdf) or view presentation slides online. The Pillowman by Martin McDonagh - Goodreads Free download or read online The Pillowman pdf (ePUB) book. The ﬁrst edition of the novel was published in 2003, and was written by Martin McDonagh. The book was published in multiple languages including English, consists of 104 pages and is available in Paperback format. The main characters of this plays, drama story are , . The book has been awarded with Laurence Olivier Award for Best New ... Related with The Pillowman Martin Mcdonagh: * Ap Bio 2020 Practice Exam 3 Mcq Answers : 2 click here The Pillowman Martin Mcdonagh 2022-05-19
Health Care and Global Health Editorial Past and present of misconduct in scientific publications in Peru Juan Morales 1,a 1 Universidad de Ciencias y Humanidades a MD, Specialist in Family and Community Medicine. Master in Digital Health and PhD in Medicine. Información del artículo Cite as: Morales J. Past and present of misconduct in scientific publications in Peru. Health Care & Global Health.2023;7(2):34-36. An exploration in Scimago Journal & Contry Rank, shows that since 2014, Peru has had a continuous growth in the volume of scientific production (1) . This growth coincides with the incorporation of the University Law No. 30220 of 2014, where research constitutes an essential and mandatory function of the university (2) . DOI: 10.22258/hgh.2023.72.157 ______________________________ Correspondence ______________________________ Address: Av. Universitaria 5175, Los Olivos 15304. Lima, Peru. Email: firstname.lastname@example.org Telephone: +511 989521832 History Accepted: 18/12/2023 Online: 20/12/2023 Received: 15/12/2023 ______________________________ Funding ______________________________ None Conflicts of interest: None Behind this increase in scientific production, there was and will continue to be some incentive. Incentive and recognition policies for research have a positive purpose, both for the institutions, the country and the researchers; however, they can be a potential breeding ground for research malpractice if adequate controls are not in place (3) . Research misconduct is defined as "fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results". To be considered research misconduct, actions must represent a "significant departure from accepted practices", "committed intentionally, or knowingly, or recklessly", and be "proven by a preponderance of evidence" (4) . Research misconduct can be grouped into four broad categories: violations in obtaining scientific knowledge, in collaboration and publication, in obtaining research funding, or in providing scientific expertise to others (5) . There are several types of scientific misconduct, such as fabrication, falsification, plagiarism, authorship problems, peer review problems and manipulation (6) . In Peru, in the last few months, the media reported an accusation described as the "Scientists' Farm", where a group of professors from both public and private universities paid to be included as co-authors of a research study (7) . This is a case of Ghost Authorship, a condition considered when there is little or no participation. The research misconduct market has also evolved, they now have an active presence on the web and social networks. There is a black market for academic degree theses offered in front of universities, virtually or in advertisements posted on walls and poles (8) . If we browse the web and social networks, we can notice that full thesis development services abound, and they present themselves as "counseling centers" (9) . In the past, as part of the evaluation for admission to medical residency, scientific papers presented at academic congresses were given a bonus to the applicant; however, after fraud (plagiarism, honorary authorship and purchase of authorship) was evidenced, they were excluded (10) . Without hesitation, at some stage of our academic endeavors, we may have experienced or witnessed some behavior or practice that can be questioned today. My doctoral thesis led to the publication of three scientific articles, because according to the university i regulations, in order to obtain the degree, a published article had to be accredited and the content of that article had to be part of the thesis. This situation may be compatible with a "Salami slicing" type of publication, which consists of publishing many articles from a single study (6)(11) . The intention to obtain a doctoral degree and the publication of the work was not monetarily motivated, but a healthy intention to publish in a scientific journal as part of a personal achievement. In more recent years, in the university or healthcare field, I have taken the initiative to create research groups with a multidisciplinary approach, hoping for a fruitful, synergic and reciprocal experience. However, in most cases, the achievement has been unsatisfactory; the attendance of those invited to the meetings was remarkable, but with little contribution to the content of the article submitted for publication. At another time, I met a researcher with a graduate degree abroad who had an impressive capacity and ability to prepare scientific articles but lacked the empathy to work in a team; however, I noticed that he was able to turn close student collaborators into authors of articles. Contrary to this case, I met two researchers, professors at several universities, who had few skills to write a scientific article. In recent years, they have had an impressive production, including research outside their areas of expertise. A few months ago, I received a phone call from a university professor asking me if I had any finished articles. Obviously, the intention was to find out if there was room for coauthorship. He mentioned that his university could pay the article processing charge (APC). Another professor also showed interest in a co-authorship for his daughter, who was in her first year of medical school at a private university. Persons seeking authorship did not obtain favorable results, the application was rejected. These cases are compatible with Ghost Authorship, which consists of including the name of someone who has little or no collaboration (6) . According to the International Committee of Medical Journal Editors (ICMJE), authorship is based on four criteria: 1) Substantial contributions to the conception or design of the work; or the acquisition, analysis, or interpretation of data for the work; AND, 2) Drafting the work or reviewing it critically for important intellectual content; AND, 3) Final approval of the version to be published; AND, 4) Agreement to be accountable for all aspects of the work in ensuring that questions related to the accuracy or integrity of any part of the work are appropriately investigated and resolved (12) . In the university community, it is a duty to support junior researchers, teachers and students. Requests for cooperation at various stages of the investigation are common and, in some cases, may lead to co-authorship in investigations. According to ICMJE, all those designated as authors must meet the four authorship criteria, and all those who meet the four criteria must be identified as authors (12) . What is the motivation for engaging in acts of scientific misconduct? The main reasons can be synthesized in the following expressions: "publish or perish" and "a gap in knowledge". "Publish or perish" means that there is great pressure on academics who want to succeed to publish more papers in a very short period, otherwise there is no place for them in the competitive academic environment; while "a knowledge gap" refers to a lack of linguistic, illustrative or scientific skills (5)(6) . In Peru, scientific misconduct is aimed at economic benefit and curriculum vitae improvement. Likewise, this practice was already known, but it was not reported in time (7) . Misconduct is not only present in Peru. In the international context, there are emblematic cases in which administrative actions were imposed due to findings of misconduct in the investigation (4) . Likewise, ethical violations also account for a significant percentage of retracted articles (13) . It is also pertinent to comment on some situations that may be at the root of scientific misconduct. In universities it is a tradition to delay thesis advising, the review of the advisor takes forever; however, when you pay for a certain service such as a thesis workshop course, refer to an editing and/ or proofreading service, choose a certain advisor or "talk" to someone, the process is accelerated significantly. What do we do to reduce scientific misconduct? Trainings and workshops may have some effect on research integrity (14)(15) . In this scenario, universities, research centers and ethics committees have the duty to promote and monitor ethical conduct in research. The integrity of the researchers must also be evaluated, not just admitting them to adorn the front pages, increase the volume of scientific production, acquire greater visibility or improve the reputation of the institution. Researchers not only carry out activities inherent to the research process, but also train and supervise associates and students, and become involved in the life of the scientific community (16) . In conclusion, scientific misconduct is a recurring problem, and the actions of academic institutions and the maturity of researchers can be the antidotes against dishonest practices. Time and training are essential, they strengthen integrity as a person, teacher and researcher. i References 1. SJC. Scimago Journal & Country Rank [Internet]. Available from: https://www.scimagojr.com/countrysearch.php?country=PE 3. Mayta-tristán P, Borja-garcía R. Malas prácticas en investigación: las fábricas de manuscritos en Perú. Rev Peru Med Exp Salud Publica [Internet]. 2022;39(4):388–91. Available from: http://dx.doi.org/10.17843/rpmesp.2022.394.12473 2. Perú. Congreso de la República. LEY No 30220. Ley Universitaria [Internet]. El Peruano Perú.; 2014. Available from: https://www.sunedu.gob.pe/wp-content/uploads/2017/04/Leyuniversitaria-30220.pdf 4. The Office of Research Integrity (ORI). Sample Policy and Procedures for Responding to Allegations of Research Misconduct [Internet]. [cited 2023 Dec 12]. Available from: https://ori.hhs.gov/ 6. Mousavi T, Abdollahi M. A review of the current concerns about misconduct in medical sciences publications and the consequences. DARU, J Pharm Sci [Internet]. 2020;28(1):359–69. Available from: https://doi.org/10.1007/ s40199-020-00332-1 5. Cogan E. Preventing fraud in biomedical research. Front Cardiovasc Med [Internet]. 2022;9:932138. Available from: doi: 10.3389/fcvm.2022.932138 7. Giraldo C. 'Granja de los científicos': denuncian que docentes universitarios pagan USD 500 para ser incluidos en investigaciones. Infobae [Internet]. Available from: https://www.infobae.com/peru/2023/10/30/granja-de-loscientificos-denuncian-que-docentes-universitarios-paganusd-500-para-ser-incluidos-en-investigaciones/ 9. Espinoza C. Tesis express desde 3.100 soles: red criminal ofrece servicios ilícitos vía redes sociales y web. Infobae [Internet]. 2023 May 31; Available from: https://www.infobae. 8. Meniz H. ' Tesis exprés ': Así funciona el mercado negro de las tesis. RPP [Internet]. May; Available from: https://rpp.pe/ peru/actualidad/tesis-expres-asi-funciona-el-mercado-negrode-las-tesis-noticia-1404054 com/peru/2023/05/31/tesis-express-desde-3100-soles-redcriminal-ofrece-servicios-ilicitos-via-redes-sociales-y-web/ 11. Šupak Smolčić V. Salami publication: Definitions and examples. Biochem Medica [Internet]. 2013;23(3):237–41. Available from: doi: 10.11613/BM.2013.030 10. Peña-Oscuvilca A, Saldaña-Gastulo JJ, Villafuerte-Gálvez J, Paz-Marchena A, Alvarado-Gamarra AG. Consideración de las publicaciones científicas para el ingreso a la residencia médica en el Perú. Rev Peru Med Exp Salud Publica. 2010;27(4):649–58. 12. ICMJE. Defining the role of authors and contributors [Internet]. International Committee of Medical Journal Editors. [cited 2023 Dec 15]. Available from: https://www.icmje.org/ recommendations/browse/roles-and-responsibilities/definingthe-role-of-authors-and-contributors.html 14. Marusic A, Wager E, Utrobicic A, Rothstein HR, D S. Interventions to prevent misconduct and promote integrity in research and publication. Cochrane Database Syst Rev [Internet]. 2016;4(4):MR000038. Available from: doi: 10.1002/14651858.MR000038.pub2 13. Kocyigit BF, Akyo A, Zhaksylyk A, Seiil B, Yessirkepov M. Analysis of Retracted Publications in Medical Literature Due to Ethical Violations. J Korean Med Sci [Internet]. 2023;38(40):e324. Available from: doi: 10.3346/jkms.2023.38. e324 15. Rathore FA, Fatima NE, Farooq F, Mansoor SN. Combating Scientific Misconduct: The Role of Focused Workshops in Changing Attitudes Towards Plagiarism. Cureus [Internet]. 2018;10(5):e2698. Available from: doi: 10.7759/cureus.2698 16. National Academy of Sciences (US), National Academy of Engineering (US), and Institute of Medicine (US) Committee on Science, Engineering and PP. On Being a Scientist: Responsible Conduct in Research [Internet]. Washington (DC): National Academies Press (US); 1995. Available from: https:// www.ncbi.nlm.nih.gov/books/NBK232228/
Dewar College of Education and Human Services Valdosta State University Department of Library and Information Studies MLIS 7520 Database Design for Information Professionals 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/education careers/sites/ala.org.educ at i oncare ers/files/content/careers/corecomp/corecompetences/fin alcorecompstat09.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. 1 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 VSU 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 COMPETENCE 4] PO 3. Integrate relevant research to enhance work in libraries and information centers. [ALA CORE COMPETENCE 6] PO 4. Demonstrate professionalism in their work in libraries and information centers. [ALA CORE COMPETENCE 7] INSTRUCTOR Name: Changwoo Yang, PhD Office Number: Room 4600, Odum Library Telephone Number: 229-333-7185 Email Address: firstname.lastname@example.org Office Hours: Monday (10am -1pm),Tuesday (9am-1pm), Thursday (10am – 1pm) Website: http://www.valdosta.edu/colleges/education/master-of-library-and-information-science/faculty.php COURSE DESCRIPTION Addresses government and industry needs for design, implementation, and management of the database systems. Focuses on the application of data modeling technologies in library and information science practice and research. REQUIRED TEXTBOOKS Rob, P., & Coronel, C. (2009).Database Systems: Design, Implementation, and Management (9th ed.). Thomson Course Technology. ISBN 0538469684 Note: Since the class focuses on basic concepts in database design, you don't necessarily have to have the latest edition on the textbook (Rob & Coronel). Weinberg, P. N., Groff, J. R., & Oppel, A. J. (2010). SQL, the Complete Reference. New York: McGraw-Hill. PDF version is available online through Odum Library COURSE OBJECTIVES (with alignment to MLIS Program Objectives) Upon completion of this course, the student will be able to: * Explain the fundamental principles of database systems. * Demonstrate skills and perspective to analyze real-world requirements, produce a data model, and implement the database. * Develop database conceptual design using the Entity Relationship Model approach. * Use Structured Query Language (SQL). * Develop and optimize complex SQL queries to perform tasks such as table creation, data input, and retrieval. * Evaluate trends in database technologies and the application of database technologies to various activities. COURSE ACTIVITIES/REQUIREMENTS Class activities include a set of readings, assignments, online discussions, and a term project. Students will complete weekly assignments that provide an opportunity to demonstrate familiarity with the course content. Assignments will provide students with conceptual and practical understanding of database design principles and SQL syntax. The purpose of the term project is to allow students to demonstrate their understanding of data modeling and database design issues covered in the class by designing and implementing a database that can handle real-world data and information management issues. Term project report should include problem statement, background information about the problem, ER diagrams, data dictionary, rationale for the design, challenges faced during design and implementation processes, and brief evaluation of the project. Details for each week are posted in the appropriate folder on the course website. It is the student's responsibility to check the course calendar for DUE DATES for all class work and the weekly folders and assignment folders for all required and supplemental readings and other materials. ASSIGNMENTS/EXAMS Grades will be calculated as follows: ``` * 5 Weekly assignments: 5 * 10pts = 50pts • 2 Exams: 2 * 15pts = 30pts • Term project: 20pts = 20pts ``` Weekly Assignments (50pts) § Students will complete five individual assignments that provide an opportunity to demonstrate familiarity with the course content. § Collaboration on homework assignments is encouraged. You may consult outside reference materials, other students, or the instructor. However, all of your answers should reflect your understanding of the subject matter at the time of writing. § Assignments will provide students with conceptual understanding of variety of library technologies and standards. Exams (30pts) § There will be two exams: a midterm and a second exam. Exams will be composed of a combination of multiple choice, true/false, and short answer questions. Term Project (20pts) § The purpose of the term project is to allow students to demonstrate their understanding of data modeling and database design issues covered in the class by designing and implementing a database that can handle real-world data and information management issues. § Students are free to choose the topics of personal interest. § Instructor approval required to start a class project. § The instructor will also provide a list of possible projects for your selection. Assignment Submission: § There is a one (1) day grace period for each graded activity after its original due date. § Missing a deadline for any graded activity may result in a reduction in grade (i.e., 20% deduction from the original mark for each day after 1-day grace period) unless a mutually acceptable alternative is arranged with the instructor. § All assignments must be submitted via assignments on BlazeView. COURSE GRADES Students can earn a maximum of 100 points in this course. Course grades will be awarded as follows: * A: 90 – 100 points * C: 70 – 79 points * B: 80 – 89 points * D: 60 – 69 points * F: fewer than 60 points. To be eligible to receive an A in this course requires completing every assignment. COURSE EVALUATION Students in this course are expected to: 1) Read or view all assigned materials; 2) Participate in class activities; 3) Submit all projects on time and according to the format designated by the instructor; 4) Conduct all research and composition according to the VSU Academic Honesty Policy (see page 5 of this document). See the COEHS Policy on Plagiarism on page 7 and the MLIS Guide to Ethical Conduct at http://www.valdosta.edu/colleges/education/master-of-libraryand-information-science/documents/GuidetoEthicalConductWebversion.pdf). ATTENDANCE POLICY All other 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 discussion board You are expected to read the discussion boards regularly. If you have a personal question please send it to the instructor via BlazeView course e-mail. If you would like to speak with the instructor in person or by telephone please make contact during office hours. SUBMITTING WRITTEN ASSIGNMENTS All written work 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 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 POLICY Most graded assignments are due Monday, 11:59 pm. You have a one-day grace period to submit assignments for full credit – Tuesday, 11:59 pm is the deadline. Assignments received after Tuesday, 11:59 pm, lose points. 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. A grade of Incomplete is not an option unless a non-academic situation interferes with completion of assignments after the option to withdraw without academic penalty passed (October 8). A petition for an Incomplete must be submitted with documentation to the professor at the time an assignment is missed. Withdrawal from a course after October 8 requires a petition to the VSU Dean of Student Affairs. 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 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. REQUESTS FOR INCOMPLETES AND WITHDRAWALS Requests for withdrawing from a VSU course without academic penalty must be submitted to the office of the VSU Registrar on or before October 17th. If you have not submitted assignments leading up to the withdrawal deadline, you are not eligible for an Incomplete at the end of the semester. A grade of Incomplete is only an option when a non-academic situation interferes with completion of assignments due after the option to withdraw without academic penalty has passed. It must be approved by the instructor before the last day of class (October 17th). Requests for late withdrawal (hardship situations that interfere with meeting assignment requirements after midterm) must be directed to the Dean of Students, Mr. Daryl Lowe (email@example.com) at (229-333-5941). 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, firstname.lastname@example.org, 1208 N. Patterson St., Valdosta State University, Valdosta, Georgia 31608, 229-333-5463. Access Statement: 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 Farbar Hall. The phone numbers are 229-2452498 (V), 229-375-5871 (VP) and 229-219-1348 (TTY). For more information, please visit VSU's Access Office or email: email@example.com. 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 on BANNER. 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, and instructors will be able to view only a summary of all responses two weeks after they have submitted final grades. While instructors will not be able to view individual responses or to access any of the responses until after final grade submission, they will be able to see which students have or have not completed their SOIs, and student compliance may be considered in the determination of the final course grade. These compliance and non-compliance reports will not be available once instructors are able to access the results. Complete information about the SOIs, including how to access the survey, is available on the SOI Procedures webpage.
OMB No. 3805697643125 edited by 1 OMB No. 3805697643125 Performance Based Gas Detection System Design For Performance Based FGS Design Seminar WEBINAR - Fire \u0026 Gas Detection Philosophies - Overcoming challenges of designing detection systems Gas Detection 201 Selecting and Installing Fixed Gas Detection Systems Final Global Fire and Gas Detection System Market 2016-2020 Bosean K-G60 Fixed Gas Detector Getting Started with Fire and Gas Mapping How to make Gas Detection System \| With Notiﬁcation Alert Introduction to Portable Gas Detection Equipment Preview Lesman Webinar: Fixed Gas Detection 101 Gas Detection Monitoring System WEBINAR - Fire and Gas Detection Philosophies - A ﬂexible approach to philosophy development Beneﬁts of Digital Fixed Gas Detection Systems \u0026 Remote Visibility - Webinar Fire and Gas Mapping ASK THE EXPERTS - Gas Detection System: How It Works Gas Detection and Safety Instrumented Systems Gas Detection Product Line Basics of Gas Detection Fire and Gas Detection ✅ TOP 5 Best Smart Gas Detectors : Today's Top Picks [ Budget Buyer's Guide ] Gas Detection Systems - Webinar 11/6/14 Nanoscale Materials for Warfare Agent Detection: Nanoscience for Security Advances in Oxygen Research and Application: 2013 Edition Novel Nanomaterials for Biomedical, Environmental and Energy Applications ScholarlyBrief Progresses in Chemical Sensor Nanomaterials Based Gas Sensors for SF6 Decomposition Components Detection Proceedings of ICCEMME 2021 Guidelines for Fire Protection in Chemical, Petrochemical, and Hydrocarbon Processing Facilities Sensors for Automotive and Aerospace Applications Carbon Dioxide Sensing Mid-infrared Optoelectronics Federal Register AI 2004: Advances in Artiﬁcial Intelligence Fundamentals, Principles, and Applications Performance Based Gas Detection System Design For MARQUIS JAMAL Nanoscale Materials for Warfare Agent Detection: Nanoscience for Security John Wiley & Sons This book constitutes the refereed proceedings of the 17th Australian Conference on Artiﬁcial Intelligence, AI 2004, held in Cairns, Australia, in December 2004. The 78 revised full papers and 62 revised short papers presented were carefully reviewed and selected from 340 submissions. The papers are organized in topical sections on agents; biomedical applications; computer vision, image processing, and pattern recognition; ontologies, knowledge discovery and data mining; natural language and speech processing; problem solving and reasoning; robotics; and soft computing. Advances in Oxygen Research and Application: 2013 Edition Springer The insulating medium used in gas-insulated switchgear is SF6 gas, which has been widely used in substations. Energy generated by discharge will cause the composition of SF6 and generate characteristic component gases. Diagnosing the insulation defect through analyzing the decomposed gases of SF6 by chemical gas sensors is the optimal method due to its advantages. Carbon nanotubes, TiO2 nanotubes and graphene are chosen as the gas-sensing materials to build speciﬁc gas sensors for detecting each kind of SF6 decomposed gases and then enhance the gas sensitivity and selectivity by material modiﬁcation. The properties and preparation methods are introduced in this book. The author studied the micro-adsorption mechanism and macro-gas sensing properties by theoretical calculation and sensing experiment. NOVEL NANOMATERIALS FOR BIOMEDICAL, ENVIRONMENTAL AND ENERGY APPLICATIONS Springer Nature Advances in Oxygen Research and Application: 2013 Edition is a ScholarlyBrief™ that delivers timely, authoritative, comprehensive, and specialized information about ZZZAdditional Research in a concise format. The editors have built Advances in Oxygen Research and Application: 2013 Edition on the vast information databases of ScholarlyNews.™ You can expect the information about ZZZAdditional Research in this book to be deeper than what you can access anywhere else, as well as consistently reliable, authoritative, informed, and relevant. The content of Advances in Oxygen Research and Application: 2013 Edition has been produced by the world's leading scientists, engineers, analysts, research institutions, and companies. All of the content is from peer-reviewed sources, and all of it is written, assembled, and edited by the editors at ScholarlyEditions™ and available exclusively from us. You now have a source you can cite with authority, conﬁdence, and credibility. More information is available at http://www.ScholarlyEditions.com/. ScholarlyBrief CRC Press Monitoring hazardous gases is highly complex, yet critical to semiconductor manufacturing. This book includes excerpts from codes and standards relevant to the industry, including the latest editions of model ﬁre codes. This guide provides the basics to successfully comply with code requirements. The guidelines in this book go beyond minimum design standards to ensure that best industry practices are employed to address the many safety, environmental and economic concerns of hazardous occupancy facilities. System certiﬁcation, redundancy and integration of gas sensors into a monitoring, control and alarm system are discussed. This is a ﬁeld-guide reference. It is spiralbound for easier ""benchtop"" access to the information you need while setting up your gas monitoring systems. It is valuable to everyone involved in handling hazardous gases. Progresses in Chemical Sensor Performance-Based Fire and Gas Systems Engineering HandbookWith the release of the ISA-TR84.00.07 technical report on performance-based design of ﬁre and gas detection systems for process industries, risk-based techniques for detector placement have become prevalent in ﬁre and gas system (FGS) design. While the technical report addresses designing the FGS based on the user's risk proﬁle and performance requirements, it does not provide any guidance on implementing the FGS lifecycle. This handbook provides a thorough overview of the FGS design lifecycle presented in the technical report, with an examination of each phase of the lifecycle and the practical activities required to develop an FGS design. In addition to discussing the design process, this handbook also provides valuable appendices that contain data for FGS system risk analysis, FGS risk grading procedures, and a discussion of the FGS mapping techniques used to verify the achievement of the newly deﬁned coverage targets.Plant Hazard Analysis and Safety Instrumentation Systems With the release of the ISA-TR84.00.07 technical report on performance-based design of ﬁre and gas detection systems for process industries, risk-based techniques for detector placement have become prevalent in ﬁre and gas system (FGS) design. While the technical report addresses designing the FGS based on the user's risk proﬁle and performance requirements, it does not provide any guidance on implementing the FGS lifecycle. This handbook provides a thorough overview of the FGS design lifecycle presented in the technical report, with an examination of each phase of the lifecycle and the practical activities required to develop an FGS design. In addition to discussing the design process, this handbook also provides valuable appendices that contain data for FGS system risk analysis, FGS risk grading procedures, and a discussion of the FGS mapping techniques used to verify the achievement of the newly deﬁned coverage targets. Nanomaterials Based Gas Sensors for SF6 Decomposition Components DetectionCRC Press Lists citations with abstracts for aerospace related reports obtained from world wide sources and announces documents that have recently been entered into the NASA Scientiﬁc and Technical Information Database. Proceedings of ICCEMME 2021 Springer Nature This book presents the proceedings of the International Conference on Health, Safety, Fire, Environment, and Allied Sciences. It highlights latest developments in the ﬁeld of science and technology aimed at improving health and safety in the workplace. The volume comprises content from leading scientists, engineers, and policy makers discussing issues relating to industrial safety, ﬁre hazards and their management in industry, forests and other settings. Also dealt with are issues of occupational health in engineering, process and agricultural industry and protection against incidents of arson and terror attacks. The contents of this volume will be of interest to researchers, practitioners, and policy makers alike. Guidelines for Fire Protection in Chemical, Petrochemical, and Hydrocarbon Processing Facilities CRC Press Oﬀshore Electrical Engineering Manual, Second Edition, is for electrical engineers working on oﬀshore projects who require detailed knowledge of an array of equipment and power distribution systems. The book begins with coverage of diﬀerent types of insulation, hot-spot temperatures, temperature rise, ambient air temperatures, basis of machine ratings, method of measurement of temperature rise by resistance, measurement of ambient air temperature. This is followed by coverage of AC generators, automatic voltage regulators, AC switchgear transformers, and programmable electronic systems. The emphasis throughout is on practical, ready-to-apply techniques that yield immediate and cost-eﬀective beneﬁts. The majority of the systems covered in the book operate at a nominal voltage of 24 y dc and, although it is not necessary for each of the systems to have separate battery and battery charger systems, the grouping criteria require more detailed discussion. The book also provides information on equipment such as dual chargers and batteries for certain vital systems, switchgear tripping/closing, and engine start batteries which are dedicated to the equipment they supply. In the case of engines which drive ﬁre pumps, duplicate charges and batteries are also required. Packed with charts, tables, and diagrams, this work is intended to be of interest to both technical readers and to general readers. It covers electrical engineering in oﬀshore situations, with much of the information gained in the North Sea. Some topics covered are oﬀshore power requirements, generator selection, process drivers and starting requirements, control and monitoring systems, and cabling and equipment installation Discusses how to perform inspections of electrical and instrument systems on equipment using appropriate regulations and speciﬁcations Explains how to ensure electrical systems/components are maintained and production is uninterrupted Demonstrates how to repair, modify, and install electrical instruments ensuring compliance with current regulations and speciﬁcations Covers speciﬁcation, management, and technical evaluation of oﬀshore electrical system design Features evaluation and optimization of electrical system options including DC/AC selection and oﬀshore cabling designs ScholarlyEditions There is much industry guidance on implementing engineering projects and a similar amount of guidance on Process Safety Management (PSM). However, there is a gap in transferring the key deliverables from the engineering group to the operations group, where PSM is implemented. This book provides the engineering and process safety deliverables for each project phase along with the impacts to the project budget, timeline and the safety and operability of the delivered equipment. Sensors for Automotive and Aerospace Applications BoD – Books on Demand This book provides a comprehensive review of the primary industrial hygiene topics relevant to semiconductor processing: chemical and physical agents, and ventilation systems. The book also has excellent chapters on newer industrial hygiene concerns that are not speciﬁc to the semiconductor industry: ergonomics, indoor air quality, personal protective equipment, plan review, and records retention. While much of the information in these chapters can be applied to all industries, the focus and orientation is speciﬁc to issues in the semiconductor industry. CARBON DIOXIDE SENSING Academic Press The papers presented deal with the general methods and techniques, from a range of disciplines, as they can be applied to speciﬁc engineering and ﬁre safety situations. The circumstances described include a variety of large scale plant applications in the petrochemical industry. As such this book is a valuable reference for ﬁre engineers, petroleum engineers and legislators working in today's multidisciplinary design engineering team. These proceedings address ﬁve major areas of importance on and oﬀshore: risk assessment, operations and operational safety, research, risk reduction and design safety, detection and control, and protective systems. Mid-infrared OptoelectronicsBoD – Books on Demand Issues in Analysis, Measurement, Monitoring, Imaging, and Remote Sensing Technology: 2013 Edition is a ScholarlyEditions™ book that delivers timely, authoritative, and comprehensive information about Analysis and Measurement. The editors have built Issues in Analysis, Measurement, Monitoring, Imaging, and Remote Sensing Technology: 2013 Edition on the vast information databases of ScholarlyNews.™ You can expect the information about Analysis and Measurement in this book to be deeper than what you can access anywhere else, as well as consistently reliable, authoritative, informed, and relevant. The content of Issues in Analysis, Measurement, Monitoring, Imaging, and Remote Sensing Technology: 2013 Edition has been produced by the world's leading scientists, engineers, analysts, research institutions, and companies. All of the content is from peer-reviewed sources, and all of it is written, assembled, and edited by the editors at ScholarlyEditions™ and available exclusively from us. You now have a source you can cite with authority, conﬁdence, and credibility. More information is available at http://www.ScholarlyEditions.com/. FEDERAL REGISTER Woodhead Publishing Impedance Spectroscopy is a powerful measurement method used in many application ﬁelds such as electro chemistry, material science, biology and medicine, semiconductor industry and sensors. Using the complex impedance at various frequencies increases the informational basis that can be gained during a measurement. It helps to separate diﬀerent ef CRC Press Master an Approach Based on Fire Safety Goals, Fire Scenarios, and the Assessment of Design AlternativesPerformance-Based Fire Safety Design demonstrates how ﬁre science can be used to solve ﬁre protection problems in the built environment. It also provides an understanding of the performance-based design process, deterministic and risk-based ana AI 2004: ADVANCES IN ARTIFICIAL INTELLIGENCE William Andrew Performance-Based Fire and Gas Systems Engineering Handbook Fundamentals, Principles, and Applications Springer Micro and nano-electro-mechanical system (M/NEMS) devices constitute key technological building blocks to enable increased additional functionalities within Integrated Circuits (ICs) in the MoreThan-Moore era, as described in the International Technology Roadmap for Semiconductors. The CMOS ICs and M/NEMS dies can be combined in the same package (SiP), or integrated within a single chip (SoC). In the SoC approach the M/NEMS devices are monolithically integrated together with CMOS circuitry allowing the development of compact and low-cost CMOS-M/NEMS devices for multiple applications (physical sensors, chemical sensors, biosensors, actuators, energy actuators, ﬁlters, mechanical relays, and others). On-chip CMOS electronics integration can overcome limitations related to the extremely low-level signals in sub-micrometer and nanometer scale electromechanical transducers enabling novel breakthrough applications. This Special Issue aims to gather high quality research contributions dealing with MEMS and NEMS devices monolithically Related with Performance Based Gas Detection System Design For: © Performance Based Gas Detection System Design For Historias Cruzadas En Espaol © Performance Based Gas Detection System Design For Historias De Instagram Anonimo © Performance Based Gas Detection System Design For Historia Del Mundo Diana Uribe 2 Performance Based Gas Detection System Design For integrated with CMOS, independently of the ﬁnal application and fabrication approach adopted (MEMS-ﬁrst, interleaved MEMS, MEMS-last or others).] FOURTH STATUS REPORT William Andrew Risk, Reliability and Safety contains papers describing innovations in theory and practice contributed to the scientiﬁc programme of the European Safety and Reliability conference (ESREL 2016), held at the University of Strathclyde in Glasgow, Scotland (25—29 September 2016). Authors include scientists, academics, practitioners, regulators and other key individuals with expertise and experience relevant to speciﬁc areas. Papers include domain speciﬁc applications as well as general modelling methods. Papers cover evaluation of contemporary solutions, exploration of future challenges, and exposition of concepts, methods and processes. Topics include human factors, occupational health and safety, dynamic and systems reliability modelling, maintenance optimisation, uncertainty analysis, resilience assessment, risk and crisis management. MONITORING, VENTILIATION, EQUIPMENT AND ERGONOMICS John Wiley & Sons This book highlights the functionality, signiﬁcance, and applicability of nanostructure materials. The chapters in this book provide the logical and comprehensive information pertaining to the recent advances in the synthesis, characterization, and application of nanostructure materials for energy conversion and sensors. Written by an outstanding group of experts in the ﬁeld, this book presents the latest advances and developments in nanostructure materials. We hope this book will help in describing the current position of nanostructure materials in the technological sphere as well as encourage scientists and engineers in deeper exploration of nanostructure materials to boost the technological advancement. OFFSHORE ELECTRICAL ENGINEERING MANUAL Elsevier This volume covers the various sensors related to automotive and aerospace sectors, discussing their properties as well as how they are realized, calibrated and deployed. Written by experts in the ﬁeld, it provides a ready reference to product developers, researchers and students working on sensor design and fabrication, and provides perspective on both current and future research. Performance-Based Fire Safety Design Royal Society of Chemistry This book includes selected peer-reviewed papers presented at third International Conference on Computational and Experimental Methods in Mechanical Engineering held in June 2021 at G.L. Bajaj Institute of Technology and Management, Greater Noida, U.P, India. The book covers broad range of topics in latest research including hydropower, heat transfer, ﬂuid mechanics, advanced manufacturing, recycling and waste disposal, solar energy, thermal power plants, refrigeration and air conditioning, robotics, automation and mechatronics, and advanced designs. The authors are experienced and experts in their ﬁeld, and all papers are reviewed by expert reviewers in respective ﬁeld. The book is useful for industry peoples, faculties, and research scholars. 2024-10-05
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